USDA Management ADP Security (DM 3140-001)

U.S. DEPARTMENT OF AGRICULTURE
WASHINGTON, D.C. 20250

DEPARTMENTAL MANUAL
SUBJECT:

DATE:

Management ADP Security Manual

July 19, 1984

Number:

3140-001

Agency Technical Services Division,
Office of Information Resources
Management
OPI:

1

PURPOSE
This manual contains standards, guidelines, and procedures for the
development and administration of ADP security programs mandated by
DR 3140-1, ADP Security Policy.

2

APPLICABILITY
This manual applies to the management of all ADP resources of the
Department of Agriculture. It applies to processing done on
equipment that is:
Government-owned or leased, whether Government or
contractor operated; or accessed through
commercial timesharing acquired under a USDA
contract.
To the extent practicable, this manual shall also be applied to
processing done on equipment that is:
Accessed through commercial timesharing acquired
under GSA schedule contracts; operated by a
cooperator in accordance with a specific
cooperative agreement, or a grantee in accordance
with a specific grant, or employee-owned, when
used to process USDA information. Processing of
USDA information on employee-owned equipment must
be authorized by the appropriate agency
management.
This manual applies to the security and privacy of all automated
information that is collected, transmitted, used, processed,
stored, or disposed of by or under the direction of USDA or its
designated agent.

3

REFERENCES - See Section 20

4

ABBREVIATIONS

A-71
ADP
DCC
FIPS PUBS
FIRMR
GOCO
OIG
OIRM
RJE
RP-1
WP
5

OMB Circular A-71, Transmittal Memorandum No. 1
Automated Data Processing
Departmental Computer Center
Federal Information Processing Standards
Publications
Federal Information Resources Management
Regulation
Government Owned/Contractor Operated
Office of Inspector General
Office of Information Resources Management
Remote Job Entry
Standard Practice for the Fire Protection of
Essential Electronic Equipment Operations
Word Processing

EXPLANATION OF TERMS
Agencies. Agencies and Staff Offices.
Facility Types. Security requirements for ADP, research, word
processing, and office automation facilities within USDA or at GOCO
sites may vary, depending on several factors:
a
b
c
d
e

The monetary value of equipment;
The sensitivity of data;
The criticality of processing performed;
The number of users dependent on the facility; and
The quality of protection external to the
facility.

It is impossible to develop definitive standards which address the
issues involved in assigning a facility type to aggregations of
equipment. Prudent management dictates that facility attributes be
reviewed annually and facilities redesignated if the reviews so
indicate. A risk analysis, using an automated package, the FIPS PUS
65 method, or any other comprehensive approach should provide
adequate results upon which to base a decision on redesignation.
The desired result of such reviews and studies is to determine the
security features required to protect the particular installation
or operation in question without expenditure of excessive
resources.
In determining the facility type, only the actual functions
performed by the facility should be taken into consideration, not
the potential usages of the available hardware and software.
The required security is determined by the facility type and by the
kind of processing done. For example, installations which
communicate with other installations will, in general, need more
security than a stand-alone computer. Installations processing
sensitive data will require extra protection.
All USDA or GOCO ADP facilities shall be identified by type.

The

facility types and attributes are:
Facility Type

Description

I

Is a Departmental Computer Center, the
National Finance Center or another
comparable large, typically
multi-Agency, general purpose facility.

II

Has general purpose computer(s) which:
Service multiple users concurrently as
end processors, i.e., support
self-contained processing using resident
operating systems, compilers, peripheral
devices, etc. Typically, Type II
facilities serve one or a limited number
of agencies.

III

Consists of other DP and WP equipment.

Formal security plans and risk analyses are mandatory for each type
I and type II facility. Each agency is also required to develop an
agency-wide security plan. Security plan requirements are detailed
in Section 9.
Computers used for scientific research or process/laboratory
control require separate consideration. Although such computers are
often equivalent to Type II facility equipment in size and
capability, their security requirements may differ.
Mandatory requirements for the special-purpose facilities described
above are:
adequate physical security;
designated security officers;
annual security reviews;
security plans; and
backup and contingency plans for critical systems.
Facility managers may determine the need for:
software access controls;
data and software protection; and
audit trails.
Waivers from specific security standards are not required of
special-purpose facilities. Facility managers must, however, make
every reasonable effort to achieve and maintain security
commensurate with the importance of processing done at the site.
Microcomputer. One of a variety of general purpose computers
manufactured utilizing one or more microprocessors. Microcomputers

can range from computers with relatively small amounts of memory to
computers with large amounts of random access memory and several
peripheral devices. They normally require no special environmental
site preparation. They are often called personal, professional, or
end user computers.
Security.

As used in this manual, ADP security.

Sensitive Information. Information which is: classified in the
National Security; subject to the Privacy Act of 1974 (PL 93-579, 5
U.S.O. 552a); proprietary to a commercial firm; associated with
fiduciary or financial transactions; associated with inventories,
grants, or benefits; time- or market-critical; Types I or II
systems software; related to agency plans or policies or future
actions; and designated as vital records, as defined by FPMR
101-11.7.
Sensitive Processing. Application systems are designed to perform
specific tasks. Incorporating security measures in application
programs is one of the most effective ways to assure that the
programs do exactly what is required and no more, no less. Proper
control of data before, during, and after processing also is vital
to achieving good system security.
In order to make a reasoned selection of controls for protecting a
particular application, it is necessary to assess the sensitivity
of the programs and related data which make up the system. The
potential for loss, error, embarrassment, or delay inherent in the
operation of the system must be considered.
The examples given below are not all-inclusive. For example, an
agency's budgetary and planning material might be considered of
vital importance--or it might not. Agencies must determine
sensitivity through careful assessment of the potential for loss or
harm that operation of a particular system poses.
Application systems, data management systems, and related data
shall be designated sensitive if compromise could result in:
Any fraud, theft, or illegal gains from programs which
issue payments, benefits, receipts, billings; which
maintain inventories; or which produce
commodity-related information;
Miscalculation of payments, benefits, receipts,
billings, or inventories;
Failure to produce time-critical data on schedule;
Violation of National Defense disclosure requirements;
Unauthorized disclosure or misuse of private,

proprietary or trade-secret data;
Adverse effect on on-going investigations or agency
operations; or
Adverse effect in life-threatening situations.
6

BACKGROUND
The Privacy Act of 1974 (PL 93-579, 5 U.S.O. 552a) imposes numerous
requirements upon Federal agencies to prevent the misuse of
information about individuals and assure its integrity and security.
Protective measures must be employed to minimize the likelihood
of unauthorized disclosure of such information or of any
use of this data in other than routine use.
A-71, issued in July, 1978, requires (1) that security requirements
be assessed and provided at several points in the development of
sensitive application systems; (2) that adequate security features
be included in all related documents for procurement of material or
services and tested for completeness and quality before acceptance;
(3) that risk analyses and physical security reviews be conducted
at specified minimal intervals; (4) that adequate contingency plans
be developed and tested; (5) that sensitive systems be evaluated
and certified/ recertified at specified minimal intervals and
subjected to rigorous ADP audit as deemed necessary; and (6) that
personnel, including contractors, working in the ADP environment
have proper personnel security clearances.

7

SECURITY PROGRAM REQUIREMENTS
Agencies must define the degree of protection needed for automated
systems supporting their missions. Agencies will provide security
requirements to management of the appropriate DCCs or agency
facilities processing these systems and shall work with facility
personnel to achieve the requisite level of protection. Agencies
will determine security requirements by evaluation of the systems
sensitivity, vulnerability, importance to agency missions, and cost
to reconstruct. Protection against the following will be provided:
a

Theft, fraud, waste, or abuse of ADP assets;

b

Data loss or modification;

c

Unauthorized data disclosure;

d

Decreased operation reliability (interruption or
loss of service; degraded system performance); and

e

Asset loss (equipment, facilities, supplies,
etc.).

Select safeguards on the basis of risk analyses, security reviews,
and application evaluations, which will conform to applicable
standards and guidelines. Document these safeguards in agency and

facility security plans.
Include adequate security provisions in specifications for the
acquisition of hardware, software, and services. Agencies must
certify the adequacy of these provisions and retain documentation
in agency procurement files. (See DR 5020-2). Test security
measures (when appropriate) and certify in writing prior to
acceptance.
When it is not feasible to apply a particular standard to an
existing ADP system without excessive costs, devise an alternate
scheme for adequate protection. Agencies may then request a waiver
from the standard, stating the reason for the request and
describing the alternate scheme to be used. Address waiver
requests to OIRM.
8

RESPONSIBILITIES
Responsibilities of Agency USDA Heads, OIRM, and ADP facility
managers are detailed in DR 3140-1, ADP Security Policy. Each
agency shall designate a qualified person to serve as the agency
ADP Security Officer, who is responsible for oversight of the
agency's ADP security program. OIRM strongly recommends that agency
security officers be used as coordinators and consultants, in
addition to their use as technicians. Agencies shall appoint deputy
agency and facility security officers in appropriate numbers to
assure proper coverage. Each DCC and each Type II facility will
have a qualified facility security officer. Each Type III
installation will have a designated security representative.
Agencies will furnish OIRM a current list of agency security
officers and their deputies, giving names, mailing addresses, and
telephone numbers.
a

Responsibilities of Agency Heads, OIRM, and ADP facility
managers are detailed in DR 3140-1.

b

Specific responsibilities of security officers differ,
depending on the mission of the unit. For example, in
performing a DCC risk analysis, the facility officer will
direct the effort; the agency officer most often will
participate by furnishing information about agency data
and processing.
The following security officer functions are necessary.
An agency may assign specific duties to personnel other
than the designated security officers, but all tasks must
be performed by qualified individuals.
(1)

Advise if management on policies and procedures to
ensure data and system integrity; on employee access

to sensitive data; on personnel security clearances
of individuals; and on proper operational control of
the flow of sensitive data through the organization.
(2)

Manage hardware, software, and data access
mechanisms and authorizations.

(3)

Assist the designated official responsible for
meeting the requirements of the Privacy Act of 1974
(PL 93-579, 5 U.S.C. 552a).

(4)

Develop the agency/facility ADP security plan(s)
with the assistance of the deputy security officers.

(5)

Monitor and test for vulnerability of security
safeguards at irregular intervals, at least once a
year.

(6)

Participate in risk analyses.

(7)

Assist in developing security requirements for
acquisition of hardware/software/services and in
testing security after installation; in the
development of site preparation plans to assure
inclusion of adequate security and safety
provisions; in the application system evaluation and
certification process; and in internal or external
audits and physical inspections.

(8)

Monitor remedial measures to correct deficiencies
identified in audits or inspections.

(9)

Coordinate or conduct all other systems security
activities, including deputy and backup security
officers training, security awareness training,
employees and contractors briefing/debriefing, and
facility security reviews.

(10) Maintain records of security problems and
violations. If the capability to produce automated
access violation reports exists, listings will be
produced and analyzed. Significant violations and
actions taken will be recorded and forwarded to
appropriate. USDA officials, such as supervisors,
Departmental security, or the OIG.
(11) Investigate system security breaches of any type and
recommend emergency procedures deemed necessary.
Report serious or potentially-serious breaches to
OIG immediately.
(12) Report to management at least annually, when the
agency security plan is prepared, or as a need
dictates:
(a)

Security program status.

c

(b)

Actions required to improve security.

(c)

Security training needs.

All users of ADP facilities, at all organizational
levels, share with facility personnel the responsibility
to:
(1)

Protect ADP assets and data from theft, fraud,
misuse, loss, or unauthorized modification.

(2)

Access or attempt to access only the data or
resources specifically authorized. When granting
access to another, the owner should limit the type
and duration of access to the minimum necessary.

(3)

Maintain confidentiality of data, including but not
restricted to private, trade secret, National
Defense, financial, proprietary, and
market-sensitive information. If users have not been
informed of the sensitivity of data and processing,
they must ask management for clarification.

(4)

Report promptly to proper authorities any violations
of security or observed irregularities.

(5)

Apply USDA security standards to processing done on
remote terminals and microcomputers, to manual
processing which is part of ADP systems, to word
processing, and to processing in a
telecommunications environment.

(6)

Protect telephone numbers, passwords, and all other
system access keys against unauthorized disclosure;
change passwords frequently; use passwords which
give no clue to names, content of data, or systems
being protected; and protect input/output data from
casual inspection or unauthorized retrieval.

(7)

Recognize deviations from expected processing
results or significant variations in input data. To
this end, users should be aware of pertinent
internal controls in their programs.

(8)

Practice good housekeeping with all electronic
equipment.

(9)

Assure remote equipment logoff procedures are
followed and that all data and equipment are
secured.

(10) Use an alternate standard or procedure when a waiver
from a Federal or USDA standard has been granted.
(11) If the required level of security is not available
to the user, then the user must inform the

appropriate security officer of this fact and in the
meantime take action to compensate for the
deficiency by other means.
9

SECURITY PLANS
Each DCC and each agency will submit to OIRM an ADP security plan
or an annual update to an existing plan by March 31 of each year.
These plans will be reviewed for suitability. The purpose of the
plan is to:
a

Provide management an assessment of security status,
including future goals, training needs, and scheduled
actions;

b

Furnish guidance to newly-appointed security officers in
administering the security program;

c

Measure progress in achieving targeted goals; and

d

Provide auditors and investigators with a status
report.

Agency Security Plan. The agency security plan summarizes
information contained in all agency facility security plans and
addresses the security of all ADP processing, including
microcomputers, remote terminals, and word processing operations.
It must contain a discussion of audits, reviews, or investigations
performed and remedial actions taken; a record of evaluation of
sensitive application systems and the status of application
certification and other security-related programs; an account of
participation in risk analyses on external facilities; agency
facilities risk analysis summaries; and contingency plan(s). The
security plan will follow the outline of topics as described below.
a

Scope. A brief description of ADP operations, identifying
ADP units covered by the plan.

b

Definitions. Explanation of any items which might not be
familiar for all readers.

c

Overall Security Assessment. General discussion of agency
policies and practices, addressing assignment of security
responsibilities, personnel security clearance policies,
audit reports, and training. This section should also
contain an assessment of current security and planned
activities for the next year.

d

Appendices.
(1)

List of sensitive application systems; give
for each:

(a)

Date of last system evaluation;

(b)

Date of last system certification or
recertification; and

(c)

Date of next evaluation and
recertification.

(2)

Summary reports on all Types I and II risk
analyses conducted or participated in.

(3)

Agency contingency plan(s).

(4)

Summary of microcomputer, terminal, and RJE
area security review(s).

(5)

Summary of training needs with action
schedule.

(6)

Other supporting documents (terminal security
rules, local security procedures, etc.).

Facility Security Plan.
A facility security plan, required of Types I and II facilities,
consists of a presentation of the current status of security in the
facility; discussion of audits, reviews, or investigations
performed and remedial actions taken; risk analysis documentation;
a statement, of problems remaining and a list of scheduled
corrective actions; and the contingency plan for the facility.
a

Scope. A description of the site, giving location,
configuration, and processing supported.

b

Definition. Explanation of any terms which might not be
familiar to all readers.

c

Overall Security Assessment. General discussion of
policies and practices, addressing assignment of security
responsibilities, training, user interface, contingency
planning, and other relevant issues. This section should
include a discussion of audit reports, security problems,
an assessment of current security, and plans for the next
year.

d

Appendices.
(1)

Site plan and equipment schematic.

(2)

Summary Risk Analysis Report.

(3)

Facility contingency plan.

(4)

Summary of training needs with action
schedule.

(5)

Other supporting documents (user handbooks,
security procedures, etc).
Agency Type II facility plans need not be submitted to OIRM, for
review.
Security plans should be considered a management tool. They should
be candid and factual and should contain sufficient detail to give
management a true picture of current security status in the
facility or agency. Security plans are sensitive documents and must
have minimal distribution. An adequate security plan is an
important aid to internal auditors or investigators, however, and
should be furnished on request.
10

SECURITY ASSESSMENT
A security assessment shall be conducted annually at each ADP
processing site. The purpose of this review is to validate that
safeguards remain adequate to prevent, detect, and recover from
security failures.
There are three basic types of ADP facilities, ranging from large
computer centers to simple data terminals. Type I and Type II
facilities must perform risk analyses at intervals of 3 years or
when hardware or systems software undergoes significant
modification. Current risk analyses must be reviewed annually and
updated as necessary. Type III facilities will perform security
reviews annually.
Security review is a less formal process than risk analysis. It
consists of an evaluation of physical security, operating
procedures, and personnel practices. Generally, identified
vulnerabilities can be countered by relatively simple and
inexpensive measures. If potentially-serious security problems are
identified, a risk analysis should be performed.
Use standard review checklists based on these standards and agency
procedures.
Risk analysis is a formal, systematic approach to assessing
vulnerability of ADP assets; identifying threats; quantifying the
potential losses from threat realization; and developing
countermeasures to reduce the amount of potential loss.
Countermeasures are selected on the basis of cost/benefit analysis.
The level of protection furnished ADP assets represents a prudent
determination. It is based on the value and importance of the
assets to be protected, a realistic assessment of threats, and the
relative economy and effectiveness of alternate protection schemes.

Managers of ADP facilities should notify users of new protective
measures installed or changes in procedures.
Appendix A contains a simplified method for performing risk
analysis.
11

CONTINGENCY PLANS
Agencies shall develop contingency plans to meet emergencies and
must assure that the plans cover all critical processing. Plans and
plan implementation will be reviewed annually and updated as
necessary and will be tested periodically, at intervals not to
exceed one year.
Documents prepared for acquisition of ADP equipment and services
must contain contingency requirements, if contingency plans require
special features or services for that purpose.
Agencies are responsible for maintaining their application programs
and data files current; identifying and establishing priority of
critical jobs; and protecting data. Determine the criticality of
jobs by evaluating the expected impact of processing degradation
upon agency missions.
DCC Directors are responsible for locating, and executing
agreements for use of alternate-site processing for DCC users. This
action will be taken after agencies provide contingency
requirements to the DCCs. Each DCC director will execute specific
agreement(s) with an alternate site(s) and will notify agencies of
these agreements. In case of serious interruption of service at a
DCC, the Director will notify user management and agency security
officers at the earliest possible time. Agencies will activate
their contingency plans; DCCs will advise and assist. The
transition to the DCC when the emergency has ended will be
conducted by the DCC, based on a schedule coordinated with the
agencies.
An effective contingency plan for emergency situations is probably
the best insurance an ADP manager or user can have. The thorough
planner will address all aspects of the following tasks which are
pertinent to operations:
a

Maintaining adequate materials at the backup or
alternative site. These include current data, programs,
run books, documentation, and support supplies;

b

Handling the immediate emergency (fire-fighting, building
evacuation, etc.);

c

Maintaining liaison between facility management and
users;

d

Moving people, data, and support supplies to the
previously-designated alternate site(s);

e

Processing at the alternate site(s);

f

Restoring the damaged facility; or relocating it;
and

g

Returning to the primary site in an orderly
manner.

Users should give specific attention to any loss of processing
capability which presents a serious problem to the agency. For
example, a 12-hour delay in processing might be critical to one
agency's operations, unimportant to another's.
Agencies must identify those applications which must be run
immediately and/or continuously, those which can be delayed, and
those which can be postponed indefinitely or done in another
manner.
All DCCs furnish routine back-up services and off-site storage of
critical material. User act evaluate the DCC backup schedules and
request additional backup, beyond that routinely furnished, if
needed. Off-site storage and schedules for maintenance of off-site
files similarly require consultation with the DCC and execution of
the require documents.
Users of agency or GOCO facilities or commercial computer services
must also take the actions necessary to assure that backup and
off-site storage are adequate. Assume, when developing the
contingency plan, that the worst-case emergency would limit the
users resources to materials stored off-site. These materials:
data, documentation, programs, run books, and support supplies must
be kept as complete and current at the backup or alternative site
as good judgment dictates.
If processing is done at sites other than DCCS, specific
agreement(s) between the agency and alternate processing site(s)
must be executed by the agency. Minicomputer and microcomputer
facilities which plan reciprocal backup should perform careful
workload, compatibility, and telecommunications analyses. The
combined workload a facility could carry must be defined.
Follow guidelines set forth in this document and in FIPS PUB 87,
Guidelines for ADP Contingency Planning, in planning for continuity
of vital operations in the event of emergency or disaster.
Contingency plans are a required element of both DCC and agency ADP

security plans. Advice on contingency planning can be obtained from
the DCCs and ORIM.
12

APPLICATION CERTIFICATION AND RECERTIFICATION
The need for certification and recertification of the adequacy of
security safeguards of sensitive computer applications is
recognized by the Office of Management and Budget (OMB). A-71
requires Federal agencies to (a) certify the security of sensitive
computer application systems after their initial development and
(b) recertify operational sensitive applications at least every
three years.
Section 17 discusses incorporation of controls in sensitive
application systems, leading to initial certification.
USDA agencies and offices will conduct periodic audits or
evaluations to certify and/or recertify the adequacy of security
safeguards of each sensitive operational computer application
system. The applications include those which process personal,
proprietary, or other sensitive data, or which have a high
potential for financial loss, such as automated decision-making
applications.
Agencies will perform certification/recertification audits or
evaluations, at time intervals determined by the agency. The scope
of the effort should be commensurate with the sensitivity of
information processed and the magnitude of loss or harm, that could
result from improper operation. At a minimum, evaluations/
certifications will be conducted at least every three years.
Agencies will document all certification and recertification
studies (e.g. evaluation plan, list of participants, threat and
vulnerability assessment, list of internal controls and security
provisions, investigation findings, evaluation report,
certification statement) and maintain as part of the official
documents of the agency.
NOTE: Sometimes the terms "certification" and "accreditation" are
interchanged. For purposes of this document the term
"certification" will be used.
Agency IRM Review Boards or similar bodies are responsible for
system certifications and recertifications. The unit doing the
certification should be independent of the user organization,
especially the analysis/programming unit which is responsible for
system development.
For additional guidance on certifying and recertifying application
systems, refer to Appendix B.

There are basic requirements for assuring the integrity of even the
least sensitive system. Even small, nonsensitive Programs, written
for one-time or limited use, for example, can pose a threat to
system stability. Such programs, which normally are not subjected
to detailed analysis and formal development, will incorporate basic
security features and will be teste(i before installation. These
programs need not be certified, but should be entered in a
perpetual log maintained by the office supervisor.
The designation of a system as nonsensitive holds for the life of
the system, unless it is redesignated as sensitive or undergoes a
significant modification which requires a change in status.
OMB Circular A-123. OMB Circular A-123 requires annual
vulnerability assessment of the ADP portions of agency programs.
Certification of applications (which follows evaluation of internal
controls, processing and user environments, and general management
controls), should provide adequate basis for A-123 ADP
vulnerability determination.
13

GENERAL SECURITY MANAGEMENT
In establishing an ADP facility, agencies should evaluate potential
locations for vulnerability to natural disasters, fire, water
leaks, external disruption, or other threats. Availability of
alternate power, air-conditioning, and telecommunications are also
important considerations.
Planners should address off-site storage requirements and develop
contingency plans in conjunction with development of information
systems.
Employee health and safety are sometimes overriding concerns in
locating and operating ADP facilities. Safety requirements are not
negotiable.
The goal of an agency security program is to provide a level of
security, commensurate with their importance and value, to all ADP
resources. If all standards cannot be met, alternative standards
and procedures must be used.
Housekeeping.
a

Proper care and maintenance of equipment protects the
information and the equipment.

b

Keep the work and storage areas neat and clean. Ban food
and beverages from equipment and related support areas.

c

Keep the equipment cleared of extraneous matter and
unneeded documents.

d

Personal computers, terminals, modems, magnetic storage
media, and computing equipment and supplies are highly
subject to theft and pilfering because of the
increasingly widespread demand for these products in both
the personal and business sectors. Control access to
equipment. This will not prevent breaking and entering
but will minimize opportunity for casual theft.

Workstations. Unattended operating equipment in open areas is
vulnerable to unauthorized access and data and software compromise.
Close down and secure unattended equipment if access cannot be
monitored.
Data Availability. An integral part of any information processing
security system is to establish and implement backup (duplication)
and recovery procedures. Store critical backup media in a room
separate from routine storage areas.
All magnetic media are fragile and subject to physical damage for a
variety of reasons. Incorporate the manufacturer's handling and
storage instructions into the standard procedures of the site.
Accidents, operator error, equipment malfunctions, and theft are
hazards to storage media. Make provision, in standard operating
procedures, for handling and minimizing the adverse effects of
these events.
Externally identify and properly file storage media. Minimum
external identification: file name, date created, version, owner,
information sensitivity, and retention time.
In order to give agencies considerable flexibility in meeting their
security needs, the standards below are kept to a minimum.
Consequently, agencies should not assume that conformance to all
the standards given here will meet all their system security needs.
Each agency will supplement these USDA standards, which apply to
office environments as well as ADP facilities, with detailed
security guidance for agency-specific terminal/microcomputer users.
For guidelines and additional material on the development of
security measures, see the list of references in Section 20.

14

PHYSICAL SECURITY STANDARDS
Location.
All installations: Locate RDP sites out of highly visible,
heavily-trafficked areas. Choose locations to take advantage of
existing physical security.
Types I and II: Locate media libraries apart from ADP areas.
Provide off-site storage for critical data, software, and
documentation.
Construction.
Type III: No construction requirements.
Types I and II: Fire-retardant construction is mandatory for
Type I facilities and is recommended for Type II. Cover
transparent windows with opaque material. Construction will
conform to RP-1 standards.

Outside Equipment.
Type III: No requirements.
Types I and II: Assess the security of exposed electrical power,
gas, water, and communications lines located outside the
facilities. Facilities must coordinate with the appropriate utility
company and/or GSA to assure adequate protection of these vital
supports. Type I facilities must screen external air-conditioning
and ventilating equipment with steel mesh or other protection which
will prevent access by unauthorized persons.
Power.
Type III: Follow manufacturers' recommendations. In areas with
intermittent power problems, consider using line-smoothing devices.
Types I and II: Eased on analysis of critical power requirements,
provide for adequate power to guard against fluctuations and
failures. Provide separate circuits to critical equipment;
safeguards on switch gear (to prevent unauthorized manipulation)
and warning instructions to maintenance personnel; emergency
power-off control switches near emergency exits; automatic
emergency exit lights in all staffed areas (fluorescent lights with

ballast recommended); and emergency power stand-by and power
flow-smoothing devices for facilities processing critical
applications.
Equipment.
All installations: All electronic data processing units and systems
or similar electronic equipment shall conform to Underwriter
Laboratory standards and be installed in conformance with RP-1
standards.
Fire Protection.
Type III: Furnish fire extinguishes of correct type; train
employees in their use; practice good housekeeping.
Type II: Furnish all the above plus fire extinguishes in computer
room; heat and smoke sensors; posted evacuation routes; periodic
fire drills; labels on fire exit doors. Recommended features:
Emergency cut-off switches; panic bars on exit doors; emergency
lights.
Type I: Furnish all the above, plus installed central fire
suppression system (Halon 1301 recommended); emergency cut-off
switches; at least two exit doors; panic bars on exit doors;
emergency lights; audible alarms; first-aid training. Recommended
features: automatic notification of fire department.
Guidance covering fire protection is covered in RP-1.
Documentation and assistance are available from OIRM.
For guidance in fire extinguisher selection and maintenance, see
NFPA No. 10, Portable Fire Extinguishes.
Access Control.
All installations: Limit entrances to the number essential for
efficient operations. To the extent possible, shield ADP activities
from casual observation. Escort visitors.
Type III: These facilities usually require no access controls
except adequate locks on doors and windows and management of access
to equipment and data. Lock all facilities when not in use, and
store data in locked rooms or cabinets.

Types I and II: These facilities require formal access controls:
key cards, magnetic card locks, remote controlled locks, security
personnel, and closed-circuit television, used singly or in
combination, to assure that only authorized personnel enter the
facility.
If a facility employs more than 20 people, the facility should use
badges for employee identification.
15

SOFTWARE AND DATA SECURITY STANDARDS
The standards in this section apply to the protection of operating
systems, data communications routines, software security routines,
application systems, and all other software and data files. They
include controls for screening out unauthorized users.
ADP Data Control.
All installations:
a

Establish controls to prevent unauthorized persons from
reading from and, (or writing into programs and data
files. Disseminate telephone numbers and remote access
procedures, on a need-to-know basis. Protect systems
access keys (logon IDs. passwords, etc.). Assign systems
access keys to individuals only. Make periodic changes in
access keys, and immediate change if a compromise has
occurred or is thought to have occurred.

b

Protect sensitive data by use of file level passwords,
read/write locks, and/or encryption.

c

Develop recovery procedures for data bases.

d

Establish controls to monitor the movement of portable
equipment. Arrangements for taking equipment off-site
must be made with the security officer or the deputy
responsible for site security.

e

Protect user manuals containing explicit information,
such as mnemonic codes for interpreting data.

f

Establish controls to record and monitor the movement of
sensitive information, documents, cards, tapes, and disk
files within the ADP facility and data communications
network.

ADP Operations.
All installations:

a

Maintain logs to record the location of files and
equipment which have been removed from the ADP facility.

b

Store duplicate copies of critical data files, systems
software, production programs, run instructions, and
complete current documentation at a separate storage
facility, remote from the primary site.

c

Destroy all output showing any keys for access to USDA or
non-USDA computer systems or handle as if the output were
a file of sensitive data. If such output is not
identifiable to a user, destroy it. This requirement
applies to remote terminal output, as well as output
generated in an ADP center.

d

Protect all sensitive computer output.

Types I and II:
a

Develop a program to train operators for various
operating assignments and to provide adequate backup
personnel when required.

b

Make operations manuals covering all aspects of ADP
operations available. Manuals will specify emergency
procedures.

c

Maintain operating logs, console logs, and logs for all
off-line equipment. Console logs will explain any
problems or interruptions of normal processing and list
all affected programs, if known.

d

For each major data base there will be available written
procedures covering all aspects of restart and recovery.
Operators will record all recovery actions taken on such
data bases. When restart and recovery procedure is used,
checkpoint memory dumps and related files will be treated
as sensitive data and retained until clearance for their
disposition is received from ADP control or other
appropriate personnel. When clearance is received, they
will be scratched.

e

Under no circumstances allow a user to obtain a system
memory dump; i.e., a dump of other than the user's
assigned memory area.

f

Establish controls to prevent unauthorized access to or
loss of magnetic tapes or fixed or floppy disks.

g

Maintain a tape and disk library system. Include a record
of age, usage, cleaning, owner, and level of data
security.

h

Mark each tape with a permanent serial number.

i

Identify all tape and portable disk files with external
labels that conform to ADP facility conventions. The

label will not indicate the contents of the file(s). The
label will indicate the presence of sensitive
information.

16

j

Furnish the means for sanitizing tape and disk devices
containing sensitive data. The means include software for
overwriting or equipment for degaussing.

k

Provide secure bins for computer output. Computer center
ADP security officers will furnish lock combinations or
keys to agency ADP security officers, who are responsible
for their control and for reporting to the center ADP
security officer any need for lock changes.

INTERNAL CONTROLS STANDARDS
This section discusses controls which apply to the authorized user,
once this user has gained access to the computer system. These
controls must prevent inadvertent or intended harm to the user,
other users, or this computer system.
Type III: Use controls available. Evaluate security features in
operating systems and systems software packages and assure that
security is adequate - before acquisition of WP or microcomputer
equipment and software.
Types I and II: The operating systems and other systems software
requirements which follow are mandatory for Types I and II and
desirable for Type III. Provide controls which:
a

Prevent a user program from executing privileged
instructions;

b

Isolate one user's programs and data areas from areas of
other users and systems software;

c

Assure error detection, memory bounds, parity, and
hardware register checking on memory access;

d

Maintain hardware and software error logs; and

e

Maintain accounting and access logs sufficient to permit
reconstruction of events in case of unauthorized data or
program access or use, illegal use of privileged
instructions or functions, unexplained program aborts, or
questionable processing results.

Operating Systems.
The operating system must perform certain functions forbidden to
users; it will contain controls which provide the user with all
authorized access but no more. As a minimum, the operating system
must control:

a

All transfer of material between memory and on-line
storage devices; between the central computer facility
equipment and any remote device; or between on-line
storage devices;

b

All operations associated with allocating ADP systems
resources (e.g., memory, peripheral devices, etc.),
memory protection, system interrupt, and shifting
between privileged and non-privileged protection modes;

c

Access to programs and utilities which are authorized to
perform the various categories of maintenance (e.g., as
operations which effect authorized additions, deletions,
or changes to data) on the operating system, including
any of its elements and files. Such controls shall insure
that access is limited to personnel authorized to perform
particular categories of maintenance; and

d

All other programs (user programs) so that access to
material is made via an access control and identification
system which associates the user with the material being
accessed.

Other Systems Software.
Systems software will have built-in protection features to prevent
unauthorized access to systems and files and will have the
capability to record such accesses.
Systems software must:
a

Monitor and record attempts by unauthorized users to
access computer systems and files;

b

Verify that the terminal and/or the terminal operator is
approved for access to the programs and/or data requested
and for the intended use of either the programs or data.
Record unauthorized attempts; and

c

Either obliterate or suppress the display of all keys for
access to computer systems, programs, or data.

In addition, Types I and II operations must acquire or develop a
software test package designed to test systems security rigorously;
test temporary or permanent modifications of the operating system
to assure that the security features of the ADP system are
effective. Test the system at irregular intervals.
17

APPLICATION SYSTEM DEVELOPMENT
When application systems are being developed, converted, or
modified, systems developers have a unique opportunity to address
security. Retrofitting security into an operational system is
difficult, expensive, and sometimes impossible. So developers

should seize this chance to achieve maximum results with minimum
effort.
Developers should first ask these questions of agency management:
How critical is this systems to agency operations?
What would be the impact if this system couldn't run?
How long could processing be delayed without serious impact?
How sensitive is the data?
The answers to these questions will guide developers in determining
how much security and what specific controls are needed. At this
time, before the development work is begun, it should be possible
to define the operating environment for the system, backup and
contingency requirements, and controls which must be incorporated
in application programs.
There are several guidelines which developers may find helpful.
FIPS PUBS 38 and 64 contain documentation requirements. FIPS PUB 73
provides guidance in building controls in application systems, and
FIPS PUB 101 addresses lifecycle validation of computer software.
Appendix B discusses the evaluation and certification of sensitive
application systems. OIRM recommends that any system, whether
sensitive or not, be provided a reasonably secure operating
environment.
The following standards apply to significant modifications or
conversions of existing application systems, as well as to new
systems. The standards are not dependent on facility type.
a

Application Systems Controls.

(1)

Build protective features in sensitive application
programs to prevent unauthorized access to data files
through the programs. These controls may include
passwords, additional user validation, and procedural
requirements. Unsuccessful attempts to access the
programs or data must result in control being passed to
systems software security routines for logging.

(2)

Develop checkpoint and recovery routines and furnish
documentation to computer operations.

(3)

Do not program in assembly language unless it is
necessary. A waiver from OIRM, is required for assembly
language use.

(4)

Design and write systems and applications to provide:

Comparison of input controls with data;
Generation of control totals during
processing;
Correct selection of all files;
Validation of data;
Maintenance and adjustment of all files and
totals; and
Protection of records associated with
automated decision-making applications.

b

(5)

Assure the development of adequate systems, program,
operational, and user documentation. Protect development
and maintenance of sensitive programs or data by
restricting dissemination of information to those who
need to know, locking up all material when not in use,
and by giving work assignments only to those persons who
have appropriate clearances.

(6)

Assess and approve the adequacy of security safeguards in
the initiation phase and monitor their incorporation at
all stages of the development, conversion, or
modification of a major system.

(7)

Before any application is placed in production, test the
new system, including file maintenance and run recovery,
and run in parallel with the old system. Do not
discontinue the old system until results are completely
acceptable.

(8)

Certify the adequacy of the application system's
security, if the system is sensitive.

Operational Security.
Once a system is placed in production the following procedures
must be followed:
(1)

Issue instructions to disallow by-passing beginning label
checks for critical files.

(2)

Establish procedures to monitor the periodic matching of
production programs and critical software with current
version programs which have been secured at a separate
storage facility.

(3)

Maintain a list of personnel authorized to make changes
to operational programs, and make the list available to
the facility manager.

(4)

When tapes or disk files containing sensitive data are to
be released, sanitize the storage media by degaussing or

overwriting the media in such a manner as to destroy the
data.
(5)

18

Perform regular evaluations and written
certification/recertification of all systems and control
functions dealing with financial, personnel, contracts,
proprietary information, and other computer software
handling sensitive data.

COMMUNICATIONS SECURITY STANDARDS
Telecommunications operations are vulnerable to errors. There are
inherent possibilities for misrouting, garbling, or losing data
processed in the communications environment. Protect, to the
maximum extent possible, the security and integrity of all data
transmitted. The following guidelines address this problem in a
general way; apply more specific measures if security can be
improved by their use.
All facilities: Use safeguards available, realizing that use of
telecommunications increases vulnerability. Consider encrypting
sensitive data.
If encryption/decryption techniques are employed, the following
standards apply: Code books required for encryption and decryption
will be locked up when not in use and protected from unauthorized
use or possession at all times. Afford encryption keys maximum
protection.
Encryption/decryption software is authorized only by a waiver; if
used, protect it from unauthorized use or possession at all times.
Types I and II.
a

Secure behind locked doors all crossbar switches, patch
panels, or other such control points for communications
lines, with access granted only to authorized personnel.

b

If the system permits, use a resident program to
interrogate and record the IDs of terminals logged on for
extended periods of inactivity. Facility managers should
consider automatic disconnection of terminals inactive
for a specified period.

c

Develop written restart procedures for use in the event
of service interruptions and for restarting one line or
the entire system; include procedures for immediate or
delayed restart.

d

Provide a software routine to log all transmission errors
and retransmissions. Analyze the data for meaningful
patterns. Report irregular conditions to the security

officer.
19

PERSONNEL SECURITY STANDARDS
The standards set forth in this section apply to ADP personnel
selection and employment, security training, and personnel briefing
and debriefing.
Federal regulations require clearance of all persons involved in
the development, management, and operation of sensitive ADP systems
and facilities. These requirements apply equally to Federal
employees, contractors for the Federal Government, and nonfederal
employees such as State and local government workers having access
to sensitive Federal data. Appropriate agency authority will
determine requisite clearance levels for positions in all cases.
Responsibility for the personnel clearance program rests with the
Department Security Officer, Office of Personnel. Agencies should
consult with the Office of Personnel to establish clearance
requirements and obtain clearances.
Employee Briefing and Debriefing.
Brief new employees on the USDA security program and agency
practices. Upon termination of employment, require personnel to
turn in to the appropriate security officer all identification
cards, keys, programs, data files, etc., in their possession. They
will be interviewed by the appropriate security officer or
management official, who will stress to such personnel their
continuing responsibility to maintain the privacy and
confidentiality of USDA data. Security clearances will be
terminated, if not otherwise required. The agency will inform all
appropriate employees of the termination and insure that data
files-and programs used or maintained by the employee have been
turned over to someone else. When supervisory personnel conduct a
debriefing in the absence of the security officer, they must
immediately notify the security officer of the employee's
departure. Change all passwords or other means of accessing files
or using computer resources known by the individual within 2
working days.
Contractor Personnel. Brief and debrief contractor personnel in a
similar manner as employees.
Security Training. Agencies will furnish annual security training
to all employees with ADP responsibilities. At a minimum, training
will consist of a reminder of responsibilities.
Personnel Actions. Agencies should impose sanctions for willful
disregard of security, violation of the Department's Employee

Responsibilities and Conduct regulations, or gross carelessness in
handling equipment or information. Sanctions can range from a
formal letter of reprimand to dismissal from Federal service.
Agencies should develop guidance for employees on proper and
ethical behavior and define sanctions which may be invoked for
violations.
20

REFERENCES
The Privacy Act of 1974 (PL 93-579, 5 U.S.C. 552a)
OMB Privacy Act Implementation Guidelines
OMB Privacy Act Implementation Supplemental Guidelines
OMB Transmittal Memorandum No. 1, Circular A-71.
FPM 732 Federal Personnel Manual
FIRMR 201-35.3, Security of Federal ADP and Telecommunication
Systems (formerly FPMR 101-35.3)
FIPS PUB 31, Guidelines for Automatic Data Processing
Physical Security and Risk Management
FIPS PUB 38, Guidelines for Documentation of Computer
Programs and Automated Data Systems
FIPS PUB 39, Glossary for Computer Systems Security
FIPS PUB 41, Computer Security Guidelines for Implementing
of the Privacy Act of 1974
FIPS PUB 46, Data Encryption Standard
FIPS PUS 64, Guidelines for Documentation of Computer
Programs and Automated Data Systems for the Initiation
Phase
FIPS PUB 65, Guideline for Automatic Data Processing Risk
Analysis
FIPS PUB 73, Guidelines for Security of Computer
Applications
FIPS PUB 83, Guideline on User Authentication Techniques for
Computer Network Access Control
FIPS PUB 87, Guidelines for ADP Contingency Planning
FIPS PUB 101, Guideline for Lifecycle Validation, Verification, and Testing of Computer Software
FIPS PUB 102, Guideline for Computer Security Certification

and Accreditation
National Fire Protection Association, Protection of
Electronic Computer Data Processing Equipment, NFPA No. 75
RP-1, Standard Practice for the Fire Protection of Essential
Electronic Equipment Operations
Appendix I to USDA Employee Handbook, Employee
Responsibilities and Conduct
USDA Records Security Regulations - Regulations for
Classification, Declassification, and Safeguarding
Classified Information
DR 3100-1, Telecommunications
DR 5020-2, Security and Privacy Act Requirements for ADP and
WP Acquisitions
P&O Handbook No. 3, USDA Vital Operating Records
P&O Handbook No. 4, Procedures for Handling Material
Designated "FOR OFFICIAL USE ONLY"

APPENDIX A
RISK ANALYSIS PROCEDURES
1

BACKGROUND
USDA regulations require inclusion of a risk analysis summary as
part of the annual ADP security plan all user agencies, all major
ADP facilities and some smaller facilities must prepare or update
annually. Federal regulations require inclusion of a current risk
analysis summary in all RFPs for facilities, equipment or services,
when processing of systems of records covered by the Privacy Act is
involved.
USDA regulations also require the development of contingency plans;
these call for maintenance of off-site storage of tapes, disks,
documentation, and other items required to transfer critical
processing to an alternate site when the ADP facility is rendered
inoperable. For contingency plans to be viable, this off-site
material must be current and complete. A facility risk analysis,
which evaluates the completeness and condition of present backup,
is prerequisite to contingency plan development.
Risk analysis is an assessment of the vulnerability of a specific
facility or organization and deals with a unique set of assets and
conditions. "Assets", in the broad sense, includes data, software,
equipment, buildings and furnishings, and the availability of the
ADP facility's services. Physical surroundings, vulnerability to
natural threats or subversion, effectiveness of protective measures
in use, sensitivity of data processed, etc., must be considered.
For a risk analysis to fulfill its purpose, it must represent a
considered judgment of threats to assets at a particular place at a
specific time, with known and documented existing conditions. For
example, a risk analysis study performed on an ADP facility when
there was no off-site storage maintained and minimal processing
took place would have little relevance after the facility has
acquired off-site storage facilities and increased its work load.
There are many definitions of risk analysis, and a number of
procedures for performing the analysis have been developed. The
method detailed here is simplified but adequate. Much of the
process requires use of subjective decisions and, sometimes, pure
guesses. Experience shows, however, that if carefully done this
process produces valid results.
In essence, a risk analysis is the development of answers to
the following questions:
a

How good is security now?

b

How good does it need to be?

2

c

What are the threats to assets in the ADP environment?

d

What is the likelihood each of these threats will be
realized?

e

What would be the annual loss expectancy (ALE) if each
threat is realized?

f

What measures can be taken to minimize the chances of
threat realization?

g

What would each countermeasure cost (annualized amount)?

h

What is the anticipated ALE reduction of each special threat
for each countermeasure considered?

i

What is the resultant cost/benefit value (in dollars)
associated with each countermeasure? (Aggregation of all ALE
reductions expected to result from use of the countermeasure
vs., its annualized cost.)

SECURITY THREATS
Security threats can be of many types and of varying degrees of
severity. They can produce a broad range of untoward results, if
realized. For example, one real and constant threat is fire. It can
be a holocaust that wipes out the facility and all service areas, a
fire in the CPU, a smoldering chemical fire which produces
corrosive materials, etc. Depending on the extent and type of
damage and the time required for recovery, the facility could be
down for hours - or weeks - or months.
We have neither the time nor resources to attempt to assess all
threats nor to consider all permutations any one threat might pose.
Rather, in the interest of simplifying the task and cutting it down
to a size we can cope with, we have arbitrarily defined two types
of threats, major and minor, with the full knowledge that some "in
between" threats will be excluded from consideration. Still, a
risk analysis based upon only these two types of threats will
produce a useful product.
They are defined:
a

Major Threat. An event which threatens all the facility's
assets. It can be an event of catastrophic proportions which
destroys the ADP facility or renders it inoperable. Examples:
fire, flood, earthquake, tornado, bombing, riot. Assumption is
made that all attendant areas of the facility, such as the
tape/disk library, are destroyed. Relocation to an alternate
processing site is required. Only the material stored off-site
is available for use. Or a major threat can be a plumbing leak
which damages assets and delays processing, but does not
destroy the facility.

b

Minor Threat. This category includes all the deliberate or
accidental failures, errors, and mishaps encountered daily.
While each occurrence may result in relatively short
processing delay or minor distortion or loss of data, the
cumulative cost of many occurrences can be significant.
Examples: CPU failure, wrong tape or pack mounted, listings
lost, air conditioning failure.

It is necessary to define and evaluate threats according to the
kind of adverse effects the threats pose. For example, the
statement that fire potentially will cause a loss of $10,000 is
incomplete. It is much more meaningful to state that fire will
result in $5,000 loss from data destruction; $3,000 loss from delay
in processing; and $2,000 loss from damage to ADP equipment. To
devise countermeasures to threats, thereby improving Security (the
purpose of the risk analysis), not only must we identify specific
threats; we must also define the nature and scope of the potential
harm. Use of the four categories listed below facilitates
meaningful identification of the types of exposure each specific
threat poses.
Security Exposure
Data Integrity

Possible Results of Security Failure
Destruction or unauthorized
modification of data, unintentional
or deliberate.

Data Confidentiality

Unauthorized disclosure of
sensitive data.

Operational Reliability

Processing that is undependable,
inadequate, delayed, or
unavailable. (Processing should be
accurate, dependable, and timely.)

Asset Integrity

Destruction or physical damage to
buildings and equipment and
supporting functions.

In general, the first three categories represent threats to data
and processing. Asset integrity can most often be related to
physical assets: equipment, supplies, furniture, storage media,
etc.
The following list of threats is suggested for consideration. It is
not intended to be all-inclusive. Conversely, many of the threats
listed will be of little or no concern in specific situations.
External threats

Fire, flood, tornado, hurricane,
earthquake, riot, bombing, water
leakage on equipment

Environmental threats

Power or air-conditioning failure

Hardware error

CPU failure, memory fault, lock-out
Peripheral device failure: disk,
tape, etc.
Device data transmission failure &r
error

Software error

Operating system, sort, compiler,
DBMS, etc.

Operations error

Mounting wrong version of system
software, mounting wrong user data:
disk, tape
Accident during change of system
software
Accident during application program
test or implementation
Accidental destruction or
modification of data by operations
personnel
Accidental disclosure of sensitive
data
Loss or misplacement of listings
Misrouting of messages
Misplacement of user data or
program files

Subversive actions

Theft, arson, sabotage, "Slow down"
tactics
Unauthorized data, program, or
systems software modification
Unauthorized access to sensitive
data

3

COSTS
It is necessary to establish ground rules before
develop costs expected to be incurred because of
inadequacies. For instance, whether the facility
profit or non-profit basis has direct bearing on

attempting to
security
is operating on a
costing.

Decisions must be made on how to handle personnel salaries, rental
vs. owned equipment, etc. These determinations must be made on an
individual basis for each facility and its users and the details
included in the risk analysis report.

When assigning costs to the various threats, it is necessary to
consider carefully all peripheral expenses. Transportation of
personnel and material, per diem costs, purchase of equipment,
contractor support, replacement of storage media and paper stock:
all are valid considerations.
For users, most of the costs will be associated with reconstructing
data and rerunning jobs and with penalties or delays caused by
loss, modification, or compromise of data. Loss of processing time
also might result in monetary loss. And cost of moving personnel
and materials to an alternate processing site must be included in
assessing costs of recovery from a disaster.
The team or individual developing costs for facility assets must
include costs to restore all equipment, buildings, etc., to
operational condition, as well as costs associated with recovery of
systems software and facility data. It is a large order.
4

USDA RISK ANALYSIS CONCEPT
To measure risks effectively, it is necessary to evaluate all
functions which interact through common services, extending beyond
organizational lines. Thus, all users of an ADP facility
participate in the analysis of that facility. The risk analysis
should be under the direction of the facility manager.
Procedures outlined here are intended primarily for use in
assessing risk to a large Departmental Computer Center or other
major ADP installation. However, with suitable modification the
same method can be applied to risk analyses on smaller
installations or agency ADP operations.
Essentially, the risk analysis consists of two parts, user tasks
and facility tasks.
User Tasks:
a

Identify sensitive and critical files and processes and give
instructions for their protection.

b

Develop total user costs to recover from realization of a
major threat. (Threats are discussed in Section 2.)

c

Develop ALE's to user files and processes from minor threats.

Facility Tasks:
a

Evaluate present security.

b

Identify major and minor threats.

c

Develop costs to replace facility assets (including facility
data) and recover from each major threat occurrence.

d

Develop costs incurred from minor threat occurrences.

e

Estimate the annual occurrence rate of realization of each
major threat.

f

Derive ALE's both for major and minor threats, incorporating
data developed by users.

g

Develop lists of remedial measures with potential to reduce
losses. Perform cost/benefit analysis on these
countermeasures. Submit list to facility management for
approval.

h

Prepare report. Include list of recommended countermeasures
and all exhibits. Format for the report is included in this
document.

As is evident, the larger number of tasks must be done by facility
personnel. It should not be inferred, however, that theirs is the
more important job. It can be argued that the only reason for the
existence of an ADP facility lies in its function of service to
users. User contribution is vital to the success of the
undertaking.
We recommend that personnel familiar with broad agency programs, as
well as computer programs and data, be assigned the task of
assessing sensitivity and criticality of user data. If the number
and size of systems render this a sizeable task, a team approach
might be considered. We also recommend that agency management
review all analysis results for reasonableness and completeness.
(Detailed instruction to users is found in Section 5.)
We further strongly recommend use of a team for the facility tasks.
On the premise that those best-equipped to deal with specific
issues should do so, we suggest assignment of experts to the
various sub-tasks. For example, auditors and safety experts can
contribute materially, if requested. Seek out and use the diverse
talents that can contribute to a successful risk analysis.
Risk analysis documentation may be prepared in any format that is
meaningful and easy to use. OIRM, will provide suggested formats or
assist in developing agency-specific formats, if requested.
5

USER TASKS

a

Identify sensitive and critical files and processes.
(1)

Identify to the ADP facility those files which are
sensitive (as defined in Section 4, ADP Security Manual)
or for which the user, for any reason, desires special
handling, backup, or off-site storage. For example, a
data file may be non-sensitive by any definition, but its
cost of reconstruction may be prohibitive. In such a
case, the user should carefully consider back-up and
off-site storage needs.

(2)

Critical files are those whose loss, unauthorized
modification, or lack of availability would seriously
affect the user's processing. Critical processes are
those which, if unduly delayed or denied, would result in
serious detriment to agency program operations. Critical
files and processes should be considered sensitive.

(3)

For each sensitive/critical file or system, give agency
name; the ADP facility used for processing; the system
and/or programs using sensitive files or the names of
critical processes; and the current date.
Give common file or process name.
For file sensitivity indicate: "S"
(Sensitive) or "N" (Non-sensitive).
For process criticality: Give
requirements, such as time, accuracy,
etc.
Specify mode of file transmission: mail,
telecommunications, messenger, etc.
If the minimum standard for ADP facility
security is not adequate to protect
files or processes, state what
protection is required.

Users should know or obtain a statement of the minimum
security level maintained by their host facility. For DCCs
the minimum standard is:
Security Exposure Category

Protection

DATA CONFIDENTIALITY

Protection adequate for the
Privacy Act of 1974, including
such items as logon
identification, file level
password protection, personnel
clearances, administrative and
procedural practices, and
physical security.

OPERATIONAL RELIABILITY

Processing capability

available to users 95 percent
of scheduled time.
ASSET INTEGRITY

b

c

Weekly backup dumps of
operating system and permanent
on-line disk packs and backup
as required for paper supplies
(forms, checks, etc.).

Develop total user costs for major threat recovery.
(1)

This step is of vital importance. User costs to recover
from serious disruption or loss of computing capability
are crucial to the risk analysis study. As stated in
Section 2, identification of threat categories associated
with costs to recover furnishes guidance in selection of
additional facility safeguards.

(2)

For each major system develop costs to reconstruct data,
transfer operations to new site, etc., in the event of
disaster, using a data risk analysis worksheet and
identifying the threats as "major". It is not necessary
to identify specific threats unless there are differing
loss expectancies!s associated with specific threats. For
example, cost to recover from a major fire likely would
be the same as the cost to recover from a destructive
wind-storm. Consider present off-site backup in making
these assessments. Do not include a cost in the Asset
Integrity category; loss of physical items is included in
the facility's risk analysis. The reason for this is
that physical assets such as tapes, disks, etc., are
usually in the custody of the ADP facility, and it is
facility security we are evaluating.

Estimate annual minor threat costs.
(1)

Experience has shown that minor threat ALEs far exceed
major threat ALES. For this reason, users should
carefully estimate the total costs each system could be
expected to incur because "something went wrong at the
center." Users need not identify the specific associated
threats; often they don't know the cause of problems.
Rather, they should attribute anticipated costs to
operational reliability, data integrity, etc. (See
Section 2).

(2)

Develop ALEs associated with minor threats, considering
costs to reconstruct data and re-run jobs. Give a total
value, in each appropriate security exposure category.
Use data risk analysis worksheets to record the ALEs;
identify types of threats evaluated as "minor." Remember
that the only losses to be considered are those which
occur while data is in the custody of the facility or is
being processed. Do not include costs for which the user
is responsible. No loss expectancy in the Asset Integrity

category is required. The best approach to this task is
to use recent experience as a basis for protecting future
losses.
d

6

Review results.
(1)

OIRM suggests that user management review the sensitivity
assessment and data risk analysis results for
reasonableness and completeness.

(2)

Since performing a risk analysis entails a careful
inspection of user files and processes, it seems an ideal
time for users to go a step further and assess the
quality, completeness, and currency of the backup
material, including documentation, stored off-site. It is
also a good time to weed out out-dated or unnecessary
processing and files.

(3)

Forward completed documentation to the risk analysis
study leader. Retain all work papers.

FACILITY TEAM TASKS
a

Organize team; develop action plan with milestones for
significant events; assign specific duties.

b

Meet with user representatives, both management and technical
personnel, if possible, and explain the risk analysis
procedure, identifying and describing user tasks.

c

Evaluate present facility security; flag areas of weak
security. Give immediate attention to potentially- serious
deficiencies.

d

Identify threats, using results of the evaluation as focus of
attention. Categorize threats "major" and "minor." (A list of
threats for consideration is in Section 2.) Note: the team may
want to consider more than one degree of severity of a single
threat, i.e., a catastrophic fire, one that destroys 10% of
assets, etc.

e

Estimate rates of occurrences of realization of these major
threats.

f

For major threats: develop costs for all threats to facility
assets, data, and capabilities. Assign costs to the four
exposure categories.
Remember that these figures represent costs to the facility,
not users. This is also true of the minor threat costs
discussed below.

g

For minor threats: Use operational records, equipment failure
reports, history of recent security breaches and problems, and
informed judgement to estimate an annual cost for each minor
threat. As for major threat costs, distribute over the

exposure categories.
h

Develop ALEs for major threats, using facility- and
user-generated costs and facility-generated occurrence rates.
Enter values for "Cost per Occurrence" and facility ALEs for
the four types of exposure on a risk analysis worksheet. Add
user ALEs and total.

i

Calculate facility minor threat ALEs and list on risk analysis
worksheet. Apportion user ALEs among minor threats the
facility team has identified. Add user values to the
worksheet.
This process may be confusing. The intent is to assign a
proper portion of the expected losses to both the facility and
users to specific threats and threat categories. An example
may illustrate.
The threat is operator error. The facility team has estimated
that operator errors will cost the facility as follows:
DI 10,000, DC 1,000; OR 50,000; AI 5,000.
User A has furnished estimates that all minor threats combined
will cost annually:
DI 100,000; DC 30,000; OR 500,000; AI 0.
The facility team has decided that 10% of user minor threat
losses can be attributed to operator error. Applying this
percentage to user data, user A's ALE for operator error is:
DI 10,000; DC 3,000; OR 50,000; AI 0.
So, if the facility had only one user, total operator error
ALE would be the sum of facility and user losses:
DI 20,000; DC 4,000; OR 100,000; AI 5,000.

j

Sum all values, for both major and minor threats, to obtain
total ALEs in the four security categories. Sum all values for
each threat. Add these values to obtain the one value
representing loss expectancy from all threats, major and
minor. Enter values on worksheet. Prepare risk analysis
summary.

k

At this point the risk analysis study is technically complete.
Now the team must use the study results to determine where and
how security can best be improved. The team should consider
various combinations of countermeasures which protect areas of
greatest potential loss. Many times one countermeasure will
address several problems. For example, installing a guard
could be expected to reduce vulnerability to unauthorized
access, theft, arson, bombing, fire, and water damage,
particularly in an unattended facility. Guards, however, are
expensive. The team must weigh the anticipated savings against

the costs of remedial measures, then recommend a list of those
considered most cost-effective.
l

List countermeasures with annualized costs. Develop
relationships between these countermeasures and threats they
are intended to counter. Give expected savings (reduction in
potential loss) for each countermeasure.

m

Review with facility management the risk analysis worksheets
and summary and the cost/benefit analysis.

n

After facility management has reviewed all work and selected
those countermeasures which it recommends for implementation,
prepare the Risk Analysis Summary Report, including Exhibits,
in the suggested format.

o

Submit the Report for facility management approval and action.
Retain all work papers.

7

RISK ANALYSIS SUMMARY REPORT FORMAT
TABLE OF CONTENTS
I

II

III

INTRODUCTION
A

Statement of reason for risk analysis study (in
justification for an RFP, for inclusion in Security Plan,
etc.) and discussion of scope of study and explanation of
decision to limit scope (if applicable).

B

Description of physical facility and processing done.

C

Discussion of major security measures currently in use or
in process of being installed.

BACKGROUND
A

Discussion of interrelationships between ADP facilities
and users, detailing roles in the risk analysis study
played by each.

B

Explanation of the effect prior funding decisions have on
the risk analysis, i.e., the facility will operate on a
non-profit basis.

C

Statement of assumptions or other factors specific to the
study (assumption that projected workload is achieved,
for example).

REQUIREMENTS AND CONSTRAINTS
A

Discussion of historical factors having a bearing on the
study (previous risk analyses & results, serious security
breaches, audit reports, etc.).

B

List of special requirements and constraints, such as

time and manpower considerations.
IV

V

RISK ANALYSIS
A

Reference to published guidelines used.

B

Discussion of major threats considered, giving brief
justification for their consideration.

C

Risk analysis worksheets and summary, giving details to
the level necessary for reader understanding. (Retain all
background material).

RECOMMENDATIONS
Prioritized list of recommended countermeasures with derived
cost benefits.

VI

SUMMARY
Discussion of difficulties encountered; techniques used
(composition of the risk analysis team, for example);
resources used (time, manpower); and any other details which
might be helpful to the organization, or others, in performing
studies in the future.

8

EXHIBIT 1

TABLE SHOWING RELATIONSHIP OF EXISTING
SAFEGUARDS TO THREATS

EXHIBIT 2

TABLE SHOWING RELATIONSHIP OF SAFEGUARDS
BEING IMPLEMENTED TO THREATS

EXHIBIT 3

DISCUSSION OF RECOMMENDED SAFEGUARDS

EXHIBIT 4

ANY ADDITIONAL DOCUMENTS PERTINENT TO THE
STUDY

INSTRUCTIONS FOR PREPARING EXHIBITS
None of the exhibits is intended to be exhaustive; they are merely
a capsulation of significant items. They will enable reviewing
authorities, who may be totally unfamiliar with a facility's
physical layout and operation, to see at a glance the overall
security position now (Exhibit 1), in the near future (Exhibit 2),
and, if recommended countermeasures are installed, in the more
distant future (Exhibit 3).
Exhibit 1:
Exhibit 2:
Exhibit 3:

List, in tabular form, major safeguards in
effect vs. threats they counter or whose
adverse effects they lessen.
List, in tabular form, safeguards presently
being installed or for which money has been
budgeted.
List safeguards recommended for adoption.
Include a brief discussion of reasons for

recommendation, together with a summary
cost/benefit analysis, for each item.
These Exhibits should be prepared after final management review and
adoption of recommendations.
APPENDIX B
CERTIFICATION/RECERTIFICATION OF APPLICATION SYSTEMS
1

CERTIFICATION METHODOLOGIES
There are many methods that can be used in implementing a
certification process within an agency. No one method, however, is
best suited for all situations; some methods require adaptation for
the specific needs of the agency and application.
FIPS PUB 102, Guidelines for Computer Security Certification and
Accreditation, outlines a detailed process. The procedure described
here is an abbreviated ont which may meet agency needs individual
circumstances will ultimately dictate the method used for each
evaluation and certification.
A-71 requires that an evaluation be conducted by a group
independent of the application developers. Ideally, this degree of
independence helps to ensure objectivity and should be sought.
Nevertheless, often a fully-independent evaluation is not feasible
or economical. In these cases, it may be reasonable and necessary
to accept the technical assistance and judgement of application
developers and users. The benefits of independence must be balanced
against increased cost and resource limitations.
When considerations of money, time, and personnel restrict or
discourage a fully-independent evaluation, an in-house approach
utilizing available personnel must be developed.
Section 3 of this appendix contains an outline of the major tasks
to be addressed when conducting an in-house certification effort.
Sections 4 through 8 outline the benefits of this process, the
major functions performed by the various certification teams, and
the review team report contents. The in-house approach outline is
provided for consideration, adaptation, and possible use in
developing an agency certification program.

2

DISCUSSION OF MAJOR CERTIFICATION TERMS
a

Certification. Security certification is the signing of an
official statement that approves the security of a computer
application. Certification is based upon a security evaluation

process that assesses the extent to which an application
satisfies Federal, Departmental, agency, and user computer
security requirements.
b

Certification Statement. The certification statement is an
official document that records an explicit acceptance of
responsibility for the security of a computer application
system.

c

Certification Boundaries. To present a complete picture, the
certification boundaries of an application must be drawn to
include all relevant factors of an application's environment,
including the administrative, physical, and technical areas.

d

Recertification. Certification is not permanent. As an
application or its security environment changes,
recertification is needed to verify that security protection
remains acceptable. Any change or new finding that invalidates
or calls into question a certification decision necessitates
recertification. Situations that give rise to this include
the following: changes to the application, changes in
requirements, passage of time, occurrence of a significant
violation, and audit or evaluation findings.

e

Sensitive Application. A computer application which requires a
degree of protection because it processes sensitive data or
because of the magnitude of loss or harm that could result
from improper operation or deliberate manipulation of the
application.

f

The Certifying Official(s) is responsible for evaluating the
certification evidence, deciding on the acceptability of
application security safeguards, approving corrective actions,
signing the Certification Statement, and ensuring that
corrective actions are accomplished. Ideally, the individual
appointed should be at a level such that he or she has
sufficient authority over the entire application to allocate
resources both to achieve acceptable security and to resolve
any security deficiencies identified during the certification
review.

g

Management and General Controls are those controls that are
part of the total environment in which all applications are
processed. These controls comprise (1) the plan of
organization and operation of the activity, (2) the procedures
for documenting, reviewing, testing, and approving systems or
programs and changes thereto, (3) use of controls built into
the equipment and software by the manufacturer, (4) controls
over access to equipment and data files, and (5) other data
and procedure controls affecting overall ADP operations.
Weakness in these controls can have an adverse impact on
operational security.

h

Application Controls are controls associated with a specific
application. Their function is to provide reasonable assurance
that the recording, processing, and reporting of data are
properly performed. There is considerable choice in the

particular procedures and techniques which may be used.
Application controls are often functionally classified as data
origination controls, data input controls, data processing
controls, and data output controls.
3

OUTLINE OF AN IN-HOUSE CERTIFICATION PROCESS
a

Discussion. In the process outlined below, individuals
familiar with the application system prepare and present
information on the application to members of a review team.
The review team then assesses the information, conducts its
own investigation and verification of the presence and
effectiveness of controls, and recommends certification/
non-certification to the Certifying Official.

b

Major Tasks.
(1)

Appointment of Certifying Official.

(2)

Appointment of Review Team and Application Support
Team members by the Certifying Official.

(3)

Planning and training of the individual teams.

(4)

Joint team preparation.

(5)

Defining the application boundaries.

(6)

Identifying critical processes within the
application.

(7)

Preparation of the application documentation.

(8)

Preparation of threats and vulnerabilities
assessments.

(9)

Preparation of internal control listings.

(10) Briefings of Review Team by Application Support
Team.
(a)

General overview of the full application.

(b)

Threats and vulnerabilities of the
application.

(c)

Management and general controls associated
with the application.

(d)

Detailed briefings of each portion of the
application.

(e)

Internal controls of each portion of the
application.

(11) Assessment of controls by the Review Team.

(12) Investigation and verification of important items,
areas, and controls of the application.
(13) Reporting of findings and recommendation for
certification/non-certification.
(14) Certification or non-certification.
4

BENEFITS OF AN IN-HOUSE CERTIFICATION PROCESS
a

5

Staff having knowledge of the application are used in
the certification process.
(1)

They understand, the application; they can
contribute much to the effort.

(2)

They are able to recognize weaknesses and to
suggest corrections and improvements.

(3)

Their involvement increases the likelihood of a
more thorough examination of the entire
application than spot checking by a review team
would produce.

b

Time required by the Review Team to examine an
unfamiliar application is drastically reduced.

c

The Review Team can do a better job because it is
getting better information.

d

Total time and effort expended are reduced.

THE REVIEW TEAM
a

Purpose. Evaluate security controls in the application;
present findings to the Certifying Official on the
acceptability of controls and security measures; recommend
certification, conditional certification, or
non-certification.

b

Tasks.
(1)

Examine application documentation for completeness,
adequacy, and omissions.

(2)

Develop good understanding of internal application
controls and management and general controls.

(3)

Assemble and analyze information about the application
provided through documentation, interviews, and
briefings.

(4)

Determine the relative importance of the management and
general controls, and the application controls. (Critical

Task)

c

6

(5)

Investigate and verify the most critical areas, items,
and controls of the application.

(6)

Determine the suitability and adequacy of claimed
controls.

(7)

Verify the existence of the critical controls.
(Critical Task)

(8)

Assess the effectiveness of the critical controls.
(Critical Task)

(9)

Prepare Review Team Report for the Certifying Official.

Review Team Composition.
(1)

2 or 3 people.

(2)

Team leader qualifications - manager or planner with
knowledge of ADP and security.

(3)

Team member qualifications - strong ADP program
development background; analytical, interviewing, and
writing skills.

(4)

Individuals with specialized skills and backgrounds (e.g.
an ADP security specialist) may be needed to assist as
part-time team members.

THE APPLICATION SUPPORT TEAM
a

Purpose. Serve as an aid to the review team in order to
expedite the review process.

b

Tasks.
(1)

Assemble and update documentation on the application.

(2)

Develop application flowcharts.

(3)

Prepare list of known threats and vulnerabilities
associated with the application.

(4)

Develop detailed listing of the management and general
controls and the application controls present in each
portion of the application. (Cross referenced to the
flowcharts.) (Critical Task)

(5)

Develop briefing presentations.

(6)

Present briefings to the Review Team.

(7)

Correct problems uncovered by the Review Team.

c

7

Application Support Team Composition.
(1)

The size of the team will vary depending on the
application and available resources.

(2)

Team members will possess firsthand knowledge of the
application.

(3)

Individuals with specialized skills and backgrounds (e.g.
an ADP security specialist) may be needed to assist as
part time team members.

JOINT TEAM PREPARATION
Issues to be addressed by the combined teams:

8

a

Defining the required security clearance of team members.

b

Establishing agreement on the various controls to be evaluated
and their purposes; deciding on the formats to be used to
document controls for the briefings and the Review Team
Report.

c

Establishing the certification boundaries of the application.

d

Identifying the working papers that must be collected or
prepared and saved; designing working paper formats; assigning
responsibility for preparation of the various working papers.

e

Defining the sensitivity of the Various evaluation documents,
the working papers, and the total certification package.

f

Formulating the training needs of the various team members.

THE REVIEW TEAM REPORT
a

Documents the certification review process, the findings and
the recommendation(s,)

b

Is prepared for and used by the certifying official as the
basis for certification/non-certification of the application.

c

Must be maintained as an official document of the
agency.

d

Is composed of three parts.
(1)

The executive summary.
(a)

Identifies significant findings.

(2)

(3)

9

(b)

Recommends corrective actions needing
immediate attention.

(c)

Recommends certification/non-certification.

The detailed findings.
(a)

Furnishes direction to the applications
staff.

(b)

Provides any additional information on the
major findings that may be useful in the
correction of the problems identified.

(c)

Identifies any additional problem areas
needing correction if the opportunity arises.

The report appendix.
(a)

Contains a detailed listing of internal
controls and security provisions.

(b)

Contains a summary of the threat and
vulnerability assessment of the application.

ADDITIONAL GUIDANCE
GAO Audit Guide, "Evaluating Internal Controls in Computer-Based
Systems", June 1981, can be used throughout the certification
process as general guidance and for determining specific
requirements.

June 6, 1986
1

PURPOSE

APPENDIX C

Amendment 1

FACILITY TYPE DESIGNATION

The purpose of this Appendix is to clarify and augment information
contained within the body of this Manual.
2

SPECIAL INSTRUCTIONS
If facilities are judged to warrant Type I protection, as defined
in DM 3140-1, or are clearly Type III facilities the requirements
of DM 3140-1 apply without modification.

In

Difficulties arise in classifying those facilities which fall
between minimal configuration and large-computer centers.
determining security requirements for these "in-between" ADP sites,
the following guidance applies:
Provide basic Type III security for all sites.

Provide full Type II security for those sites that meet Type
II criteria.
For sites not considered full Type II the following procedures are
necessary:
Taking into consideration the sensitivity of processing and the
importance of the site to agency program operations, determine the
requirements for information protection and electronic access
controls. Agencies which have many sites with similar or identical
equipment and information processing requirements may want to treat
the sites as a unit and define base protection for all.

,

Once this process is completed and fully documented, each site
should be subjected to a thorough physical environment review. This
review should identify physical security safeguards such as fire
protection, off-site storage space, physical access controls, etc.
required to provide adequate security. This review must be done on
each site separately because the need for these controls is
dependent on local factors such as vulnerability to equipment
theft, the construction of the building housing the facility, the
number of employees or visitors having access to the facility, etc.
The review must also be well documented.
Annual facility security reviews, as defined in DM 3140-1, will
assure the continued adequacy of security.
While it is impossible to state, in specific terms, what security
measures are needed for each of the thousands of microcomputer,
super-microcomputer, and word processing facilities the Department
operates, it is even more difficult to assess the total security
requirements of aggregates of equipment. It is possible, for
example, that a combination of Type III equipments could result in
a facility which should be classified Type II.
Those sites which solely support office automation most probably
require only basic Type Ill protection. Those which support many
users and are the custodians of large amounts of data (typically a
super-microcomputer or minicomputer site) require all the Type II
protection specified by DM 3140-1.
After careful analysis of the many considerations presented above,
agency management must determine how much security is needed and
define a program to assure that its requirements are met.

May 23, 1991

APPENDIX D

Amendment 6

(###
1

USER ID/PASSWORD MANAGEMENT
PURPOSE
The purpose of this appendix is to clarify and augment information
contained within the body of this Manual. This appendix is not
intended to limit the use of technology but to manage the security
of that technology.

2

SPECIAL INSTRUCTIONS/CANCELLATIONS
This Appendix D to DM 3140-1 replaces the Appendix D issued on
December 14, 1987, which is rescinded.

3

BACKGROUND
The increasing use of microcomputers, distributed processing, local
area networks, and cooperative processing results in greater
vulnerability to misuse of Information Resources Management (IRM)
resources. The protection of IRM systems and individual users
requires unique User IDs and passwords for verification of the
users authorized access to systems and information.
This appendix presents guidance in administering and monitoring the
operation of access control systems. This appendix is applicable to
all telecommunication facilities, including public/private networks
and Local Area Networks (LANs). Refer to DR 3300-1,
Telecommunications.

4

RESPONSIBILITIES
a

Agencies will:
Appoint a qualified person to serve as ADP Security Officer
and appoint as many deputies and assistants as necessary to
assure that security duties are carried out in all locations
in which IRM functions are performed. Such functions include
data processing, telecommunications (data and voice), word
processing, and office automation.
Assess the sensitivity of systems and data and develop
adequate security for the operation of the systems. Use
individual user IDs and passwords to control access to systems
processing personal, financial, market-related, or other
sensitive data. A key element in devising this protection is
determining who should have access to what resources. The
owner will notify the Security Officer who can have access to
the data.
An agency may, if it wishes, designate program representatives
as Deputy Security Officers, but all security activities must
be under the purview of the agency ADP Security Officer. The

security staff, whatever its composition, is responsible for
carrying out the instructions of program management staff in
administering access control programs.
b

Agency ADP Security Officers will:
Oversee and administer access control systems within their
agencies. They must have ready access (electronic, if
possible) to all files containing information on users. It is
vital to the investigation of security breaches or other
problems to have this information available immediately.
Implement access control according to the data owners
decision. Further advise management on data security issues
and practices. Mainframe Security Officers should control the
installation, modification, and implementation of purchased or
agency developed software used to control access to data and
IRM resources.

c

Central Computer Resource Centers will:
Deal only with designated security representatives in
administering their access control programs. Central Computer
Resource Centers include the National Finance Center,
Departmental National Computer Centers, and agency computer
resource centers.

5

REQUIREMENTS
Each facility which supports distributed processing shall use an
ID/password control system. Vulnerability to errors and deliberate
attempts to compromise data increases substantially when connected
to a communication network. Tailor all access control packages to
meet the protection needs of the agency.
If this capability is not available and significant vulnerability
exists, develop or obtain control software or adopt another mode of
operation.
For an access control system to be complete, there must be a
software program which provides a record of each access, giving
user ID, time of access, and depending on the sophistication of the
system, details of operations for which access has been granted.
Unauthorized access (max. limit of three) attempts must also be
recorded, and the connection dropped.

6

MANAGING USER IDs AND PASSWORDS
a

Length and Composition.
Passwords must be at least 4 characters long; create longer
ones if the systems permit. It has been noted that if

passwords are unusually long, users are tempted to write them
in inappropriate places; a length of 6 to 8 characters is
recommended. Random combinations of numeric, alpha, and
special characters furnish a more complex therefore, more
secure, password than will use of only one type of character.
Passwords should never be composed of personal data such as
birthday, street address, pet's name, etc. Agency,
organization, or project acronyms must not be used.
b

Password Life and Changes.
The maximum life of a password is 90 days for interactive
applications and 180 days for batch applications. Passwords
may be changed less than the above (90 or 180 days).
Processing site requirements, data sensitivity and
criticality, and other system considerations may dictate a
lesser lifecycle for passwords. Frequently changed passwords
reduce the level of vulnerability. Once changed, original
passwords should not be reused for a period of at least four
(4) days. Users must be able to make changes, and security
staff should not know passwords after initial issuance. Users
must change them immediately upon issuance.
Users must also
immediately change passwords they suspect may have been
violated and report the incident to supervisors and security
staff.

c

Password Administration.
The use of default passwords is generally prohibited.
Exceptions can be made for logon identifiers IDs which are
created with a default password, but which are placed in a
suspended or inactive state until their issuance by the
security officer to the end user is effective. Agencies that
have a need to use single logon IDs at multiple locations must
request a waiver in writing from the Director of OIRM.
Security staff should remove employee user IDs and passwords
when the employee is no longer with the agency. A formal
procedure should be established for notification of the
Security Officer by the agency personnel office of all
retirements or other personnel separations. The Security
Officer should be assured by the system administrator that all
vendor supplied generic logon IDs and passwords have been
removed from the system. The Security Officer should further
assure that user automated logon procedures do not include IDs
and passwords. When there is a change of a contractor that
uses the system, all IDs and passwords on the system must be
changed as soon as the contractor services are terminated.
Security Officers will assign IDs and passwords to individual
users. The IDs and passwords will be coordinated with the
system administrator. Issuance of group logon IDs and
passwords and the sharing of same is not permitted. Security
staff must maintain files of users, including names, office
addresses and telephone numbers. The security file, if
automated, should not be stored on the system hard disk.

Immediately change all vendor-supplied passwords for access to
any system components or software routine. These passwords
are known to the hacker community who have detailed technical
knowledge of many, if not all, computers in use. Make changing
vendor passwords a mandatory task in new equipment and/or
software installation.
System Administrators or Security Officers are not to create
and provide user logon IDs without passwords. This appendix
discourages the use of multiple user logon IDs and passwords
for a single user.
d

Application Developers
Application Developers are not permitted to:
1

Code in their program access to mainframe security files.
These files are for the protection of the entire user
community. Security is not enhanced by making security
data files available to application programs.
In fact security could be compromised by the improper use
or knowledge of security data.

2

Write routines that circumvent the security established
by the center they are using;

Application Developers are encouraged to:
1

e

Code within their programs security protection to control
the access and use of their programs and data, providing
items 1 and 2 above are not violated.

Awareness
Security Officers or supervisors must brief all new employees
and contractors on security, stressing the need to protect
passwords and change them frequently and to adhere to agency
rules on the protection of information and equipment. Users
must be made aware that passwords are used for their
protection, as well as for safeguarding systems and data.
Annual security reminders must be given to all employees and
contractors. Reminders can take the form of informal
discussion, more formal training, or documentation.
When an employee or contractor terminates association with an
organization, Security Officers or supervisors must collect
all access keys, badges, etc., and account for all equipment,
software, and data which the individual has had in custody.

7

VULNERABILITY TO UNAUTHORIZED DISCLOSURE
Access administration must be handled to assure individual
accountability and the least amount of access privileges to get the
job done. Perhaps the most prevalent invitation to access-key
misuse is user carelessness in creating, using, and changing

passwords. Password changes must not be effected by alternately
using a couple of character strings, a practice which compromises
good security. In security briefings and training, stress the
importance of protecting these keys and remind users that the keys
are in place for the-protection of users, as well as for the
protection of information.
Many users, in the interest of simplicity, store job control
language, user IDs, passwords, and telephone numbers for other
computer facilities in their microcomputers. This practice should
be discouraged. If it is deemed necessary, the computer should be
made inaccessible to others. If data transfer from a microcomputer
is necessary, the owner of the data should initiate all transactions.
Similar information stored in mainframes or minicomputers must be
protected from unauthorized access.
Users IDs for access to any computer system must not duplicate IDs
used for access to other systems. Do not, for example, duplicate
Departmental Computer Center or an agency computer center ID in
assigning an ID for access to an agency computer, thus creating a
vulnerability for both systems.
Another vulnerability arises through the use of line- monitoring
equipment, which displays and often records all traffic passing
down the line, including ID and password information.
Line-monitoring operations must be afforded maximum protection, and
the equipment must be secured from unauthorized use.
8

SECURITY BREACHES
In the event of a suspected security breach, the agency Security
Officers must be notified. The Security Officer must determine if
the breach involves criminal action or significant loss. If the
breach is of a criminal nature or involves significant loss, it
must be reported to the Office of Information Resources Management,
and the Office of the Inspector General at once. The Security
Officer, if requested by investigating authorities, must work with
the involved IRM facilities, the Office of Information Resources
Management, and the Office of Inspector General to investigate the
breach and solve the problem.
Procedures and reporting requirements for suspected security
breaches on the Departmental Data Communications Network are
outlined in DR 3300-1, Telecommunications.

9

REQUEST FOR WAIVER
USDA agencies requiring a waiver to allow single logon IDs at
multiple locations must submit a request in writing. OIRM will
consider providing a waiver on a case-by-case basis. At the end of

the waiver period the agency must determine if the waiver is still
needed. The agency must determine whether having a single ID has
caused a security problem that can not be managed. The following
information must be explained in the request for waiver.
a
b
c
d

The
How
How
The

reason a waiver is being requested,
the agency will protect against misuse,
this will be managed by the agency, and
length of time a waiver is being requested.

### 5/23/91)
February 26, 1988
1

PURPOSE

APPENDIX E

Amendment 3

SMALL SYSTEMS SECURITY

The purpose of this appendix is to provide guidance for devising
and maintaining security programs for small ADP systems, typically
consisting of microcomputers, and for incorporating these programs
in comprehensive agency programs.
2

BACKGROUND
The body of this manual contains standards for security of all
types of ADP operations conducted by or on behalf of USDA. These
standards must be applied. As use of distributed processing
expands, it becomes increasingly more difficult for and
users--typically microcomputer users--to determine, within the
framework of the standards, exactly what protective features and
procedures should be adopted. This appendix provides guidance in
making that determination.

3

RESPONSIBILITIES
Agency management must assure that all ADP operations are conducted
in protected environments and that IRM resources are afforded
adequate protection at all times.
Agency management will:
Establish that ADP security is important and must be provided for
all the agency's ADP operations.
Determine the sensitivity of all information and systems.
Incorporate security in ADP training.
Assign responsibility for all microcomputer functions, including

all micro-to-mainframe links; establish a procedure for authorizing
such links; and maintain current records that list persons
authorized to access mainframes, types of access authorized, etc.
Develop and issue guidance on equipment maintenance.
Develop and issue policies related to use of Government equipment
in the home and use of mainframes for training purposes.
Define the level of data uploading and downloading permitted, the
extent and type of processing allowed against downloaded files or
files to be uploaded, file transfer limitations, and audit trails
and accountability controls required.
Define which version of each data base is the official version.
Assure that all agency ADP facilities develop security plans, an
outlined below.
4

SECURITY PLAN REQUIREMENTS
This manual requires development of formal security plans for all
Type I and II facilities and specifies the minimum security which
must be provided for Type III facilities written plans for Type III
facilities have not previously been required, but the Computer
Security Act of 1987, PL 100-235, enacted in December 1987,
specifies that each ADP facility must develop a plan for providing
at least minimum protection to equipment and information.
Security plans for small sites need not be lengthy, formal
documents requiring extensive effort. They should document the
site's compliance with the requirements listed for management
attention, the site's current security status, and plans for
security improvement. For the purpose of security plan development,
a "site" can consist of all computers and related peripherals and
telecommunications equipment located in a logical area, such, as
contiguous offices performing similar functions. Security reviews
of all individual components can be summarized, with significant
details highlighted for action. Agencies will provide additional
guidance, as required, to assure conformity with agency reporting
requirements or other needs.
Agencies will monitor site security plan development and will
incorporate information thus gained into agency security plans in
addressing the agency's overall security posture.

5

MINIMUM SECURITY REQUIREMENTS

The minimum requirements listed below address the level of
protection required for all processing. The means of achieving and
maintaining this level are addressed in detail in the body of this
manual but are not included in this briefer document. If additional
guidance is required, agency or Departmental security staff can
advise.
It should be understood that exceptional conditions, such as the
presence of sensitive information, may mandate more than animal
protection. The value and sensitivity of the information or
critical nature of processing should determine the type of
protection needed.
Physical Security. Protect equipment and information from theft and
misuse. Access control can be accomplished by many means, ranging
from armed guards and alarmed entrances to simply locking doors and
windows. Depending on the vulnerability of the site to unauthorized
access, consider such additional deterrents as protective cabling.
Do not leave equipment unattended and accessible for lengthy
periods during office hours. Log off properly and secure data and
equipment at the end of the day.

In

Escort visitors and challenge anyone purporting to be a repairman
authorized to pick up equipment before releasing equipment.
offices having open access, such as field offices providing
services to the public, particular care must be exercised.
Protect equipment and information from damage or destruction from
ill-treatment, dust, fire, or other hazards. Assure that equipment
is properly maintained, that work areas are clean and hazard-free,
and that fire extinguishes designed to counter electrical fires are
available.
Information Security. Protect information against unauthorized
access or disclosure, unauthorized modification, and intentional or
accidental destruction. If the systems used to process sensitive
information provide the capability to restrict access to computers
or data by use of passwords, use this feature. Be sure that
security software has been properly installed and that all
vendor-supplied passwords have been changed.
Protect passwords, changing them frequently and disabling them
immediately upon the departure of personnel.
Restrict access to sensitive information to those with a need to
have the access. In offices which process or store information
subject to the Privacy Act, market-sensitive data, or data
vulnerable to manipulation, fraud, or other misuse, additional

controls say be necessary. It is important to protect sensitive
information in any form.
Users are cautioned that word processing, electronic mail, and
output document handling warrant assessment when reviewing site
security.
One of the best protections against catastrophic data loss is in
regular, scheduled data backup, with interim backup as indicated.
Provide off-site storage for information that is critical to
program operations, that would be difficult to reconstitute, or
that is required by law or custom to by current.
Administrative Controls. Monitor compliance with agency
requirements for personnel security clearances, as well as
compliance with other policies such as equipment maintenance,
training, use of equipment in the home, etc.
To the extent possible, practice separation of duties. Cross-train
employees in the various aspects of program operation. Above all,
do not permit "one man shows" to flourish.
Assure that all employees are aware of the sensitivity of
information they are handling and that they have knowledge of
processing results to be expected. Remind them to report anomalies
in results to supervisors.
Monitor the use of telecommunications.
Stress to all users that maintaining good security requires
participation by all. In annual briefings, required by this manual,
inform users of their responsibility to assume personal
responsibility for maintaining security and reporting violations.

August 16, 1990

APPENDIX F

Amendment 4

SECURITY PROBLEM IDENTIFICATION AND RESOLUTION
1

PURPOSE
The purpose of this appendix is to clarify and augment information
contained within the body of this Manual.

2

BACKGROUND
Widespread use of microcomputers, local and wide area networks,
distributed processing, and cooperative processing have increased
the vulnerability to misuse of ADP resources. The growing threat
of computer virus infections and increased sophistication of
hackers has further increased the need for speed in the
identification and resolution of computer security problems.
This appendix presents guidance for determining the extent and
severity of computer security problems and for notifying other USDA
security personnel about the problem.

3

RESPONSIBILITIES
Agency and facility security personnel will immediately report
Departmental telecommunication or computer system security problems
to the OIRM Security Office by telephone or by Departmental
electronic mail. The SO will take immediate action to determine the
extent of the problem -- its severity and its threat to systems and
data integrity. The So will:
a

Use the Departmental electronic mail system to inform
agencies' security staffs about the security problem. So will
use the "urgent" and "receipt" functions to bring maximum
attention to the problem. The "urgent" function posts the
message for immediate delivery. The message goes to the top of
the recipient's sign-on scan table, with an "URGENT" flag.
The "receipt" function issues a return receipt to the sender
when the message has been accessed by the recipient. The
return notification includes the date and time the recipient
accessed the message.

b

Send memorandums to all persons who will be involved in
discussions related to the problem.

c

Use all available and appropriate resources for correcting the
problem.

d

Change Departmental security regulations if a problem warrants
such action for the long term.

e

If requested by investigating authorities, work with involved
ADP facilities and the Office of Inspector General to

investigate suspected security breaches and implement
solutions.
f

Use the reporting requirements outlined in applicable
Departmental regulations for handling suspected security
breaches (for example DM 3140-1, section 8b, and DR 3300-1,
appendix E).

g

Report immediately to the Office of Inspector General all
security problems or significant losses.

May 23, 1991

APPENDIX G

Amendment 5

BULLETIN BOARDS
1

PURPOSE
The purpose of this appendix is to clarify and augment information
contained within the body of this manual, DM 3140-1. This appendix
is not intended to limit the use of technology but to manage the
security of that technology.

2

BACKGROUND
Use of bulletin boards has resulted in greater vulnerability and
misuse of ADP and telecommunications resources. Proprietary
software has been placed on a bulletin board allowing unauthorized
distribution. Access controls placed on systems have not adequately
prevented unauthorized users access to data base systems. The
protection of IRM systems and individual users requires unique User
Identifiers (IDs) and passwords for verification of users
authorized access to systems and information.
The need for bulletin boards plays a vital role in the electronic
sharing of information. The main objective of this appendix is the
management of USDA created bulletin boards, their use and the use
of private sector bulletin boards For Telecommunications guidance
refer to Departmental Regulation (DR) 3300-1.

3

RESPONSIBILITIES
a

Agencies will:
1

Direct the control and use of bulletin boards.

2

Prohibit the imbedding of logon IDs and passwords in
logon procedures.

3

Control the use of accounting codes and protect them by
masking at all times.

4

Prohibit the transmission of proprietary software to
bulletin boards (see DR 3130-2, section 10d).

b

4

5

Test all software and data obtained from bulletin boards,
government or private sector, and other free "shareware"
for viruses before placing into the government computing
environment. Do not install shareware software on a
computer system that is a part of a network.

6

Designate responsible agency security officers who will
monitor usage of bulletin boards on a regular basis and
delete any inappropriate data.

7

Archive all data after seven (7) days of non-use.

8

Once data has been archived, and is not recalled for use,
delete from archive after 30 days.

SECURITY OFFICER RESPONSIBILITIES
1

The Security Officer will be responsible for approving
bulletin board creation. Approval will include assuring
that proper access control is part of the bulletin board
system. Give particular care to compliance with DM 3140-1
and other Departmental and other relevant security
regulations when overseeing the installation of the
bulletin board.

2

For an access control system to be complete, there must
be a software program which provides a record of each
access, providing: User ID's, time of access, and,
depending on the sophistication of the system, details of
operations for which access has been granted. Record
unauthorized access attempts.

3

The Security Officer will be responsible for monitoring
bulletin board use on a regular basis. Particular care
will be given to locating unauthorized access, misuse of
data, and storage of inappropriate information. When
inappropriate data is located, it is the Security
Officer's responsibility to see that it is removed.

4

Vulnerability to errors and deliberate attempts to
compromise data increases substantially when operating in
telecommunications mode. If a system has an access
control package, use all features. If this capability is
not furnished and significant vulnerability exists,
develop or obtain control software or adopt another
access control system.

REQUIREMENTS
Bulletin boards fulfill a requirement for wide distribution of
time-sensitive information. They are not to be used to store
mission-critical data or information with long-term retention
requirements. Bulletin boards are to be monitored for adherence to
these guidelines.

July 15, 1991

APPENDIX H

Amendment 7

USDA AUTOMATED DATA PROCESSING (ADP) EMERGENCY MANAGER
1

PURPOSE
The purpose of this appendix is to create and maintain within each
USDA agency an ADP Emergency Manager (EM). This appendix further
recommends the creation of an internal agency emergency network
team.

2

SPECIAL INSTRUCTIONS/CANCELLATIONS
This Appendix H to DM 3140-1 replaces the Departmental Notice
issued on April 22, 1991 which is rescinded.

3

BACKGROUND
In a continuing effort to safeguard the integrity of USDA automated
data processed and stored at the Departmental National Computer
Center (NCC), an emergency point of contact is required. In
February 1991 the NCC at Kansas City experienced an emergency
requiring the recovery of data files over a weekend. The NCC staff
was unable to contact the appropriate management and technical
personnel in some agencies. This prolonged the recovery process.

4

POLICY
USDA agencies that use an NCC facility will establish and maintain
an ADP Emergency Manager and a Emergency Manager alternate.

5

DUTIES
The persons identified as the EM and EM alternate serves as the
central point of contact in emergency situations. The EM must be
aware of the agency emergency procedures and participates in any
updating of those procedures. The EM should have contacts with is
personnel from various operational areas that own the automated
data files within the agency. These internal agency contact points
should make up the internal agency emergency network team. The
internal network team will provide support to the EM. The EM must
be prepared to receive calls during operational hours of the
computer center (nights, weekends, and holidays).

6

RESPONSIBILITY
a

OIRM will maintain a list of the EM's. In an emergency
situation involving NCC and USDA agencies, OIRM will contact
the Agency EM's to inform them of the situation. The NCC will
work with the EM to resolve the emergency.

b

USDA agencies will designate a lead EM, and an alternate. The
EM and the alternate should be technical persons with
knowledge of the agency, agency automated data, automated data
file structure, and where the automated data is located. The
agency should maintain an off duty telephone number for both
the EM and the alternate. It is suggested that the agency
create a network of persons familiar with the agency automated
data in the various operational areas. When an emergency
occurs, the EM must have access to responsible persons in the
various operational areas Initially, each agency should
provide the following information for both the lead EM and
alternate to OIRM:
1
2
3
4

c

The Agency name, and the EM mailing address,
EM name,
EM daytime telephone number,
EM nighttime telephone number.

Agencies must notify the National Computer Center of any
change in personnel assigned as the EM or the alternate. The
information required in section 5(b) must be provided within
five working days of a change.
All updates should be submitted to:
U. S. Department of Agriculture
National Computer Center
Attn: ADP Emergency Manager
8939 Ward Parkway
Kansas City, Mo. 64141-0205

March 27, 1992
(###

Amendment 8
APPENDIX I

GUIDELINES FOR CONTROLLING COMPUTER VIRUSES
1

PURPOSE
This appendix establishes policy to minimize the risk of
introducing and spreading virus infected or malicious software into
the USDA computer environment. It also provides guidelines for the
detection and removal of malicious software from computer systems.

2

BACKGROUND
Virus infected software presents an increasingly serious security
problem for computer systems and networks. Malicious software
harbors viruses and other destructive programs that are often
written as independent programs which appear to provide useful
functions. These programs are spread through software bulletin
boards, shareware, and users who unknowingly copy and share virus
infected programs. Networks are particularly vulnerable as they

allow a very rapid spread of viruses to all systems connected to
the network. A virus can destroy programs and data by erasing
files or adding unwanted code to executable programs. Once a
program has been infected it serves as a host and the user serves
as a carrier.
USDA's dependence on networked computer systems, personal
computers, and office automation makes us susceptible to virus
"attacks." Many USDA agencies are losing staff time to virus
origin research and to isolating and eliminating viruses. In most
instances the damage is minimal and easily corrected. Preventive
measures reduce the chances of virus infected software invading our
systems.
Malicious programs such as Trojan horses and trap doors were
originally written for mainframe computer systems. Larger systems
without adequate controls are prime candidates for the introduction
of malicious programs. Authorized users making unauthorized use of
the system may also introduce malicious software to the system.
Sound security procedures will help detect and prevent
computer viruses and other malicious programs from entering and
spreading damage to networked computer systems or personal
computers. The guidelines contained in this appendix are adaptable
for any type of computer system.
3

POLICY
USDA agencies that distribute or receive computer diskettes
must use antivirus detecting software on those diskettes.
All information or programs obtained from bulletin boards and
stored on hard disk, or diskette must be scanned with
antivirus detecting software.

4

DEFINITIONS
Through the introduction of viruses and other malicious software,
computer hackers have generated a set of new terms. The following
list of definitions is provided to familiarize personnel with some
of these terms.
a

Bacterium - A late bloomer in the infectious terminology
jargon is a "bacterium." It is a program that replicates
itself and becomes a parasite on the host system by preempting
processor and memory capacity.

b

Computer Hacker - A person or group of persons using computers
to illegally break into other computers. These persons

normally have interest only in the ability to break into
another system. This term also describes computer "whiz kids"
who push their knowledge of computers and programming to its
limits. The unauthorized access of computers by the computer
hacker is a criminal act by law.
c

Computer Virus - A program designed to infect computer systems
in much the same way as a biological virus infects humans.
The typical virus reproduces by making copies of itself when
inserted into other programs. Computer viruses normally
infect either systems software or application programs.

d

Flying Dutchman - A feature of the Trojan horse malicious
program. It erases all traces of the programming codes from
the computer's memory and eludes any detection.

e

Freeware - Software that has been developed and placed in
public domain for general public use. This software do
not have a fee for use or updates.

f

Logic Bomb - A computer code that is preset to cause a
malfunction when a specified set of logical conditions occur.
For example, when a specific social security number in a
payroll system is processed, the logic bomb is activated. The
logic bomb will then cause an improper amount of money to be
printed on the check.

g

Machine-Readable Media - Media that can convey data to a given
sensing device (for example: diskettes, hard disks, and
tapes).

h

Malicious Software - Any of a family of computer programs
developed with the sole purpose of doing harm. Malicious code
is usually embedded in software programs and appears to
provide useful functions. When activated by a user, it causes
undesirable results.

i

Scan - To examine computer coding/programs sequentially, part
by part. Scans are made for virus signatures or potentially
unsafe practices. (For example: scan for changes made to an
executable file, or search for direct writes to specific disk
sectors, etc.)

j

Shareware - Software that has been developed and placed in
public domain or in general circulation for general public
use. The developer of this software request a small fee
($10.00 - $20.00) for use and future updates.

k

Time Bomb - A computer code that is preset to cause a
malfunction after a specific date, time, or number of
operations. The "Friday the 13th" computer virus is an
example. The system is infected for several days, or even
months, and the virus lies dormant until the date reaches
"Friday the 13th."

l

Trap Door - A set of instruction codes embedded in a computer
operating system that permits access while bypassing security

controls.

5

m

Trojan Horse - A set of unwanted embedded computer
instructions inside a program. The instructions cause
unexpected results when the program is executed. It may
create logon ID's and passwords for later intrusion by
hackers. Further, Trojan horses allow persons to create or
gain access to the source code of common or frequently used
programs. These programs may be modified to perform a harmful
function in addition to its normal function. A Trojan horse
can alter, destroy, disclose data, or delete files.

n

Virus Detection Software - Software written to scan machine
readable media on computer systems. There are a growing
number of reputable software packages available that are
designed to detect and/or remove viruses. In addition, many
utility programs can search text files for virus signatures or
potentially unsafe practices.

o

Virus Signature particular virus.
marker.

p

Worm - A worm is a complete program that propagates itself
from system to system, usually through a network or other
communication facility. A worm is similar to a virus and can
infect other systems and programs. A worm differs from a
virus in that a virus replicates itself, and a worm does not.
A worm copies itself to a person's workstation over a network
or through a host computer and then spreads to other
workstations. It can easily take over a network as the
"Internet" worm did. Unlike a Trojan horse a worm enters a
system uninvited.

A unique set of characters which identify a
This may also be referred to as a virus

RESPONSIBILITIES

The Office of Information Resources Management is responsible for
coordinating the Department's IRM security program (ADP and
Telecommunications). This includes establishing information
security policies and procedures for safeguarding Departmental
information resources. The Departmental IRM Security Officer
shall serve as the focal point for all matters relating to ADP and
Telecommunications security. The Departmental IRM Security Officer
will further be responsible for developing and disseminating
information concerning the potential dangers from malicious
software and guidelines for its control.
Agency Security Officers are responsible for:
a

Promptly notifying the Departmental IRM Security Officer of
computer security incidents including malicious software;

b

Developing appropriate procedures and issuing instructions for
the detection and removal of malicious software consistent
with the guidelines contained in this appendix;

c

Ensuring all personnel within their agency are made aware of
this policy and incorporating it into computer security
briefings and training programs;

d

Identifying and recommending software packages for the
detection and removal of malicious software;

e

Developing a system for users to report computer viruses and
other incidents, which includes notifying potentially affected
parties of the possible threat;

f

Providing assistance in determining the source of malicious
software and the extent of contamination; and

g

Conducting periodic reviews to ensure that proper security
procedures are followed, including those designed to protect
against malicious software.

Managers must ensure that employees and contractors follow agency
procedures which comply with this policy.
Personnel from other
organizations using USDA systems, contractors, and vendors are
responsible for following agency procedures for the protection of
information resources to which they have access. This includes
reporting computer security incidents, including viruses and other
malicious software, to the agency Security Officer.

6

REQUIREMENTS
The requirements defined in this section, when implemented, will
minimize the risk of introducing viruses and other malicious
software. Not all requirements listed will apply to every computer
system or network. Agencies must conscientiously evaluate the
appropriateness of each of the following procedures and implement
those that apply to their particular system.
a

All USDA agencies must acquire and use virus checking
software.

b

This appendix covers all computer systems that are used to
process USDA data, including contractor-owned and/or
contractor-operated systems. This appendix applies to new
contracts and is not retroactive.

c

This appendix applies to all USDA and non-USDA personnel from
other organizations, contractor personnel, and vendors using
USDA systems.
This appendix further applies to
USDA-sponsored software development, software demonstrations,
and the operation and maintenance of computer systems.

d

This appendix is intended to supplement "ADP Security Policy."
Specifically, this appendix delineates policy to:
(1)

Minimize the risk of introducing and spreading viruses

and other malicious software;
(2)

Ensure timely detection of virus infections;

(3)

Provide procedures for eliminating virus infections from
the Department's inventory of microcomputers (PCs); and

(4)

Provide procedures to minimize the risk from malicious
programs to larger systems, or systems where virus
detection software is not yet available.

e

All USDA agencies that distribute diskettes must check the
diskettes for viruses prior to disbursement. A statement
certifying the distributing agency checked the diskette with
an antivirus software package prior to disbursement should be
included with the diskette. The certification should include
the name of the antivirus software and the version number.
The certification should not include a statement claiming the
distributed diskette is virus free. The distributed diskette
is only virus free of the known viruses that the antivirus
program checked for.

f

All USDA agencies receiving diskettes from external sources
must test the incoming diskette.

g

All software and data obtained from bulletin boards, or other
free "shareware", must be tested before placing into the
Government's computing environment. It is recommended that
shareware software should not be installed on a computer
system that is a part of a network.

h

All diskettes brought from home or other non-Government
sources must be tested for viruses.

i

Each agency will establish appropriate procedures for
adherence to this policy based on:

j

(1)

Criticality,

(2)

Sensitivity, and

(3)

Risks to their computer systems.

Employees should back up new software immediately, retaining
the original distribution diskettes in a safe and secure
location. Write-protect original diskettes prior to making
backup copies. If a virus destroys the working copy, the
original software is still available. Copying copyrighted
software material without the vendor's consent is illegal. If
a vendor has not provided preapproval of backup copies,
employees must have vendor approval to create additional
copies. Use only newly formatted diskettes for copying
software for backup. Used disks may already contain malicious
programs which would contaminate the backup copies. Data
files should be backed up frequently and stored off-site or in
a secured environment.

Keep fresh backup copies of original diskettes. Restore
damaged software programs from the original backup diskettes,
not from regular backups. A virus may have been introduced
prior to backing up from hard disk.
k

A serious impact on the credibility of the Department would
result from being identified as the source of a virus.
Therefore, all software and data leaving the Department must
be checked for viruses or other malicious coding.
Use only new media for making copies for distribution. Where
possible, use a stand-alone computer system when preparing
copies for distribution. Personal computer systems to which
access is somewhat open (i.e., training rooms, user
laboratories, etc.), should never be used as a source of
software or files to be transmitted. These files or software
should not be copied for distribution without first taking
steps to ensure that the system is free from viruses or other
malicious software.

l

Personal computer machine-readable media will be scanned for
malicious software before initial use. Follow all vendor
instructions carefully and write-protect virus scanning
software prior to use. Scanning software can become
contaminated in the same way as other software. Although
software sealed in "shrink-wrapped" plastic is usually checked
by vendors, it is still advisable to scan this software since
there have been reported cases of software contamination.
Write-protect software prior to scanning to prevent possible
contamination from system and scanning software. Requirements
to scan for malicious software are to be implemented as soon
as the tools become available for a particular combination of
hardware and software.
Establish controls for local area networks that prevent anyone
except the system administrator or other authorized staff from
loading software on file servers. Ensure that operating
system files and other executable files are read-only. If
possible, disable the network mail facility from transferring
executable files. This will help prevent network worm
programs from spreading through the network.
Trojan horses and other similar malicious software programs
are often introduced by insiders. It is not unusual for
larger systems to be the target of this type of malicious
software. The best protection against attacks of this type is
to establish good management procedures. Effective controls
include:
(1)

Separation of duties,

(2)

Limiting individual access,

(3)

Formal change control and configuration management
procedures,

(4)

Separation and testing of development versus production

software,

m

(5)

Control of installation of new software versions,
and

(6)

Frequent backups of the system and data for recovery
should an incident occur.

It is imperative that machine-readable software and data files
be obtained from reliable sources. Viruses are often spread
through free or shared programs, games, demonstration
programs, and programs downloaded from bulletin boards.
Commercial software must be obtained through properly defined
procurement channels. Software development must be done in
accordance with established Departmental Software Management
policy (DR 3220-3 Software Management) and have prior
management approval.
Shareware and freeware software must be obtained only with
prior management approval. Software obtained electronically
from bulletin boards should be downloaded to newly formatted
diskettes and not directly to the computer hard disk. All
newly acquired software, regardless of source, is subject to
the policy of this document.

n

When possible, employees demonstrating USDA products must be
certain that the hardware and software they are using are free
of viruses. Use hardware write-protection mechanisms (i.e.,
read-only diskettes with write tabs; write-protect rings for
tapes; knock-out rings on cassettes, etc.) to prevent any
virus from infecting the media. If possible, check the
hardware for viruses before loading the demonstration
software. Do not allow other software to be used until the
demonstration is completed.

o

For larger systems and networks, user identification and
passwords are the primary protection mechanisms against
malicious software. If the would-be perpetrators cannot get
into the system, they cannot put malicious software on the
system. When possible, all computer systems that are shared
resources, including local area networks and multi-user
stand-alone systems, shall implement a user identification and
verification system such as a USERID and password.
Conformance to the requirements of the USDA "ADP Security
Manual" DM 3140-1 in establishment, structure, individual
accountability, periodic changing and removal are required.
System managers should change all vendor-supplied passwords,
including those for software packages and maintenance
accounts, as soon as the system has been installed. Vendor
supplied passwords are usually the same on every computer
system of the same make and model. It is a very common method
used by hackers for gaining access to a computer system to try
known vendor supplied passwords. Procedures must be
established for vendors to identify in writing and for USDA or
vendor to remove such USERID's and passwords. Procedures must
be set up to remove USERID's and passwords when an authorized

user no longer needs access to the system for official
reasons. Log files should be reviewed periodically to detect
unusual activity. Terminals, workstations, and networked PCs
should never be left unattended when logged on.
p

Vendors when demonstrating their software on USDA hardware
must use stand-alone hardware, where possible. USDA employees
must scan the hardware before it is used by the vendor to
verify that the computer does not contain a virus. This will
demonstrate that the Department acted in good faith in
attempting to prevent infection of the vendor's software.
USDA employees will scan the
is completed to determine if
virus and remove it from the
notified immediately, if one
infections.

hardware when the demonstration
the vendor software contains a
system. The vendor should be
is found, to prevent further

In the case of network software demonstrations, the system
administrator must approve and coordinate the demonstrations.
Written certification from the vendor that the demonstration
software has been checked and is free from viruses, should be
obtained prior to loading any vendor software.
q

Personal computer hard disk drives, network file servers, and
other media which will be used to handle departmental
information will be formatted between the time they are
received and put into use.
There have been cases of formatted hard disk drives being
received that contained viruses. This requirement also
applies to replacement parts resulting from repair and
maintenance of equipment. This requirement may be waived only
if the vendor installing the software provides a written
certification that the system and software have been checked
and are virus free. Never start up (boot) your computer from
a diskette unless it is the original write-protected system
master or a reliable copy. Portable computer systems that
leave USDA controlled areas must be scanned when returning to
the USDA environment.

r

All procurement for computer software and hardware will
contain a requirement that the vendor has antiviral procedures
in place to ensure that the media supplied are uncontaminated
by malicious software. When using off- the-shelf software
procurements, where it is not possible to write antiviral
clauses, the software will be scanned with virus detection
software prior to use. Procurement for personal computer
system maintenance should also require antiviral procedures on
the part of the contractor.
Vendors depend on the reputation of their products to ensure
future sales. Reputable vendors are concerned about correcting
any flaws in their systems or products that would make them
vulnerable to attack from viruses or other malicious software,
and on occasion issue recommended changes to improve security
of their products. System administrators and managers are to

implement any vendor recommended changes or security fixes as
soon as possible after official receipt.
7

MALICIOUS SOFTWARE INDICATORS
If your computer system seems to be acting differently than usual,
a malicious software incident may have occurred. Most of the time
(90%) the problem my be an error in the software. Below are a few
signs that may indicate that a system has been infected.
a

Any unexplained messages or graphics on the screen,

b

An increase in the time required to load or execute programs,

c

An increase in the time required for disk accesses or
processing from disk,

d

Unusual error messages,

e

Programs or files mysteriously disappearing,

f

Less memory available than usual,

g

Executable files changing size for no apparent reason,

h

Accesses made to non-referenced devices,

i

Data consistently out of balance,

j

File date and time stamps changing for no apparent reason,

k

Obsolete user accounts in use,

l

The presence of unexplained hidden files,

m

Unusual network activity, and

n

System crashes.

If your system demonstrates any of the above, it could indicate
that malicious software is present.

8

ELIMINATION AND RECOVERY
If you suspect that your computer system or network has been
attacked by a virus or other malicious software program, contact
your agency Security Officer. Report the problem and obtain
assistance before any corrective action is taken.
It is important that the particular virus, source, and spreading
potential be identified and controlled. The process of cleaning

and restoring the system require that O EXECUTABLE FILES FROM
BACKED UP DISKETTES ARE RESTORED TO THE CLEAN SYSTEM. You must
ALERT all persons who have received a diskette created by or used
on the infected system.
If your agency has copies of antivirus software, the following
steps should be taken once a system has been identified to contain
a virus infection:
a

Obtain a copy of the antivirus software.
antivirus diskette.

Write-protect the

b

Scan the hard disk (C, D, E, etc.) using antivirus software.

c

If a virus is found, use repair or clean option of the
antivirus software.

d

Once the hard drive has been cleaned, start the scanning
process on all floppy diskettes used on the system.

e

Do not restore executable files from backup diskettes to the
clean system environment.

f

Notify all persons that used the infected system or received
diskettes created on the system.

If your agency does not have antivirus software:
a

Turn the power off to the infected system, write-protect all
diskettes.

b

Obtain copies of the systems data file backup diskette.

c

Obtain a copy of the original operating system diskette, and
write-protect the diskette.

d

Obtain copies of the original systems software diskette.
(write-protect these diskettes)

e

Restore power to the infected system with the original
operating system diskette in the 'A' drive. (Do not forget to
write-protect the system diskette)

f

Perform a low-level format of the infested disk.

g

Restore the operating system from the original diskettes to
the hard disk.

h

Create all directories that are needed.

i

Restore all system software to the proper directory using the

original distribution diskettes.
j

Do not restore executable files from backed up diskettes to
the clean system environment.

k

Restore all backed up data files.

l

Identify all diskettes used on the infected system.

m

Format a new set of diskettes to be used as data file backups.

n

Copy desired data files to the newly formatted diskettes.

o

You may wish to reformat the old diskettes or you may desire
to destroy them.

Provide the following information to OIRM in writing or by
Electronic Mail:

9

a

Name of the particular virus,

b

Source,

c

Where was it spread,

d

Damaged caused,

e

Time lost due to virus:
(1)

Total time Program delivery staff,

(2)

Total time IRM support staff,

(3)

Total time Security Officer and virus cleanup staff,

f

Number of persons used in virus cleanup,

g

Number of systems scanned during detecting process,

h

Number of systems containing virus, and

i

Procedures used to recover.

VIRUS SOURCE OF INFORMATION
Computer Viruses by National Computer Security Association
$44.00.

Computer Virus Handbook by Harold J. Highland, Elsevier Science
Publishers Ltd, 1990. $153.

Computer Viruses: A High Tech Disease, by Ralf Burger, Abacus
Software, 1988. $29.95.
Computer Viruses: What They Are, How They Work, and How to
Avoid Them, by Jonathan L. Mayo 1989, Windcrest, $29.95.
Computer Viruses, Worms, Data Diddlers, Killer Programs, and
other Threats to your System by John McAfee and Colin Haynes,
1989, St. Martin's Press, 1989. $16.95. 235 pages.
Computer Virus Survival Guide by National Computer Security
Association $5.00.
Virus Scanners: An Evaluation by National Computer Security
Association $44.00.
Virus Removal Tools: An Evaluation by National Computer
Security Association $44.00.