Foreign Trade Statistics Issued May 2003
Security Guidelines for Federal Government Agencies
U.S. Department of Commerce
Economics and Statistics Administration
U.S. CENSUS BUREAU
FTD/03-SG
Judy Ward of Computer and Hi-Tech Management
was responsible for creating this booklet. The following
Census Bureau employees contributed heavily toward
the editing, content, and organization of the booklet:
Clifford Jordan, Bryant Turner, Jerome Greenwell,
Dale Dickerson, Jacquelyn Mann, Samuel Jones,
Diane Oberg, and Dorothy Brown of the Foreign
Trade Division; Patrick Heelen of the Legal Office;
Patricia Melvin of the Policy Office; Michael C. Cook
of the Marketing Services Office, John C. Kavaliunas,
Division Chief, and Joanne Dickinson, Chief,
Marketing Branch.
Kim D. Ottenstein, Bernadette J. Beasley,
Meshel L. Butler, and Barbara H. Blount of
the Administrative and Customer Services Division,
Walter C. Odom, Division Chief, provided publications
and printing management, graphics design and composition
and editorial review for print and electronic
media. General direction and production management
were provided by James R. Clark, Assistant Division
Chief.
U.S. CENSUS BUREAU
Charles Louis Kincannon,
Director
Hermann Habermann,
Deputy Director and
Chief Operating Officer
Vacant,
Principal Associate
Director for Programs
Gloria Gutierrez,
Assistant Director for
Marketing and Customer Liaison
Frederick T. Knickerbocker,
Associate Director for
Economic Programs
C. Harvey Monk,
Chief, Foreign Trade Division
Carol Flowers,
Chief, Technology
Support Branch
U.S. Department
of Commerce
Donald L. Evans,
Secretary
Economics and Statistics
Administration
Kathleen B. Cooper,
Under Secretary
for Economic Affairs
ECONOMICS
AND STATISTICS
ADMINISTRATION
The U.S. Census Bureau wishes to acknowledge the
assistance of the following individuals and organizations
in the preparation of this booklet:
Acknowledgments
Security Guidelines for Federal Government Agencies 1
Chapter
1 Introduction
1.1 General .......................................................................................... 3
1.2 Legal and Regulatory Mandates ...................................................... 5
1.3 Overview of Publication .................................................................. 8
2 Requests for Confidential and Prerelease Data
2.1 General ........................................................................................ 10
2.2 Requests for Confidential Data ..................................................... 10
2.3 Requests for Prerelease Data ....................................................... 11
2.4 Request Format ............................................................................ 11
3 Documenting Need, Use, and Required Infrastructure
3.1 General ........................................................................................12
3.2 Confidential Data Request Documents ...........................................13
3.3 Prerelease Data Request Documents ............................................13
3.4 Need and Use ..............................................................................14
3.5 Coordinating Safeguards Within an Agency ....................................14
3.6 Safeguard Review .........................................................................14
4 Recordkeeping Requirements
4.1 General ........................................................................................16
4.2 Tracking Log .................................................................................16
5 Information and System Security, and Other Safeguards
5.1 General ........................................................................................18
5.2 Physical Security ...........................................................................18
5.3 Logical Security .............................................................................19
5.4 Incident Response and Reporting ..................................................21
6 Minimizing Access to Confidential and Prerelease Data
6.1 General ........................................................................................22
6.2 Handling of Confidential and Prerelease Data ................................22
7 Other Safeguards
7.1 General ........................................................................................24
7.2 Internal Inspections .......................................................................24
7.3 Employee Awareness ...................................................................25
Table of Contents
2 FOREIGN TRADE STATISTICS
8 Reporting Requirements
8.1 General ........................................................................................27
8.2 Security Plan .................................................................................27
8.3 Annual Safeguard Procedures Report ............................................28
8.4 Submission of Annual Safeguard Procedures Report ......................29
8.5 Annual Safeguard Activity Report ..................................................30
8.6 Submission of Annual Safeguard Activity Report ............................31
9 Disposal of Confidential or Prerelease Data After Completion of Use
9.1 General ........................................................................................32
9.2 Disposal of Paper Media ...............................................................32
9.3 Disposal of Magnetic Media ..........................................................33
10 Publication/Release of Confidential or Prerelease Data
10.1 General ........................................................................................34
11 Reporting Indications of Improper Disclosure
11.1 General ........................................................................................35
Appendix A
A-1 Glossary ..........................................................................................36
Appendix B
B-1 Physical Access ................................................................................37
B-2 Operating Systems Security ..............................................................37
B-3 Security Incident Reporting ...............................................................38
B-4 Encryption .......................................................................................39
Appendix C
C-1 Checklist for Requesting Confidential or Prerelease Data ..................40
C-2 National Interest Determination Checklist ..........................................41
C-3 Memorandum of Understanding (MOU) Checklist ..............................42
C-4 Nondisclosure Agreement ................................................................45
C-5 Checklist for Internal Safeguard Inspections ......................................47
Security Guidelines for Federal Government Agencies 3
INTRODUCTION
1.1 General
Foreign Trade Statistics (import and
export data) compiled by the U.S. Census
Bureau, Foreign Trade Division, are an
economic indicator. The statistics are
required to be collected and protected by
legal mandate in Title 13, Chapter 9,
Section 301, and Title 18 of the United
States Code (USC) Section 1905 and by
regulatory mandate in Title 15 Code of
Federal Regulations (CFR), Part 30 (see
Section 1.2 Legal and Regulatory Mandates
of this manual). The foreign trade statistics
are widely watched and heavily relied upon
by both the private sector and the government.
The private sector uses the foreign
trade statistics to measure the impact of
foreign competition, to conduct market
share analysis and market penetration
studies, and to develop various marketing
policies. Government uses include the
computation of the balance of payments for
the United States, setting economic and
fiscal policy, the
analysis of trends
in international
trade, multilateral
trade negotiations,
and assistance to
U.S. exporters in
locating markets
for their merchandise.
The foreign
trade statistics
are based upon
confidential individual business transactions
between U.S. exporters/importers and their
foreign customers. Because of the sensitivity
of the commercial data collected, it is
important to ensure this confidentiality. Any
public release would place the exporter/
importer at a serious competitive disadvantage
in the world marketplace. Without the
guarantee of confidentiality, exporters/
importers may be inclined to withhold
The foreign trade statistics
are based upon confidential,
individual business transactions
between U.S. exporters/importers
and their foreign customers.
Because of the sensitivity of the
commercial data collected, it is
important to ensure their
confidentiality.
4 FOREIGN TRADE STATISTICS
correct information and, thereby, undermine
the accuracy of the trade statistics.
Transaction-level data or aggregatelevel
export or import
information, from which
one could determine
individual business
transactions, are defined
as Confidential Data
for the purposes of these
guidelines. Confidential
Data, whether commingled with
nonconfidential data or kept pure, aggregated,
or retained as transaction-level, are
still Confidential Data. Once data are
designated as Confidential, they and all
their products, amalgamations, and
changes remain Confidential Data until
publicly released and
must be handled according
to the guidelines
presented in this handbook.
Additionally, for
the purposes of these
guidelines, aggregate
trade data compiled, but
not yet officially released to the public will
be referred to as Prerelease Data. In very
limited circumstances, federal government
agencies may be authorized access to
Prerelease Data in order to meet programmatic
requirements.
It is essential that
Prerelease Data not be
released to the public
prior to the official
release date and time.
The early release of
such data could have
a negative impact
on trade negotiations and stock markets
around the world. The witholding of foreign
trade statistics prior to public release is
mandated by the Office of Management
and Budget (OMB) Statistical Policy Directive
Number 3 (see Section 1.2 Legal and
Regulatory Mandates of this manual).
Prerelease Data
must, therefore, be
kept confidential
and treated with the
same consideration
as Confidential Data,
during the period of
time between receipt
of the information
by the requesting agency and the official
release of the data to the public. After the
official release date and time, however,
Once data are designated
as Confidential, they and
all their products, amalgamations,
and changes remain
Confidential Data.
Aggregate trade data
compiled, but not yet officially
released to the public will be
referred to as Prerelease
Data.
Security Guidelines for Federal Government Agencies 5
Prerelease Data no longer have to be kept
confidential.
As a condition of receiving either
Confidential or Prerelease Data, the receiving
agency must show, to the satisfaction of
the Census Bureau, the ability to protect the
confidentiality of the data. Safeguards must
be designed to prevent unauthorized
access and uses. In addition to a written
request, the Census Bureau may require a
formal agreement that specifies, among
other things, the purposes for which the
data will be used and how it will be protected.
An agency must ensure that its
safeguards will be ready for immediate
implementation upon the receipt of the
data.
1.2 Legal and
Regulatory Mandates
Several policy documents govern the
confidentiality of and access to Confidential
and Prerelease Data: Title 13 USC, Chapter
9; Title 15 CFR, Sections 30.90-30.91; and
Title 18 USC, Section 1905 govern the
access to Confidential Data. The Foreign
Trade Division statistical guidelines, Memoranda
of Understanding (MOU) between the
U.S. Census Bureau and specific agencies,
OMB's Statistical Policy Directive, Number 3,
govern the access to Prerelease Data.
The legal authority for the collection
and publication of U.S. foreign commerce
and trade statistics is established by Title
13, Chapter 9; and Title 18, Section 1905
of the USC:
Title 13 directs the Secretary of
Commerce to collect, compile, and publish
foreign trade statistics on a monthly and
cumulative basis. Title 13 is implemented
by regulations contained in Title 15 of the
Title 13, Chapter 9,
§301, of the United States
Code, Paragraph (a):
"The Secretary [of Commerce]
is authorized to collect
information from all persons
exporting from, or importing
into, the United States and the
noncontiguous areas over which
the United States exercises
sovereignty, jurisdiction, or
control...."
6 FOREIGN TRADE STATISTICS
OMB further defines both the limits
imposed, in order to keep Prerelease Data
confidential and the burden placed upon
the party making the request:
Title 15 Code of Federal
Regulations, Part 30,
Subpart H:
"§30.91 Confidential
information, Shipper's Export
Declarations.
(a) Confidential status.
The shipper's Export Declaration
is an official Department of
Commerce form prescribed
jointly by the Census Bureau
and the Bureau of Industry
and Security. Information
required thereon is confidential,
whether filed electronically
or in any other approved
format, for use solely for official
purposes authorized by the
Secretary of Commerce. Use
for unauthorized purposes is
not permitted. Information
required on the Shipper's Export
Declarations may not be
disclosed to anyone except
the exporter or his agent..."
Title 15 Code of Federal
Regulations, Part 30,
Subpart H:
"§30.90 Confidential
information, import entries
and withdrawals.
The contents of the statistical
copies of import entries and
withdrawals on file with the
Census Bureau are treated as
confidential and will not be
released without authorization
by the U.S. Customs Service..."
CPR, Part 30. These regulations define
the confidentiality of the trade data:
Security Guidelines for Federal Government Agencies 7
Office of Management
and Budget Statistical Policy
Directive Number 3:
Section 3:
"(a) The [Census Bureau]
head must establish whatever
security arrangements are
necessary and impose whatever
conditions on the granting of
access are necessary to ensure
that there is no unauthorized
dissemination or use.
(b) The [Census Bureau]
head shall ensure that any
person granted access has been
fully informed of and agreed to
these conditions.
Section 7:
Any agency requesting an
exception must demonstrate...
that the proposed exception is
necessary and is consistent with
the purposes of the Directive."
Moreover, a National Interest Determination
(NID) is integral to the acceptance or
refusal of a request for data, as dictated by
both Titles 13 and 15:
Title 13, Chapter 9,
§301, of the United States
Code, Paragraph (g):
"[Trade data], wherever
located, shall be exempt from
public disclosure unless the
Secretary [of Commerce]
determines that such exemption
would be contrary to the
national interest."
Title 15 Code of Federal
Regulations, Subpart H,
§30.92:
"In recommendations
regarding any other requests
for access to official copies, a
judgment in the light of circumstances
will be made as to
whether it is contrary to the
national interest to apply the
exception, keeping in view that
the maintenance of confidentiality
has in itself an important
element of national interest."
8 FOREIGN TRADE STATISTICS
No request for Confidential Data
will be granted, unless it is determined
that it is in the national interest to do
so. Also, no request for Prerelease
Data to a federal agency will be granted
unless the agency enters into a
Memorandum of Understanding (MOU)
with the U.S. Census Bureau's Foreign
Trade Division. Additionally, no request
for public release of Prerelease
Data will be granted unless approved
by OMB.
Requests for Confidential and
Prerelease Data are weighed against this
National Interest Determination (NID) and
granted with the strictest confidentiality
requirements.
Penalties for unauthorized disclosure of
Confidential or Prerelease Data are defined
under Title 18:
Because of the sensitivity of this
information, requests for and usage of
Confidential or Prerelease Data are restricted
and controlled as specified in the
body of this document.
1.3 Overview of
Publication
This Foreign Trade Statistics Security
Guidelines handbook is directed towards
anyone granted access to data considered
by the Census Bureau as Confidential or
Prerelease Data. Its purpose is to make a
requesting agency aware of their responsibility
for protecting the confidentiality and
security of these data. Confidential or
Prerelease Data must be accessed with
diligence in adhering to the controls and
safeguards set in place to protect their
privacy, integrity, confidentiality, and
sensitivity.
This handbook is divided into eleven
chapters. Chapter 2, immediately following
this section, addresses the preliminary
steps for submission of a request to receive
data. Chapter 3 discusses the documents
that outline the need and use of the data,
as well as the security infrastructure
required prior to receiving Confidential or
Prerelease Data. Subsequent, Chapters 4
Title 18, USC Section
1905, et seq.:
The penalty for unlawful
disclosure is a fine under this
title and/or imprisonment
for not more than 1 year,
or removal from office or
employment.
Security Guidelines for Federal Government Agencies 9
through 8 contain information regarding the
necessary safeguards and recordkeeping
requirements for the data once they are
received from the Census Bureau. Chapter 9
outlines proper disposal of Confidential and
Prerelease Data, while Chapters 10 and 11
detail the inherent confidentiality and
acceptable use of the data, and reporting
of any improper disclosures. Finally, the
appendices following the body of this
booklet contain procedures, checklists, and
additional instructions designed to help
ensure any agency receiving Confidential or
Prerelease Data protects and uses them
appropriately.
This publication, as well as other
information including Foreign Trade Statistics
Regulations, is available on our Internet
site at: www.census.gov/foreign-trade/
www/.
10 FOREIGN TRADE STATISTICS
trade-related responsibilities may be
granted access to Confidential Data. Traderelated
responsibilities include: enforcement
of export/import laws and regulations;
monitoring of trade agreements; official,
legal, or regulatory needs by the exporter/
importer or their agent as authorization for
proof of export/import; and U.S. Department
of Agriculture requirements for proof
of export in connection with subsidy
payments. Access can only be granted
if it is determined to be in the national
interest to do so. To receive Confidential
Data for statistical purposes, the agency
must have requirements that cannot be
met with aggregate, published data. Those
requirements must be explained in a
written request.
All requests for export or import
Confidential Data must be made in writing
to:
Director
U.S. Census Bureau
Washington, DC 20233
REQUESTS FOR
CONFIDENTIAL AND
PRERELEASE DATA
2.1 General
Export data are compiled based upon
information reported on the Shipper's Export
Declaration (SED) or through the Automated
Export System (AES). These documents/
records have enforcement, as well as
statistical purposes and may only be released
to authorized agencies for specific,
authorized purposes if the Director of the
Census Bureau, as the designee of the
Secretary of Commerce, determines that it
is in the national interest to do so.
2.2 Requests for
Confidential Data
As detailed in Section 1.2, Legal and
Regulatory Mandates, Title 13 USC, Chapter
9, Section 301(g), and 15 CFR, Sections
30.90-30.91 govern the confidentiality of
and access to Confidential Data. Except
for requests by an exporter/importer
of its own data, only Congress and U.S.
Government agencies with statistical or
Security Guidelines for Federal Government Agencies 11
The guidelines presented in the subsequent
sections of this handbook apply to all
Confidential Data.
2.3 Requests for
Prerelease Data
Because export and import data are
considered one of the leading economic
indicators, it is only under very rare
circumstances that agencies are authorized
to receive a restricted amount of Prerelease
Data. To receive Prerelease Data for
extraordinary purposes, the agency must
have unique requirements that cannot be
met with published data released at
preordained intervals. Those requirements
must be explained in a written request.
All requests from federal agencies for
export/import Prerelease Data must be
directed in writing to the Director of the
Census Bureau (see Section 2.2 for address),
who will make a National Interest
Determination whether the request should
be granted.
2.4 Request Format
All written requests for Confidential or
Prerelease Data must:
· Be written on requesting agency
letterhead.
· Specify precisely what data (i.e., net
import/export record layout fields,
country of destination/origin, port of
export/import) are being requested.
· Stipulate why the requested data are
required.
· Cite the legislative authority
supporting the request.
· If requesting Confidential Data,
demonstrate why data aggregated to
the agency's specifications will not
suffice.
· If requesting Prerelease Data,
substantiate and justify the early
access.
For complete information, see Appendix
C, Section C-1, for a Checklist for Requesting
Confidential or Prerelease Data.
12 FOREIGN TRADE STATISTICS
Memorandum of Understanding
For each approved request for Confidential
or Prerelease Data, the Census
Bureau's Foreign Trade Division works with
the requesting agency to develop the MOU.
This document, after being approved and
ratified with an authorized signature of the
agency, will be returned and retained in
Census Bureau files for a period of 5 years.
Included in the MOU will be security provisions
tailored to both the information
security requirements for the requested
data and the system security infrastructure
of the requesting agency. The MOU will
DOCUMENTING
NEED, USE,
AND REQUIRED
INFRASTRUCTURE
3.1 General
National Interest Determination
When a request for Confidential Data is
received, the Director of the Census Bureau
under Title 13 USC, 301 (g) makes a
National Interest Determination (NID) that
results in the granting or denial of the
request. NIDs can be made for: (1) specific
(one time) export/import or commodity
detail file requests, or (2) more complex
requests for data covering specific export/
import or commodity information over a
specified time period. The granting of
these requests results in the drafting of
Memorandum of Understanding (MOUs).
(See Memorandum of Understanding below.)
The MOUs will include the NID as a cover
memorandum, attachment, or enclosure.
Also, the MOU will have an NID statement
included in the body of the document.
A checklist for the information included
in a National Interest Determination is
available in Appendix C, Section C-2.
Included in the MOU will
be security provisions tailored
to both the information security
requirements for the requested
data and the system security
infrastructure of the requesting
agency.
Security Guidelines for Federal Government Agencies 13
detail, among other things, the data to be
released, the purposes for which they may
be used, who may have access to the data,
the restrictions on use of the data, how the
data will be protected from unauthorized
disclosure, and the ultimate disposition of
the data.
A checklist for the information included
in a Memorandum of Understanding is
available in Appendix C, Section C-3.
3.2 Confidential Data
Request Documents
To ensure compliance with Census
Bureau disclosure requirements, the MOU
for export/import Confidential Data will
specifically prohibit receiving agencies from
publishing data compiled from Confidential
Data without the express, written consent of
the Census Bureau. The receiving agency,
in cooperation with the Census Bureau,
must detail how the data will be protected
from unauthorized disclosure. In addition,
the receiving agency must restrict Confidential
Data access to authorized personnel
only and ensure that neither the data, nor
any information based upon the data, are
made available to any other agency or third
party without prior written approval from
the Census Bureau.
3.3 Prerelease Data
Request Documents
In those rare instances when a request
for Prerelease Data is granted, the requester
will be permitted early access to
export/import data. The MOU developed
in such an instance will detail the data to be
provided, the purposes for which the data
are being provided, and the restrictions on
use of the data. In addition, it will prohibit
any further distribution of the data beyond
the approved parties prior to the Census
Bureau's official release of the trade statistics,
and will also detail strict provisions
for the handling of the data.
The receiving agency, in cooperation
with the Census Bureau, must also detail
how the data will be protected from
unauthorized disclosure. As with Confidential
Data, the receiving agency must restrict
access to Prerelease Data to authorized
personnel only. It is the requesting agency's
responsibility to ensure that none of these
data, nor any information based upon the
data, including inferences regarding the
level of trade (for example, that imports
went up or down) are made available prior
to the data's official release. If the
Prerelease Data are also designated as
Confidential Data, these restrictions on use,
14 FOREIGN TRADE STATISTICS
access, and handling remain in effect
forever, even after the official release date
and time.
3.4 Need and Use
In all instances, the requested data
must be used exclusively for the authorized
purpose. If an agency's needs extend
beyond the purpose for which the data
were originally authorized, a new request
must be submitted explaining the reason
for the additional use. Written approval is
required before the data provided may be
used for the additional purposes.
Any unauthorized disclosure may result
in denial of future access and imposition of
penalties on the responsible officials, as
authorized Under Title 18, USC Section
1905, et seq.:
3.5 Coordinating
Safeguards Within
an Agency
Confidential or Prerelease Data may
only be disbursed to those employees
within an agency who have been authorized
to have access under the provisions of
the MOU.
The agency should designate a specific
individual to be responsible for establishing
and maintaining safeguard standards
consistent with the Census Bureau Guidelines.
The official assigned these responsibilities
must have adequate authority in the
agency's organizational structure to ensure
compliance with the agency's safeguard
standards and procedures. The selected
official should be responsible for conducting
internal inspections (see Section 7.2),
for submitting safeguard reports to the
Census Bureau (see Section 8.3), and for
any necessary liaison with the Census
Bureau.
3.6 Safeguard Review
A Safeguard Review is an onsite
evaluation of the receiving agency by the
Census Bureau to determine if Confidential
The penalty for unlawful
disclosure is a fine under this
title and/or imprisonment
for not more than 1 year,
or removal from office or
employment.
Security Guidelines for Federal Government Agencies 15
or Prerelease Data are being used according
to the specifications detailed in the
MOU, and to observe the measures implemented
to protect the data. Census Bureau
security staff will also verify that security
policies and procedures are in place to
protect the Confidential or Prerelease Data.
The initial onsite Safeguard Review will
occur before the initial provision of Confidential
or Prerelease Data and then at least
every 3 years thereafter. As a condition of
granting access the Census Bureau's Foreign
Trade Division has the option to regularly
conduct onsite reviews of agency safeguards.
The onsite reviews will be conducted
by a Census Bureau safeguard team
comprised of persons from the following
areas: Foreign Trade Division Regulations
and Outreach Branch; Foreign Trade Division
Commodity Analysis Branch; Foreign
Trade Division Network Security section of
the Technology Support Branch; and staff
from the Census Bureau IT Security Staff.
Several factors will be considered when
determining the need for and the frequency
of a review. In each instance, the Census
Bureau will provide a written review plan.
The plan will include:
· A list of records to be reviewed (e.g.,
Title 13, Nondisclosure Agreements,
internal inspection reports, and
agency awareness program).
· The scope and purpose of the review.
· A list of the specific areas to be
reviewed.
· A list of agency personnel to be
interviewed.
Need and use will be evaluated and
actual operations will be observed. Agency
employees may be interviewed during the
onsite review, generally to clarify procedures
or to determine employee awareness
of security requirements and Titles 13 and
18 penalty provisions.
Safeguard Reviews are conducted to
determine the adequacy of safeguards, as
opposed to an evaluation of the agency's
programs. The Census Bureau will issue a
Safeguard Review Report. The agency will
have the opportunity to provide comments
that will be included in the report.
16 FOREIGN TRADE STATISTICS
4.2 Tracking Log
The tracking log for Confidential or
Prerelease Data should include the following
sections:
Receipt of Data (Media)
· Description of data to be received
(i.e., import/export, prerelease, net
import/export record layout fields,
country of destination/origin, port
of export/import, month/year)
· Expected date of receipt, if data are
to be delivered to the receiving
agency. (If the data are not received
by the scheduled due date and the
agency was not informed of a delay,
the agency must immediately notify
the Census Bureau contact person
identified in the MOU.)
· Actual date of receipt (or pickup
from the Census Bureau).
· Name of authorized person receiving
the data.
RECORDKEEPING
REQUIREMENTS
4.1 General
The Census Bureau requires that all
agencies granted access to Confidential
or Prerelease Data establish a permanent
system for tracking the flow of data within
the agency. The tracking system must
begin with the expected date of receipt
and must be maintained until:
· The completion of use, in the case of
Confidential Data where the data are
either destroyed or returned to the
Census Bureau as described in
Chapter 9 of this manual.
· Until their public release, in the case
of Prerelease Data.
The tracking record of all Confidential
or Prerelease Data received must remain
on file for a period of 2 years after the
date the data are destroyed, returned, or
released to the public.
Security Guidelines for Federal Government Agencies 17
· Number and type of media received
[e.g., 2 CD-ROMs; 1 Cartridge;
20 SEDs (paper copies)].
· Location where data are stored or
filed.
Receipt of Data from
U.S. Customs - AES (Interactive)
When agencies access data from
U.S. Customs in an interactive mode the
following applies:
Computers used to access the data are
to have a secure operating system (such as
Windows NT or Windows 2000) which
allows automatic auditing. Auditing is to
track the name of the person accessing the
data, as well as the time and date of the
access. The downloading of data (i.e. print
screens, transposing the data into a spreadsheet,
etc.) accessed in this manner is
prohibited unless specified in the MOU.
Receipt of Data from U.S.
Customs - AES (Data Transfer)
For data to be downloaded from U.S.
Customs, the receiving agency must enter
into both an Interconnection Security
Agreement with the U.S. Customs and
a MOU with the Census Bureau. These
documents will detail the transfer mechanism
and related security measures for the
transfer and data access. As previously
discussed, automatic auditing is to be performed
on the computer accessing the data.
Security controls must be in place for the
media (hard drive, removable media) used to
store the data after it is downloaded. This
will be outlined in the MOU.
Note: The agency must establish accounts
through U.S. Customs for every employee designated
to access AES data. When agency employees depart
or no longer have a need to access AES data their
accounts are to be terminated. Agency employee
AES accounts will be further addressed in the MOU.
Access to Data (Audit Trail)
A. Documents, listings, CD-ROMs,
Disks, Cartridges
Name and signature of authorized user.
Date and time logged "Out/In."
Note: The agency must account for any lost or
misplaced data by documenting search efforts and
notifying the responsible official noted in the MOU.
B. Operating System/Application
Name of authorized user.
Date of computer access.
Disposal of Data
A. Name and signature of authorized
person disposing of data.
B. Date and method of destruction or
date and method of return to the
Census Bureau.
For disposal guidelines see Chapter 9.
18 FOREIGN TRADE STATISTICS
INFORMATION AND
SYSTEM SECURITY,
AND OTHER
SAFEGUARDS
5.1 General
Agencies receiving Confidential or
Prerelease Data must take appropriate
actions to ensure that the data are protected
against unauthorized possession and
use. Possession and use of Confidential or
Prerelease Data must be in accordance with
the provisions of the
Memorandum of
Understanding (MOU)
between the Census
Bureau and the
agency authorized to
receive the data. In
addition, all systems
and applications that
receive, transmit,
process, manipulate, or store Confidential
or Prerelease Data must meet minimumsecurity
requirements as set forth in the
MOU. The Census Bureau reserves the right
to view and approve any measures utilized
by the receiving agency to secure the data.
The receiving agency should submit a
security certification and accreditation of the
system or application, and make available
for viewing a copy of its current security
plan to document the measures implemented
for securing Confidential or Prerelease
Data. During Safeguard Review and any
subsequent inspections, the Census Bureau
or its representative may use these submitted
documents or request to review other
pertinent documentation to include plans,
policies, standards, procedures, and
approvals related to information and
system security in enacting the MOU and
authorizing the release of Confidential or
Prerelease Data to the receiving agency.
Several areas will be addressed during this
Inspection and Review as described below.
5.2 Physical Security
Receiving agencies must identify and
document measures to control physical
access to equipment, media, and work
Use of Confidential or
Prerelease Data must be in
accordance with the provisions
of the MOU between the Census
Bureau and the agency authorized
to receive the data.
Security Guidelines for Federal Government Agencies 19
areas where Confidential or Prerelease
Data are housed to ensure against eavesdropping,
theft, vandalism, or accidents
that may occur. Physical controls shall
be employed to secure the facility of the
receiving agency in accordance with agency
security standards.
Work Area and Desktop
All computer and work areas containing
Confidential or Prerelease Data must be
protected with key locks, cipher locks, or
other suitable access controls. Such areas
must be kept locked when not occupied by
staff. Computer terminals must be capable
of locking to prevent unauthorized use or
viewing of the data. Such terminals must
be kept locked when not occupied by staff.
Mobile Computers and Other
Electronic Equipment
Confidential or Prerelease Data are
not to be placed onto laptop, handheld, or
mobile computers of any kind. Further,
Confidential or Prerelease Data shall not be
placed, stored, or processed on personally
owned equipment or media of any kind.
Confidential or Prerelease Data are not for
use over the Internet, on an Intranet, with
unsecured facsimile machines, or with
computers containing modems unless
appropriate, authorized, security procedures
are in place. All Confidential or
Prerelease Data files transmitted from
the Census Bureau to the receiving agency
will be in accordance with the ratified and
approved MOU. All such transmissions
require the specific written approval of the
Census Bureau. NO TRANSMISSION OF
CONFIDENTIAL OR PRERELEASE DATA
SHALL BE VIA ELECTRONIC MAIL OR
MESSAGING SYSTEMS, EVEN AMONG
AUTHORIZED USERS.
Removable Media
The receiving agency shall not use
removable media without written authorization
from the Census Bureau. Authorized
removable media must be kept locked and
stored securely when in, or removed from,
designated equipment.
5.3 Logical Security
Receiving agencies must identify and
document measures to control logical
access to systems, applications, media, and
data where Confidential or Prerelease Data
are housed to ensure against eavesdropping,
theft, vandalism, or accidents that
may occur.
20 FOREIGN TRADE STATISTICS
Data Integrity
Prior to releasing Confidential or
Prerelease Data to the receiving agency, the
data are scanned to ensure their content
against malicious and/or destructive programs
or scripts. Furthermore, Confidential
or Prerelease Data are verified for accuracy
and integrity prior to release. The receiving
agency shall implement virus detection
and eradication efforts, as well as integrity
verification efforts, to ensure continued
security of the data. The Census Bureau
uses detection and integrity software that
meets current National Institute of Standards
and Technology (NIST) Federal
Information Processing Standards (FIPS).
The receiving agency shall also use software
that meets current NIST FIPS guidelines.
Data Confidentiality
Prior to releasing Confidential or
Prerelease Data to the receiving agency, the
data are encrypted to secure their content
against unauthorized access. The Foreign
Trade Division, Information Security Officer
oversees encryption policies, procedures,
and practices, and will provide encryption
keys to the authorized representative of the
receiving agency. Encryption keys will be
changed periodically to further ensure data
security and access control. The receiving
agency must appoint a contact person to
receive these keys and implement efforts
to ensure continued
security of these keys.
The Census Bureau
uses encryption
software that meets
current National
Institute of Standards and
Technology (NIST) Federal Information
Processing Standards (FIPS). The receiving
agency shall be informed by the Information
Security Officer as to the software required.
Information Sharing and
Interconnecting Systems Controls
The receiving agency must identify and
document any sharing of information or
interconnected system that impact the
security of Confidential or Prerelease Data.
It is required that written authorization be
obtained prior to connection with other
systems and/or sharing Confidential or
Prerelease Data.
Operational Controls
The receiving agency must describe the
controls used for receiving, identifying,
handling, processing, storing, and disposing
Encryption keys
will be changed
periodically to
further ensure
data security
and access
control.
Security Guidelines for Federal Government Agencies 21
of input and output data and its media.
In addition, the controls used to monitor the
installation of, and updates to, hardware
and software for the system shall be
documented. It is required that written
authorization be obtained prior to release
or distribution of Confidential or Prerelease
Data.
Technical Controls
The receiving agency must describe the
controls used for identifying and authenticating
users, limiting and restricting user
access, tracking and auditing user activities,
deterring and detecting unauthorized use,
preventing undesired use, and protecting
data integrity and availability. It is required
that written authorization be obtained prior
to accessing Confidential or Prerelease
Data.
5.4 Incident Response
and Reporting
The receiving agency must appoint a
representative to respond to incidents,
serve as the contact person for the Information
Security Officer, and report any incidents
to the Information Security Officer. A
security incident, as it relates to the possession
and use of Confidential or Prerelease
Data, is any violation, or suspected violation,
of standards, policies, procedures,
and practices governing the data as set
forth in the MOU. Examples of security
incidents may include, but are not limited
to:
· Unauthorized use of Confidential or
Prerelease Data.
· Use of unauthorized accounts to
access Confidential or Prerelease
Data.
· Misused, stolen, or compromised
passwords.
· Lost or stolen Confidential or
Prerelease Data.
· Duplication or distribution of
Confidential or Prerelease Data.
22 FOREIGN TRADE STATISTICS
Good safeguard practice
dictates that access to Confidential
or Prerelease Data
must be strictly on a needto-
know basis.
6.2 Handling of
Confidential and
Prerelease Data
Confidential and Prerelease Data should
be handled in such a manner that ensures
they do not become misplaced or made
available to unauthorized personnel. To the
maximum extent possible, Confidential and
Prerelease Data should
not be copied to
agency files, separate
listings, or tables, in
order to avoid inadvertent
disclosure.
Likewise, Confidential
and Prerelease Data
should not be transmitted
in any form to anyone, except as
prescribed in the MOU. Any file, listing,
table, or other material on any media
containing such data must be clearly
labeled, "Disclosure Prohibited-Title 13 USC,
Authorized Personnel Only," and remain so
MINIMIZING ACCESS
TO CONFIDENTIAL
AND PRERELEASE
DATA
6.1 General
Only authorized employees whose
duties and responsibilities require access
may use the Confidential and Prerelease
Data. An employee's background should
be considered when designating authorized
personnel. Access to and use of Confidential
and Prerelease Data must be within the
restrictions of the MOU.
Access granted to
authorized employees
must be on a need-toknow
basis, where no
employee is granted
more information than
is needed to perform
his or her duties. Each
employee granted access to Confidential
and Prerelease Data is required to sign a
Nondisclosure Agreement (see Appendix C,
Section C-4).
Security Guidelines for Federal Government Agencies 23
labeled until the release date, if Prerelease
Data, or until destroyed or returned to the
Census Bureau, if Confidential Data.
Commingling
If Confidential or Prerelease Data are
recorded on CD-ROM or any other electronic
media with agency data, it should be
protected as if it were entirely Confidential
or Prerelease Data, and labeled as described
above. Such commingling on a
single media should be avoided to the
maximum extent possible. When data
processing equipment is used to process or
store Confidential or Prerelease Data and
the information is mixed with agency data,
the agency must ensure that Confidential
or Prerelease Data cannot be extracted
from the computer during processing, such
as by a remote terminal or remote access,
and the commingled data must be handled
as if it were all Confidential Data. Confidential
or Prerelease Data access must be
controlled by:
· Systemic means, including server
protection, password protection, and
labeling. (See Chapter 5, Information
and System Security and Other Safeguards
for additional information.)
· Restricting access to the data
processing equipment to only
those personnel authorized to see
Confidential or Prerelease Data.
· Removing all Confidential or
Prerelease Data from all resident files,
databases, and programs after the
data have served their authorized
purpose.
The possibility of commingled data with
shared facilities results in additional security
risks that must be addressed. If your agency
shares physical and/or computer facilities
with other agencies, departments, or individuals
not authorized to have access
to Confidential or Prerelease Data, strict
controls - physical and systemic- must be
maintained to prevent unauthorized disclosure
of this information (see Appendix B).
The restrictions imposed upon use of
Prerelease Data end once the Census Bureau
has officially released the data. A listing
of the press release dates and times are
provided with the MOU authorizing access
to the data. However, the restrictions upon
access to Confidential Data are permanent.
The restrictions upon release of the specific
data provided to the agency are detailed in
the MOU.
24 FOREIGN TRADE STATISTICS
made of each inspection, citing compliance
with security provisions outlined in the
MOU, as well as any deficiencies and
corrective action taken if necessary.
The inspection records should be filed
in a separate folder in a designated area and
retained on file for 4 years. They should be
available for the Safeguard
Review outlined
in Section 3.6.
Safeguard Inspections
should include
the following items:
1. A review of the
storage and
handling of
Confidential or
Prerelease Data.
2. A review of how access to
Confidential or Prerelease Data is
granted to authorized employees.
3. An assessment of facility security
features.
OTHER SAFEGUARDS
7.1 General
Title 15 CFR, Subpart H, §30.91 requires
agencies receiving Confidential or Prerelease
Data to provide other safeguard measures
as appropriate to ensure the confidentiality
of the data. Internal inspections and a good
employee security awareness program can
provide effective, yet
inexpensive, protection
against unauthorized
disclosure of Confidential
or Prerelease Data.
7.2
Internal
Inspections
Agencies receiving
Confidential or Prerelease Data must
conduct inspections once a year to ensure
that safeguards are adequate. These
Safeguard Inspections should be done
according to written specifications detailed
in the MOU. A complete record must be
Internal inspections and
a good employee security
awareness program can provide
effective, yet inexpensive,
protection against unauthorized
disclosure of Confidential or
Prerelease Data.
Security Guidelines for Federal Government Agencies 25
4. Verification that Confidential or
Prerelease Data has not been
commingled with other information
in such a way that confidentiality
could be inadvertently
compromised.
5. A review of after-hours security
measures.
6. A review of access to secure
storage containers or areas and
of responsibility for changing keys.
7. An analysis of security procedures
and instructions to employees.
8. A review of the data processing
operations, including computer
systems.
9. A review of the control and storage
of magnetic and paper media.
10. An audit of the file room activity.
11. Interviews of those charged with
security responsibilities.
12. A review of planned organizational
changes to assure that security
consideration is covered.
13. A review of procedures for and
documentation of, returning,
disposing of, or destroying
Confidential or Prerelease Data no
longer needed by the recipient.
These inspections should be conducted
by authorized personnel who are not
directly responsible for the use of the data.
The inspections should be subject to formal
follow-up procedures and reporting for any
necessary corrective actions.
A checklist for internal inspections is
available in Appendix C, Section C-5.
7.3 Employee
Awareness
All agency employees granted access to
Confidential or Prerelease Data must be
thoroughly briefed on security procedures
and instructions requiring their awareness.
As part of the awareness program, a copy
of the Memorandum of Understanding
developed between the Census Bureau and
the agency must be
provided to each
authorized employee.
In addition, a copy of
this Security Guidelines
booklet must
also be provided.
Before being
granted access to
Confidential or Prerelease Data and each
year thereafter, all authorized employees
are required to sign a Nondisclosure
Before being granted access
to Confidential or Prerelease
Data and each year thereafter,
all authorized employees are
required to sign a Nondisclosure
Agreement.
26 FOREIGN TRADE STATISTICS
Agreement (see Appendix C, Section C-4).
The receiving agency must inform the
employees of this requirement.
Security guidelines should periodically
be a topic of discussion with agency
employees. Upon request, the Census
Bureau, Foreign Trade Division, Regulations,
Outreach, and Education Branch will be
available to conduct briefings for agencies
on Confidential or Prerelease Data security
measures. Requests for security briefings
should be made in writing to the Chief of
the Foreign Trade Division.
Agency employees are to be made
aware of the provisions in Title 18 USC,
Section 1905, which makes unauthorized
disclosure of Confidential or Prerelease Data
a crime, punishable under this title, and/or
by imprisonment for not more than 1 year,
or removal from office or employment.
Security Guidelines for Federal Government Agencies 27
· Summarizes the agency's current
efforts to ensure the confidentiality
of Confidential or Prerelease Data.
· Certifies the agency is protecting
Confidential or Prerelease Data
pursuant to the security requirements
specified in the MOU and the agency's
own security requirements.
8.2 Security Plan
Any changes to the agency's Security
Plan or security procedures, during the
period of Confidential or Prerelease Data
usage, must be documented and reported
to the security contact designated in the
MOU, or to the Foreign Trade Division's
Computer Security Team Leader. Census
Bureau security staff will determine if
the protection provided Confidential or
Prerelease Data has been modified in any
way. The security policies, procedures,
REPORTING
REQUIREMENTS
8.1 General
Agencies receiving Confidential or
Prerelease Data must file a report containing
a description of the procedures established
and used by the agency for ensuring
the confidentiality of the information
received from the Census Bureau. The
Safeguard Procedures Report is a record
of how Confidential or Prerelease Data is
used by the agency and how the data are
protected from unauthorized disclosure by
that agency.
Annually thereafter, the agency must file
a Safeguard Activity Report. This report
advises the Census Bureau of any changes
to the procedures or safeguards described
in the Safeguard Procedures Report, no
matter how minor. It also:
· Advises the Census Bureau of future
actions that will affect the agency's
safeguard procedures.
28 FOREIGN TRADE STATISTICS
and practices outlined in the MOU are
essential to the nondisclosure requirements
mandated in Title13 of the United States
Code and Title 15 of the Code of Federal
Regulations.
8.3 Annual Safeguard
Procedures Report
All agencies receiving Confidential or
Prerelease Data must provide an annual
report to the Chief of the Foreign Trade
Division describing the Safeguard Procedures
used to protect the confidentiality of
the data. The reports are to be submitted
by March 1st and cover the preceding
calendar year. The head of the agency
must sign these reports, unless otherwise
specified in the MOU.
The Safeguard Procedures Report will
contain the following information:
1. Name, title, and telephone number
of the official responsible for implementing
safeguard procedures.
2. Description of the data covered by
the report.
3. A chart or description of the flow
of Confidential or Prerelease Data
through the organization, from their
receipt through their return to the
Census Bureau or its destruction.
4. A determination whether Confidential
or Prerelease Data are commingled
with or transcribed into data kept by
the agency.
5. If applicable, a description of
automated data processing (ADP)
system(s) as they relate to maintaining
or processing Confidential
or Prerelease Data, including
system configuration, what data
are processed, files/records created
when processing Confidential or
Prerelease Data and which of these
files/records contain such data,
timesharing, internal system security
(access controls, audit trails, and so
forth), equipment and area physical
security, and networks to remote
terminals and/or other computers.
Also, include any planned changes to
the agency's system (equipment,
safeguards or processes).
6. Copies of all other written procedures
and other related memoranda concerning
the safeguards afforded to
the Confidential or Prerelease Data.
The procedures should, at a minimum,
describe the physical security
afforded Confidential or Prerelease
Data, the access allowed to
Security Guidelines for Federal Government Agencies 29
Confidential or Prerelease Data by
authorized agency employees, and
the manner in which access is
controlled. The procedures will also
describe in detail the manner in which
Confidential or Prerelease Data are
disposed of upon completion of
use, to include the methods of
destruction, the place of destruction,
the time schedule for disposal, and
the names and titles of agency
employees who are responsible for
supervising destruction or disposal of
Confidential or Prerelease Data. In
addition, the procedures will describe
the agency's security awareness
program and the controls used to
restrict visitors, janitorial help, and
unauthorized employees in areas
where Confidential or Prerelease Data
are maintained.
7. Copies of all signed Nondisclosure
Agreements and access logs.
8. Detailed description of significant
changes in safeguard procedures or
authorized access to Confidential or
Prerelease Data, and any changes or
enhancements to physical and
computer security measures utilized
to safeguard Confidential or Prerelease
Data.
9. Copy of reports of internal inspections
conducted by the agency to assure
that the written procedures are being
adhered to by all authorized agency
employees.
10. Copy of records of the disposal of
Confidential or Prerelease Data. The
information should be adequate to
identify the material destroyed,
include the control number of the data
destroyed, and the date and manner
of destruction.
8.4 Submission of
Annual Safeguard
Procedures Report
The annual Safeguard Procedures
Reports are to be submitted to:
Chief, Foreign Trade Division
U.S. Census Bureau
Room 2104, Building 3
Washington, DC 20233
30 FOREIGN TRADE STATISTICS
8.5 Annual Safeguard
Activity Report
Agencies should submit an annual
Safeguard Activity Report by March 1st each
year; the report should cover the preceding
calendar year. The report must be on
agency letterhead and be signed by the
head of the agency or delegate. The report
should contain the following information:
Changes to Information or
Procedures Previously Reported
· Responsible Officers or Employees
· Functional Organizations Using the
Confidential or Prerelease Data
· Computer Facilities or Equipment
and System Security-Changes or
Enhancements
· Physical Security-Changes or
Enhancements
· Retention or Disposal Policy or
Methods
Current Annual Reporting Period
Safeguard Activities
· Agency Disclosure Awareness
Program-
Describe the efforts to inform
all employees having access to
Confidential or Prerelease Data
of the confidentiality requirements,
the security requirements,
and the sanctions imposed for
unauthorized disclosure of
Confidential or Prerelease Data.
· Reports of Internal Inspections-
Copies of a representative sampling
of the Safeguard Inspections
Reports and a narrative of the
corrective actions taken (or
planned) to correct any deficiencies
should be included with the annual
Safeguard Activities Report.
· Disposal of Confidential or Prerelease
Data-
Report the disposal of the Confidential
or Prerelease Data to the
Census Bureau. The information
should be adequate to identify the
material destroyed/returned, and
the data and manner of destruction
(see Chapter 9, Disposal of
Confidential or Prerelease Data).
Note: Including Confidential or Prerelease
Data in the disposal record is not necessary, and
should be avoided. Alternative identification
methods should be employed, in order, to avoid
unintended disclosure during communication of
disposal information.
Security Guidelines for Federal Government Agencies 31
Actions on Safeguard Review
Recommendations
The agency should report all actions
taken, or being initiated, regarding recommendations
in the Final Safeguard Review
Report issued as a result of the latest
Safeguard Review.
Planned Actions Affecting
Safeguard Procedures
Any planned agency action that would
create a major change to current procedures
or safeguard considerations should
be reported. Such major changes would
include, but are not limited to, new computer
equipment, facilities, or systems.
Agency Use of Contractors
Agencies employing contractors, who
require access to Confidential or Prerelease
Data, must ensure the contractor's adherence
to the mandates discussed in this
Guideline.
8.6 Submission of
Annual Safeguard
Activity Report
Annual Safeguard Activity Reports are
to be submitted to:
Chief, Foreign Trade Division
U.S. Census Bureau
Room 2104, Building 3
Washington, DC 20233
32 FOREIGN TRADE STATISTICS
DISPOSAL OF
CONFIDENTIAL
OR PRERELEASE
DATA AFTER
COMPLETION
OF USE
9.1 General
Prerelease Data must be destroyed
according to the following guidelines, IF and
only if they are destroyed prior to the
official release date included in the MOU.
Once beyond the official release date,
Prerelease Data is no longer restricted
and may be handled as any other public
information data.
Conversely, in order to continue to
protect their confidentiality through the
completion of their life cycle, Confidential
Data, including the original data provided
by the Census Bureau and any working files
containing Confidential Data, must always
be destroyed or returned to the Census
Bureau according to the following guidelines
after they have served their authorized
purpose. The timeframe indicating when
such actions must be performed will be
detailed in the MOU between the U.S.
Census Bureau and the receiving agency.
The destruction process must prevent
recognition of the information. Outlined
below are the required methods of destruction
for both paper and magnetic media
containing Confidential Data.
9.2 Disposal of
Paper Media
The following methods must be used
to destroy Confidential Data:
· Burning-Use Environmental Protection
Agency (EPA) approved public incinerators.
When burning sensitive
material, examine ash residue, if
possible. If there are any large
pieces of unburned material, reburn
it until totally destroyed.
· Shredding-Use shredders that reduce
residue particle size to 3/16 of an
inch or less in width for destruction
of sensitive paper and nonpaper
products containing Confidential or
Prerelease Data. All material should
be shredded in such a manner that
Security Guidelines for Federal Government Agencies 33
recognition or reconstruction is
impossible by feeding material into
the shredder vertically or diagonally
to chop up sentences. Shredded
materials must be recycled or thrown
in the trash and must not be used for
other purposes, such as packaging.
· Return to Census Bureau-If the
receiving agency does not have the
facilities to properly destroy the
paper media, then the documents
must be returned to the Census
Bureau to the office from which they
were originally obtained.
Additionally, paper documents jammed
in copying equipment, unusable copied
documents, and tables, including listings or
other documents prepared from the data
provided by the Census Bureau, must be
destroyed using one of the above methods.
9.3 Disposal of
Magnetic Media
Magnetic media, such as cartridges,
disks, e-mail drop boxes, and hard drives
containing sensitive Confidential or
Prerelease Data, must be cleared prior to
reuse. To clear, overwrite all Confidential or
Prerelease Data a minimum of three times
with a commercial disk utility program.
Then, for additional confidence, degauss
using a commercial degausser. Destroy
CD-ROMs by breaking into pieces so that
they are completely unusable. The broken
pieces should be discarded in the trash.
34 FOREIGN TRADE STATISTICS
could have a negative impact on trade negotiations
and stock markets around the world.
To ensure compliance with Census Bureau
disclosure requirements, agencies that receive
Confidential or Prerelease Data are specifically
prohibited from publishing data compiled from
Confidential or Prerelease Data without the
express, written consent of the Census Bureau.
The agency must ensure that neither the
Confidential or Prerelease Data, nor any
information based upon the Confidential or
Prerelease Data, including inferences that would
disclose individual business transactions, are
made available to any other agency or third
party without prior written permission from
the Census Bureau's Foreign Trade Division.
Penalties for failure to adhere to these
requirements are detailed in the provisions
of Title 18 USC, Section 1905, which makes
unauthorized disclosure of Confidential or
Prerelease Data a crime, punishable by a fine
under this title, and/or imprisonment for not
more than 1 year, or removal from office or
employment.
PUBLICATION/
RELEASE OF
CONFIDENTIAL OR
PRERELEASE DATA
10.1 General
As stated earlier, foreign commerce and
trade statistics are based upon confidential
data, individual business transactions between
U.S. exporters/importers and their foreign
customers. Because of the sensitivity of the
commercial data collected, it is important to
ensure their confidentiality. Any public release
would place the exporter/
importer at a serious competitive
disadvantage in the
world marketplace. Without
the security of confidentiality,
exporters/importers may be
inclined to withhold correct
information and, thereby,
undermine the accuracy
of the trade statistics.
It is also essential that
trade statistics are not released
to the public prior to the
official release date and time.
The prerelease of such data
The agency must ensure
that neither the Confidential
or Prerelease Data, nor any
information based upon the
Confidential or Prerelease
Data, including inferences
that would disclose individual
business transactions,
are made available to any other
agency or third party without
prior written permission from
the Census Bureau's Foreign
Trade Division.
Security Guidelines for Federal Government Agencies 35
REPORTING
INDICATIONS OF
IMPROPER
DISCLOSURE
11.1 General
Both the Computer Security Team
Leader of the Census Bureau's Foreign
Trade Division and the Chief of the Foreign
Trade Division should be contacted upon
discovery of any possible improper disclosure
of Confidential or Prerelease Data by
an agency employee or any other person.
The individual making the observation or
receiving the information should communicate
the security incident via telephone,
fax, or paper mail. Faxed information
should include only minimum detail, and
avoid using words that would alert the
violator. Words like "hackers," "incident,"
or the suspected person's name would
probably alert the suspected party or
someone who has knowledge of the
suspected party. Faxed information should
be followed up with a detailed written
report. If e-mail must be used, like faxed
information, details that could possibly alert
the violator should be avoided. Sensitive
details should be written to a file and
encrypted as an e-mail attachment (see
Section 5.3).
36 FOREIGN TRADE STATISTICS
APPENDIX A
A-1 Glossary
ADP Automated Data Processing
AES Automated Export System
CFR Code of Federal Regulations
DES Data Encryption Standard
EIN Employer Identification Number
EPA Environmental Protection Agency
FIPS Federal Information Processing Standard
IT Information Technology
MOU Memorandum of Understanding
NID National Interest Determination
OMB Office of Management and Budget
SED Shipper's Export Declaration
USC United States Code
Security Guidelines for Federal Government Agencies 37
APPENDIX B
B-1 Physical Access
Guidelines:
1. Protect all offices, computer rooms, and work areas containing Confidential or
Prerelease Data with key locks, cipher locks, magnetic card door locks, or other
suitable access controls.
2. Employees, while passing through doors, gates, and other entrances to accesscontrolled
areas, must not permit unknown or unauthorized persons to pass
through at the same time.
3. Limit the number of entrances to the office space. Place the computer system
away from the main entrances. Position work stations so there is control over
who gains access to the computer system area. If a theft does occur, report it to
the appropriate authority.
4. Properly secure computer systems to prevent theft, misuse, and abuse.
5. Supervise or challenge unauthorized personnel whenever they are in a restricted
area containing Confidential or Prerelease Data.
B-2 Operating Systems Security
Guidelines:
1. Control access to Confidential or Prerelease Data according to the user's
authorization. The system must be able to allow or deny access based on the
profile of the user.
2. Prevent unauthorized access by clearing all Confidential or Prerelease Data from
systems before relocating the data to another system. Use software approved by
the security contact identified in the MOU to overwrite erased data to ensure
nonrecoverability.
38 FOREIGN TRADE STATISTICS
3. All vendor-supplied default passwords must be changed before any computer or
communications system is used for processing Confidential or Prerelease Data.
4. Password protect those utilities that are required only by the installation LAN
manager to maintain security files.
5. Mask, suppress, or otherwise obscure the password display, such that
unauthorized parties will not be able to observe or subsequently recover them.
B-3 Security Incident Reporting
Guidelines:
1. Report all suspected IT Confidential or Prerelease Data security problems or
violations to the Chief, Foreign Trade Division and the Computer Security Team
Leader of the Foreign Trade Division.
2. Communicate the security incident via telephone or paper mail. If e-mail or
facsimile must be used, avoid revealing phrases in the subject. Words like
"hackers," "incident," or suspect names can be dead giveaways to unauthorized,
interested parties. The details should be written to a file and encrypted as an
e-mail attachment.
3. Ensure that every password is changed on a system that has been involved in a
successful attack by a hacker or by some other system penetrator.
Security Guidelines for Federal Government Agencies 39
B-4 Encryption
Guidelines:
1. Use only encryption software that utilizes FIPS-approved Data Encryption
Standard (DES).
2. Ensure that Confidential or Prerelease Data are not sent through e-mail.
3. Develop management procedures involving key distribution, key storage, and
key destruction, and submit them to the Chief, Foreign Trade Division and the
Computer Security Team Leader of the Foreign Trade Division for review and
approval prior to implementation.
4. Provide appropriate physical security for the protection of all encryption keys.
40 FOREIGN TRADE STATISTICS
APPENDIX C
C-1 Checklist for Requesting Confidential
or Prerelease Data
Written on receiving agency letterhead
Cites the legislative authority that supports the request
Identifies the requester and agency employee(s) primarily responsible for
data security
Specifies precisely what data (i.e., net export/import fields off net record
layout, country of destination/origin, port of export/import) are being requested
Defines what period of time the requested data spans, if applicable
Details how the data will be used (i.e., in what investigation, or as input to what
type of statistical analysis)
Identifies all users of the requested information
If requesting Confidential Data, demonstrates why data aggregated to the
agency's requirements will not suffice
If requesting Prerelease Data, justifies the early access
Specifies what time increment is being requested between installments
(i.e., monthly, biweekly), if applicable
If a company is involved in a court case or investigation, includes the
company's Federal Employer Identification Number (EIN)
Security Guidelines for Federal Government Agencies 41
C-2 National Interest Determination Checklist
Description of requested or affected export data, including timeframe(s)
(i.e., Shipper's Export Declarations or detail files)
Statement of the primary purpose(s) of agency data use, including statutory
and regulatory citations
Descriptions of the kinds of activities or operations for which data use is
requested or authorized
Statement that data received will be used and maintained under strictly
secure conditions
Description of the purposes, activities, or operations for which use is not
authorized, if applicable
Statement of export/import law enforcement, statistical, or other NID
policy justification
Statement (determination) that agency use, as requested, is in the NID
Statement of time period for which the determination is effective, up to 5 years
Statement that agency must designate employee(s) primarily responsible for
data security (i.e., Agency Contact Person)
Statement that specific conditions apply to agency receipt, use, and security
of data (Foreign Trade Security Manual)
Statement of whether there is or may be a related interagency agreement,
if applicable
Statement of the amount and frequency of any required agency reimbursement,
if applicable
Statement of whether Census Bureau actions do, or may, require agency
reimbursement, if applicable
Statement as to how the affected agency may request a renewal of the NID
42 FOREIGN TRADE STATISTICS
C-3 Memorandum of Understanding (MOU) Checklist
Includes NID statement
Identifies parties involved in the agreement
States objective of the MOU
States specific purpose to which the data are being applied
Includes confidentiality statement
Cites legal and regulatory authority under which the data are being released
Specifies effective dates for data release/expiration date of MOU, if
Prerelease Data
Particularizes data to be provided:
Codes/Field names
Formats/Layouts
Time periods
Specifies method of data transmittal
States access control procedures will be updated/changed at least every quarter
States Census Bureau will conduct safeguard review at agency site to evaluate
both the use of Confidential or Prerelease Data and the measures employed by
the receiving agency to protect that data
Security Guidelines for Federal Government Agencies 43
Itemizes any specific conditions applicable to agency receipt, use, and security
of data (Foreign Trade Security Manual)
Held and managed only under strictly secure conditions
Used only for purposes, activities, and operations as authorized in the NID
Accessed and used only by named agency employees or agents with a
need to know
Access and used only by named agency employees or agents
Not used for any specifically unauthorized purpose, activity, or operation,
if applicable
Returned or destroyed when use is complete or determination expires
Outlines detailed data protection security measures specific to the receiving
agency's systems, usage requirements, and environment
Identifies a Census Bureau Technology Support Branch as the contact for
key/access control transmittal and general security oversight
Identifies the agency employee(s) to serve as the contact for key/access control
transmittal and general security oversight
Specifies that anyone who might come in contact with Confidential or Prerelease
Data must annually renew and sign a Census Bureau Nondisclosure Agreement
States necessity for continuing data integrity monitoring
Prohibits receiving agencies from publishing data compiled from Confidential
Data without the express, written consent of the Census Bureau; and prohibits
any further distribution of the data, or information based upon the data, beyond
the approved parties prior to the Census Bureau's official release of the trade
statistics, if Prerelease Data, or permanently, if Confidential Data
44 FOREIGN TRADE STATISTICS
States data are not to be released to third parties without prior written approval
Stipulates MOU is internal government document and does not confer rights
or benefits on any private person or party
Defines termination terms
Specifies MOU needs to be updated/renewed after 3 years, and procedure for
doing so
Cites that any unauthorized disclosure may result in denial of future access
and imposition of penalties on the responsible officials, as authorized by
Title 18 USC, Section 1905
Security Guidelines for Federal Government Agencies 45
C-4 Nondisclosure Agreement
This Agreement will be reratified annually by anyone receiving,
using, or having access to Confidential or Prerelease Data.
I will not disclose any of the confidential foreign commerce or trade statistics obtained
for or prepared by the Census Bureau to any person or persons either during or after my
employment. I know such disclosure through publication, or any other communication
method, could result in a fine and/or imprisonment, or removal from office or employment.
I will use these data only for the purposes authorized in the governing Memorandum
of Understanding (MOU) and will abide by the terms and conditions of that document.
This affidavit is required by law (Title 13, United States Code) and forms the basis of
our bond of trust with the public. Respondents entrust to us personal and financial
information that we need to produce aggregate data. In turn, we promise not to disclose
any of our data in such a way that respondents can be identified.
In addition, I acknowledge receipt of a copy of the MOU and the Foreign Trade Statistics
Security Guidelines handbook.
Name Signature Date
U.S. Census Bureau Nondisclosure Agreement for CY/FY
with (agency/dept name)
Security Guidelines for Federal Government Agencies 47
C-5 Checklist for Internal Safeguard Inspections
Review storage and handling of Confidential or Prerelease Data
Review how access to Confidential or Prerelease Data is granted to
authorized employees
Assess facility security features
Verify that Confidential or Prerelease Data have not been commingled with
other information in such a way that confidentiality could be inadvertently
compromised
Review after-hours security measures
Review access to secure storage containers or areas and of responsibility
for changing keys
Analyze security procedures and instructions to employees
Review data processing operations, including computer systems
Review the control and storage of magnetic and paper media
Audit the file room activity
Interview those charged with security responsibilities
Review planned organizational changes to assure that security considerations
are covered
Review procedures for and records of returning, disposing of, or destroying
Confidential or Prerelease Data no longer needed by the recipient