Every AIS facility’s technical manager and upper management  should  establish  strict  controls  and procedures over individuals authorized to access the personal  data  files.  If  everyone  at  the  facility  needs authority to access personal data files, the security measures  should  adequately  control  system  access.  If there are persons working on the system whose access should  be  limited,  the  following  risks  should  be considered: Open system access. This means there may be no control over who can either use the AIS or enter the computer room. Theft of data. Personal data maybe stolen from the computer room or other places where it is stored. Unprotected  files.  Personal data files may not be protected from unauthorized access by other users of the AIS. This applies to online files and also to offline files, such as files on magnetic tapes. The offline files are sometimes accessible simply by requesting a tape be mounted. Dial-in access.  There is serious danger that unauthorized persons can access the system when remote, dial-in access is allowed. Open access during abnormal circumstances. Personal  data  that  is  adequately  protected  during normal  operations  may  not  be  adequately protected   under   abnormal   circumstances. Abnormal  circumstances  include  power  failures, bomb threats, and natural disasters, such as fire or  flood. The physical destruction or disabling of the AIS is not normally a primary risk to privacy. However, all computer systems presently in use are vulnerable to deliberate  penetrations  that  can  bypass  security controls.  These  types  of  security  penetrations  require extensive technical knowledge. At present, the Navy has   experienced   very   few   of   these   deliberate penetrations. Commands designing large computer networks should consider the following risks early in the  planning  stage: Misidentified access. Passwords are often used to control access to a computer or to data, but they are notoriously easy to obtain if their use is not carefully controlled. Furthermore, a person may use an already logged-in terminal, which the authorized user has left unattended, or may capture a communications port as an authorized user attempts to disconnect from it. Operating   system   flaws.   Design   and implementation errors in operating systems allow a user to gain control of the system. once the user is in control, the auditing controls can be disabled, the audit trails erased, and any information on the system accessed. Subverting  programs.  Programs   containing hidden   subprograms   that   disable   security protections can be submitted. Other programs can   copy   personal   files   into   existing   or misidentified files to use when protection is relaxed. Spoofing.  Actions can be taken to mislead system personnel or the system software into performing  an  operation  that  appears  normal  but actually results in unauthorized access. Eavesdropping.  Communications lines can be monitored by unauthorized terminals to obtain or modify information or to gain unauthorized access to an AIS. INFORMATION MANAGEMENT PRACTICES Information management practices refer to the techniques and procedures used to control the many operations  performed  on  information  to  accomplish  the command’s objectives. They do not extend to the essential managerial determination of the need for and uses of information in relation to any command’s mission. In this context, information management includes  data  collection,  validation  and  transformation; information processing or handling; record keeping; information  control,  display,  and  presentation;  and, finally,  standardization  of  information  management operations. Before enacting new policies in personal data handling  procedures,  AIS  technical  managers  should analyze current practices. To facilitate the explanation of their roles, the information management guidelines presented in the following material are grouped into major   categories:   handling   of   personal   data, maintenance of records to trace the disposition of personal data, data processing practices, programming practices,   assignment   of   responsibilities,   and procedural inspecting. Every practice presented may not be required at every Navy AIS facility by upper management. Select only the suggested practices relevant  to  the  designated  command’s  environment  and mission, or approved by upper management. 4-37