OFFICE OF MANAGEMENT AND BUDGET PRIVACY ACT IMPLEMENTATION GUIDELINES AND RESPONSIBILITIES

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP05C01629R000701570007-1
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 35
• Document Creation Date: December 22, 2016
• Document Release Date: August 3, 2011
• Sequence Number: 7
• Publication Date: July 9, 1975
• Content Type: REPORT

Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
WEDNESDAY, JULY 9, 1975
WASHINGTON, D.C.
Volume 40 ? Number 132
PART III
OFFICE OF
MANAGEMENT
AND BUDGET
PRIVACY ACT
IMPLEMENTATION
Guidelines and Responsi6ilities
STAT
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
23938 NOTICZS
OFFICE OF MANAGEMENT AND (1) Identify each system of records (19) Publish rules dsecribias agency
5UDGV which the a+sney malat++aa and revises 9Toadwee developed pursuant to the
the content of the system to assure Lb" Act and describing any systems wroth
1Crrant?'$S.ra00l only that fafotsmstion Is msintaiatd are proposed to be exempted from pro-
HIA OF CfZtJTIVC OEPe.RTf1ENT9 which y necessaeT and relevant to s visions of the Act including the reasons exemption
consistent AND ES7J1dUSHMEmo tperfoorm by law or ttvtuotder tS with Cett AAA on format Issued by GSA.
lteet+onsialkies for VW " of V.S.C. 532a4 e) t1)) and that no safouma- See S O.S.C. 592atf). (l,. and (t)
Records About In lerwis I bit federal Lion about the Political or religious be- (13) 1Nvlew W agency contracts which
Attr,c,ea lists and activities of fadinduals is provide for the maintenance of systems
1. Jsti)'9ois, This Clreular deflate re- maintained except as provided in S u3.C. of records by or on behalf of the agency
sponsibllities for implementing the Pri? 552ste) t7). to aeeosn$lah an agency function to as-
ca" Act of 1974 %Publlc L-w No. 93-S:3. prepare and publish s public no- son that. where appropriate and W%==
S U.S.C. 552s) to assure that personal rice of the existence and charsctsr of the assn Ya authority. language is a.
information about ladividuala collected those systems consistent with gum Chu" which provides that such systems
by Federal agencies is limited to that on format issued by GSA. Sae S U.S.C. will be malatamed in a manner can-
gataat with the ML See S U.S.C. 552a
wraith is -egW7 authorized and ntasaat7 352sta (4) and (ll) .
and is maintained in a manner which . (3) Collect information which may se- (a)
precludes unwarranted Iatruaione upon salt in an adverse determination about (12) Refrain from renting or aspic(
individual privacy. an Individual from that individual whet- lists of names and addresses unless spe-
2. Backproiind. a. The Privacy Act of ever practicable (5 U.S.C. 332a(e) (2)) etfieally authorized by law. Si, S u.S.C.
19.4. approved December 31. 19T4. set and inform individuals from whom in- 352 (n ).
and submit to the OGcs
forth s series of requirements 1ovw=g formation about themselves is collected (13) Pr"An Federal agency Dasonal. record-U'Pmg of the purposes for which the informs- of Management and Budget and to the
practices. tics will be used and their rights. bane- Congress a report of any proposal to as-Mum of r2cords in a
bl The Act pieces the principal Its per- ply~ data (S U.S.C. $5225(! (3)~)._ ftablish or alter arm consistent awith guidance on con
sinst7 for aeel a g ent
stoone on Federal geacles but also pro- (4) Revise =7 personal they may pee- Stem ee S II.form" :s3and 2a (0 -~t issued by OhO.
vides that the Office of management and forms or processes
Budget shall "develop guises sad scribe for use by other agencies (*4g- (14) Prepare and submit to the Office
regulations ... and provide continuing standard forms) to conform to the re- of Management and Budget on or be art
assistance to and oversight of the Am- qulremens of S U.S.C. 552ate)(3). April 30 of each your. a report of its
piementauon of the ..." operative pro- (Agencies which use such forms to col- activitiaa underntentthe Aciatd forma issued
t'Ltions of the Act by the agencies. lect Information are nevertheless re- guidance an co 3. Defnitiorts. ?or the purpose of this spantibie for assures that individuals by O. See S C.S.C. 532s(P).
from whom Information about them- (15) Conduct training for all agency
Ci-ctiisr: selves is solicited are advised of their personnel who are in any way involved
(ii the term -agency tmosm rJA 1(COn 's rights and obligsaons.) in ma.Lataintag s?steass of records to ap-
t eacentsed m agency in section enud. s 333 .) any of e:stir :gas: ( art- (5) Establish reasonable administra- prtse them of their r esponsibIlit:e5 under
soverna depart
ment. r=111W7 deparsmenc. tyoveram.at mr- give. techtut:aL and Physical safeguards the Act and to ladoctrlrste them wit
porat.on. Government Coawou.d Corporation to assure that records are disclosed only respect to procedures established by
or Ocher establishment is the as.outive to those who are authorzed to have ac- agency to implement the Act. Set S U.S.C.
brawn of the t;overa.ment (lheludiag the c e s and otherwise to protect against U2a(e) f9).
rseeuuve Once of at Prwsdeat. or any to- any anticipated threats or hazards to (16) Establish a program for period;-
epsa)eas regulatory agency.- (a C.S.C. U2 their security
( or integrity which could t assure compii~
and pracuess to the Act.
L J e t 1 ) ) : result In substantial harm. embarrass- valid- :b the teem -Individual,
soda s& lawfully shits meat. inconvenience. or unfairness to ante with
:he emcee straw or es tii)y ad- any individual on whom information is b. The Secretary of Commerce shall..
ztea 3) for a Permanent un- UIC:
3) the ~ u ' iatat taeiue.s Main- mi0 1. ed" See 5 'U.S.C. 532s(b). and consistent tissue standards and guidelines on
gaga eeueet. use. or oc auae~?~~-?': te) (10 (.
141 the term -roco?C" means say item..ol- ( 61 Maintain an accounting of all dim computer and data security.
)eenoa. or grouping of tnforntatiOn about an closures of information from systems of c. The Administrator of General Sere.
tnmvtausi that is maintained by an agency. records except those to personnel within lees shall. consistent with gvldcisaes :s-
Lneludiat. but not limited rot jiie~education.
the agency who have an ofscial need t0 sued by OMB:
trans; ;raasaeuons. incased ye, aaa know or to the public under the Freedom (1) Issue instructions on the forma:
ai err employment history a"ndLast
touLuss his area. or ldentifytng number. of Information Act. and make that Sc. and Hoer
conta-
symbol. or other tdent?.ytag parncuiar sr- counting available as provided in S DS.C. and tad to _ of be agency published notices under the lie
stiea to the tadnvsduai. such as a stager or 3521' c t (1). (2). and (3). See S U.S.C. 5S 2a (e) (4) and r f' .
voice print or a photograph. and ' 7) When using a record or disc]oaint (2) Not later than November 1 1975 30.
151 the term "system of "Cords" means a it to someone other than an agency. as-
d annually thereafter cenipiie net:
group of inc remiss under else Control of any stiffe that it is as accurate. relevant, an
reaseced timely and complete as is reasonably Publish a Compendium of agency r_(es
agency from chick nyformacioa is
(tenoin.r necessary to assure fairness to the iadi? and notices and make that publ)caaC-
ocaer by same
isen:itaefrz; e nnam et umber, ere iam symeoL or or
td available to t the Public at low cost. Set 5
fr:ng parucui&r assigned to the tndivtduai. ndua . See 5 U.S.C. 552a t e) 5) and. 6' ? II3ila le t (f) .
IS) Per=.`t Individuals to have access .C. SSU (3 t; s.C. sib i a)) to records pertaining to themselves and (3) Issue and. or revise procedures
4. Coverape. a. This CL-cular applies to to have an opportunity to request that governing the transfer of records to Fec?
all agencies as defined is the Act. such records be amended. See 5 Q.S.C. oral Records Centers for storart.
D. It applies to all agency activities S32aq d) (1). 13) . and (3) . processing. and servicing pursuant to 44 reco related to the maintenance of systems of (9) Inform prior recipients when a ~?~~103 to disclosed n etc tat tMen he agency
records subject to the Act: 1.11- group- record is amended pursuant to the ter
ma-was
M93 Of personal data about identifiable quest of an individual or a statement which mains n the t recors nos undo established by age irdividuah. See definitions paratraPh 3. of disagreement has been filed. advise
above. any subsequent recipient that a record is are not inconsistent with the PrO%1sloris
5. Aesyonssbillfip. a. Each agency disputed. and provide' a copy of the of the AM It should be records that. ter the head shall establish and maintain Pro- statement of disag:eement to both prior purposes to be main
cedures. consistent with the Act. OM8 and subsequent recipients of the dis- considered which to bepos a in theta. See
guidelines.' and related directives is- Duren latormation. See S U.S.C. 552s i c) age cy 5 (1) .
sued pursuant to this Circular. to '4) and (d) (4).
FOCI" UG*57i'1, VOL 40. NO. 133-NO"93Da?. JULY C. 1973
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
(4) Zstabltsh procedures to assure
that records transferred to the National
Archives of the United States pursuant
to 44 U.S.C. 2103, are properly safe.
rarded and that public notices of the
tstence and character of such records
issued in conformance with 5 U.S.C.
to (1), (2). and (3).
(5) Revise procedures governing the
clearance of interagency data collection
forms for which It is responsible to as-
sure that those requesting information
from individuals are revised in conform-
ance with 5 U.S.C. 5S2a 1 ill 131.
(6i Revise procurement guidance to
Incorporate language consistent with S
U.S.C. 552a (m) : I.e.. to provide that con-
tracts which provide for the maintenance
of a system of records by or on behalf of
an agency to accomplish an agency func-
tion includes language which assures that
such system will be maintained in con-
formance with the Act.
(7 ' Revise computer and telecommu-
nications procurement policies to provide
that agencies must review all proposed
equipment and services procurements to
e assure compliance with applicable provi-
sions of the Act: e.g., Report on New
Systems.
d. The Civil Service Commission shall,
consistent, with guidelines issued by
OMB:
(1) Revise civilian personnel informs-
tion processing and record-keeping di-
rect3ves to bung them into conformance
with the Act.
(2) Devise and conduct training pro-
grams for agency personnel including
troth the conduct of courses in various
ibstantive areas 'e.g.. legal. adminis-
rauve. ADP, and the development of
terials which agencies can use in their
i courses.
:. The Director of the Office of Tele-
communications Policy shall. consistent
with guidelines issued by OMB, issue
and or revise policies governing govern-
ment data telecommunications consist-
ent with the Privacy Act.
I. The Director of the Office of Man-
agement and Budget will:
(1) Issue guidelines and regulations to
the agencies to implement the Act. While
the application of the requirements of
the Act Is the agency's responsibility. In-
terpretive guidelines have been devised
to:
Assist agencies in interpreting the re-
quirements of the Act:
Establish minimum standards or csi-
tena, where appropriate, In applying the
Act.
Provide illustrative examples of the
application of the Act: and
Assure a uniform and constructive Im-
plementation of the Act.
(2) Provide assistance, upon request,
to agencies.
(3) Review proposed new systems or
ethnn es to existing systems.
(4) Compile the annual report to the
Congress on agency activities to comply
with the Act in accordance with 5 U.S.C.
SS2a(p).
(5) Revise procedures governing the
.learance of data collection forms and
sports for which It is responsible to as-
-e that those requesting Information
ut Individuals are revised in oon-
.nance with S U.S.C. 552a(e) (3).
6. Reps. Agencies are required to
submit the following reports consistent
with guidance on format. content, and
timing to be issued under separate trans-
mitta3.
a. Reports on new systems to the Con-
gress. 0MB. and. for the period of Its
existence. the Privacy Protection Study
Commission. Reports shall be submitted
not later than 60 days prior to the estab-
lishment of a new system or the Imple-
mentation of a change to an existing
system.
b. Annual report on agency activities
to comply with 5 U.S.C. 532a to OMB
not later than April 30 of each year.
7. Effective Date. The provisions of
this Circular are effective on September
27. 1975 except that:
a. Reports on new systems which cover
the Implementation of new or altered
systems of records proposed to be effec-
tive after September 27, 1975 shall be
submitted not later than 60 days before
the effective date of those new systems
or changes; and
b. Rules and notices prescribed by the
Act and regulations and guidelines to be
issued by the responsible agencies shall
be issued in advance of the effective date
where required by law (e g., the Admin-
istrative Procedures Act, 5 U.S.C. 553)
or as otherwise necessary to permit
timer' and effective compliance.
8. inquiries. Inquiries concerning this
Circular may be addressed to the Infor-
nation Systems Division. Office of Man-
agement and Budget. Room 9002. NEOB.
Washington, D.C.. 20503, telephone 202
395-4614.
JAmts T. LTN1e.
Director.
(2) Disclesure to the Public
(3) Disclosure for a -Rouuoe Use"
141 Disclosure to the Bureau of tae Census
(a) Disclosure for statistical Retear:h and
Reporting.
16) Disclosure to the National Arehivet
(7) Disclosure tot LOW tworosinest PUT.
Dose.
Ie) Disclosure under Emergency Ciretin:-
stancsa.
If) Disclosure to the Congress.
110) Disclosure ?o gist General Accounting
Once.
(11) Disclosure Pursuant to court Ord*!
(e) ACCOUNTING OF CZATAD( DISC`o-
suRtES
11) When Accounting is Required.
(2) Retaining Lisa Accounting of Disclo-
sures.
(3) M-k"g the Accounting of Disclosures
Available SO the Individual.
t4) Informing Prior Recipients of Correct'
W or Disputed Records.
(d) ACCESS TO RECORDS.
11) Individual Acoes to Records
(2) Requests for Amending Reoords
(A) Ackaowladgement of Requests W
Amend Records.
13) Actions Required on Requests to
Amend Records.
13) Requesting a Review of the Agene-, I
Refusal to Amend a Record.
14) Disclosure of Disputed Information.
(5) Access to Information Compiled is
Anticipation of Civil Action.
it) AGENCY RLQUISU MEN'TS.
111 Restrictions on Collecting Informs-
tor. scout Individuals.
(2) Information a to be Collected Directly
from the Individual.
131 Informing Individuals from whom In-
formation is Requested.
(41 Publication of the Annual Notirt or
systems of Records.
(A) Describing the Name and Location of
the system in the Public Notice.
12) Describing Categories of Individuals
In the Public Notice.
X1 1 Describing Categories of Records In
the Public Notice.
1D) Describing Routine Vass In the Public
Notice.
1E1 Describing Records Management
Policies and Practices In the Public Notice
I1P1 Identifying Oectaisial Responsible for
the System in the Public Notice.
10, Describing Procedures for Deter-
mining If a System contains a Record on an
Individual in the Public Notice.
(B) Describing Procedures for Gaining
Accer In the Public Notice.
(1) Describing Categories of Informntlen
Sources in the Public Notice.
(S) standards of Accuracy.
(e1 Validating Records before Disclosure
(7) Records on Religious or Political Activ-
ltits.
(a) Notification for Disclosure Under
Compulsory Legal Process.
(9) Rules of Conduct for Agency Personnel
(10) Administrative. Technical and Physi-
cal Safeguards.
(11) Notice for New 'Revised Routine Uses
(f) AGENCY RULES
(11 Rules for Determining if an Individua:
is the Subject of a Record.
(2) Rules for Handling Requests for
Access
(3) Rules for Granting Access to Records
(4) Rules for Amending Records.
(5) Rules Regarding Fees.
Annual Publication of Notices and Rules
(t) CrVIL R3LM=rESS
(1) Grounds for Action.
(A) Refusal to Amend a Record
(3) Denial of Access to a Record.
(C) Failure to Maintain a Record Ac-
curate'!.
(D) Other Failures to Comply with the
Act.
(2) basis for Judicial Review and Remedies
for Refusal to Amend a Record.
PRIVACY ACT GUIDEUNES-JULY 1, 1975'
Implementation of Section 552a of Title 5
of the United States
1. The following introductory text.
which was inadvertently omitted, should
be inserted immediately after the head-
ings and before -Table of Contents":
This memorandum forwards guidelines
for Implementing Section 3 of the Pn-
vacy Act of 1974 (5 U.S.C. 552a, P.L. 93-
579) pursuant to OMB Circular No.
A-108 dated July 1. 1975. These guide-
lines were developed to assist agencies in
complying with the Act in an effective
and timely manner.
The guidelines will be revised and ex-
panded as necessary and as experience
in implementing the Act suggests the
need for further interpretation and guid-
ance. Although these guidelines are not
issued pursuant to 5 U.S.C. 553 (the Ad-
ministrative Procedures Act) we Invite
public comment on them.
JA3+css T. LTNN,
Director.
i Section 3 of the Privacy Act of
L. 93-379.
Subsection
(s) DLTIN1T2ONS.
(1) Agency.
(2) Individual.
43) Maintain.
(41 Record.
131 system of Records.
(s) Statistical Record.
(7) Routine on.
(b) CONDITIONS OF DISCLOSURE.
(1) Disclosure Within the Agency.
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
:SOW NOTICZS
. 31 lute for Juatctal Review tad Rem?dtds tae subsection (b) (1). is determintag B.R. 16373 on the Rouse Poor in a state-
tor O.rual of Aa'e?a. what cosstftutas an interagency trans- meat by Coogreasmsa Moorhead-"? ? ?
,4i lase ter Judicial Review aid MINOR* $ fern 'agency' is given the meaning which
for Adverse DetonataUO6 bad other Psti- The first motion-the scope of the cirrus elsewhere in the 37reedom of L?
u: es to Comply.
,51 Jurudicuo$ lad Tlm? unite. defiattion-is covered to the House re- formation Act. A Umted States Code. see-
n i RZOiti3 OF LXOAL 017ARDIANi. port on the FOLA amendments quoted tion $31 (1). as amended by B.R. 12471 of
~iI CRI3tniAL PVIALTX below. as modified by the conference re. this Congress. secaou 5521e'. on whir:
. 1 Criminal Peaatws or ttaautaotss d port language set out thereafter: Congress has acted to override the veto.
Disclosure
-2) Criminal PSnstaa for Pauure to fib- Par, the purpoess of the 1155140. the fib. The present bill is intended to give agen-
l:sa a Public Neva. anion of a4saie7? eras need tspsoded to is. c7' Its broadcast statutory mearAng. This
43) Criminal Ptowuos for 0e11htatag Rest, esudt thaws buttes WAioh may sot be cos. will permit employees and of ctr3 of the
eras under raw Prt?rws. sidered spaces under see:loa U1 (I I of utie agency which maintains the records to
e , x t EZLltMONS. A. V3. Code but wtwea permra pv rameital have seem to such records L they have
CENZRAL Z.? ZXMCI93 APPt.ICA- tu$Cuons dad eostrei laformatsea 01 taw- a need for thm in the performance of
1t.-:T AND N0TICZ RLOCIA.CUMM. got to tae public. The bill up"" the a?b- their duties. For example. within the
I i Genei% Exempuda tot the Cehtrai 10? ninon of "apaey" for purposes of aaesie0 Justice Depatment--which s an agency
:eutptte. Apoer. $32. ;aid Lass( nee A. Vatted States Code. under the bill--traasftr between dtvl-
i 21 0enerst Zxempuen for Cstmutal Law Its Meet a to Loewe Inclusion WNW' the
lWor--meat Records. Act of 0overameat eorpoesua0a. Oovera- sion of the Department. the Q.S. AttO` -
? u SPt=C LxZaRP':R0 3 APPLICA? owes" doatrbUed corporation, or other Sow. nry't odlees. the Parole Board. and the
Sr--" AND 407ICZ 6UOViREML`R3. Lsnments Wlthta ter* ei ettuv branc& such Federal Bureau of Investication would
i : i Exemption for Ciuubed Material. as the VS. Postal Service. be on a need-for-the-record basis.
Lsempuea for Laeestiga5nr7 Material The tor" -establishment to the ZxSent*N Transfer outside the Justice Depa.rtlnent
Cauiputa :or LAW Enforcement Purposes. Met M tae Pr !went," be tuna to tats to other agencies would be more spec4-
,31 Exemption for Reetxas Maintained to amendment mesa, such functional ?atlues
Pror;ae hunuve semen. as the OWN of T?locommwucauoas Policy. Ci11Y regulated Thus. traasftt of iaf0!-
4. Exemption for Statistical Records. the Oleos of Management and ludpl. the matiOn between the FBI and the Crim-
i!i Exemption for Iavetigtorf Material Couaesi of Ecoao a Advisers. as National teal Division of the Justice Department
C'ampiled for Determining auitabWty for security Council the Pedant Property Coua- for 0fflelal purposes would not requLre
Totem Lmp-oymeat or Muteaey Service. Cll. and other similar establuhmeate wain additional showing or authority. in con-
.s1 Exemption for Testing or Esaminsnen have been or may to the future be created by trust to transfer of such information
Contrast through astute or by Es?euuv from the FBI to the Libor Department."
Exemption for Material used se Evaln- Ora"- (Congrassou4I Record November 21.
a:e potential ter Promotion in the Armed The MM " II5 corporation.- u 1474, p. 810!62)
services. need to this subeeenen. would include ? core
Its ARC31MVAL 3LZC0RD& potation that in a wholly Ooveraomt-owned In addressing this question the Justin
1 Records Stand to GSA *.coeds ?ntarprsu. ?stsbifthed by Congress through Department has advised that
Ceatrs. stature. such is the St. Lawrence seaway ? ? ? It It our firm T%fW that the 1174
It Records Archived R :-f r to Septsm- Devttopmeat Corporation. the Federal Crop I roIA 1 Amsaetmears require no ea&ng. in
be, V. 117s. Insurance Corporation (?CIC). the Teases- the origins Act. that it is for the
ever-ti2u.-
31 Records Archived on fir after Septem? set Vafley Authority (TVA). and the later- the Depbruaent or other higher-
le-bar 27. 1175. Am4neaa loundanen. -agars"-to determine witch of its subst
0OVL7M'? r C01Vr2ACTOR& The term -Government controlled Corpo- astir mdepeanet- e?-ffipoDr:g will tea
(ai SSAII.I.rO LISTS. ration." be staed In this rsbeseuon. Would Independently for Freedom of Iaforma:to..
t a i R 'TORT Off Nt:w STST=M. bfindtheudt a Federral l Gov Oovaernment which is not IIIou st Owned Act purposes. Moreover. as the Attorney Gen-
(P) ?
AMMAL RZPORT. r Document e3-17$. pp. e-e. Report on the tral noted to that person of his ls icese -
tq . LF!'EC! OF OTlEEt< LAWS. Freedom of Information Act ameadmeitx dam deatLSg With tae subject- "it is u some-
StraSEGTSON 1 a) Darns rfONf L. ]t 127411. times permtsstble to maize the determination
The cO.if?t5a? state that they Intend to ice. dWereauy for purposes of various provisions
subsection (a) -Par purposes of this of the ACS for example. to publish sod
sect n clue within the dedaiuom of "agency toes. matatata as lade= st the onrnait level :hilt
re-
Agency. Subsection 1aa (1) The term entitle encompassed by a U.S.C. b!1 sad letting the appropriate subunits handle re-
ether entices laeludiag the United State1 quests for their own records.- (At%ora.y Goa-
'agency' means agency as deened in see- Postal serving. the Foetal Rase Commission. OM's Memorsadnm on tae 1174 Amendments
Lion 532te) of this title:" aad government corper'anons Or go ernment- to the Freedom of Information, Act. leeruary,
The definition of `agency" is the same antrolied corporations pow to esssteaa or .1973. p. Id). In our view. tats practice of giv.
as that used in the Administrative Pro- which may be created in the tutu:.. They to mt variable content to the meaasag of the
endures Act as modified by the tettnLt7 not intend to include eorpoeaueas which to- ward "aIeaer for various purposes ma be
ted Freedom of IaforM o c Act cuv appropriated tnnds but we neither applied to to. Privacy Act U Well u the Pr.-
el:sc chattered by the Pedarsi 0ovrameat nor dom of 2aforrasmen Ace. For essmpis. It may
amendments (Pub. L. 93-302): " .agency eoatrelled by !t. such es the Corporation for be dteirabit bad to furheraaee of the pu:-
means each authority of the Government Public Droedeastiag. Expsaelea Of the deb- pose, of the Act to truest the various oompo-
of the United Stites, whether or not it is ration at "apae7 in this ?oh action Is in. yrote of a Department as separa:+ "agwmces??
within or subject to review by another tended to bexrdea appltraOlitty of she Puce for purposes of ens.rtaIn applications for
agency ..." (S Z.B.C. 532(l)). "1T7he does of Information Act but It L not Intend- scone dad ruling upon appesu trues denials.
term agency ? ? ? inc1' ins any 43=. ed that the term "tpae'r be appaed to sae- while nests g tae Department u the
eve department. military department. dIviaOSi, sdtcee Or 111115 Within as e(M7? "ions" for purpose of thole provisions
Government eorpotatio Government With respect to the meaning of the term unsung Intragoverameatal exchange of rcontrolled corporation n. Other estib- "iseet t i. Omer at the !resident' the con- ords. Of comm. dissemination among eom-
controlled
in the ivt breath es the terewr intend the result reached In Souets v. poaenu of the Department must still be only
Dsrid, eta P. 2d. 1067 (CJ1..C. MI). The on s -aced-to?taew" baste. s V.S.C. aala t b i
Goverment (Rica 1"e the Executive term Is not to be latrprvted as Including the (1).) Needles to ay. tots practice must a*-.
O11ee of the President). or alh7 lade- Presid?avs immediate personal stay or units be employed mviaiouaty. so as se fsuscrto
pendent regulatory teeny.' (S U.S.C- in the Executive Omes whose sae lnaetion rather than to further the purposes of the
13ili e) as added by Pub- L. g3"S02) is to advise Mad asast tae President.- (Rouse Act. dad there should be a consistency be-
Two aspects; of this denaltioon require Repoes 13-13,0. P. 14-is) tween the practice under the Trews Act
further explanation: Whether or not an are=7 can exist and the practice for compare is purpwer
under tne. !le.aom of Ea. brmati0n AK Per
The scope of the term: Le.. what earl. within an agency is a somewhat more the reason 1% seems to us doubtful (thougz
ties are Cowered. bow has the de ninon complex issue. 'This Is addressed. In part. Dot entirely ImpeeabI.) that a Department
of aaency been broadened to encompass in the above gelation from the confer- or stair over-unit wales has nested its com-
adcttioaal ortnnitstions as s result of once repot. language In the statement patients as spsrss? spaces tar all purpo...
the FOLA amendments? "? ' ? but it is not intended that the under the Freedom of Information Act 4o?
term 'agency be applied to subdivisions, saeosestuily mstatals that all of its cow
Whether or not entities within an dean can be considered a single --apt:
u,ency are to be eoaiidesed sg"^"`"? offices. or traits within an agency." The under the Pnvt.f Arc Simply to facillts
T h u s is pasttcu a r l 7 signiuant in apply. issue was a l s o addressed in debate an the exchange of :500.4, (Letter from As,ist-
PlDUAL 1*G*STaa. vol. 40. NC. 132-WWNLSDAT, JULY t. 1973
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
ant Attorney Oesenl. Otace of Laps CounseL
dated ?pru is. 1571)
In addition to the matter of deter-
nining when a component of an agency
to be considered an agency itself when
I entire agency Is to be treated as a
axle entity, the issue sagas as to wheth-
er as entity or individual serving more
than one agency may be considered an
"employee" of each agency be serves. for
certain purposes. While this Is not
speciacally addressed in the Act. it Is
reasonable to assume that members of
temporary task forces. composed of per-
sonnel of several agencies. should usual-
ly be considered employees of the lead
agency and of their own agency for pur-
poses of access to Information. similarly.
members of permanent "strike forces"
and personnel crossdesignated to serve
the functions of two or more agencies
should usually be treated as employees
of both the lead agency and their own
employing agency. e.g.. employees or
State or local officials assigned to or-
sannzed crime, and customs othcers cross
designated to pertrom each others func-
tions.
Individual. Subsection (a) (2) 'The
term 'individual' means a citizen of the
'United States or an alien lawfully ad-
misted for permanent residence:"
This definition Is Intended to "distin-
guish between the rights which are given
to the citizen as an individual under this
Act and the rights of proprietorships.
businesses. and corporations which are
not intended to be covered by this Act.
"his distinction was to Insure that the
11 leaves untouched the Federal Gov-
-nment's information activities for such
poses as economic regulations. This
nation was also included to exempt
Jm the coverage of the bill intelligence
files and data banks devoted solely to
foreign nationals or maintained by the
State Department. the Central Intelli-
gence Agency and other agencies for the
purpose of dealing with nonresident
aliens and people in other countries."
(Senate Report 93-1183, p. 79).
The language cited above suggests that
a distinction can be made between In-
dividuals acting In a Personal Capacity
and individuals acting In an entrepre-
neuri .l capacity (e.g.. as sole proprie-
tors) and that this definition (and.
therefore, the Act) was Intended to em-
brace only the former. This distinction
is. of course crucial to the application
of the Act since the Act, for the most
part, addresses "records" which are
defined as ' ? ? Information about
Individual;" (subsection (a) (4) ). Agen-
cies should examine the content of
the records In question to determine
whether the Information being maia-
tamed is. In fact, personal in nature. A
secondary criterion in deciding whether
the subject of an agency We is. for pur-
poses of the Act. an Individual. is the
ma=,v In which the information is
used: Le- Is the subject dealt with In a
personal or entrepreneurial role.
Files relating solely to nonresident
Uens are not covered by any portion of
1e ACL Where a system of records covers
-Lb citizens and nonresident aliens, only
portion which relates to citizens or
.eaident alms Is subject to they Act but
agencies are encouraged to treat such
systems as It they were, in their eoUrety,
subject to the Act.
The Act and the legislative history are
allent as to whether a decedent may be
considered to be an individual and
whether anyone may authorize the rights
of the decedent to records pertaining to
him maintained by Federal agencies. It
would appear that the thrust of the Act
was to provide certain statutory rights to
living as opposed to deceased Individuals.
But for the provision enabling parents to
act on behalf of minors and guardians to
act on behalf of those deemed to be In-
competent, the rights of an individual
provided by the Privacy Act could not
have been utilized In their behalf by
those interested. The failure of the Pri-
vacy Act to so provide for decedents and
the overall thrust of the Act-that Indi-
viduals be given the opportunity to judge
for themselves bow, and the extent to
which, certain Information about them
maintained by Federal agencies Is used.
and the Implicit personal judge) . '^-
volved In this thrust--indicates that the
Act did not contemplate permitting rel-
atives and other Interested parties to ex-
ercise rights granted by the Privacy Act
to individuals after the demise of those
Individuals. These same records. however,
may pertain as well to those living per-
sons who might otherwise seek to exer-
cise the decedent's right with regard to
that Information and thereby be covered
by the Privacy Act. Furthermore, access
to a decedent's records may be had In
various judicial forums as a part of, or
ancillary to, other proceedings.
Maintain. Subsection (a) (3) "The
term 'maintain' includes maintain, col-
lect. use, or disseianate;"
The term "maintain" is used in two
ways In the Privacy Act.
First. It Is used to connote the various
record keeping functions to which the
requirements of the Act apply; i.e" main-
taining. collecting. using, or disseminat-
ing. Thus. wherever the word ..maintain.,
appears with reference to a record, one
should understand it to mean collect,
use, or disseminate or any combination
of any of these record-keeping functions.
Second. it Is used to connote control
over and hence responsibility and ac-
countability for systems of records. This
Is extremely Important given the civil
and criminal sanctions In subsections
(g) and (i) for failure to comply with
certain provisions. The applicability of
certain provisions. including the exemp-
tions In subsections (j) and W, can be
determined by an agency's ability to
demonstrate that it has effective control
over a system of records. See. for exam-
ple, subsections ib) (1). W. (e) (1). (e)
0), (g). and (1) wherein the term
"maintain" clearly means having effec-
tive control over a system of records. To
have effective control of a system of rec-
ords does not necessarily mean to have
physical control of the system. When
records are disclosed to Agency B from a
system of records maintained by Agency
A. they are then considered to be maia-
tamed by Agency B as well as Agency
A) and are subject to all of the provi-
dons of the Act In the same manner as
though Agency B had originally compiled
them. U one agency turns over a record
from its system of records to a second
agency and that record Is placed in a
separate system of records maintained
by the second agency, then the record
becomes part of the system of records
maintained by the second agency and
all of the published material as to the
second agency's system of records would
apply to the record moved Into Its sys-
tem.
The requirements of Aabaeciien ten
must also be oareiully considered in de-
termini" which systems are to be con-
sidered as "maintained-" is., controlled
by an agency within the terms of the
Act Subsection (m) stipulates that sys-
teitas of records operated under am-
tract or. in acme Instances. State or lo.
cal governments operating under Fed-
eral mandates "tri or on behalf of the
agency . to accomplish an agent;
function" are subject to the provisions of
Section 3 of the AcL The intent of this
provision is to make it clear that the sys-
tems "maintained" by an agency are not
limited to those operated by agency per-
sonnel on agency premises but Include
certain systems operated pursuant to the
terms of a contract to which the agent:
is a party. The qualifying phrase "to ac-
eompbsh an agency function" limits the
applicability of subsection (m) to those
systems directly related to the perform-
ance of Federal agency functions by ex-
cluding from its coverage systems which
are financed. in whole or part. with Fed-
eral funds, but which are managed b)
state or local governments for the bent.
fit of State or local governments.
Record.-Subsection (a) (4) "The tern.
'record' means any item. collection. or
grouping of information about an Indi-
vidual that is maintained by an agency.
Including, but not limited to. his educa-
tion. financial transactions. medical his-
tory, and criminal or employment his-
tory and that contains his name. or the
identifying number. symbol. or other
identifying particular assigned to the
individual. such as a finger or voice print
or a photograph:"
The term "record". as defined for pur-
poses of the Act, means a tangible or
documentary record as opposed to It rec-
ord contained in someone's memory I and
has a broader meaning than the terry.
commonly has when used In connectior.
with record-keeping systes. 'It may
also differ from the usual definition of a
computer record.' An understanding of
the term "record", as it. is used in the
Act. is essential in Interpret-m-, the
meaning of mate of the Act's recr:::.-
men t.s.
A "record"
Means any item of irformsuon about
an individual that Includes an individ- /
nal Identifies:
Includes any grouping of such Item'
of Information It should not be con-
fused with the use of the term record
in the conventional sense or as used in
the automatic data processing (ADP'
community) :
Don not distinguish between data and
Information: both are within the scope
of the definition: and
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05C01629R000701570007-1
28952 NOTI s
Ineludac individual ideatttlels In Say As pr us17 noted. the dellattton of some other nonperson( wen= scheme
firm tncludlnt. but not limited to. net " was broadened to encompass (e.g.. type of arm) they we not s pat-. o'
prints. voice prints and photographs. all systems used by Federal agencies. The a system of records. Ateaexu will neess
The phrase Identifying particuiat" phrase " . ? ' under the control of sal seril7 have to mates determltutioaa on
suggests any dement of data (name. agene7 ' ? ? to the desnition of "syi- system-b7-system bee a.
numoer) or other descriptor tsnger gem of records" was not intended to Considerable latitude Is left to the
print. voids prm$, pbotogrspha) which owninate from the coverage at the Act ateae7 In defining the scope or gsoupmg
can be used to identt.7 an individual. sal of those systems (which would large- of records which constitute a system.
Ideaut7iat particulars are not always 17 negate the definition of "maintain"". Conceivably all the "records" for s par.
unique (Le" many Individuals Share the but rather was intended to asig;i rsapon- tieu:i progcem ass be eonsidered a
same name) but when they ate not sibllity to a particular agency to dls? Slagle system or the agency may con-
usique (e.g.. name) they an iadlTiduall7 Charge the obligations established by the side. it appropriate to segment a system
assigned-.as daungulabed from generic Privacy Act. An agency Is responsible by function or teotrachle unit and treat
?esareeterisym for than systems which are "' . ' each segment as a "system". The 1m-
The term 'fiord" was donned to under the control or that agetset. The plications of these decioons and some
assure the intent that a record an la- CODCept of poasesston Implicit In this limitations on them are discussed to
dude as little as one desc iptive Item phrase Is also apparent in the language connection with subsection (e) (4). pub-
about an Individual." (Co+wfasional which begins most of the operative sub- ((cation of the annual notice. Baedt. the
Record. P. SZI919. December 17. 1974 seCD.CCS of the Act. For sample. the two considerations which the agency
and P. 31246. December It. 1974). 'ibis concept Is evident although tacit In sub- should tale Into account to its decisions
de=non "mrludes the record of present section (b) : express In subsection (e) aria ability to comply with trequtre-
registratlon. or membership In an orga- "under Its control . ' '" "' ? ? a.t " meats of the Act and with the the sire-
- ntstton or activity. or admission to an maintains a system of teesii'!f~^
Institution." (Senate Report 93-1113. P. In subsections (d). (e) and (9) : "agency else Of the rights of tadivtduals'. and
79). M bile this language was written records" in subsection (1) . and "? . ' The cost sad convenience to the
with reference to the definition of the any system of records within the agency. but only to the extent consistent
term "personal Information" In the agency" In subsection (1) and (it). with the first consideration.
Senate bill. It would appear to be equally The Intent was, despite the different Statistical *ecord. Subsection (a)( 5)
applicable to the tam "record" as used wording for each subsection. not to have 'foe term 'statistical record' meats a
bsections apple to a differ- record In a System of records mainta. ed
fl
f
to the ACL)
A record, by this definition. can be
past of another record. Therefore pro-
hibitions on the disclosure of a record.
for example. apply not only to the entire
record in the conventional sense (such
as a record in s computer system), but
also to say Item or grouping of hers
-
s record provided that such group
2ag includes an Individual Identifier.
S;rs m. o1 Records. Subsection (a) (3)
"The -team 'systeat of records' means &
g.?oup_.of any records under the _2-.
!2 of any agency from which tnformatioa
Is retrieved by the name of the iadivtduil
or by some Identifying number. symbol.
or other ident Eying particular assigned
to the individual;"
The definltioh of "system of records"
It .its the applicability of some of the control or an agency as well as in the
provisions of the Act uo "records" which definition of "record" (3 U.S.C. 552(a)
are maintained by an agency. retrieved j4)).
by individual idenumar (Le" there Is an age= shill not classify records.
=I= AzL as discussed indexing or retrieval apahtii which are controlled sod maintained by
above, lint gym' 1L as non?s~ietu7 records. In order to
above. built into the system). and the avoid publishing notices of their exist-
about ladtvidu does. l by fact. reference retrieve to records some once. prevent sceesc by the Individuals
peals by to whom they pertain. or otherwise evade
identMer. personal the requirements of the act.
A system of records for puposes 01 The an retrieved by" criterion Im-
the Act must meet all of the following plies that the grouping of records under
then consist of records. See discus- the Control of an agency Is accessed by
2i must "record" the agency by use of a personal ldeati-
sioas of "record" la) (4) . above ater: not merely that a capability or po-
It 'must be "under the control or an tential for retrieval exists. For example.
ageae7. an agency record-seeping system on
It must consist of records retrieved by Arms it regulates may contain "records"
reference to an individual name at Some (Le" personal lnforaatlon) about olLcers
other personal Identiner. of the arm incident to evaluating the
mLe phrase "? . under the control Arm's performance. Even though these
of any agency ?" was Intended to are clearly "records" under the control
accomplish two separate purposes: (1) of" at agency. they would not be can-
: o determine possession and establish sidered part of a system as defined by'
accouatabilltT sad (Z) to separate~e Act males the agency accessed them
agency records from records which at by reference to a personal Identifier
t*w ' " personally by employees of (name. etc.) . That Is. It these h7potbeti-
an agency bat which are not agency roe- cal "records" are new retrieved except
mss. by reference to company IdentiAer or
u Su
each o
ens roster of systems of records. but to for statistical research or reporting pur-
exprees, In terms of possession. for which poses only and not used in whole or in
systems of records an agency was re- part ~ makm ~~vdetermination
s as pro.
spoasibe. vided by section $ of title 13:"
The second purpose of the phrase was
to distinguish "agency records" from A "statistical record". for purposes of
those records which, although in the this Act. Is a record in a system of more
physical possession of agency employees that is not used by anyone to making a
and used by them in performing omcial determination about an individual. T
functions. were not considered "agency means that. for a record to qualify as r
records." Uncirculated personal notes. "statistical record". It must be held In a
papers and records which are retained system which Is srotrated from systems
or discarded at the author's discretion some perhaps cons'- f the same in-
and ova which the agency exercises no formation) which contain records that
control or dominion (e.g" personal tale- are used in any manner in ""'g do_
phone lists) are not considered to be cisions about the rights. beneAts. or en-
agency records within the meaning of titlements of in identifiable indineuaL
the Privacy Act. 't'his distinction is em- The term "identLeabie individual" is
____d distinguish d
iw.t ohs about
ete
speciae Individuals from acre = lions
about aggregates of Individuals as, for
example. census data are used to appor-
tion funds on the basis of population.
By this definition. it appears that some
so-called "research records" which are
only used for analytic purposes quaW 7
as "statistical records" under the Act if
they an not used in malting det ..,na-
tions. A "deter..-ination" is derned as
"any decision affecting the indirdual
which is In whole or in part based on in-
formation contained in the record and
which is made by any person or an
agency." (House Report 93-1416. P. 13.)
Most of the records of the Bureau of
the Census are considered to be "statisti-
cal records" even though. pursuant to
section $ of title 13. Called States Code.
the Census Bureau is authorised to ' .--
Hash transcripts of census records for
genealogical and other proper purposes
and to make special statistical surveys
from crisis data for a fee upon request."
(House report 93-1416. P. 1:)
In plying this definition, It s:
be helpful to distinguish three types
collections or groupings of information
about Individuals : (1) Statistical cam-
Ma" nopsru, volt .o. "o. i n-.WEDNnDAY. nnY ?. IM
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05C01629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
pliatfons which. because they cannot be
Identified with Individuals, are not sub-
lect to the Act at all: (2) "records"
aaiatained solely for the purpose of
ompillnt statistics-wh" are the types
I records covered by (a)(6): sad (3)
'records" on individuals which are used
both to compih statistics and also for
other purposes. e.g. a cil-"+"?' history
record used both to compile Individual
statistics and to assist a judge In making
a sentencing decision about the indi.
vidual to whom the record pertains,
which is not a " itatutieal record."
The term "statistical record" Is used
In subsection (k) (4), speclfc exemp-
tions.
Aosttine wit. Subsection (a) (7) "The
term 'routine use' means. with respect to
the disclosure of a record, the use of such
record for a purpose which Is compatible
with the purpose for which It was col-
lected."
One of the primary objectives of the
Act is to restrict the use of information
to the purposes for which it was col-
lected. The term "routine use" was Intro-
duced to recognize the practical limita-
twns of restricting use of information to
explicit and expressed purposes for which
It was collected. It recognizes that there
are corollary purposes "compatible with
the purpose for which the information)
was collected" that are appropriate and
necessary for the efbclent conduct of
government and In the best interest of
both the individual and the public. Rou-
tine uses include "transfer of informa-
tion to the Treasury Department to com-
,lete payroll checks, the receipt of Infor-
u:ion by the Social Security Adminis-
.tlon to complete quarterly posting of
.ounts, or other such housekeeping
-aeasures and necessarily frequent inter-
agency or ints'a-agency transfers of in-
formation." (Congressional Record V.
S21816. December 11. 1974 and p.
H12244. December 18, 1974)
Additional guidance on the conceptual
basis for "routine uses" is found in the
statement of Congressman Moorhead on
the House floor:
It would be an impossible legislative task
to attempt to set forth all of the appropriate
uses of Federal records about as identifiable
individual. It in not the purpose of the bill
to restrict such ordinary uses of the lator-
mauon. Rather than attempting to specify
each proper use of such records, the bill
gives each Federal agency the authority to
set forth the "routine" purposes for which
the records are to be used under the guld.
once Contained in the committee's report.
In this sense "routine use" does not on-
oompaas merely the common and ordinary
uses to wnic: records are put, but also In-
eludes all of the proper and necessary uses
wen if any such use occurs tntrequently?
Tor esample, individual income tat return
records an routinely used for auditing the
determination of the amount of tax due and
for assistance in collection of such tax by
civil proceedings. Tbey are less often used.
however, for referral to the Justice Depart-
ment for possible criminal prosecution in
the event of possible fraud or tax session.
though no one would argue that such referral
is improper thus the 'routine" use of such
swords and nabseetion (b)(3) might be ap.
iropriately construed to permit the internal
sevens Service to list in Its regulstioaa
'b a referral as a 'r'outine use:'
AgWa U a Federal weary such as the
lousing and Urban Deveiopmest Depart-
want ?r tie mall Busts.. admlnbtraum
were to dtseowr a ;Wwbie f?atdttisest
seaeme in one of is programs it seem -mu-
tsaafy", as it does today, refer the relevant
wt or the small Business ?dminlstrauen
iavesugatory arm the, FIB.
Mr. Chairman. the bill obviously Is not
Intended W probiblt each necessary aa-
chasges of tntormation, providing as rule-
making procedures are followed. It Is
intended W peoblbit gratuitous, ad bor. ales
seainatione for private or otherwise uregu-
tar purposes. To this end It would be euS -
cient s an agency publishes as a "youuae
use" of its latorm-tlon gathered in any pro-
gram that an apparent violation of the law
will be referred to the appropriate law an-
forcemeat authorities for Investigation and
possible criminal prosecution. situ court ae-
tioa, or regulatory order. 1Conrrtseronal Ate-
ard, November 2f, 1174, p. 110e62)
In discussing the final language of the
Act. Senator Ervin and Congr 'man
Moorhead. In similar statements said
that "It] he compromise definition should
serve as a caution to agencies to think
out in advance what uses It will make of
Information. This Act Is not intended to
Impose undue burdens on the transfer of
Information to the Treasury Department
to complete payroll checks, the receipt
of Information by the Social Security Ad-
ministration to complete quarterly post-
ing of accounts, or other such housekeep-
ing measures and necessarily frequent in-
teragency or Intra-agency transfers of
Information. It is, however. Intended to
discourage the unnecessary exchange of
Information to other persons or to agen-
des who may not be as sensitive to the
collecting agency's reasons for using and
Interpreting the material." (Congression-
al Record, December 17, 1974, V. 621816
and December It. 1974, p. B12244). This
Implies, at least. that a "routine use"
must be not only compatible with, but
related to. the purpose for which the rec-
ord Is maintained: e.g., development of
a sampling frame for sn evaluation study
or other statistical purposes.
There are certain "routine uses" which
are applicable to a substantial number
of systems of records but which are only
permissible if properly established by
each agency:
Disclosures to a law enforcement
agency when criminal misconduct is sus-
pected in connection with the adminis-
tration of a program; e.g" apparently
falsified statements on a grant applica-
tin or suspected fraud on a contract.
Disclosures to an investigative agency
in the process of requesting that a back-
ground or suitability investigation be
conducted on Individuals being cleared
for access to classified information, em-
ployment cc contracts, or appointment
to a position within the agency.
The Act further limits the extent to
which disclosures can be made as "rou-
tine uses" by requiring an agency to es-
tablish the "routine uses" of information
in each system of records which It main-
tains by publishing a declaration of In-
tent in the lratAL Rzcssrsa, thereby
permitting public review and comment
(subsection (e) (11) ).
Scaszcnrop (b) Coicatztoss or
RiaCZArtu
Subsection (b) "No agency shall dis-
close any record which is eomouned in
a system of records by any means o:
oosrimuaieation to any person. or to
another agency, except pursuant to a
written request by. er with the prior
written consent of. the individual to
whom the record pertains, unless dis-
closure of the record would be-"
This subsection provides that an
)agency may Sot disclose any record con-
tained In system of records, as dehnec
In subsection (a) (8) above, to any pet -
son or to any other agency unless the
agency which maintains the record is
requested to do so by the individual to
whom the record pertains or the agency
has obtained the written consent of the
Individual or the disclosure would fall
within one or more of the categories
enumerated in subsections (b) (1)
through (11). below. The phrase "by any
means of communication" means any
type of disclosure (e,g" oral disclosure.
written disclosure, decuonic or mechan-
ical transfers between computers of the
contents of a record).
Disclosure, however, Is permissive not
mandatory. An. agency Is authorized to
disclosure a record for any purpose
enumerated below when It deems that
disclosure to be appropriate and con-
sistent with the letter and intent of the
Act and these guidelines.
Nothing in the privacy act should be
Interpreted to authorize or compel dis-
closures of records. not otherwise per-
mitted or required, to anyone other than
the Individual to whom a record pertains
pursuant to a request by the individual
for access to it.
Agencies shall not automatically dis-
close a record to someone other than the
Individual to whom it pertains simply be.
Cause such a disclosure Is permitted by
this subsection. Agencies shall continue
to abide by other constraints on their
authority to disclose Information to a
third party Including, where appropriate.
the likely effect upon the Individual of
making that disclosure. Except as pre-
scribed In subsection (d) (1). (individual
access to records) this Act does not re-
quire disclosure of a record to anyone
other than the individual to whom the
record pertain.
A disclosure may be either the transfer
of a record or the granting of access w
a record.
The fact that an Individual is in-
formed of the purposes for which Infor-
mation will be used when information is
collected pursuant to subsection i e
does not constitute consent.
There are two Instances in which con-
sent to disclose a record might be ac-
tively sought by an agency (Le.. with-
out waiting for the Individual to request
that a disclosure be made).
Disclosure would properly be a 'rou-
tine use" (b) (3) ) but disclosure Is pro-
posed to be made before the 30 day
notice period: e.g" the agency is devel-
oping a sampling frame for an evaluation
study or a statistical program directly
related to the purpose for which the
record was estabit-? 1,
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
Disclosure L unrelated to the purpose
for which the record is maintained but
the Individual may wash to elect to have
his or her record disclosed: e.g.. to have
Information at a Federal employment
application referred to State 3160,061118 or
to permit information on such an appll-
eation to be checked against other Fed-
eral agency's records.
In either ease. however. care must be
ezerc.sed to assure that the language of
the request is not coercive and that any
consequences of refusing to Consent in
made clear. It is pa tIcularly important
that the Impression not be created that
consent to disclose is a prerequisite to
obtaiaiag a benefit when it Is not
The consent provision of this subsee-
tton was not intended to permit a blanket
or open-ended consent clause: Le_ one
which would permit the agency to dis-
ClOSe a record without limit At a mini-
mum. the Consent clause should state the
general purposes for, or t,'pes of recip-
ients. to which diseosuea may be made.
A record in a system of records may be
disclosed without either a request from
or the written consent of the individual
to whom the record pertains only if dl-
closure is authorized below.
Disclosure within the Agency. Subsec-
tion (b) (1) "To those omeers and em-
ployees of the agency which maintains
the record who have a need for the rec-
ord in the performance of their duties:"
This provision is based on a "need to
Imow" concept. See also definition of
"agency," (a) (1). It is recognized that
agency personnel require accw to rec-
ords to discharge their duties. In discus-
sing the conditions of disclosure provi-
sion generally. the Souse Committee
said that "it is not the Committee's In-
tent to Impede the orderly t:oaduct of
government or delay semen performed
in the interests of the Individual Corder
the conditional disclosure provisions of
the bill. 'routine' transfers will be per-
nutted without the necessity of prior
written consent. A non-routine' transfer
Is generally one in which the personal
information on an individual is used for
a purpose other than originally In-
tended." (House Report 93-1416, p. 12).
This discussion suggests that some
constraints on the transfer of records
within the agency were intended irre-
spective of the detaition of agency. MIa-
tma.U . the recipient officer or employee
must have an os:Ic al "aeed to know."
The language would also seem to imply
that be use should be generally related
to the purpose for which the record Is
maintained.
Movement of records between person-
nel of direreat agencies may It some In-
stances be viewed as tetra-agency dis-
closures if that movement is in connec-
tion with an inter-agency support agree-
ment. For example, the payroll records
compiled by Agency A to support Agency
B in a crass-sernct arrangement are.
arguably. bolas maintained by Age= A
as if it were an employee of Agency B.
While such t: casters would meet the
criteria both far Tatra-agency disclosure
and "routine use." they should be trusted
as )ntra-sgeaty disclosures for purposes
of the accotmt.ag requlrememts (e) (4) .
in this cam however. Agency 3 would
remain responsible and liable for the
maintenance of such records in coll-
formance with the Act.
It should be noted that the conditions
of disclosure language makes no spersc
provision for disclosures expressly rt-
auired by law other than 5 CA.C. 552.
Such disclosures. which are in effect can-
gressionally-mandated "routine uses."
should still be established as "routine
uses"' pursuant to subsections (e) 111)
and (e) (4) (D). This is not to suggest
that a "routine use" must be specilleail7
prescribed in law.
Ditclosure to the Public. Subsection
(b) (2) "Required Under section $62 of
this title:" Subsection (b) (2) Is Intended
to preserve the status quo as interpreted
by the courts regarding the disclosure of
personal Information" to the public un-
der the Freedom of Information Act
(Congressional Record p. $21917. Decem-
ber 17. 1974 and p. 81:244. December 16.
IM). It absolves the agency of any ob-
ligation to obtain the consent of an In-
dividual before disclosing a record about
him or her to a member of the public to
whom the agency is required to dlscloee
such information under the Freedom of
Information Act and permits an agency
to withhold a record about an Individual
from a member of the public only to the
extent that it is permitted to do so under
closed tLe.. they are permitted to be
532(b)). Given the use of the term "re-
quired". agencies may not voluntarily
maze public any record which they are
not required to release (Le" those that
they are permitted to withhold) without
the consent of the individual unless that
disclosure is permitted under one of the
other portions of this subsection.
Records which have traditionally been
considered to be In the public domain
and are required to be disclosed to the
public. such as many of the coal orders
and opinions of quasi-Judicial agencies,
press releases. etc. may be released under
this provision without waiting for a spe-
cific Freedom of Information Act request.
?or example. opinions of quasi Judicial
agencies may be sent to Counsel for the
parties and to legal reporting services.
and press releases may be issued by
agencies dealing. with public record mat-
ters such as suits commenced or agency
proceedings Initiated. Records which the
agency would elect to disclose to the pub-
lic but which are not required to be dis-
closed (Le- they an permitted to be
withheld under the Pow may only be
released to the public under the "routine
use" provision (subsection (b) (3) ). Note.
however. that an agency may not rely on
any provision of the Freedom of Intor-
maslon Act as a basis for refusing access
to a record to the Individual to whom It
pertains. unless such refusal of access
is authorized by an exemption within the
privacy Acs. See subsections (d)'(1) and
(g) below.
"routine use". as defined above. if the:
"routine use" has been established at.
dacrsbed in the public notice about t'
system published pursuant to subsection-
(e) (4) (D). and (a (11) below.
Disclosure to the Bureau of:" Census.
Subsection (b) (4) "To the Bureau of the
Census for purposes of pla'n'es or car--
06 ing out a census or survey or related ac-
tivity pursuant to the provisions of title
13:
Agencies may disclose records to the
Census Bureau In individually ides:--:.' -
abie form for use by the Census Bureau
pursuant to the provisions of T.tle 13.
ITitle 13 not only limits the uses wmu?
may be made of these records but also
mattes them Immune from Compulsory
dlsclosurr .
Disclosure for Statistical Research and
ARepertinp. Subsection (b) %5) "': o a
recipient who has provided the agency
with advance adequate written assurance
that the record will be used solely as a
statistical research or reporting record.
and the record Is to be transferred in a
form that Is not Individually tdent3-
able:
Agencies may disclose records for sta-
tistical purposes under limited condi-
tions. The use of the phrase "M a form
that is not Individually identifiable"
means not only that the Information
disclosed or transferred must be
stripped of Individual identifiers but,
also that the identity of the Individual
can not reasonably be deduced by any
one from tabulations or other prose
taaons of the Information (i.e.. t
Identity of the individual can not be de-
termined or deduced b! combining vari-
ous statistical records or by reference to
public records or other available sources
of information.) See also the discussion
of "statistical record" (a) (6)), above.
Records, whether or not statistical
records as defined In (a) (6). above. ma!r
be disclosed for statistical research or
reporting purposes only after the agency
which maintains the record has set wed
as(d evaluated a written statement
which:
States the purpose for requesting the
records: and
Cer. lies that they will only be used as
statistical records.
Such written statements will be made
paut of the agency's accounting of ass-
closures under subsection (c) (1).
F sndamentally. agencies diatlo.SiAs
records under this provision a.z re-
quired to assure that information di-
closed for use as a statistical research o:
reporting record cannot reasonably be
used in any way to matte determinations
about individuals. One tray infer from
the legislative history and other portions
of the Act that on objective of this pro-
vision is to reduce the possibility of
matching and analysis of statistical rec-
ords witId other records to reconst .itt
Individually Identifiable records. An a:-
Disclosure fora "Routine use. Sub- counting of disclosures is not required
section (b) (3) "Por a routine use as de- when agencies publish aggregate data
fined in subsection (a) (7) of this section ions as no Individual member of
and described under subsection (e) (4) population covered can be ideatiflt
(D) of this section." for example. ststlstio on employee a
Records may bi disclosed without the
prior consent of the Individual for a over rates sick leave usase rates
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
NOTICES '" .
Viewed from the perspective of the individuals who knowingly and willfully disclosed need not necessarily be the ir,-
recipient agencies. material thus trans- provide inaccurate or erroneous Worms- djvlduLl ~Th se health of ental safety yr is a:
itfred would not constitute records for tiorni Zhu sage wastaxplriciit adaddressed several individuals to order to identt:%
s purposes.
hsetosure to the National Archives. by Congressman Moorhead in explaining an fndfvidnal who was ia2ured in an
isecuon (b' (6) "To the Nation, At- the House bill. on the floor of the House: accident.
m to the Congress. subseettor.
es of the United States as a record it should be noted that the "routine use- a
fpi8i s-To urtither House a Congress or
ch has sufficient historical or other exception is in addition to the exception
slue to warrant its continued preserves- provided for dissemination for law enforce- to the extent of matter within lie 3urit-
tior. by the United States Government. or meat act.rity under subsection (D) (7) of the diction, any committee or subcommittee
for evaluation by the Administrator of bite. Thus a requested record may be dissem? thereof. any Joint committee of Congress
General Services or his designee to de- tasted unoer either the "routine use" weep- or subcommittee of any such )Gin-.
terfaine whether the record has such doff. the "law enforcement" exception. or eomniitfee:"
both sections. depending on the eircumstsa- This language does not authorize the
value." cgs of the Case. tCongressionrl Record No- disclosure of a record to members of
Agencies may disclose records to the vember Z:. 2914. V. 1610964.) Congress acting in their individual ca-
pursuuant t to o Section National S of the United States of in that same discussion. additional
the United States Code which provides guidance was provided on the term "head dividual.
for the preservation of records "of hie- of the agency' as that term is used in this Disclosure to the General Accoun:tt:t:
tortcal or other value". This subsection subsection ' i b i) : ODice. subsection t b i 10e "To tree
records for~A eservatin only the transr of The also the dis- elabborauon. sThecommittee recognizes that thorned representatilve or in the course of
closure of records to the Archivist to the beads of Government departments can. the performance of the duties of the
permit a determination as to whether not be expected to personally request each General Accounting O15ce:"
of the thousands of records which may pro- Ductosare Pursuant to Court Arder
preservation under Title 44 is warranted. petty be disseminated under this subsection. subsection I l l "Pursuant to the
Set subsection ( 1 ) ( 2 ) and (1 i (3) fora It that were required. such oscials could not Greg: of a court of competent ltirisdtc?
discussion of constraints on the main- perform their other duties, and is many tioi:.
tenance of records by the Archives. cases. they could not even perform record rg-
Records which are transferred to Fed- questing duties alone. such duties may be Srtszc1iox tc) Aceot-xrare or CERTAIN
eral Records Centers for safekeeping or delegated. itke other duties. to other officials. DrsCLOStmLs
storage do not fall within this category. when absolutely necessary but never below a
be sectiou chief, and this is what is ecaten- Subsection it) "Each agency. with re-
Such transfers are not considered to plated be subsection i bi .7l . The Attorney spect to each system of record under
disclosures within the terms of this Act General. for example. will have the power to its control. shall-"
since the records remain under the con- deiesate the authority to request the thou- Accounting Is Required. Sub-
Records of the transferring agency. Federal sands of records which may be required for When st~ti an tc) (1) "Except for disclosures
Records Center personnel are acting on the operation. of the Justice D-pavement tai:- sect) under susubsections (b) (1) to (b)
behalf of the agency which controls the der taus section. (2) Of this sectien, keep an a?curate
records. See subsection (l) (11, below. It should be noted that this teenage is accounting of-
Disclosure 'or Low Enforcement Pus- somewhat at variance with the use of the "'Al The date. nature. and purpose of
uses. Subsection ( b) (7) "To another term "agency bead" in subsections (j). each disclosure of a record to any person
:en-.T or to an i strumentality of any and W. rules and exemptions, where or to another agency made under sub-
?%vernmental Jurisdiction within or un- delegations to this extent are neither section tb) of this section: and
the control of the United States fora necessary nor appropriate. "iB' The name and address of the
I or criminal law enforcement activ- This subsection permits disclosures for person or agency to whom the disclosure
if the activity is authorized by law, law enforcement purposes only to gov- is made:"
and if the head of the agency or irutru- ernmental agencies -within or under the An accounting is required
mentality has made a written request to control of the United States." Dis- For disclosures outside the agent-
the agency which maintains the record closures to to foreirn vas well as to State -even when such disclosure is at the re-
specifying the particular portion desired and local) law enforcement agencies quest of the individual with the written
and the law enforcement activity for may. when appropriate, be established consent or at the request of the 2nd:vl-
which the record is sought:" as "routine uses." dual:
An agency may. upon receipt of a writ- Records in law enforcement systems For disclosures for routine uses (see
ten request, disclose a record to another may also be disclosed for law enforce- (b' t3) ) :
agency or unit of State or local govern- ment purposes when that disclosure has For disclosures to the Bureau of the
ment for a civil or criminal law enforce- properly been established as a "routine Census isee (b) (4i) :
merit activity. The request must specify use"; e.g.. statutorily authorized re- For disclosures to a person or another
The law enforcement purpose for sponses to properly made queries t o the agency for statistical research or report-
which the record Is requested: and National Driver Register: transfer by a ing purposes tsee ib) (5i ):
The particular record requested. law enforcement agency of protective For disclosures to the Archives (see
intelligence information to the Secret (b) (6) ) :
Blanket requests for all records per. Service. For disclosures for a law enforcement
taitttng to an individual are not permit- Disclosure under Emergency Cireum. activity consistent with the provisions
ted. Agencies or other entities seeking stances. Subsection (b) (8) "To a person of subsection tsee (b) (7)) :
disclosure may. of course. seek a court pursuant to a showing of compelling cir- For disclosures upon a show?utb of
order as a basis for disclosure. See sub- cuinstances affecting the health or safety "compelling eircu instances" beer i e
section (b) (11). of an individual if upon such disclosure (8) ):
A record may also be disclosed to a law notification is transmitted to the last For disclosures to the Congress or tut?
enforcement agency at the initiative of known address of such individual:" Comptroller C'eneral tsne ib '9' :?i,e
the agency which maintains the record Agencies may disclose records when. (10)); or
when a violation of law is suspected: for example, the time required to obtain For disclosures pursurtt to a cu-tit
provided. That such disclosure has been the consent of the Individual to whom order tees (b i ill) ) .
established in advance as a "routine use" the record pertains might result in a de- An accounting of dLaclc': Usti b lit .
and that misconduct Is related to the lay which could impair the health or required
purposes for which the records are main- safety of an Individual. as in the release For disclosures to ewPli,Yt. tai 14-
tamed. For example, certain loan or em- or medical records on a patient under- agency malnta:i i2aK tae iet,?orC wii? u:
be ties Iv r We ;A & &,
are of their oiticial du Im Lim
obtained with the understandding that ual pertaining y to treatment. The whom record, mclivid- a need to have
PEDEaAL REGISTER, VOL 40, NO. 132-WEDNESDAY, JULY 1. 1975
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
295 NOTICIIS
(Agencies are requited to establish safes looter. otter tam disclosure for which the ing the rnot d wail notify each agency
tuarda, pursuant to subsection, (e) (10). asoountsns is mde:" or parson to wbieb the reootd has been
to assess that individuals who do WO The purposes of the accounting an (1) disdoeed o(the exert nature of the oor
have a 'need to )mow' win we have so- to aaow indleidua i to learn to whom reeuoa or that a notation of dispute hi
we
which would be required Mader the vide a basis foe subeequentiy advising iv-
P.-ndom of ittornation Art (ae dirpuutedS records (subsection, (eidi4or
(b) (2) ).
(item: 'flee tae eeesustiae rpaue t and (3) to prewde an audit trail for sub-
is not air OV Whitt .a eaarp may Sequent reviews of agency Compliance
Sees as esampaea vas nubeestieae (1) with subeeenoa (b) (Conditions of dia-
ed abo with
ras
di
sad (k).)
"The term 'account nC rather than
ecord.' (was asedl to indicate that an
agency need not mob a notation an
a smile document of every diseioatse
of a pan-lui record. The agency may
use any system It desires for keeping
notsuons of disclosures. provtded that
it can construct from Its system a docu-
ment listing of all discbeures" (House
Report 93-1411. p. 14). For esampie. It
a list of names and other pertinent data
necessary to issue payroll or Denat
chects is transferred to a disbursing of-
ace outside the agency. the agency trans-
fer ng the record need not maintain a
separate record of such transfer in each
Individual record provided that it can
construct the required seeounttnt Infer-
mation when requested by the Individ-
ual (subsection (c) (3)) or when new-
sa.ry to Worm previous recipients of any
corrected or disputed information tsub-
section (c) (4)). The accounting should
also provide a cross-reference to the
basis upon which the release was made
including any written documettation as
Is required in the an of the release oL
records for s atistical or law enforcement
purposes.
It some Instances. (e.g.. Investigation
.or prosecution of suspected e:-1-al ac?
twits) a disclosure may consist of a coa-
ti nuing dialogue between two agencies
over a period of weeks or months. In
such a situanon. It may be appropriate
to make a general notation that, as of
a speciled data. such contact was "Lad and will be maintained until tae
uss
sc
P_
closue). Ace
to matanlamt the accounting. the ac-
counting need not be retuned on a record
by record basis as long as the procedures
adopted by the agency permit it to satisfy
these obfeetivea Wade the accounting is
required to be maintained for at least
Ave years. nothing in the Act requires
the retention of the record Itself where
the record could otherwise lawfully be
disposed of sooner.
The accounting Is required to be re-
tained for- fire yeses from the date of
the disclosure unless the record is re-
tasaad longer. Record retenugn stand-
a--ds remain as prescribed in applicable
law and OIA regulations.
3fatitg the Accotv-rine of Di closer
Avaiiapfs to the lndivideaL Subsection
(c) (3) "&zcept for disclosures made
under subsection (b) (7) of this section.
make the accounting made under Peru.
graph (1) of this subsection available to
the individual named in the record at his
request:"
'Upon request of the individual to whom
the record pertains an agency must make
available to that Indirdual all informa-
tion In Its accouattag of disclosures ex-
cept those pertaiaint to disclosures to
another agency or government tnst^u-
mentsltty for law enforcement purposes
pursuant to subsection tb) (7) unless the
system has been exempted from this pro-
vision pursuant to subsections (1) or (k.).
Agencies may wish to maintain the sc-
eounting of disclosure in such a manner
that notations of disclosures pursuant to
(b) (7) are readily segresable fn order to
facilitate timely release of the disclosure
as911C7. Ida," eeie '7 a MRM"-spa. ? b%w"-
to notify those to whom it disclosed the
record-
Ttaa requhomaat does not apply to
disclosures to personnel within the
agency with a "need to know' or to the
public under the Freedom cif I lonnao-
tion Act (subuctiODS (b) (I) and (2) )
or to disclosures made prior to Septem-
ber 27. 1973 for which no aecounune was
made. (Note that the language in sub-
section (C) (4) differs from the corre-
sponding language in R.3. 18373 so that
the Souse repot. discussion of this pro.
.non is no longer applicable) .
Given the definition of "record" (a
record may be construed to be a Dart of
another record) and the language of
subsection (d) (4). below. It would appear
that the notl5catlon of correction or of
the 11iag of a statement of disagreement
is required only to the extent that the
correction or d sagreement persains to
the iatormstion actually disclosed: Le..
recipients of a portion of a r scot other
than the portion which Is subseque w
cocreetted or disputed need sot be in-
formed. When there Is any doubt as to
whether the corrected =or=&=n was
included in or might be relevant to a
previous disclosure. agencies should
nocs:y the recipients in question.
The language of this subsection er
plicitly requue only that prior ree:pie:
be notified of corrections made pu--st a.
to a request to amend a record by a:.:
individual and does not address records
corrected for other reasons: e.g., agency
staff detects erroneous data or a third
par source provides corrected info.^a-
tion. Neve-^-helm& agencies we encour-
aged to provide Cori ected --..Or= acton to
previous recipients. Irrespective of the
means by which the correction was made
whenever It is deemed feasible to do so
L? information included in a precious dis-
the ice- closure was changed particularly when
wh
uested b
a
n r
ti
e
eq
eeoun
ng
y
conclusion of the cam. the agency is await that the correction
While the accounting of disclosures. dividual. Since the accounting will often is relevant to the recipient's uses tr-e-
spective of the mesas by which the cor-
when maintntained tDa-nt from the record. not be maintained in a form which is
mighs be audered a system of records readily comprebcnsib?e to the individual. reectrr is mate
under the Act. this could lead to the situ- the process of "making the account
anon of brim( to ma-min an account- available" may entail some transtorma- 3vsesc:sox d) Aetsts To Race ass
ing of disc:osures from the original &C- Lion of the accounting by the agency so Subsection (d) "Each agency that
eou:`tiag and having to maintain that as to make it intelligible to the individual. muatains a system of record shall
second accounting for hn seats. etc. This may require the agency to compile. I:tdszidrtal Ae_'tss to Records. Subset.
whom that subsection (C) (3) gives an Ice- from the aceountitii. a lie: o. these to
whom the record was disclos Lion td) (1) "Upon request by an mdi-
ed
dividual a right of access to the account- n:dual to gain access to his record or to
ing which would not have been necessary (Crieud ld or or DPTteS R c rds. Subsection - any information persai.m^g to him wruc~
if the accounting were considers d a Sam- (e) (4) "Inform rcd any y person or other Is contained in the system. Dermot ..:-
rate system of record. Therefore, It would and upon his request. a person of his oc-
seem that the insist was to view the agency about any correction or notation choosing to accompany him. to review
accounting of disclosures as other than a of dispute made by the agency in accord- the record and have a copy made of a::
system records and to conclude that an ante with subsection (4) of this section
com-
ae:ou :tan[ aril not be maintained for at =7 record that has been disclosed to or t any tensible portion to bun. thereof in a except that iot the
disclosures from the accounting of die- the person or agency )fan accounting of aieae7 may requure the individual to
closures. the dLsrloeure was fie'- furnish a written statement euthorrir.;
Retain a the Accounting of Dis- When a record Is corrected at the re- discussion of that Individual's record -
closures. Subsection (e) t2) "Retain the quest of an Individual acting in accord- the accompanying pe=n's Presence..'
account::, made tinder paragraph (1) ants with subsection (d) (2) or a state- An agency most. upon request
of this subsecnon for at least Ave years menl of dispute is hied as provided In Inform an individual whether a r.? sir
or the life of the record. whichever is subsection (d) (3). the agency maintain- of records contains a record or recd;
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
NOTICES M37
pertaiffing to him. (2) permit an Indi- Agencies shall establish requirements Agency procedures for complying with
vidual to review any record pertaining to verify the Identity of the requester. the individual seem provisions will nec-
to him which is contained In a system Such requirements shall be kept to a es-nh vary depending upon the sue
of records. (3) permit the individual to minimum. They shall only be established and nature of the system of records
be accompanied for the purpose by a when necessary reasonably to assure that Large computer-based systems of rec-
cerson of his choosing. and '41 permit an individual Is not improperly granted ords clearly require a different approsct,
he individual to obtain It copy of any access to records pertaining to another than do small. regionally dispersed. man-
such record in a form comprehensible to Individual and shall not unduly impede Wally maintained systems. Nevertheless
him at a reasonable cost. This provision the individual's right of access. Proce- the basic requirements are constant.
it should be noted. gives an individual dures for verifying identity will vary de- namely We right of the individual tc
the right of access only to records which pending upon the nature of the records have access to a record pertaining to
are contained in a system, of records. to which access Is sought. For example. him and to have a copy made of all o:
See 'a, (5). above. no verlAcation of identity will be re- say portion of such records in a four.
This language further suggests that quired of individuals seeking access to which Is comprehensible to him Putunc
the Congress did not intend to require records which are otherwise available to Information into a comprehensible form.
that an individual be given access to In- any member of the public under 5 U.B.C. suggests converting computer codes to
formation which the agency does not 552. the Freedom of Information Act their literal meaning but not necessarily
retrieve by reference to his or her name However, far more stringent measures an extensive tutorial in the agency's pro-
or some other Identifying particular. See should be utilized when the records cedures in which the record is used.
subsection (a) (5). It an individual is sought to be accessed are medical or Neither the requirements
copies ngrant ac-
named in a record about someone else other sensitive records. qeon uo that Provide Casanil
se be
tor some other type of entity) and the For individuals who seek seem in tier- available. the v c l e. The form to record d it the
agency only retrieves the portion per. son. requirements for verification of made
to him by reference to the other Identity should limited to information record is kept (e.g.. on magnetic tape or
person's name (or some organization/ or documents which an individual Is the context of the record (e.g.. access to
subject identifies). the agency is not re- likely to have readily available tag., a a document may disclose records about
quired to grant him access. Indeed. If driver's license. employee identification other individuals which are not relevant
this were not the use. It would be nec- card. Medicare card). However, if the In- to the request) may require that a rec-
essary to estatlisb elaborate Cross- dividual can provide no other suitable Ord be extracted or translated in some
references among records, thereby In- documentation, the agency should re- manner: e.g.. to expunge the identity
creasing the potential for privacy abuses. quest a signed statement from the In. of a confidential source. Whenever pos-
The following examples illustrate some driidual asserting his or her identity and side, however, the requested record
applications of this standard. stipulating that the individual under- should be made available in the form in
1. A record on Joan Doe as an employee stands that knowingly or willfully seek- which It Is maintained by the agency and
In a file of employees from which mate- Ing or obtaining access to records about the extraction or translation process
rial Is accessed by reference to her name another Individual under false pretenses may mot be used to withhold information
(or some identifying number). This is is punishable uy a fine of up to iS000, in a record about the Individual who re-
the simplest case of a record In a system (Subsection (1) (3).) quests it unless the denial of access is
of records and Joan Doe would have a For to which access trtated specifically provided for under rules is-
right of access. virtue of theilocation) sued pursuant to one of the exemption
2. A reference to Joan Doe in a record by mall systems (by m provisions (subsections (j) and (it)).
about James Smith in the same file. This verification of identity may consist of the Subsection (f) (3) provides that agen-
's also a record within a system but Joan providing of certain minimum Identify- des may establish "a special procedure.
)oe would not have to be granted access ing data; e.g.. name, date of birth. or u deemed necessary. for the disclosure
.finless the agency had devised and used system personal Identifier (If known to to an individual of medical records, in-
an Indexing capability to gain access to the individual). Where the sensitivity of eluding psychological records, pertain-
her record in James-Smith's Ale. the data warrants it; (1.e., unauthorized ing to him." In addressing this provi-
3. A record about Joan Doe in a con- access could cause harm or embarrass- sion the Rouse committee said:
tract source evaluation file about her ment to the Individual). a signed nota- 11, In the judgment of the ageaeT. the
rized statement may be required or other tranmission of medical information direct-
employe , Corporation Jt X. which is not reasonable means of verifying identity ly to a requesting individual Could have an
accessed by reference to individuals' which the agency may determine to be adverse effect upon such Individual. the
names, or other Identifying particular's. necessary, depending on the degree of rules whim the agency promulgates would
This is a record which is not Ina system sensitivity of the data Involved. provide means whereby an individual who
of records and, therefore. Joan Doe would be adversely affected by receipt of
would not have a right of seems to It. Nora: That action 7 of the Act forbids as such data may be apprised of It is a manner
If. as In 2. above, an Indexing capability agency to deny an Individual any right (in- whieb would not cause such adverse effects.
were developed and used however. such disci se it Social Securir N )ume r uunl dish. ~ WMMPI* won too a doctoor~ named b
a system would become a system of rec, closure is required by Federal statute or by the requesting individual. (Souse Report 93-
ords to which Joan Doe would have a other laws or regttlaraons adopted prior to 1416. pp. 16-17)
right of access. January 1. 1$75. Thus, while the right of individuals to making Agencies may establish fees for Agencies are also permitted to require
copies of an Individual's record but ut not not wishes to be ac? have access to medical and psychological
for the cost of ses.rehing for a record or that ~~ by individual another who person to be ac- records pertaining to them is clear. the
reviewing it (subsection (f) (5) ). When coman ~tw~a a record furnish nish a written state- nature and circumstances of the disclo-
the agency makes a copy of a record as a ment auaho co discussion his or her slue may warrant special procedures
necessary part of its process of making record In the presence of the accompany- While the Act provides no specific
the record available for review (era dfst Ing person. This provision may not be guidance on this subject. agencies should
anguished from responding to a request used to require that Individuals who re- acknowledge requests for access to rec-
by an tall l for a copy of a record). quest access and wish to authorize other ords within 10 days of receipt of the re-
no fee may y be be charged. It should be noted persons persons to accompany them provide sal quest (excluding Saturdays, Sundays,
that this provision differs from the ac- for the aeeom- and legal public holidays). Wherever
seas and fees provisions of the freedom person's access or presence. It Is designed practicable, that acknowledgement
of Information Act. reapersonssons for or the the should Indicate whether or not access
The granting of access may not be con- to avoid disputes over whether the in- can be granted and. if so, when. When
ditioned upon any requirement to state dividual granted permission for dIa ia? access is to be granted, agencies will
a reason or otherwise justify the need to ire of Information to the accompanying normally provide access to a record
fain a,COees, person. within 30 days (excluding Saturdays,
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
28958 NOTICU
Sundays. sod legal public holidays) tm- Amend Records. Subeeetson (d) (2) (?A) revive which ens .Ua obtaining support-
;am for good cause shown. they an en. "MM later than 10 days (exciudlat. Sac- Ing data from reeired records or from
able to do so. to which rise We tndivid- urdsys. Stmdscya, and legal public boll" another agency aid which could no..
ual should be Informed In waiting within days) slat the date of receipt of such therefore be completed entho the re-
30 days as to those reaaona and whoa it request. acknowledge in writing such to- poured am might qualify.
is anticipated that aersa will be granted. cetot. and" to reviewing a record to response to a.
A "good cause" sight be the fact that A written acknowledgement by the request to amend It. the agency should
the record is lnacnve and stored in a agency of the receipt of a request to waste the accuracy. relevance. t meb-
records center and therefore. not as amend a record must be provided to the nose, or completeness of the record is
readily accessible. See subsection (1) (1). individual within 10 days (excluding term of the criteria established in sub-
Presumably. In such canes the :salt of an Saturdays. Sundays. and legal public section 0e) (5). i.e.. to assure fag.-nee to
adverse determination being made on holidays). The acknowledgement should the individual to whom the record per-
the bases of a record to which access is clearly describe the request it. copy of talus to toy determlaatfon about that
sought and which the individual might the request form may be appended to the Individual which may be made on the
choose to challenge Is zlauve& low. acknowledgement) and advise the indi- beds of that record.
Requests for Asendin0 Records. Sub- vidual when he or she may expect to be With respect to requests to delete .n-
section (d) (2) "Permit the individual to advised of action taken on the request. formation. agencies must heed the er-
request amendment of a record pertiun- No separate acknowledgement of to. tern established in subsection (e)t 1) .
Ing to him and-" cetpc is necessary If the request can be namely. that the Iafot satioa must be
Agenetes shall establish procedures to reviewed. processed. and the individual -? ? ? relevant and necessary to ac.
give individuals the opportunity to re- advised of the results of the review compllsh a statutory purpose of the
guest that their records be amended. The t whether compiled with or denied) agency required to be accomplished by
procedures may permit the Individual with= the 10-day period.' law or by executive order of the Presi-
to present a request either to person. by For requests presented in person. writ- dent." This is not to suggest that age=-
telephone. or through the mail but the ten acknowledgement should be provided c.es may rout) nely maintain Irrelevant
process should not normally require that at the time the request is presented. or unnecessa.7 Information unless it is
the odic :dual present the request in Actions Required on Requests to c:m11enged by an Individual. but rather
person. If the agency deems it appropri? Amend Records. Subsection (d) (2) (E) that receipt of a request to delete Lfor-
ate. it may require the requests be made "Promptly. either mation should cause the agency to re-
in writing. whether presented in person (it Male any correction or any portion consider the heed for such toformsuot.
or through the mall. Instructions for thereof wake the individual beue.es is sot Reviews in connection with the deeelop-
the preparation of a request and any eecurste. releva t. unt.ly, or Complete: or mar.: of a system, the preparation of the
forms employed should be as brief and (u) inform the tadinduai of Its refusal to public notice and the description of the
as sunpie as possible. If a request is M. amend the teeeed in eecord&=* 'I his re- pt_?-poses for which It Is maintained and
caved on other than a prescribed form. quest. the reason for tae refusal, the Ptocg' periodic reviews of the system. to assure
the agency should not reject It or request dares sets bisahed by the aajsaey for the taxi- that oa!.v iaformaron which is neces-
resubanssion unless additional informs- the h Heeed ed of of rte Chset s a ge reaerte+ of the res...., b sail for the lawful purposes for which
the ? or Lao ".cerd at; by.
.:on u essential to process the request. naiad by at head of :vie agency. Lad the the system of records was established is
In that cam the inquiry to the indind- came a" buataeaa todreae of ?--t oesc:ai: )nsiataired in It will be the primarr
ual should be limited to obtaining the vehicles for assuring that only relevant
In reriewiag an Individual's request to sad necessam information is
needed uba additional not - amend a more agencies should. wher- Piew or ion dn of the el ti oentire ve request. Incom- m ever practicable. complete the review
piece ec td categorically. requests should not and advise the tncitvidual of the results Agency standards for reviewing records
tae :e:ee:e The individual 10 days of the receipt of the rt- in response to a request to amend them
should be asked to clarify the request as quwithin est. Prompt action is necessary both may. as the agency's option. be included
should. Requests preheated iii pew to aspire that records are as aceu.-ate as ear- of the rules promulgated pu.-su-
vid should be se: screed briefly while Lie It.
as possible and to reduce the adminis- ant to subsection if) (4' . Gem*- ally- I'
idtial is st+l! present. wherever am, ble trative effort which would otherwise be would seem reasonable to conclude t: ai
to aJtsttse that the request is complete so Involved in issuing a separate acknowl- such standards for review need be no
that ciartllation may be obtained on the ,,seat of the receipt of the request more str.ngent than is reasonably neces-
spot. and subsequently Informing the lath- sas7 to meet the general cr.:e:a in sub-
These provisions for amending records vidual of the action enteric If the mature sections it, (1) and te) 15) for accuracy.
are not intended to permit the aitereitaon of the request or the system of records relevance. tSmeliness., and completeness.
of evidence presented in the course of ju- precludes completing the review within Judged review is available for agency
Glutei. quasi-judicial or quasi-legislative 10 days. the required acknowledgement determinations to great an individual
proceedings. Any ehianges m such records ,subsection (d)'2)'A) above.) must be access and to amend or not amend a
should be made only through the stab- provided within tea days and the review record pertaining to the individual. While
listed procedures consistent with the ad- should be completed as soon as reason- the de-l%=:e burden of proof for gran:..;
versa., process. These provisions are not ably possible. normally within 30 days access is upon the agency in such ludic:.::
designed to permit collateral attack upon from the receipt of the request (ex:iud- renew. in the judicial review of the re-
that which has already been the subject ing Saturdays. Sundays. and legal public fussl of an agency to amend a morel
of a judicial or quasi-judicial action. For holidays) unless unusual ci:cufastances :here is no similar burden upon the
example. these provisions are not de- preclude completing action within that agency. Ace analogous standard may be
signed to permit an individual to chat- time. The number of rases on which utilized by tit agencies in es ablishing
lenge a conviction for a crminal offense the agency was unable'to act within 30 standards for review of trd)szduai re-
received in another forum or to reopen days will be included in the an :ual re- quests for amescaents of records. The
the sssessinsnt of a tax liability. but the port 'subsection 1p)). If the expected burden of going forward could be platen
individual would be able to challenge tht completion date for the review indicated upon the individual who in cost =-
fact that conviction or liability has been in the acknowledgement cannot be met, stances will know better than the agency
inaccurately recorded to his records. the individual should be advised of that the reasons why the record should be
The agency should also ream n verifl- delay and of a revised date when the amended. It would be aopropraie. in
ration of Identity to assure that the re- review may be expected to be completed. agency regulations setting form the
questors an seek ng to amend records "Unusual circumstances" can be s"- '-rds they will use upon review of
per ainint to themselves and not. Inad- viewed as situations in which records such request. that the individual be re-
ver-ergy or intentionally. the records of cannot be reviewed through the agency's qtr.-ad to Juppiy certain information In
other Individuals. norjs:l process By detnition. such costs surpor: of his request for amendment of
Ac.tnowiedre+ite+tt of Requests to would. sutistically, be the exception. A to recce Tie request would then be
pIPILAi. "Gaffes. vol. 40. $0. 132-wIDNUDAf. JULY 1. ieri
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
appropriate for resolution upon deter-
mination of Rrepondersnce of evidence.
It the agency agrees with the Indl-
vidual's request to amend a record, the
agency shall-
Adtve the Individual:
Correct the record accordingly; and
Where an accounting of disclosures has
been made. advise all previous recipients
of the record of the tact that the cor-
rection was made and the substance of
the Correction.
If the agency. after 14 Initial review of
a request to amend a record. disagrees
with all or any portion thereof. the
agency shall
To the extent that the agency agrees
with any part of the individual's request
to amend. proceed as described above
with respect to those portions of the
record which It has amended.
Advise the individual of Its refusal and
the reasons therefor Including the crite-
ria for determining accuracy which were
employed by the agency to conducting
the review.
Inform the individual that he or she
may request a further review by the
agency head or by an omcer of the agency
designated by the agency head; and
Describe the procedures for requesting
such a review Including the name and
address of the official to whom the re-
quest should be directed. The procedures
should be as simple and brief as possible
and should indicate where the individual
can seek advice or assistance in obtaining
such a review.
If the recipient of the corrected infor-
mation Is an agency and Is maintaining
the Information which was corrected in
a system of records. It must correct its
records and, under subsection (e) (4). esp.
prise any agency or person to which it
had disclosed the record of the substance
of the correction. Subsequent recipient
agencies should similarly correct their
records and advise those to whom they
had disclosed it. Agencies are encouraged
to establish In their regulations, time
limits by which. except under unusual
circumstances, transferees of any
amendment to a record.
Reeuestinp a Review of the Apeneits
Refusal To Amend a Record. subsection
(d) (3) "Permit the individual who dis-
agrees with the refusal of the agency to
amend his record to request a review of
such refusal. and not later than 30 days
(excluding Saturdays, Sundays, and legal
public holidays) from the date on which
the individual requests such review, com-
plete such review, and make a final de-
termination unless. for good cause
shown, .the bead of the agency extends
such 30-day period: and if, after his re-
view, the reviewing official also refuses to
amend the record in accordance with the
request, permit the individual to file with
the agency a concise statement setting
forth the reasons for his disagreement
with the refusal of the agency, and notify
the Individual of the provisions for judl-
dal review of the reviewing oidcial's de-
termination under subsection (g) (1) (A)
of this section;"
An Individual who disagrees with an
agency's initial refusal to amend a record
may Me a request for further review of
that determination. The agency bead or
an Omcer of the agency designated In
writing by the agency bead should under-
take an independent review of the Ini-
tial determination. U someone other
than the agency head is designated to
conduct the review, it should be an DID-
eer who Is organizationally Independent
of or senior to the officer or employee who
made the Initial determination. Por pur-
poses of this section. an "omoer" is de-
fined to be "? ? ? a justice or judge of
the United States and an Individual who
I---
(1) Required by law to be appointed In
the etvU I or military) service by ow of the
following acting to an eaciL) capacity-
[ *It is assumed that. while the language
sbore does not speetacally e09e7 it. s military
oOeer otherwise quallsed as the reviewtag
omeial would be permitted to serve as the
reviewing odicial.)
(A) The President:
Is', A court of the Onited States:
(CI The bead of an xsecuun aeeney: or
(D) The Secretary of a military depart-
meat:
(2) xngsged in the performance of a Fad-
ers] function under authority of law or an
Lxseutive act: Lad
(3) subject to the supervision of an au-
tbonty named by paragraph (1) of this sec-
tion, or the Judicial Conference of the
Vatted states. while engaged in the per-
formanotof the duties of his otDoe. (A U.S.C.
2106(a)) -
Delegations must be made In writing.
In conducting the review. the reviewing
official should use the criteria of ac-
curacy, relevance, timeliness, and com-
pleteness discussed above. The reviewing
offietal may, at his or her option. seek
such additional Information as Is deemed
necessary to satisfy those criteria; Le..
to establish that the record contains
only that information which is necessary
and is as accurate, timely. and complete
as necessary to assure fairness in any de-
termination which may be made about
the Individual on the basis of record.
Although there is no requirement for
a formal hearing. pursuant to the pro-
visions of 5 U.S.C. $56. the agency may
elect generally or an a case by an basis
to use such or similar procedures. The
procedures elected by the agency, how-
ever, should insure fairness to the indi-
vidual and promptness in the determi-
nation. The procedures should provide
that as much of the infot iatlon upon
which the determination Is based as pos-
sible is part of the written record con-
cerning the appeal. The records of the
appeal process should be maintained by
agencies only as long as is reasonably
necessary for purposes of judicial review
of the agency's refusal to amend a record
upon appeal
if, after conducting this review, the
reviewing ofhckal also refuses to amend
the record in accordance with the indi-
vidual's request, the agency Nall advise
the Individual:
Of Its refusal and the reasons there-
for;
Of his or bee right to We a concise
statement of the Individual's reasons for
disagreeing with the decision of the
agency :
Of the procedures for filing a state-
ment of disagreement;
That any such statement will be made
available to anyone to whom the record
Is subsequently disclosed together with.
If the agency deems It appropriate, a
brief statement by the agency sum-
m&.nzirig its reasons for refusing to
amend the record;
That prior recipients of the disputed
record will be provided a cops of any
statement of dispute to the extent that
an accounting of disclosures was mala-
tained (see subsection (C ' 4') ; and
Of his or her right to seek )udicia, re-
view of the agency's refusal to amend a
record provided for in subsection
(g) (1U (A), below.
If the reviewing oiflclal determines that
the record should be amended in accord-
ance with the Individuals request, the
agency should proceed as prescribed In
subsection (d) (2) (B) (1). above; name!
correct the record, advise the individual,
and inform previous recipients.
A notation Of a dispute Is required to
be made only if an Individual informs the
agency of his or her disagreement with
the agency's determination under sub-
section (d) (3) (appeals procedure) not
to amend a record.
A Anal agency determination on the
individual's request for a review of an
agency's initial refusal to amend a record
must be completed within 30 days unless
the agency bead determines that a fair
and equitable review cannot be completed
In that time. If additional time Is re-
quired. the Individual should be Informed
in writing of the reasons for the delay
and of the approximate date on which
the review is expected to be completed.
Such extensions should not be routine
and should not normally exceed an addi-
tional thirty days. Agencies will be re-
quired to report the number of cases in
which review was not completed within
30 days as part of the annual report
(subsection (p)).
Disclosure of disputed information.
Subsection (d) (4) "In any disclosure,
containing Information about which the
individual has flied a statement of dis-
agreement, occurring after the filing of
the statement under paragraph (3) of
this subsection. clearly note any portion
of the record which Is disputed and pro-
vide copies of the statement and, If the
agency deems It appropriate. copies of a
concise statement of the reasons of the
agency for not making the amendments
requested. to persons or other agencies
to whom the disputed record has been
disclosed";
When an individual files a statement
disagreeing with the agency's decision
not to amend a record, the agency should
clearly annotate the record so that the
fact that the record Is disputed is ap-
parent to anyone who may subsequently
access, use, or disclose it. The notation
Itself should be Integral to the record
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
23960 NOT1C13
and spsesse to the portion to dispute.
?br automated systems of records. the
notation may Consist of a fpec3l 1ndiCs-
tor on be satire record or the spacsee
part of the record to dlsput .
The statements of dispute need not be
maintained as an tAtegrai part of tae
records to which they pertain. They
should. however. be filed In such a man-
ner as to permit the= to be retrieved
readily whenever the disputed portion of
the record Is to be disclosed
I.' there :s any question as to whether
the dispute pertain to iaf0atUOn being
disclosed the statement of dispute
should be included.
When information which is the subject
o: a statement of dispute is subsequently
diaciased. agencies must note that the m-
formauon is disputed and provide a copy
of the individual's statement.
AttnCies may. St their discretion. in-
clude a brief summary of their reasons
for not making & correction when dae-
clos:nt disputed informaaoa. Such state-
menu wall normally be limited to the
reasons stated to the individual under
subsection (d) (2l t8) iii) and Id) (3).
above. Copes of the agency's statement
need not be maintained as an integral
part of the record but will be treated U
part of the ladlndual's record for put-
posts of granting the individual access.
subsection (d) (1). However, the agency's
statement will not be subject to subsec-
tions td) (2) or (3) ramendint records).
Access to I*for+ranou Comp led in
Antiespstiow of Ciaif Aches. Subsection
(d) t S - "Notfsat In this section shall ml.
low an individual access to any informa-
tion compiled in reasonable anticipation
of a.cwil action or ;roeeediat."
That provision is not intended to pre-
elude access by an individual to records
which are available to that individual
under other procedures (e.g.. pre-trsl
discover, ). It is intended to preclude es-
tablishing by this Act a basis for access
to material bang prepared for use to
litigation othe than that established
.b .k as the Pree.-
sews...
d
use effectively.
Asencies can derive authority to col-
lect information about individuals in one
of two ways'
By the Constitution. a statute. or Ex-
ecutive order expbc:tl7 authorrst or
directing the matnteonce of a system
of records: e.g.. the Constitution and uue
13 of the'Onited States Code with respect
to the Census.
By the Constitution. a statute. or Ex-
ecutive order author=ial or directtrig the
agency to perform a function. the dis-
chart'ng of which requires the main-
tenance of a system of records.
Each agency she" with respect to each.
system of records which it maintains or
proposes to maintain. identify the spa-
ciAc provision in law which authorizes
that activity. While the Act does not spe-
csfleally require It. where feasible. the
statutory authority snouid also be cited
in the annual public notice about the
system published pursuant to subsection.
It) (4). The authority to maintain a sys-
tem of records does not give the agency
the authority to maimtaln =7 iniorma-
uon which it deems useful. Ageucies sh.
review the nature of the la:ormaut
which they maintain in their systems o.
records to assure that It is. in fact. "1'11141-
rant and necessary". Information =a**
not be maintained merely because it is
relevant; It must ? bs both relevant a :d
necessary. While this determination is.
in the Anal analysis. judgmental. the fol-
lowing types of questions shall be con-
sidered in making such dr enmmatioae :
Now does the information relate to tae
purpose (in law) for which the system
is maintained?
er o a p
da
Lion of a civil action or proceeding. The What are the adverse consegtie. it
civil n of I proedint.auoa Act or the sales of term civil proceeding was intended to any, of not collectiat that iafor_ano ?
edttsiG
Dt."emits from the House floor debate cover those quasi-judicial and arelima? Could the used be met through the use
on this provision suggest that this pro". aat7 J" 1410.10J steps which are the tmtm- of information that is not in indlviduWe
sloe was not intended to cover access to tarpart in the civil spbere of erisinal Identifiable form?
systems of records compiled or used for proceedings as opposed to e:iminal Isti- Does the information need to be col-
PL-poses other than litigation. Saxicil. Alt-hough this provision ewild lected on every Individual who is the
air. lDitaraoax. la. cbairm-- as I Mader- have the effect at an esetaptlon it is not subject of a record in the system o..
etaad it. tar yu.-00" of ter. SMOAAMAZ is to subject to the formal rule-aliak t Pro- would a sampling procedure smi ce?
protest. Y ah assmple. tale hie et the VA cedura which govern the ejteMV00 i3 hat at pwill ail the lnfOr3at.Cf1
attorney or tae senator gates is prepared In set forth in subsection (j) and (> Dlished by stature or by executive order part of acxssiaf eilltbisit7 for a pro-
w. l,c,.rars of tae President;" gram for which need Is a legstimaie
Trsaaty. I do act ustaa sae gstorsri alga A key objective of the Act is to reduce
tact in sue4led is eateipaum of a vw- the amount of personal laformauoa col
suit aaOWd a eua).at to tie Mph 9C lected by Federal agencies to rldUCe the
tera, get in sir iasiaaea much low the aeewss fit of intentionally or Inadvertently int-
proviaioa. It ts .tit mneem in tag games pro-
views Lass it may %ban P.--upow is to proper use of personal data. In simpler.
aOvw.d to %be giver peevw&oea,, at I a. cot terms. information not collected abe...
:hint It saoula a. an Individual casinos be misused. The AC.
is,. Berri is,. chaumaa. I save to. recog-.-lzss, however. that agencies nee:
e.au..aa?s aoee.ra. Mrh.t chic amid. to maintain information about LnC7-
meat Was .ngmsuy ai+ttsa. It states "ge- vidusls to discharge their responsibiL-
"
and we sw=ell tit. void.
Cus to tear record
teoerd.' cad tnserid "tatormatsoa."
So we med. it pertecslr Clear we were not
eiewtiag as tnvstigattan vita the weed.
reeerd.' to the status of records. we did
want to mates it Clear then was acs to be
M" goes... Decanter that eetw w.tild be
with,a tae usual rate. Of gvtl prae.dln.
tier va. ue,oau. X:' Chwm&L if ih. gen-
ttemas will }teed fur-bar. it is %a* pnu.-
man s eocteatOn. wilder his lawmr"astan
of se act. that the other preeisioas would
not apply to the attorner's S)? as weU: is
that SOrreet?
Mr. brim. use genueeaa is correct.
Cottgrrunewal Aimped. November 21. 1974
p. 13ose8) .
While the above passage refers pri-
marly to the delensa of suits by the
government it Is. of course. equally ap-
plicable to the assembly of information
in amticlpsuon of government-Ululated
law suite.
The more fact that records is a sys-
tem of records an frequently the sub-
)act of litigation does not bring those
systems of records within the scope of
this provtsioa. The Information must be
"compiled in reasonable anticipation of
a civil action or Dr'oceedin" and there-
fore the purpose of the compilation gov-
erns the applicability of this provision.
It would seem that In a suit in which
governmental action or fraction is chal-
lenged the provision generally would not
be avulaale until the initiation of Litiga-
tion or until information began to be
compiled in reasonable anticipation of
such litigation Where the government is
prosecuting or seeking enforcement of its
laws or regulations. this provision may be
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
criterion, parental income may be rele-
vant only for certain applicants.
Subsection (e) (7), below, provides ad.
'itional criteria governing the mainte-
ince of records on the activities of In.
'iduals in exercising thou rights under
: First Amendment.
This provision does not authorize
agencies to destroy records which they
are required to retain under the Federal
Records Act.
Agencies shall assess the legality of.
need for, and relevance of the informa-
tion contained or proposed to be con-
tained in each of its systems of records
at various times:
In preparing Initial public notices
(subsection (e) (4) ).
In connection with the initial design of
a new system of records (subsection (o) ).
Whenever any change is proposed in
system of records (subsection (o) ).
At least annually. as part of a regular
program of review of Its record-keeping
practices. This should be done for each
system prior to reissuance of the public
notice unless a comprehensive review of
the system of records was conducted
within the previous year in connection.
with the initiation of the system or Im-
plementation of a change to the system.
This provision does not require that
each agency conduct a detailed review of
the contents of each record in its posses-
sion. Rather, agencies shall consider the
relevance of. and necessity for, the gen-
eral categories of information main-
tained and, incident to using or disclos-
ing any individual records. examine their
'ntent to assure compliance with this
signor..
*t should be noted that subsection (e)
?t intended to interfere with the pres-
tion of evidence by the parties before
quasi-judicial or quasi-legislative
body. For example, a quasi-judicial board
or commission need not reject otherwise
admissible evidence because it is prof-
fered by a part other than the individual
to whom it relates or because It is not
"necessary" to the decision or is not
"complete." The normal rules of evidence
would contains to govern in such situa-
tions.
Information is to be Collected Directly
from the Individual. Subsection (e) (21
"Collect Information to the greatest ex-
tent practicable directly from the sub-
ject Individual when the information
may result in adverse determinations
about an individual's rights, benefits and
privileges under Federal programs:"
This provision stems from a Concern
that individuals may be denied benefits,
or that other adverse determinations
affecting them may be made by Federal
agencies on the basis of Information ob-
tamed from third party sources which
could be erroneous, outdated, irrelevant,
or biased. This provision establishes the
requirement that decisions under Federal
programs which affect an individual
should be made on the basis of Infornsa-
tion supplied by that individual for the
purpose of making those determmatioris
but recognises the peMt3eal limitations
this by gtsalitying the requirement
m the wards "to the extent practi-
cable". The notion of protecting the in-
dividual against adverse determinations
based on information supplied to other
agencies for other purposes Is also em-
bodied m the provisions of subsection (b)
which constrains the transfer of records
between agencies: substation (d) (2),
which gives individuals the opportunity
to challenge the accuracy of agency rec-
ords pertaining to them: and subsection
(e , l 4 i which prohibits the keeping of
secret files.
Except for certain "statistical records"
( subsection (a) (6)) , which, by definition,
are "not used in whole or In part in mak-
ing a determination about an Individual
? ? ?", virtually any other record could
be used. In making a "determination
about an Individual's rights, benefits, or
privileges ? ? ?" including employment.
The practical effect of this provision is to
require that information collected for In-
elusion in any system of records, other
than "statistical records", should be ob-
tained directly from the individual when-
ever practicable.
Practical considerations (including
cost) may dictate that a third-party
source. Including systems of records
maintained by another agency, be used
as a source of Information In some cases.
In analyzing each situation where it pro-
poses to collect personal information
from a third party source, agencies
should consider
The nature of the program: Le., it may
well be that the kind of Information
needed can only be obtained from a third
party such as investigations of possible
criminal misconduct:
The cost of collecting the information
directly from the individual as compared
with the cost of collecting It from a third
party:
The risk that the particular elements
of information proposed to be collected
from third parties. If inaccurate. could
result in an adverse determination:
The need to Insure the accuracy of in-
formation supplied by an Individual by
verifying it with a third party or to ob-
tain a qualitative assessment of his or her
capabilities (e.g., in connection with re-
views of applications for grants, contracts
or employment): and
Provisions for verifying, whenever pos-
sible, any such third-party information
with the individual before making a de-
termination based on that Information.
It should be noted that a determina-
tion by Agency (A) that It is in its best
Interest and consistent with this sub-
section to obtain information about an
individual from Agency (B) Instead of
directly from the Individual does not
constitute. In and of Itself. sufficient
grounds for Agency (B) to release that
information to Agency (A). Agency (B)
is tnin1mfly required to meet the re-
quirements of any statutory constraints
on the permissibility of malting a dis-
closure to.Agency (A) Including the con-
ditions of disclosure. In subsection (b).
The standards and procedures set forth
in the Federal Reports Act (44 IISC 3501)
as they apply to other than individuals
as defined by this Act remain the same.
When information Is sought, however,
28961
from ten or more individuals, as defined
by-the Privacy Act, in response to Identi-
cal questions, the Federal Reports Act
requirement that the reporting burden
upon individuals be reduced to a mini-
mum should not be construed to override
the later enacted requirement that, to
the greatest practicable extent, informa-
tion pertaining to individuals be collected
directly from them.
Inforntnp Individuals from Whom Jr..
formation is Requested. Subsection i e
(3) "Inform each individual whom it
asks to supply information. on the fora.
which it uses to collect the information
or on a separate form that can be rt.
tained by the individual-"
This provision is intended to assure
that individuals from whom information.
about themselves is collected are in-
formed of the reasons for requesting the
information, how It may be used, anC
what the consequences are. if any, of not
providing the Information.
Implicit In this subsection Is the no-
tion of Informed consent since an Indi-
vidual should be provided with sufficient
Information about the request for infor-
mation to make an Informed decision on
whether or not to respond. Note however.
that the act of Informing the Individual
of the purpose(s) for which a record may
be used does not. In and of Itself. satisfy
the requirement to obtain Consent for
disclosing the record. See subsection (b
conditions of disclosure.
The Information Called for in para-
graphs (A) through (D) below, should
be included on the information collection
form, on a tear-off sheet attached to the
form, or on a separate sheet which the
Individual can retain, whichever is mow:
practical. When information is being col-
lected In an interview, the interviewer
should provide the individual with a
statement that the individual can retain.
Rowever, the Interviewer should also
Orally summarize that information be-
fore the interview begins. Agencies may.
at their discretion, ask the individuals
to acknowledge to writing that they have
been duly informed.
While this provision does not explicitly
require It, agencies should, where feasi-
ble. Inform third-party sources of the
purposes for which information which
they are asked to provide will be used.
In addition. the agency may. under cer-
tain circumstances. assure a source that
his or her identity will not be revealed
to the subject of the record (see subsec-
tion (k, (2). (5), and (7)). The appro-
priate use of thud-party sources is &s.
cussed -in subsection (e) (2) above.
In providing the information required
by subsections (e) (3) (A) through (Di.
below, care should be exercised to assure
that easily understood language is used
and that the material Is explicit and
informative without being so lengthy as
to deter an Individual from reading it.
Information provided pursuant to this
requirement would not, for example, be
as extensive as that contained In the sys-
tem notice (subsection (Cl (4) ).
It was not the Intent of this subsection
to create a right the nonobservance of
which would preclude the use of the
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
x96'. NOTICES
information or void an action taken on Subsection h) (3) (C) The routine
t_ -t basis of that information. For exam- uses which mar be made of the Informa-
pie. a failure to comply with this section. tioa as published pursuant to paragraph
is collecting crop yield data from a ( 4) (D) of this subsection: and"
farmm was not intended to vitiate a -Van" can be distinguished from
Vtu.
crop import quota based. in gait upon "purpose" in that " 'JO,. describe
such information. However. such an the objectives for eoW:uni or maintain-
ind)vtdual may have grounds for civil Ing Information. whereas "sus.. are the
action under suosecuon (g) (1) 'D) If he specitc ways or processes in which the
can show harm as a result of that information is employed including the
determination. Persons or agencies to whom the record
Subsection to) , 3)(A) he authority may ba.disclosed. For example, the pur-
t whether granted by statute. or by exec- poses for collecting information may be
uuve order of the President) Which to evaluate an application for a veterans'
authorizes the solicitation of the War- benelt and Issue checits. Via might in-
matzon and whether disclosure of such clude verification of certain information
information is mandatory or voluntai?:" with the Department of Defense and re-
The agency should cite the specific lease of check-issue data to the Treasury
provision in statute or Executive order Departme= or disclosure to the Justice
Which authorises the agency to collect Department that the applicant appar-
the requested information 4 see subsection ently intentionally provided false or mis.
(ai (1) above), the brief title or subject leading Information.
of that statute or order. and whether or The term "routine use" b defined in
not the collecting agency is required to subsection (a) (7) to mean the disclosure
impose penalties for failing to respond or of a record '?" ' ? for a purpose which
Is authorised to impose penalties. When Si compatible with the purpose for which
Q-4 system is tnuatsined pursuant to it was collected." A "routine use" Is one
some more general requirement Or which is relatable and necessary to a
authority. it should be cited. The ques- purpose described pursuant to subsection
tion of whether compliance is manda- 'e) (3)'3). and Involves disclosure out-
tory or voluntary is different from the side the agency which maintains the
be included
t
PnbUcatlon of the Annuial Notice of
Svste+ns of Accords. Subsection ( e)"Subject to the provisions of peratra
(11) of this subsection. publish in t.
?rsseat Rsctaeu at least annually a no-
tice of the existence and character of the
system of records. which notice she::
Include-"
The public notice provision is ducal
to the achievement of one of the basic
obje"-nva of the Act: fostering agency
sccountabpity through a system of public
scrirr.7. The public notice provision s
premised on the concept that there
should be no system of records whose very
existence is secret.
'ha purposes of the notice are to in-
form the public of the existence of sys-
tems of cords:
The kinds of Information maintainer:
The kinds of Individuals on whom in-
formation is maintained:
The purposes for which they are used:
and
How Individuals can exercise then
rights under the Act.
All systems of records maintained by
an agency are subject to the annual pub.
lie notice requirement. (The general and
special exemption sections permit agen-
cies to omit portions of the notice for
certain systems. They do not exempt any
question of whether :.Here are any eori- record. "Routine uses mus
afrom putiblishing a public sortie
sequences of not providing information: not only in the public notice about the agency g any system records).
Le- the law may not require Individuals system of records published in accord- Care must of record) to assure that
to apply for a bentlt but clearly. for axes with subsection cep ~4~. below, but the tone must beats. level of detail
ant
some types of voluntary programs. to also established in advance by notice rn length of the public notice are consider
apF
information might preclude in agency comment. see subseet?on ? -- ? .
rmed Judgment and The description of "routine uses" pro-
i
f
n
o
an
f:otrm max-MC-thereby prevent an individual from vided to the individual at the time In-
obtainmut s benefit. 'See subsection formation Is collected will frequently be
)e, (3) )D) regarding the requirements to a summary of the material published in
inform individuals of the effects. If any. the Public notice pursuant to subsection
of not providing information.) (a) (4) (D). As with other portions of the
In some Instances it may be necessary notification to the iadividuaL care
to include requited and optional infer- should be exercised to tailor the length
ration on the same data collection for= and tone of the notice to the eireum-
T..is should be avoided to the extent stances: i.e.. the public notice published
possible sines the likely effect on some pursuant to subsection can be
may feartethamay be cceiciv : t, even though Lportions the individual appended ppeended to an informs-'
of an Information request are voluntary. idon collection form.
by failing to respond. they may be per- Subsection (e) (3) (D) Te effectson
calved to be cooperative and their him. If any. of not providing all opportunities would thereby be preju- part of the requested Information":
diced. (See 44 CS.C. 3311. the Federal The Intent of this subsection is to allow
Reports Act.) an individual from whom personal In-
se)osahe oeffects f not
Subsection (a) (3) (3) "The principal formation and requested
purpose or purposes for which the IDfor- providing any psi or all of the requested
msuon is intended to be used;"
information so that be or she can make
teal should be Wormed oe an informed decision as to whether to
Time lice l for which the
the pr Boil will be used. to te provide the information requested on an
paymeents ats. information collection form or in an
ate Information witlo I ussut se e. benelt to
suitsbilitT. t Interview.
The description of purpose(s) must In- The individual should be Wormed of
mrecor alld beou purposes for awhich gency which the the effects. If any. of not responding.
pati the ly ho wThis should be stated In a manner which
tit wise be used
to entail it and ptios rip those likely relates to the imposes for which the in-the mdl- to entail rights. env U as to As all ll formation Is collected: e.g., the Informs.
Wher >n a ton is needed to evaluate disabled vet-
o-durl's o of information col
lecuoaPortions of the d erns for special counseling and training
era Process. purposes should ld be bt stated and If It Is not provided no additional
With suMelent sceCw'fei7 to '"?"~"?'tt't- t$iinins will be considered but disability
Bate to an individual without be=g so annuities payments will continue. Par-
lengthy as to discourage reading of the ocular can must be oe~ tics to
nonce. O~enerally. the purposes will be drafting of the warding directly related to. and Aeeessa.17 for. assure that the respondent to the Infor-
the purpose authorized by the statute or matron request Is not misled or Inadver-
exeeutive order cited above. tentiy coerced.
ob;ecn:e of =or== the public or
nature and purposes of agency syste.
of records.
De:`-ring what constitutes a "system"
for purposes of preparing a notice will be
left to agency discretion within the gen-
eral guidelines contained harem (See
also subsection tai (5) ) . A system Can be
a small group of records or. conceivably.
the enure complex of records used by an
agency for a particular program. Several
factors bear on the determination by time
agency as to what will constitute a sys-
tem:
L' each small grouping of records is
treated as a separate system, then pub-
lic notices and procedures will be re-
quired for each. The publication of
numerous notices may have the effect
of limiting the information value to the
public.
L' a large complex of records is
treated as a single system. only one no-
=a will be required but that notice and
the procedures may be considerably
more compleL
Agencies can erect to be required to
respond to Individual requests for ac-
cess to records pertaining to them at the
level of detail in their public notices.
Le.. if an agency treats its records for a
particular program as a single mates.
it may be called upon by an individual
to be given access to all information in
records pertaining to that L-mdlvidus.
the system.
The purposes) of a system is the
Important te:ion in deter=
whether a system is to be treated as .
single system or several systems for the
purposes of the Act. If each of sever:
groupings of agency records is used for a
pots" fGiSTR. VOL 40. me. )7l-WEDMESPAT. JULY 9, 1173
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
NOTKM
is disclosure of a record for that "routine "The purpose of this requirement is
unique purpose or set of Pu? vldua.1 to determine it tafor-a& In&
tion ((Ct) ) ((33)) (s) use" as sPecltfed In subsection g ) (11). systsm+fmtio
delineated in subsec n = him mtsht be In (the) system
above. etch MAY a riatelY be it Tot mayor che=ite+ SD ei required . Clot of the tassgones sd
treated as a Separate system. A9=4108 a revised Public notice is required before 7a& descrip o clearly stased
~we O o o ies should
ho change theref
non zhoul keep mind that a major Pun- that change is yet Ivolvesschanges vilest terms understandable to mdicid-
f the Act >s not the r surmg to an eaistirit ys with data collection
of t)dsung sy+tssas of records. but to "routiac uses they are subject to the 1taL uafamsl($ ease Report 03-1416. P.
rather the publicizing 01 what those sys- S0 day advance notice Provisions of sub- techniques." a the notice might to
tams are and bow they are used. It 600 cb0c hanges In (0) 11). The Mzure of the 13). ror a( System which would require dices th thelrecords are maintained
eesuch re srruetur- the issuance of A revised public notice on students who applied for loans under
not, of course. wise preclude
keg where Otbess'ise uc+arv or aDDro- tiu 4 a
prnate such AS to' reduce the risk of before the next annual Public ao student loan DrOtram. not persons w no
improper are eligible under
described for each element of the Public filed form X or who
Geographic decentralization will not Oeacrally. sill Chang system which Aay ehaag which has the effect o:
In and of itself be considered a Cnterion has the effect of expanding the eat*- adding new categories of individuals on
for viewing a system Of records as srv- records ma retained. the cite- whom records art maintained will re-
eral systems. Am ageaey may treat a Bcries nes of of individuals on whom records
Qub
nouce. 11. In publ c the absence revised a revised
decentralized system ass single system are maintained, or the potential recipi-
who the subyec:
and specify serespl l bltifor thand e sysa eats of the information, will require the notice, sa individual
agency o cial si publication of a revised public notice of s record in the system would no:
tam at each location. See subsections before the change is Put into effect. In recognize that fact. a revision should be
(e) (4) (A) and (F). While the develop- addition. any modification that alters Issued before that change Is put Into
meat of central indexes for ssstemJ procedures by which individuals ex- effect. A narrowing of the coverage of the
which do not presently require such In- the ercise their rights under the Act (e.g.. system does not require advance issuance
dexes should be avoided wherever poser cess) will require the pub- of a revised notice. Rec ble. Individuals who seek to learn l for ocati gaionDinofga ac revised notice before that nNoCatev ubasetion too' s( in
whether er $ a decentralized change becomes effective. the Public
of records contains a record Per' 0' Changes of the type described above -The categories of records maintained
shout g to them (subsection (f) (1)) will typically also require the Preparation in the system;"
should not be required to query each of a Report on New Systems" under This portion of the notice should
location. (In index. a ehether or not to subsection (a). below. AnY other change briefly describe the types of information
construct is index. agencies must weigh will be incorporated into the next annual contained In the system; e.g.. employ-
the potential threat of misuse posed by revision of the notice. meat history or earnings records. As with
making individual records more scces the The General Services Administration the previous hem. non-technical terms
ble against agauut the capability to meet the (Offict of the Federal Register) will Issue should be used. The addition of any new
needs of those i teals for access to more detailed guidance on the formats categories of records not within the cate-
their records). It may, , however, be posei. to be used by agencies in publishing their gories described in the then current
ble to guide individuals as to which lo- public notices. The formats prescribed public notice will require the issuance of
chum: may have a record pertaining to by GSA are to be used to facilitate the a revised public notice before that change
of Ien iota- annual compilation of the notices and to is put into effect. The addition of a new
them: a bir systems segmented
Lion of mber. In by range of d syste - Assure that notices are produced In a data element clearly within the scope of
Lion number. In am case. "if a system consistent manner to make them more the categories in the notice would not re-
is located in more than one place, each useful to the public. quire the issuance of a revised notice.
location must be listed." (House Report Describing the Name and Location of Describing Routine Uses in the Public
93-1416,P. 15) See subsection (e) 44i iin ? the System in the Public Notice. Subsec- Notice. Subsection (Cl i4i iD' ..Lac:!
A mayor criterion in determining tion lei (4) (A) "The name and location routine use of the records contained m
whether a grouping of records consti? of the system" the system. including the categories of
tutes one system or several. Lot pur- Agencies will specify each city.'town users and the purpose of such use:"
poses of the Act. will be the ability. to and site at which the system of records In describing the "routine uses" of the
be responsive to the requests of the n- is located For a geographically dispersed system in the public notice. the notice access erally:al for ,form to records and ten- system each location should be listed. A should be sufficiently e explicit to notice
emits to be informed. in the :st of locations will not should to to a reader unfamiliar with the
System:. however, should not be sub- change
require publication of a revised notice. technical to reader of the system or the
divided or reorganized so that informs- While the House reportlanguage cited agency's program.
Uon which would otherwise have been above clearly indicated that the location agencenc s more extensive discussion of
subject to the act is no longer subject to of each site at which the system is main- -routFor ine uses," see) subsections (a) (7
the act. F or example, if an tgenc main` tanned is to be listed. exceptional stirs- toted e (b) i e) u sects ns of d'
rains s series records not arraanged by VOm may dictate not including the list' (deftnition3).
(e) (3) )C3 ((con loins of the
records lag in the body of the notice; e.g.. cndsiv duals , and 4,01) inotice Of
separate ndoexxnate identifier retrieve but
militaz5 personnel records which are
by name or personal identifier it should kept at several hundred installations or routine uses' .
not treat these flies as separate systems. certain farmer records which are kept Any new use or significant change in
extension an existing use of the system which has
A public notice is required to be at several thousand county
published: agent offices. To include the list of iota- the effect of expanding the availabil:ty
For each system in operation on Sep- tiors in each applicable notice would of the information in the system will re-
tember 27. 1973 on or prior to that date Only serve to inflate the size and thereby quire publication of a revised public n-
and the Douce shall be republished, in- reduce the readability of the notice. In lice. Any such change in a routine use
eluding any revisions. or before Au- these instances it may be appropriate to must also be described in a notice in the
gust 30, each year thereafter. publish a single list of field stations, or FaoxaA, Rre2STLa to permit Public corn-
For new systems, before the system to refer in the notice for all systems It meat before It Is implemented.
of records becomes operational: Le.. be- those sites to a list which is generally Describing Records 3fanavement POI,-
fore any information about Individuals available. eies and Practices in the Public Notice.
is collected. Describing Categories of Individuals in Subsection (e) (4 ~ (EI "The Policies and
It should be noted that each "routine the Public Notice. Subsection (e) (4) (3) practices of the agency regarding stor-
use" of a system must have been estab- ?fie categories of individuals on whom age. retrievability, seem
comment in a notice published for public O icon records.- it-
onir
cent at least ast 30 days prior to the records are maintained in the system: '? union. and disposal
lEDE1At ifWSTE1, VOL 40, NO. 122-WEDNESDAY, JULY ?, 1975
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
This portion of the public Douce should
describe how the records are maintain .
how they are safeguarded. what cue-
gories of otscsals within the agency are
permitted to have access. and how long
records an retained both on the agency's
premises and at secondary storage sites.
In describing record "storage", the
agency should Indicate the medium in
wrath the records are maintained e.g.
(:le folders. magnetic tape) . "Retrtevs-
bility" covers the capabilities in the sys-
tem of records to Indez and assess a
record i e.g" by name. combinations of
personal charseterstics. identiscation
numbers). "Attics controls" describes. in
gene--al terms. what measures have been
taken to prevent unauthorized disclosure
of records (e.g" physical security. per-
sonnel screening) and what categories of
individuals within the agency have ac-
cess. -Retention- and "disposal" cover
the rules on how long records are main-
tained. it and when they are moved to a
Fede-?al Records Center or to the Ar-
chives. If and how they are destroyed.
The description stall not describe se-
curity safeguards in such detail as to
Increase the risk of unauthorized seem
to the records.
Changes in this item will not normally
require immediate publication of a re-
vised public notice unless they retest an
expansion in the availability of or access
to the system of records.
Identifyta0 Orcicl's) Aesponribie for
the System in the Public Notice. Subsec-
Mon (e) 4 4) (F) "'i he title and business
ad dess of the agency ofJc-al who is re-
sporsible for the system of records".
This portion of the notice must include
the title and address of the agency ofdciai
who is responsible for the policies and
practices governing the system described
in (e) (4) M. above. For geographically
dispersed systems, where individuals must
deal directly with agency oflcials at each
location in order to ezercise their rights
under the Act (e.g. to gain acccess). the
t"-Jo and address of the responsible oM-
cial at each location should be listed In
addition to the agency ofycial responsible
for the entire system. See discussion of
subsection (e) ( 4) (A.), above. for spectui l
treatment of certain multiple location
systems.
A revised public notice than be issued
before the implementation of any change
in the address to which individuals may
present themselves in person to Inquire
whether they are the subject of a record
in the system or to seek seem to a record
or m the address to which individuals
may mail Inquiries. unl- the agency his
established Internal proeedura to assure
that mail will be forwarded promptly so
that the agency will be able to respond
to 'laquirles within the time earst: mats
established In subsection W. Centrally,
changes of this type in the Interim be-
tween the annual publications of the
compilation of notices should be avoided
if at all possible. Individuals are more
likely to rely upon the annual compila-
tion and are not as likely to be aware of
modjacatsons publicized only by mesas
of sepa-ate notice In the Pens Rsc-
issa
Describing Procedures for Deterrstn-
Inp if a System Contains a Aseord on an
individual in the Public Notice. Subsec-
tion (e) (4) (G) "The agency procedures
whereby an individual Can be noticed st
his request if the system of records con-
tains a record pertaining to him:"
This portion of the notice should spec-
ify as a minimum the following:
The address of the agency oDcs to
which inquiries should be addressed Or
addresses of the location(s) at which the
Individual may present a request in per-
son Wherever practicable. this list
should be the same as the list of ofscsals
responsible for the system In subsection
(N (4) (F) , above. If this is the case. it
need not be reported.
What identifying information Is re-
quired to ascertain whether or not the
system contains a record about the
Inquirer.
The agency may require proof of iden-
tity only where it has made a dtsermina-
tion that knowledge of the fact that a
record about an Individual assts would
not be required to be disclosed to a mem-
ber of the public under section 352 of
title 3 of the 'United States Code (the
Freedom of Information Act). For exam-
pit. an agency may determine that dis-
closure of a record in a Ile pertaining to
conflicts of interests would be a clearly
unwarranted Invasion of personal pri-
vacy. with= the meaning of 5'U.S.C. 552
(b) (6). and in this instance the agency
may requite proof of identity.
A reused public notice will be issued
before effecting any change which meets
the criteria outlined in subscction )e)
W (F), above.
This portion of the notice !lust be con-
sistent With agency rules promulgated
pursuant to subsection (f) (1). Any
Change In these procedures Is subject to
the requirements of the Admiaistr'anve
Procedure Act as specified in subsec-
tion (f).
Describing Procedures for Gaining Ac-
cess in the Public Notice. Subsection (e)
(4) (H) "The agency procedures whereby
an Individual can be noticed at his re-
quest how he can gain access to any rec-
ord pertaining to him contained In the
system of records, and how he can con-
test Its content; and"
This portion of the public notice must
Include the mailing address (es) and. If
possible. the telephone number(s) of of-
ficial(s) who can provide assistance; and
the location of offices to which the Indi-
vidual may to to seek mfor..anon.
'Phis provision does not sperAcally re-
quire that the actual procedures for ob-
taining access or for contesting the ac-
curacy of a record be Included In the
public notice. It only requires that in-
dividuals be advised of the means by
which they can obtain Information on
those procedures. However. It should be
noted that. pursuant to subsection M.
agencies are required to publish rules
which stipulate the procedures whereby
the individual can exercise each of these
rights and that these rules are required
to be incorporated into the annual com-
pilation of notices and rules published
by the OfLce of the Federal Registe_-.
A revised public notice shall be issued
before effecting any change about whoa
the Individual would have to mow i-
order to exercise his or her rights undo
the Act. Chance of this type in the
Interim between the annual publications
of the compilation of notices should be
avoided If at all possible.
This portion of the notice must be
consistent with agency rules promuigated
pursuant to subsections It) +2) and 13,
Any change in these procedures is sub:ems.:
to the requirements of the AdmsaisM-
tive Procedure Act as sperieC in suc-
section (f).
Describing Cctsporses of Informations
Sources in the Public Notice, Subsection
'at (4) (I) "The categories of sources of
records in the system:"
For systems of records which contain
information obtained from sources other
than the individual to whom the records
Pertain, the notice should list the types
of sources used: e.g..
Previous employers,
Financial Institutions.
Educational institutions attended. or
Peer reviewers (such as in connection
with records of the review of proposals
for research projects,
The notice should indicate if the in-
dividual to whom the records pertain is a
source of the information in the record.
Otherwise all the notices will appear to
be violating the regiuremcit that in-
dividuals be the main source of Informa-
tion pertaining to them.
Specific individuals or institutions
need not be identied. Guidance on wher
the identity of a source tray be withhtel:
is contained in subsection sk) (2), (5)
and (7).
Standards of Accuracy. Subsection )e)
(5) "Maintain all records which are used
by the agency In making any deter:-una-
tion about any individual with such ac-
curacy, relevance. timeliness, and com-
pleteness as Is reasonably necessary to
assure fairness to the individual in the
deter=!natioa: "
The objective of this provision is to
Miaimf?L of not ellmiaate. the risk that
an agency will make an adverse deter-
mination about an individual on the basis
of inaccurate. Incomplete. Irrelevant. Or
out-of-date records that It Mainain, ,
Since the Anal determination as to ac-
curacy is necessa.-sly judgmental. it is
particularly critical that this judgment
be made with an understanding of the
intent of the Act.
The Act recognizes the di,2culty of es-
tablshint absolute standards Of data
quality by conditioning the r squat emen :
with the language "as is reasonably nec-
essary to assure fairness to the tndtvid-
ual ' ' ??" This places the emphasis on
assuring the quality of the record in
terms of the use of the record in making
decisions affecting the righti. benefts.
entitlements. or opportunities 1 including
employment) of the IndsviduaL
A corollary provision (subsection (e )
(6). below) requires that agencies apple
the same stands--d to records whin are
disclosed. except when they are 'disclosed
to a member of the public under the
Freedom of Information Ac: n to an-
other agency. (An agency would be sub-
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
2966 NOTICIS
tot and analnu. and program tvalua? seririty safeguards in their system and precluded ':*in ma)tiLg aeeessar. inter.
t:on. 'The Commumrcauona Act of 1134 for assessing nits. agency tr1403,1ers until it :as caerpi.ed
preeeribee) standards and penalnn for Notice for New Aertsed Aoisrrne Cses. w::h :rls provu10a, :
personnel engaged in hatdlL.g interstate 3ubsesuon Ie - I11) At least 30 days For an existing system of nee:
communications and shall also Oe con- prior to publication of ln:o:mation up- whenever a new "?rou::--e use- s
sulted. where applicable. when agency der parag'anr. -4, - 01 of this suosecton. pose:. A new 'routine .se" s :ne wt::=
rules of conduct are being developed). publish tin the FLDtaat Rse:sru nonce involves disclosure of recer:s car a new
Ac:.viuer under this provision rill of any new ;tie or intended use of the purpose compatible vrth the ;:Nose for
include information in the systttm, and ,rov,ce -h=p the :word ;a malatai.-es or ;c a
The incorporation of provisions on am opt)ortursty for +nteremed persons to new recipient or category of -tc ;er s
pr)racy into agency standards of subrrut "rit:en data. views. or arguments I even if other uses are concurrently cur.
eoneuc:: to the agent.." tailed, : and
The discussion of individual employee Agencies are requued to publish in :ne For any r.ew irster_s of reccr ,s :or
res!~onsibihtes timer the Act in general Fsattut P.tc:,t =a a notice of Muir iacan. wru "rout;ae uses" ere cor.emaiattd.
personnel oner.:ation programs: and ton to establish ..tutu :ne uses" for each
Th Stc:fotr 'f) AcsvcT R :.zs
e incorporation of training on the of their s)?sturrs of records. Although
speei:ic procedural requirements of the this prorulor. is desiered to suvola: t the Subsection .i -In order to carry out
Act into both :or rat and informal non- irforiral rule-making prof :t;ors of 3 u`.e provisions of :.':s ~tic=
zter
the-)Obi Lraining programs. U.S.C. 333. 1st ar:~rnrnaau:n of the flat .Tait-:talcs a 3-stem of records i a.:
Coneuren::y. hose agencies with public comments in the cud:c:a; re~?:eel :,romulgrte rules. in accordance
broad policy development and train :g of the ruJe-rsalt:ng exec:se was intended net,;: ements ?r.;lud.ng general r.-
t-..-responsibilities 'e.g.. the General Sere. wherever practicable. Aien:e:es should of se:non 353 of cis t:tie. with sha::-
ices Adsunstrition, the Cir.1 Serruce fur-:sh as complete an ext:a:.:::or. of !-sent:es must premu!;ate rules to .n -
Cammssioa) will also be revising their the routine :roes and any changes made element the provisions of the Ac: it. ac.
programs as appropriate to augment or rot made as a ;esi:it of the ;uolie cordarce Ttth the -TI'uirtmen:s of set-
agency activities in this area. com.?nert as possible so that the Public t;on $33 of title 5 of the United States
,his provision is also important in en- will be fully informed of the p::posed Code Including publication of tie :;.es
surig that individuals who re poten. use. This is to g;re the public an oppor. m the F tasa.ta Rsc:sru so :ha: Intr.
t:a117 cri i! 2l)y liable or whose actions turuty to comment on the appropriate- ested persons can have an oppor.un.r!r to
could expose the agency to civil suit fun- ness of those uses before they ccwe into Comment. A "rule" is desired as the
der subsections (i) and (g). respecuvelyi effect. This notice should be published wrole or a part of an agency statement
are fully tr ormed of their obligations s_Zcient:v in advance of the proposed of ;tnerzl or Partlcu;ar appiicab:l::y ar:
under the Act. et:ectrve date of the use to ;*.-r.:: :e future effect das:gned to implement.: -
Administrative. ;ethnical and Physi. for the public to comment and for the terpret. or presc be law or policy or de.
cal Sstlepisards. Subsection ie) ,10) ?'E:- agency to review those comments. but in scribing the orga :nation.. procedures. cr
tabllsh appropriate adaunistratlve. tech- no case may a new ?rzuvnt use" be used practice repui eflents of agency ' ' -
rical. and physics; safeguards to insure as the basis for a dls:lost:e less than 30 15 U.S.C. 53114) ). Fo:ni.sJ hearings are
the security and eon,denuality of rte. days after the;ubhicatioa of the -==Me - : reCUired with respect to rules )sits
ords and to protect against any antic!. use'. notice m the F r:tx.%t Rt.-:s-.n. A under s .s see=ca. However. forma:
paged threats or hazards to their secur- revised public notice I subsec_::on ? e ? 14 , ings are not precluded by this se.
i:y or integrity which could result in must be published before a -rout::e cue" and. is Particular instances. ages,
subsnantial harm. embarrassment. :n- is put into effect; I e..:efore a -nerds may elect to use the formal hearing pro-
convenienee. or urlatrans to any in. disclosed for such a use. ted:::e.
dividual on whom information is It is clearly permias.ble to publish the 'mo'o dstimet objectives must be sacs.
maintained:" entire system notice ,;rescribec by s;:b- Zed by he rules ;.rotruigated pur3uaaE
The development of appropriate ad. section )e ) , 4)) as the notice of "rout:n. to this subsection:
mirl:st:?atlyt, tachriieaL and physical use" provided that such "routine uses" Ther must provide the public with
safeguards will necessarily, have to be are riot put into effect until the re;u:.-ed r client iafarmatior. to understand ati
tailored to the requirtments of each sys- 30 day notice period. If at entire system a-n agency is comply.: g wit; the law;
tam of records and other related require. notice is not published. .he notice of and
meets for security and cor-wdenuality. "routine use" issued pursuant to sub- They must provide sufficient info:.-a-
:he need to satire the integrity of and section (e) (Ili must, as a minimum, tioa for individuals to exercise then
to prevent unauthorized access to. sys- contain rights under the Ac:.
terns of retards will be determined not The name of the system of records for Rules Promulgated under t :is subses-
only by the requirements of this Act but which the "routine use" is to be estab- tion differ from notices under subset-
also by other factors like the require- lisped: tion (e) in sever ways:
merit for continuity of agency operations, Where feasible. the authority for the Rules promulgated under this subset.
the need to protect proprietary data, ap. system (see discussion of subsection (e) lion are subject to requirements of see-
pllcable access restrictions to protect the (1). and the required notice to the in. non 333 of the Administrative ?roce-
national security. and the need for se. dividual in subsection (e) (3) tA) ), dare Act governing the Publication of
curacy and rsllabllfty of agency lnfor. above) ; proposed rules for public comment be-
manon. The categories of records maintained. fore Issuing them as 2na1 "Wes.
While the technology of system seen- The proposed "routine me (s) ": Rules must only be publshed twice-
r37 (both for compute:-based and other And the categories of recipients for as notice of rule making and when :he'
systems of records) is well developed as each proposed "routine use". are promulgated as final rules-unless
It relates to materials rim-sided for rea- For new "routine uses" of systems for they are subsequently modified. (The!
son of national defense or foreign policy. which a public notice under subsection w%lL however. be included In an annual
few standards currently east to grade (e) (4) has already been published. refer. e0tnpilation published by GSA.)
the "civil" agency in this area. Until epee should be made to that public no. A separate set of rules need not be
such Manila s are developed and pro. t let ? published for etch system of records ? :a:
mulgated, agencies will be required to A notice in the Pmtant. Rzoia s !twit. an agency maintains. The developtarn:
analyze each system as to the risk of im- Ing public comment on a proposed new of a single set of agency rules is en-
proper disclosure of records and the cost "routine use" 1s required. con-aged wherever appropr4..ai,e.
and availability of measures to minuiam For all ezlsung systems of records not Agencies are required to publish pro-
those rsks. The Deparmunt of Com. later than August :3. 1973. (Since 30 posed rules under this subsection allow.
merge (National R% reau of Standards) days advance notice of s "?outine me" is Its as least 30 days for public comr
will be issuing guidelines and standards required. an agency that fails to publish prior to publishing them as Seal ;
to assist agencies In evaltiatiag larious necessary no== for esistfng systems on (For ss'steas wb,?h will be in use
teehaologncal approaches to providing or prior to August 28 may And that it is Septesbn 1915. agencies will have
NDUAL RadltrH. VOL 40, NO. l37.W*DNMDAY, A Ly 1, 1173
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
NOTiCES 289
ject to the its osad. UMV*rL would coc bays date. il onswh which for an authorized law entorrccemthe snt t
to une-
et apply 1L ovn standazands=ds of os aocurac7? such as the last date
a determination was made by the agen- ~.
ere.)
Aseaciae may develop "`,? " ran'ces for tJ an the basis of the record or of in the discuaslona on the floor of the
aceusae7" and "timeIIriasa" giving cans other known limits on. its accuracy e.g.. House such recordsthe or law tain 5eration to the l1kelibood that .trots its source. it was stated w that the em cement
hats those decision could result in as Main. Subsection e) 7) "%'Ail ppi law statsa-~snt t the "b_^n
quine t with adenial of
queaess to the the individual (e.g.. g?? denial of no record describing how-any ladivld? on the ghat ~yyWi and religious ac-
righia. benefits. entitlements, or employ- nil eurclsee rights glaiwnteed by the eartain
are not used as a corer for
Por as"mple, for Its purposes in First Amendment unless expressly au- ti ties subversive n t u e as a Hoverer, it was
determining sntiiements based an in. thorized by statute or by the individual or "no We would o kept of per.
come. it may only be necessary for as about whom the record is maintained agreed that agency to record the fact that income was or unless pertinent to and within the sons who are merely exercising their can-
greater than or less than a stipulated scope of an authorized law enforeemeni stitutiona "these was no
level rather than to ascertain and record activity;" eintrotuimi intention this qualification "there
with deer Amsnd-
the precise amount. In questionable in. Whereas subsection (e) (1) generally meat rights" tier with First Record,
stances. reverlacation of pertinent infor- enloins.agenci s from collecting tafor- November is 1974. c320992 ress and Recem-
mation with the Individual to whom it masion not "relevant aad necessary bar 11. er 2 309SI)
pertains may be appropriate. accomplish a purpose of the Not1 1974. Hi f10Duciosures under Com-
Usetul criteria for assuring "relevance" this provisions establishes an even more A Process. cl sores d (e) ( [
and "completeness" may be somewhat rigorous standard governing the main puLsory of t - "Make reasonable eSubsection scare notice
more dimcult to develop. The pursuit of tnnance of records regarding the .seer- on. an individual when soy record notice
"completeness" could result in the col- case of First Amendment rights. These such individual is made Lay record rain
process-
section of irrelevant information which. Include. but we not limited to religious v du cis made available
if taken Into account in making an and political beliefs. freedom of speech person when such acn e procer income legal a matter of
agency determination could prejudice and of the peels, and freedom of assem- public
agency
a record is disclosed under em-
the decision. Agencies must limit their bly and petition. purbiWic record:"
records to those elements of information In determining whether or not a par- palaces legal rd is (e Da to
). and the pursuant
issuance to
which clearly bear on the determins? titular activity constitutes the exec- subsection al Process
lion (s) for which the records are in- case of a right" guaranteed by the Fast subs order or subpoena is made public of
tended to be used. and assure that all ele- Amendment". agencies will apply the It.
must or ales reasonable atenc7 which s issued teed ft .
agencies court
menu necessary to the determinations broadest reasonable Interpretation. the
are present before the determination is Records describing the exercise of tindividual st m the orts to
made. these rights may be maintained only it notify
notify the h This may be wccomphehed by
Validatise Records Before Disclo- one of the following conditions is met: notifying the frill may be c Mail at his o
A statute specifically authorizes it. not ~ kaddress. most his or ece sure. Subsection (c) r(6) "Prior d bout to die- Specific authorization means that a he l address known
the a [taws The records most rl cunt
aeminatla any morel & bout in di- statute explicitly provides that an agency add for this the gen y rid ec separate ads
ages l to ins person dissemination han an may maintain records on activities whose
agency- unless the subsection (b) (2 is dress records are required. 'Upon being
made ) of exercise is sorely that he First Amend- served with an order to disclose a record.
xis section. , make reasonable (2le efforts to meat: not merely sathe agency is au- . the agency should endeavor to determine
sure that such records are accurate. thorized to establish a system of rec cordd&s. whether the issuance of the order is a
_omplete, timely. and relevant for However, the statute need not address it- matter of public record and. if it is not.
agency per:,, self specifically to the maintenance of seek to be advised when it becomes pub-
records of First Amendment activities if lit An accounting of the disclosure, pur-
While the Act recognizes that to it specifies that such activities are rele? suant to subsection (c) (1). is also re-
accuracy agency cannot guarantee the absolute vant to a determination concerning the m to made at the time tagency
of its systems of records. any individual. For example, since the Im- qmed t with made at the time a the h subpoena.
record disclosed to a person outside the migration and Nationality Act makes the nRules of with the f for e Ao suv oenartnei.
agency (except another agency) must possibility of religious or political perse- Subsection (e) (9) '-Establish rules of
poses be as accurate as appropriate for our. cution relevant to a stay of deportation, conduct for persons involved In the de-
of the agency which iaalatained the information on these subjects may be el~ for development. erso operation. or main-
the record. (See subsection (e) (5) ). The admitted in evidence. and therefore te~~ of any ystom of records, or in
only exceptions to this requirement are would not be prohibited by this provision. temallitalmin nance of any record, and instruct
for disclosures to another agency or to The individual expressly authorizes it: each such person with respect such
the public under the Freedom of Infor- e.g.. a member of the armed forces may enice and the ran with res of this sec-
or Act which may not be delayed indicate a religious preference so that, if tion, ule the any other tand pee-
or impeded. seriously injured or killed while on duty. tIncluding
,radopted y pursuant to other rules this secto
Recognizing that an agency properly the proper clergyman can be called. The : "
e with noncnc theompliancePTOC:
disclosing information (pursuant to tub- individual may also volunteer such in. and d the ttheive comp penalties ?tac for
section (b). conditions of disclosure) is formation and If be does so. the agency alone c this Act will c swinformed
often not in a position to evaluate accept- is not precluded from accepting and Ti- and active support of a broad cross seed
able tolerances of error for the purposes tanning It. Thus, if an applicant for poli-
of the recipient of the information. the tical appointment should list his political tion of agency personnel. It is important
primary objective of this provision is. affiliation. association memberships, and athat an ccess W~tema of records or who eve
nonetheless. to assure that reasonable religious activities, the agency may re?
efforts are made to assure the quality tam this as part of his application file or lures or systems t deve sulophpment[ of pro-
of of records disclosed to persons who are include it in an of5cial biography. ~-
not subject to the provisions of sub- ilsrly. if an individual volunteers in.- be informed of the requirements of the
y
section (e) (5). The agency must there- formation on civic or religious activities Act and dadequately eveloped ttlmined in ag cy
fore, make reasonable efforts to assure in order to enhance his chances of re- proced ent
that a record It discloses is as accurate. ceiuuig a benefit. such as executive Clem- Act. Personnel with particular concerns
relevant. timely. and complete as would ency. the agency may consider informs- include, but are not limited to. those en-
be reasonably necessary to assure fair- tion thus volunteered. However. nothing swaged ~`so ment l (rmim eposes. tormpaterr-
inake any determination that record. might in the suggest information that Informati should in
an ords. and related functions). computer
and o s o of that t ate It any way
nsmake ot the basi
for example, be appropriate to to ad- fndit7dual'a First Amendment activities ~amuaications~atattsticai data ~olle~-
vise recipients that the information dis- Is required
gDERAL REGISTER. VOL 40, NO. 133-WEDNESDAY, JULY 9. 1975
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
NOTICES 2$96'
to publish rules not later than August 2$. Agency procedures should provide for Documents which the agency will re-
1975.) No further renublication of acknowledgement of the inquiry within quirt. If any. to establish the Identity of
tency rules is required Bother then their 10 days excluding Saturdays. Sundays. ttl rid asdual ape ifying as many alter-
-lusion in the annual compilation pub. and legal public holidays).
'ed by the of5ce of the federal Reg- Rules for Handlin0 Requests for he. Rules for Granting Access to Record:.
-) unless a change u proposed. cess. Subsection (f) 12) "Define reason- Subsection (f) (3) "Establish procedures
.he language of subsection (fi ex- able times. places, and requirements for for the disclosure to an individual upon
pllcitly requires "general notice:" I.e.. Identifying an individual who requests hisnsrequest of his record dlor sInforma pecial ti o-
section 5531bi of title 5 which permits his record or information pertaining to
agencies not to publish a general notice him before the agency shall make the cedure (sic). if deemed necessary. for the
prec er-
if "persons sub)ect thereto are named record or information available to the discs l care oa individual col medical
and either personally served or otherwise individual:"
have actual notice ? ? ?." shall not apply The development of procedures for to rte ndu hi may be granted a10
to rules promulgated under this subset- individuals to identify themselves for the their records emayr be run person or access
hsv-
tion. Agencies should also be aware of purposes of gaining access to their rec-in by
the fact that. although the presump- ords will necessarily vary depending on trig copies mailed to them The nature of
tion is of the validity of the proposed the nature. location. and iiensiuvlty of the records are maintained will deter
rule. judicial review under the Adminis- the records in the system. Care must be whom
t_rauve Procedure Act will be available exercised to assure that the requirements aunt which method is appropriate. Lf an
to assure against arbitrary or capricious for verification of Identity are not so agency oes that it Providing cumbersome as to prevent individuals the mad a gcause y
Rules to, Defermininp if an Indirid- from gaining access to records to which of s the records through
tea: it the Sub)ect of a Record. Subsec- they are entitled to have access. The cannot provide
-re soAccess nabl to their
lion (f) (1) "Establish procedures where- requirements pertaining to verification individuals to to have elnahei rea fee
the it may not
by an individual can be notified in re- of Identity contained in subsection one In person.
copy.
sponse to his request if any system of ? f 1 1). above. should also be noted. for e making of access to mrecords
records named by the individual con- "Reasonableness" will be measured in The issue of s to medical ed discussion
twins a record pertaining to him:" terms of was e e the subject development extensive . on
The procedures for Individuals to de- The risk of f access being granted to an du the Act the As
termine If a system of records contains individual who is not entitled to access wring ritten. the subof a that Act.
I access
records pertaining to them should be weighed against the probable harm (in- uak s pfie them right (with ces
kept as simple as possible. The published cludirc embarrassment) to the Individ- records the Act provides specified to e suwith cats
procedures should specify- ua, to whom the record pertains which twin ,j) and cxt s pertaining erta (k) below) but tint the process
To whom the request should be di- would result from unauthorized access: are gat the process
rected. As discussed above (subsection and b by which I diid at the dicees
(e) X41 ), for geographically decentralized The standards for verification of )den- medical which below) of the scOrua s. be may, modified to cre-
systems. the individual should not be thy which & typical individual about lion vent harm to the individual (See sub-
the to query each location unless whom record is maintained could be ex- t.]
the individual can reasonably be ex- pected to meet. section m
sub minimum. D .) secton shall rules be issued sued pursuant
ected to be able to discern which iota- When agencies specify that individuals As
this a
ion would have z record if one existed: may -cr must) present themselves in ra subsection istent w(d) with
t
- by place of birth. place of employ- person. to verify their dentity, hours and athe nd should requirements quir include--
.it. While the development of central locations specified should take into ac- Some indication, for requests pre-
.exes to satisfy the requirements of count the kinds of individuals about
uus provision' is discouraged, such in- whom records are maintained. For ex- sented in person. as to whether the in-
dexes may be necessary in some ample. it may be appropriate to ask a diridual can expect to be granted im-
instances. current employee who seeks access to his mediate access to the record and. for
The Information necessary to idea- record to present himself to the agency written request, the expected time lag.
tify the record. Where the system em- personnel omee during normal working If any. between receipt of a request for
ploys a specialized identification scheme. hours. No requirements may be estab- access and the granting of that access
the individual should not be required to lisihed which would have the effect of im- (see subsection (d) (2) for guidance on
provide such a number or symbol as an peding an individual in exercising his or maximum response tunes) : and
absolute requirement. although the In- her right to access. The locations at which individuals will
dividual might be requested to supply it Agencies which maintain systems of be granted access to their records or
if he or she can reasonably be expected records on widely dispersed groups of in- the fact that access will be granted by
to know it. Instead, alternative combina- dividuals and which have field offices providing copies by mall:
two=s of personal characteristics may be equipped to do so, are encouraged to use Notice that an individual when re-
used to identify individuals who may those offices as sites at which an individ. viewing s record In person, may be ac-
have lost. forgotten. or Are unaware of ual can present a request for access even companied by another Individual of his
thrLr identification numbers or ssmbois. though his or her records may not be or her choosing and the agency's re-
For example, the combination of narre, maintained at any one of those field quirements. If any, for a written state-
date of birth, place of birth. and father's offices. The Information necessary to ment authorizing that individual's pres-
fi:st name may be suf5cient to identify identify individuals should be kept to the ence. Such authorization statements. if
An individual without the use of a sys- absolute minimum and neither this pro- employed. should be as brief as possible.
tam identification number. As was tug- vision nor any other provision of the Act Rules for Amending Records. Subsec-
gested Above, the development of new should be used for the purpose of acquir- on (f) (4) -Establish procedures for
retrieval and indexing capabilities is not Ing and storing additional information reviewing a request from an individual
encouraged, rather agencies should ex- about an individual. concerning the amendment of any record
ploit existing capabilities to serve rods- The published rules prescribing pro- or information pertaining to the indi-
vidual needs. Restrictions an the use of cedures for verification of Identity will vidual. for making a determination on
the Social Security Number as an Iden- include- the request. for an apps within the
tifier established by Section 7 of this Act A list of the locations and/or mailing agency of an initial adverse agency de-
should also be noted where applicable addresses of locations to which the re- termInation, and for whatever additional
Any requirements for verification of quest may be presented: means may be necessary for each Indi-
identity. These may only be imposed When in-person verification is re- vrdual to be able to exercise fully his
when the fact of the existence of a quired or permitted, the hours when rights under this section:"
record would not be required to be din- those locations are open (including the Agency procedures for permitting an
closed under the Freedom of Information dates of holidays on which they are Individual request amendment dmenof a with &,et (5 V.S.C. 552). closed) ; and
FEDERAL REGISTER. VOL 40. NO. 133-WEDNESDAY, JUT 9. 1975
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
3949 Not=
Uses (d.) (2) mad (3) and :ball le a Thu General Servtes ?wMinINtratJaa iecxsave peoadurn followed. in prheess-
Lz3nund- spy- will bugle gulches: on the format And we this statute. MW resort should is
The ofacsal(a) to wham the regart timing for suhmiealm at rules mad no- tnaintain'd so tact it can be rndW Cr
is to be directed: glen to reduce the Cost of prepar?g and gl=ad as the complete admiastrative
:danatying lafotm&Con required publishing the rulesand notices. to mini- ors of the procedinp as a Cana for pt.
to mw relate the retiuaas to the appropslaw min redundant wherever possible. and sabie use in lit:sac n.
record: otberwtss to enhance the utility of bees Grottnda /Or Action. Subseetloc g
The oiliesl/s) to whom a requst for pubtiestlaa. Pbr example. the various (1) "Gull Remedies. Whaaever LMY
a review of an !maul adverse deter.!- ptensiona of subseenon (e) (4) and if) Aetna"
meson an request to 10)504 max i 1) br ough (4) sailing for 11sts of names The subsection &u11or-nng avti ac.
be talZ a teat that asra haadiiag their owe to records to which they consider them-
selves entitled (u ndee subsection td'
form available to the public's low east" y?gacion tmder this Act keep the De-
The annual eompilatioa of public no- parsaeat of Justice currently Informed (1)). The action giviat rise' to the slitt
:ices (subsection (e) (4)) and agency o[ their Pro=-res. and forward to the may be the agency head's deter3irs:.'~^
ruts (subsection (t) (1) through (S)) Cal Dlwuion copies of sig=Mcaat docu- (pursuant to subsection W. specific
will be produced In a farm which pro- mints which are filed In such Cases, emptions) to exempt a system of tic
maces the exercise of mdivtddal Blau: Each agency should a eom? from the requirements that individduh.
under this Act. plena and careful record of the 'Cm1n- be grunted access. "Slate accw to a .te
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05C01629R000701570007-1
is the key to insuring the citizen's right
of accuracy. completeness. and relevancy.
a denial of access affords the citizen the
right to raise these Issues in court. This
would be the means by which a citizen
could challenge any exemption from the
requirements of Ithe Act)." (Senate Re-
port 93-1183. V. 82). It should be noted
that systems of records covered under
subsection (J) (general exemptions) are
permitted to be exempted from this
provision.
This provision is also the one by which
Individuals may contest an agency's to.
fusel to grant access as a result of Its
Interpretation of the definitions in the
Act as they apply to Information main-
tained by an agency and for the exclu-
sion set forth in subsection (d) W.
denial of access to records compiled In
reasonable anticipation of litigation. No
test of injury is required to bring action
under subsection g) (1) (B ' . The basis
for judicial review and available rem-
edies are found In subsection i g) (3).
Failure to Maintain a Record Ac-
curately. Subsection (g) (1) (C) "Fails to
maintain any record concerning any In-
dividual with such accuracy, relevance.
timeliness. and completeness as is neces-
sary to assure fairness in any determina-
tion relating to the qualifications.
character, rights. or opportunities. of. or
benefits to the individual that may be
made on the basis of such record. and
consequently a determination is made
which is adverse to the individual;" or
An Individual may bring an action
under this subsection only if it can be
shown that the deficiency in the record
resulted in an adverse determination by
the agency which maintained the record.
>n the basis of the record. "An action
also lies If the agency makes an adverse
determination based upon a record which
is inaccurate. untimely, or incomplete.
However. in order to sustain such action.
the Individual must demonstrate the
causal relasionship between the adverse
determination and the incompleteness.
inaccuracy. irrelevance or untimeliness
of the recorl." 'House Report 93-1416.
p. 17)
An adverse action is one resulting in
the denial of a right. benefit. entitle-
ment. or employment by an agency
which the Individual could reasonably
have been expected to have been given
if the record had not been deficient. This
provision. In essence. allows an individual
to test the agency's complta?ce w?it:i sub-
section (e'(5).
It should also he note- t. at, under
this subsection. an agency may be liable
as a consequence of its failure to main-
tain a record accurately only if it is
shown that its failure has been "inten-
tional or willful" (subsection (g) 14l).
(No such test is required tinder the pro-
visions of subsection (g) (1) (A). above.
under which an individual can seek a
review of the accuracy of a record.'
Neither this subsection nor subsection
(9, (1) (A) was Intended to permit an
individual collaterally to attack informa-
tion in records pertaining to him which
has already been the subject of or for
which adequate Judicial review is avail-
able. For example, that provisions were
not designed to afford an individual an
alternate forum in which be can chal-
lenge the basis for a criminal conviction
or an asserted tax descieney.
The basis for Judicial review and avail-
able remedies are found in subsection
(g)(4).
Other Failures to Comply with the Act.
Subsection (g) (1) (D) "Mils to comply
with any other provision of this section.
or any rule promulgated thereunder, in
such a way as to have an adverse effect
on an Individual."
In addition to the grounds specified in
subsections (g) (1) (A) through (C)
above, an Individual may bring an ac-
tion for any other alleged failure by an
agency to Comply with the requirements
of the Act or failure to comply with any
rule published by the agency to imple-
ment the Act (subsection (f)) provided it
can be shown that-
Tae action was "intentional or will-
ful'
The agency's action had an "adverse
effect" upon the individual; and
The "adverse effect" was causally re-
lated to the agency's actions.
The basis for Judicial review and avail-
able remedies provided by this Act are
found In subsection (g)(4).
Basis Yor Judicial Review and Reme-
dies for Refusal to Amend a Record. Sub-
section (g ' (2) " i A) In any suit brought
under the provisions of subsection (g)
(1) i A) of this section, the court may
order the agency to amend the individ-
ual's record in accordance with his re-
quest or in such other way as the court
may direct. In such a case the court shall
determine the matter de novo.
"(B, The court may assess against the
Urlted States reasonable attorney fees
and other litigation costs reasonably in-
curred in any case under this paragraph
in Which the complainant has substan-
Lally prevailed."
When an individual seeks judicial re.
Vie- of the accuracy. timeliness, com-
pleteness. or relevance of a record either
as a result of a challenge to the agency's
refusal to amend a record or because the
Individual alleges that the agency's proc-
ess for review does not conform to sub-
section 'd'3' . the court is required to
review the matter as if it were an initial
determination 'de novo). Such a review
may extend to the agency's criteria estab-
lished in conformance with subsections
(e I ' 1 ' and 15 1 for "accuracy, relevance.
timeliness, and completeness" as they re-
late to the purposes for which the agency
maintains the record.
Unlike the Judicial review of a denial
of access W a record, in a review of re-
fusal to amend a record the burden to
justify Its action is not expressly placed
upon the agency by the Privacy Act. This
was intended to result in placing the
burden of challenging the accuracy of
the record upon the individual. As a re-
sult, agencies should not maintain addi.
tional records solely for the purpose of
validating the accuracy, timeliness, and
completeness or relevance of other rec-
ords they maintain.
It the court Sods for the individual
against the agency it may
Direct the agency to amend the rec-
ord or to take such other steps as it
deems approprIWA.
Require the agency to pay court costs
and attorney tees. "It Is intended that
such award of fees not be automatic, but
rather, that the courts consider the cri-
teria as delineated in the existing body
of law governing the award of fees."
(Rouse Report 93-1416. P. 17)
Basis for Judicial Review and Rem-
edies for Dental of Access. Subsection
(gi (i)"(A) In any suit brought under
the provision (g)(1)(3) of this section.
the court may enjoin the agency from
withholding the records and order the
production to the complainant of any
agency records Improperly withheld
from him. In such a case the court shall
determine the matter de novo, and may
examine the Contents of any agency tee-
ords in camera to determine whether the
records or any portion thereof may be
withheld under any of the exemptions
set forth In subsection (k) of this section.
and the burden is on the agency to sus-
tain Its action.
(a) The court may assent against the
Onntad States reasonable attorney fees and
other litigation costs reasonably Incurred to
any case under this parsgranh in which the
complainant has substantially prevailed.
In conducting its review.
"ITlbe court is required to determine such
matters de novo and the burden of proof u
upon the agency to sustain the exemption "
(House Report 93-1414. p. 17) In view of the
sensitivity of some of the records to which
access may be sought. the court, in exam-
ining those records may do so in camera.
"A person seelung access to a We which be
has reason to believe is being maintained on
him for the purposes of determining its sc-
curacy and completeness. for example or to
take advantage of the rights afforded him
? ? could raise the question of the pro-
priety of the exemption which denies him
access to his Lies. In deciding whether the
citizen has a right to we his file or to learn
whether the agency has a file on h.,=. the
court would of necessity have to decide the
legitimacy of the agency's reasons for the
denial of access, or refusal of an answer.
The Committee intends that any citizen who
is denied a right of access under the Act may
have a cause of action, without the necessity
of having to show that a decision has been
made on the basis of it, and without having
to show some further injury. such as loss or
job or other benefit, that might stem from
the denial of access." (Senate Report 93-1193.
p.82.)
If the court finds for the indi idi.. 1
against the agency. it may-
Direct the agency to grant the inc:)-
vidual access as provided under sab..e:-
tion id1'1,.above.
Require the agency to pay Court cost'
and attorney fees "It is intended tha?.
such award of fees not be automatic b:.?
rather. that the courts consider the ci i-
tens as delineated In the existing body
of law governing the award of fete;
(House Report 93-1416. p. 17)
Basis for Judicial Rerirr and lfrnr-
dies for Adrersr Determination ante
Other Failures to Comply. Subseetior,
(g' (4) "In any suit brought under the
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05C01629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
" NGitiC.it
provsieios of subwetlon (1) (1) (C) or an7 eriit action. bF reason of an7 iniui7 CriiwtrAl Penafiies for 17asasAorised
t D) of % ha section 1n. wbleb the co wt sues u md. as the result of a dseloet Dketoeerte. 3ubeer-3oa (i) (1) "AW 021-
deterztaa that the aseaty acted in a of a reward prior to Me eCeetive dais Ce3 OF etapfoyee of m agsc7. wbo by
?.,??r?? what: was suatsonal or wt82uL of t, is section..- vn=rof his emPOent or oec.s1 pom?
or weess to.
=8 'Ch&ted States stall
India ual in an arsouate equal, to tae co for the utsdictlon ht wtlch the- agency mcords ~wmc s eoatam iadindu-LUUAW to %be Action =&T be brought in the districs tion. has sum of- individual resides. or has a plate of busses- ally idenc:'sble iztormatiom the d aclo-
,A) ACnaaa damages sustained by aaaa or in which the agaac7 records are sum of which is prohibited b7 t= see-men
they individuate as a result of the retual situatted. stsor in the .tua of District
mith^^? is two thereunder. and wh 1 tons a that led
or Isalure. but In no eases shall a person. Zat entitled to rsmve:y receve less than the years from the data upon which the clams at the ape-_ft sscsris? 5 so Pro-
of 81.000: and cause of anion arses. except for eases hibstet ,I11 Jy dstloses the .:stein.:
8) The Casts of the action together is which the a=encl has materially or in any manner to nap person or sgenc
with reasonable attorney fe+s as deter- wt ltuAy misrepresented my information net entitled to receive it. :ban be giul:i
mined br the Court" required to be disclosed and when such of a misdemeanor and lard cot sore
;a any action brought for failure to mtsrepresentstloa is mat>c:tal to the his- than WOO.*
comply with the psvvtsions of the Act. bsli:y of the a g e n c y . s u c h ages the 33 t r a - i vtolatloa of the 7 M .
than that covered in, subsection statute of limitations is .we fears from vinoa of the Act it am employee. tt w?
is,, (1) (A) and (8) (refusal to amend the data of discover? by the individual of tog that disdasurs is prohibited. will.'ej7
a record or der-1 of access) It must be the msrepreseatatioa.?' (Souse Report discloses a record without the wastes
shown that-- 13-1416. P. 18) consent of the individual to whoa: u pe--
..w failure of the agency to comply A suit may not be brought on the basis ta= at his or her request. or for one co.
was -Intentional or willful:" of iaiury which =7 have occurred U the reasons set forth to subsections (b,
TUre was salary or harm to the arid!- a result of an agency's disclosure of a (1) through (11), conditions of dYs-
vidua:? and record prior to September 27. 1973: e-s- closure.
The =ii-T was Causally related to the disclosure without the consent of the In- Criminal Penalties tar ?aalu.-e To Pub- -
alleged ageoe7 failure- dri-idual or an adverse action resulthsr lash a public Notice. Subsection (1) (2)
As indicated above. these r'.tess do from a disclosure. This language is tn- "Any Darter or employee of any ages ,
not apply to suits brought to amend a tended to preclude agencies from being who willfully maintains a system of record pursuant to subsection (s) (1) (A) held liable. under this law. for actions ords without meeting the notice require-
so that an Indtvrdual say. under certain taken prior to Its effective date. meats of subsection. (e) (4) of this seeuoz
circumstances. Properly bring an action Strsstcstow (h) lacers or Litwi. assn be guilty of a misdemeanor and
either under subsections (g) (1) (A) or Gcas .t.rs fired not more than 35.000."
(g) (U ( C). As Was discussed In connection with
when the court lads that an agency Subsection ?h) -For the purposes of subsectl= (e) (4). above. a basic objet-
teas acted will!u 1y or intentionally in this section. the parent of any minor. or ere of the Act is to assure that there is
vioiation of the Act in such a manner as the legal guardian of aa7 Individual who no system of records whose very eias:eaew
to have an adverse effect upon the to- has been declared to be incompetent due is kept secret. An agency Is .equ_ed to
di-.-!dual. the Dnated States will be re- to physical or mental incavae:tY or are publish s public notice about each s;stetr
gauged to pay by a court of competent lunsdienon. may of records which it maintains. It is a
Actual damages or s1.000. whichever net on behalf of the tadI%'SduaL" crssaal violation of the Ac: willfully to
is greater This section is intended to ensure that maintain a system of records and not to
Court eats and attorney fees. minors or individuals who have been punlish the prescribed public notice. The
1ln12ke subsections IS) (:, and (3) declared to be legally incompetent have a exemption provisions. subsections (j)
above. which make the award of court means of exercising their rights under and tY), do not allow an agency head to
casts sad attorney fees discretionary tn the Act. It also has the effect of mak3as exempt any system of records tram the
success:t:l suits brought under subsea- Inds ideas ac: rs In loco parentis to Tegw easeat to publish a pudic -notice
:ions (g) (1) (A) and (3). such awards minors. parents. legal guardians, and of its existence. although that notice may
are required to be made in actions in custodians the same as the individual for be somewhat abbreviated. (See subsec-
which the individual has prevailed under purposes of giving consent for disclosure ua0 (a) (5). deSnitlons. and (e) (4) .
subsections q g) (1) (C) and tD). See (subsection (b)) and being Informed of public notice. for guidelines on. What con?
Souse Report 93-1411. pp. 1;-18 and the the purposes for which records are main- st:::ittl a system.) It should be noted
Convressionai Record. December it. % aimed (subsection (e) (3)). that. under agency procedures. the ones:
1974. P.S. 122445 for further discussion It should be noted that this provision or employee who maintains the system
of this point. is discretionary and that Individuals who may not be the one who is responsible for
Jitrtsdiction and time Limits. SZubsec- are minors are authorised to exercise the publsli zg the Marc*. Agency procedures
Hoff (g) 15) "Am action to enforce any rights given to them by the Privacy Act should make the responsibilities of each
llab? uy crested under this section may or. in the alternative. their parents or clear. The once: or employee who ma=-
be brought In the district court of the those acting in loco parentis may exercise ta.ins the systenT has an obligation to no-
United States to the district In which the them in their behalf. ufy the one responsible for publishing
complainant resiaes. or has his principal i) ~~ PLtAtTSrs the notice. Similarly the Daces or ems
place of business. or to which the agency ployee responsible for publshint ?
records are si=ted. or In the District This subsection establishes criminal notice. once not?.Yed of the erstenct of :
of Columbia. without regard to the sanctions for three possible violations system. must mate that fart public.
amount to controversy. with= two 7ea.-s Anauthorrzed disclosure. Criminal Penalties /or Obturninq
from the date on which the use an Failure to publish a public notice or a Records under False Pretenses. Subsec-
ac-.:on arises. except that Where system of records subject to the Act. :non (1) (3) "Aa7 person who leas-.nary
agency has materially and willfully mis- Obtaining access to records under false and RUlully requests or obtains any rec-
represented any Information required pretenses. ord concerning an individual from ar.
uadrr this section to be disclosed to an The Ant two are directed it actions of agency under false pretenses shall be
individual and the information so mts? othcsrs and employees of Federal ages- guilty of a misdemeanor and rued not
represented is material to establishment tees and (pursuant to subsection (m)) more than 35.000."
of the liability of the agency to the In' certam cone-attar personnel Agencies This provi,'ion makes It a cri~urtal act
dividual under this section. the action should ens1?-e that all personnel are In- lciowtagiv and willfully to request or
m27 be brought at any time within two formed of the requirements of the Act gain access to a record about an LCSvnC
-e=-s after discovery by the individual and. Pursuant to subsection. (e.r (9). rules ua.l under false pretenses. It 1s like y it
or the misrrpresentstion. Nothing 1n this of conduct. are given periodic -_W=as >r a~oa pr be to deter aco of teLZ3 als p o' .
non shall be construed to authorize this area.
flD&LM aeGISTIL VOL 40. NO. 13:-WIDNUDAT, JULT C, 1973
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
making fraudulent requests under sub-
section (d)(1), access to records.
Svastcrroxs (J) axs (k) Exfcscirrioxs
The drafters of the Act recognized that
it application of all of the requirements
,f the Act to certain categories of records
would have bad undesirable and often
unacceptable effects upon agencies in the
conduct of necessary public business.
Two categories of exemptions are es-
tablished: General exemptions (subsec-
tion (j) ) and specific exemptions (sub-
section (k) ). The principal difference
between the two categories is that sys-
tems of records exempted under subsec-
tion (j) may be exempted from more pro-
visions of the Act than those exempted
under subsection W. Exemptions under
subsection (J) may be exempted from
the civil remedies provision and. in
particular, the judicial review under sub-
sections (9)(1)(B) and lg) (3) . civil
remedies.
In applying any of the exemption pro-
visions of the Act, it is Important to
recognize the following:
No system of records is automatically
exempt from any provision of the Act
To obtain an exemption for a system
from any requirement of the Act, the
head of the agency that maintains the
system must make a determination that
the system falls within one of the
categories of systems which are per-
mitted to be exempted, and publish the
determination as a rule In accordance
with the requirements (including gen-
eral notice) of section 553 of the Ad-
ministrative Procedure Act. That notice
must include the specific provisions from
nich the system is proposed to be ex-
npted and why the agency considers
.ne exemption necessary.
The requirement to publish a public
notice (subsection ie) (4), above) applies
to all systems of records maintained by
an agency. Certain other provisions such
as conditions of disclosure (b). account-
Ing for disclosures ((c) (1) and (2)1 and
restrictions on maintaining records on
Pint Amendment activities ((e) (7) )
also apply to all systems of records.
Agencies may not exempt any system, as
defined in subsection (a) (5) from any of
these requirements.
In some Instances. systems may con-
tain records which are subject to exemp-
tion under more than one subsection in
subsections (j) or (k). In those cases the
notices claiming exemption should. If
possible. specify which types of records
are subject to which exemption.
Agency records which are part of an
exempted system may be disseminated
to other agencies and incorporated into
their non-exempt records systems. The
public policy which dictates the need for
exempting records from some of the pro-
visions of the Act is based on the need to
protect the contents of the records in the
system-not the location of the records.
Consequently. in responding to a request
for access where documents of another
agency are Involved, the agency receiv-
ing the request should consult the ong-
maung agency to determine if the rec-
ords to question have been exempted
from particular provisions of the Act. A
copy of the request may be forwarded t0
the originating agency for handling of
Its documents where such a procedure
would result In a more rapid response to
the request for access but the agency
receiving the request remains responsible
for assuring a prompt response.
Agencies which lint to Invoke exemp-
tions are encouraged to adopt procedures
similar to those prescribed by the Act
wherever appropriate. For example. It
may be appropriate to seek an exemption
from the access provision ((d) (1)) for
certain prisoner records because they
contain court controlled Pre-sentence re-
port, but a more limited access proce-
dure may be appropriate.
Suasscrsax (J) --Osxsant. Exssossoxs-
ArrucAsn.rry AX) NOTICE Rzov aLSas:tvs
Subsection (J) -The bead of any
agency may promulgate rules, in accord-
ance with the requirements (including
general notice). of sections 553 (b) (1).
(2), and (3), (e), and (e) of this title. to
exempt any system of records within the
agency from any part of this section ex-
cept subsections (b), (c) (1) and (2),
(e) (4) (A) through (F), (e) (4), (7).
(9), (10). and (11). and (1) if the system
of records is-
"(1) ?
"(2) ? ? ?
At the time rules are adopted under
this subsection. the agency shall Include
In the statement required under section
533(c) of this title, the reasons why the
system of records is to be exempted from
a provision of this section."
This section permits agency heads to
exempt systems of records which are
maintained by the Central Intelligence
Agency or for criminal law enforcement
purposes. as further discussed In subsec-
tions (j) (1 and (2). below, from all
provisions of the Act except the--
Conditions of disclosure. (W):
Accounting for disclosures and reten-
tion of the accounting, ((C) (1) and
(2)):
Annual public notice except for pro-
cedures for identifying' & record.. gain-
ing access to It, Contesting Its accuracy.
and identifying the sources of records.
((e) (4) (A) through (?)) :
Obligation to check the accuracy. rel-
evance. timelines, and completeness of
records before disclosing them to a per-
son other than soother agency or to the
public under the Freedom of Informa-
tion Act, ((e) (i)) ;
Restrictions on mainestniag records
on First Amendment activities,
((e)(7)):
Establishment of rules of conduct and
a (nictrstive. technical. and physical
safeguards, ((e) (9) and (10), respec-
tively) .
Publication of "routine use" notice
((e)(11)): and
Criminal penalties. (W).
When the head of an agency deter-
mines that a system of records main-
tamed by the agency should be exempted
from certain provisions of the Act, a
notice must be published In the Fm rat
REGISTER which specifies, as a Mini-
mum:
The name of the system (This should
be the same as that given in the annual
public notice under subsection (e) (U )
and
The specific provisions of the Act from
which the system Is to be exempted and
the reasons therefor. A separate reason
need not be stated for each provision
from which the system is being ex-
empted, when a single explanation will
serve to explain the entire exemption.
The agency bead's determination is
considered to be a rule under the Ad-
ministrative Procedure Act (APA) and
is subject to the requirements of gen-
eral notice and public comment of that
Act. 5 B IC. 553. While general notice
of a proposed rule Is not required under
the APA when "persons subject thereto
are named and either personally served
or otherwise have actual notice there-
of ? ? ? ;" the use of the phrase "in-
cluding general notice" means that In-
dividual notifications will Dot suffice.
The systems of records and the num-
ber of records Q.t., Individuals) In each.
which were exempted from any of the
provisions of the Act under this subsec-
tion will be required to be included in the
annual report prepared as required by
subsection (p) . It should be emphasised
that the exemption provisions an Per-
missive: i.e., an agency head is author-
ised. but not required. to exempt a system
from all or any portion of selected pro-
visions of the Act when he or abe deems
it to be in the best interest of the govern-
ment And consistent with the Act and
these guidelines. In commenting on this
provision, the House Committee noted :
The Committee also wisba to atnes that
this section is not intended to require the
C.I.A. and criminal justice agencies to with-
hold all their personal records from the indi-
viduals to whom they pertain. we urge those
agencies to keep open whatever flies are
presently open and to make available to the
future whatever ties can be made available
without clearly infringing on the ability of
the agencies to fulfill their tnissiona. (Douse
Report 93-141 e. p. 19)
To the extent practicable. records per-
mitted to be exempted from the Act
should be separated from those which
are not. Further, while the language per-
mits agency heads to exempt systems of
records. agencies should exempt only
portions of systems wherever it is pos-
sible.
General Exemption for the Central
Intelligence Agency. Subsection (J) (1)
"Maintained by the Central Intelligence
Agency: or"
General rxemptio+i /or Criminal Law
Enforcement Records. Subsection (j) (2)
"Maintained by an agency or component
thereof which, performs as its principal
function any activity Pertaining to the
enforcement of Criminal laws, including
police efforts to prevent, control, or re-
duce crime or to apprehend criminals.
and the activities of prosecutors, courts.
correctional, probation. Pardon. or parole
authorities, and which consists of (A)
information compiled for the purpose of
identifying individual criminal offenders
and alleged offenders and consisting only
of identifying data fmd notations of ar-
rests, the nauae nand disposition of crim-
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
tnal charges. sentencing. confinement
release. and parole and probation status;
13) information compiled for the pur-
pose of a criminal investigation. includ-
ing reports of lnformanv and lnvestigs-
tora. and associated with an identifiable
individual: or tC) reports .dfntM&OLs to
an individual compiled at any stage of
the process of enforcement of the cnmi-
ral laws from arrest or indlcttDent
through release from supervtaoa"
Scassrrow 1k, S, or nc ?x trosrs
Aaplieabiiitp and JJOriee 1tegiuremenu.
Subsection ' k) "'I'Le head of any agency
may promulgate rules. in accordance
with the requirements (including gen-
eral notice) of sections 3331b) (1). c2).
and (3). t c) . and ( e) of this a Ile. to
exempt any system of records wtilin the
agency from subsections (c) (3). (d),
w (1). (N(4) (0). (3). and (I) and
(f) of this secton If the system of rec-
orris
tl) ? ? ?
"(7) ? ? ?
"At the time rules are adopted under
this subsection, the agency shall :aclude
in the statement required under section
953(c) of the title. the reasons why the
system of records is to be exempted from
a proitsion of this section."
This subsection peanuts agency heads
to exempt systems of records from a
limited nu? nber of provisions of the A.
In addition to the provisions from which
no system may be exempted under sub-
section tj). a system w:-.icl falls under
any one of the seven categories listed In
teats subsection may not be exempted
from the following provisions:
Iafor_.iag prior recipients of Car.
rectsd or disputed records. ((e) ( t)) ;
Collecting Information to be used In
determuadors about an individual di-
rectly from the individual to whom It
perta:as. (le) (2)) :
Info-Inc individuals asked to supply
Inform-stion of the authority by and
purposes for which It is collected and
whether or not providing the Informs-
tion Is mandatory. ((e) (3) ) ;
taint. tr! r records with such accu-
racy. completenesss. tineliasas. and rele-
vance as is reasonable for the agency's
purposes. ((e) (S)) ;
Notifying the subjects of records
disclosed under compulsory process.
((e) (g)): and
Civil remedies. (C).
As with subsection (j). upon deter-
m:-u=8 that a system is to be exempted
under this section. the agency head is re-
quired to publish that determination as a
rule under the sdministrative Procedure
Act sub)ect to public comment. That
notice must. as a mitii,.?aum. spectl7
The name of the system (as In the
sa--sua1 notice under subsection (e) W);
and
The specific provisions of the Act from
which the system is to be exempted and
the reason therefor.
The agency heed's determination is
considered to be a rule Under the Ad-
ministratve Procedure Act (APA) and Is
subject to the requirements of genie al
notice and public Comment of that Act. 5
u.S.C. 553. While general notice of a
proposed rule is not required under the
APA when "persons sub)eet thereto are
named and either personally served or
otherwise have actual no=* there-
o( ? 4 ?". the language "facluding gen-
eral notice" means that individual not:s-
cation will not soGce.
In addition, the systems of records and
the number of records in each, which
were exempted from any of the provi-
sions Of the Act under this section will be
required to be included in the annual
report required b?, subsection p o
It should also be noted that the ex-
emption provisions are permissive: i.e..
an agency :lead is authorized. but not
required, to exempt a system when he or
she deems it to be In the best Interest of
the government and consistent with the
Act and these guidelines. "Also as with
section (j) records. the Committee urges
agencies maintaining section k) records
to open those documents to the Individ-
ualr named in them Insofar as such
action would not Impair the proper fune-
tioning of those agencies." (House Report
93-1416. D. 20)
In the process of utilizing any of these
exemptions. agencies should. wherever
practicable. segregate those portions
of systems for which an exemption is
considered necessary so as to hold to the
minimum the amount of material which
is exempted. While the language per-
mits agency heads to exempt enure sys-
te.:s of records. the language of certain
of the specific provisions below suggests
that it may. in some instances. be ap-
propriate to exempt only portions of sys-
tems where it is not possible to
segregate entire systems. For example.
records containing classified material to
which access may be denied under (k) (1)
should be screened to permit access
to unciaaatfied material, and only these
portions of Investigative material which
meet all of the criteria In ik)t2) or (5)
should be withheld. However. in the ease
of records which are permitted to be ex-
empted to the extent that their disclosure
would reveal the Identity of a con-
fidential source. extreme are should be
exercised to ensure that the content of
any records being segregated don not
disclose the identity of the source.
Zsesnption for Classified 3fatericL
Subsection (k) (1) "Subject to the provi-
sions of section 532(b) (1) of this title;"
This subsection pern?Ji agency heads
to exempt, from certain provisions of
the Act. those systems of records which
are "UU specifically authorzed under
criteria established by an Executive Or-
der to be kept secret In the Interest of
national defense or foreign policy and
(3) are in fact properly classified pur-
suant to such Executive Order." (5 U.S.C.
552(b) (1). as amended by Public Law
93-302)
The Freedom of Information Act. as
amended by P.I. 93-302. authorizes de
novo judicial review of an agency's deci-
sion to Classify a document, Including
In camera examination of the document
when the court deems It nece33a.7 to re-
solve a dispute as to whether a document
is properly being withheld under the pro-
visions of subsection b) i ? of the F-ee-
dom of Information Act. See the Co
ferenee Report on S.R. 1.141.1. No,
Report 93-1350, pp W.
Useful guidance in the LDOUcat:0a Of
this provision is found In the Serate
Committee report discussion of a similar
provision on classifled materals:
The potential for serious deuce to
:he
as:tonal desenr or i:r..en pouey sou.e srw
V to. notice deecnatng aby Slormat.o:
system includes earegorn sr sources o:
:ormation - ? ? or pronged nasvtduass ac?
err to ties aainsatned about teem ? . .
The Cammt:tee does not ny ::.L .stsiatsos:
intend to !eopartme he roliecrion of "I*#,-
::gene informacon relates is naitonat de-
te :se or !oretg:: pouey. or open to
:asnec::et
tatornat:on ekes, :ea pursuant to face':eve
Order 11aa2 to poi ohs woo to not hs,e an
appropria:e a.cunly clearance or need to
know
T is see-cc to not Intended to provide a
blscuet esesmpaon to all ialorma:ion "s-
tems or Saes mauiruned by an agency ton::n
deal win national aeter.se sera :oreign pc..e,
tn:orms.ion. Stan7 personatl I.:es and o?mer
systems may not be subject to see':r t!
c1ase:nca:7on or may not cause damage is
the nattonal defense or foreign policy stmpsy
by perm=Mg the subjesu of sues AIM to
inspect :hem and seek chengas In :heir eon-
teai aaaer ass Ae:. Senate Aepor. 93-1193.
p.:41
Zsemption for Investigatory Waferi=J
Compiled !or Law En'orerne,t Purposes.
Subsection (u (2) "Investigator, mate-
r.a.l compiled for raw enforcement ;u:-
poses. other than :nater:al mein
scope of subsection t j) (2) of this see_c
P-ortded. however, That if any Individt?
is denied any right. privilege, or bent^.:
that he would otherws- be entitled by
F%--feral law. or for which he would other-
wise be eligible. as a result of the main-
ten=ce of such mats^.al. such mstersl
shall be provided to such individual. ex-
cept to the extent that the disclosure of
such material would reveal the Ident::y
of a source who furnished information
to the Government under an express
promise that the identity of the source
would be held in confidence. or. prior to
the effective date of this section. under
an Implied Promise that the identit
of the source would be held In corh-
dence:
This provision allows agency heads to
exempt a system of records Compiled is
the course of an Investigation of an ai-
leged or suspected violation of civil laws.
Including violations of the Lnifor Coce
of Military Justice and aesoc)ated -egu-
lauons. except to the extent that toe
system is more broadly exempt under the
provision coveting records maintained
by an agency whose principal function
pertains to the enforcement of cr.m:aal
laws (subsection (j) t2)). This exemp-
tion was drafted because "Illndividusl
access to certiii: law enforcement flies
could impair lnvest:gsuont. parnc.tia:
those which Involve Complex and Con.
t ruing patterns of behavior. It would
alert subjects of mvestirstions that theme
activities are being scrutinized. and th
allow them time to take measured to pr
vent detection of illegal action or escs:.
prosecution` " (House Report 93-11416.
p. is.)
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
The phrase `intsetigator7 material
compiled for law enforcement purf+o+es"
U the same phrase u opened eaempiam
b) (7) to the PYeedom of information
ct prior to Its recent amendment (Pub-
Lw 93-802). with the exception of
.e use of the word "material" in the
Pnvicy Act for the word "files" In the
now amended Freedom of Information
Ac: exemption. The intent was to have
the same meaning given to this phrase
in the Privacy Act as had been given to It
in the Freedom of Information Act ex-
cept that the phrase'would apply to ma-
te. ial as opposed to entire files. The case
law. then. which had Interpreted "in-
vestigatory" and "compiled" and "law
enforcement purposes" for the now
amended portions of exemption (b) (7)
o: the Freedom of Information Act
should be utilized in defining those terms
as they appear in subsection (k) (2) of
the Privacy Act.
It was further recognized that "due
process" In both civil action and criminal
prosecution will assure that individuals
have a reasonable opportunity to learn
of the existence of. and to challenge.
investigatory records which are to be
used in legal proceedings.
To the extent that such an investi-
gator y record is used as a basis for deny-
Inc an individual any right. privilege, or
benefit (including employment) to which
the individual would be entitled In the
absence of that record, the individual
must be granted access to that record ex-
cept to the extent that access would re-
veal the identity of a confidential source.
The language Pe mitting an agency to
ri:thold records used as a basis for
' wing a benest to the extent that the
ord would reveal the identity of an
,iitidual who furnished information in
conSdence Is very na.rrow?ly drawn and
must be treated carefully (see also sub-
sections (k) (5) and (7), below). For
information collected on or subsequent to
the eSect)ve date of this section (Sep-
tember 2h 1975) a record may only be
vnUiheld to protect the Identity of a
source if
An express guarantee was made to the
source that his or her Identity would
not be revealed. (Such guarantees should
be made on a selective basis: Le, indi-
viduals from whom information Is solic-
ited for law enforcement purposes
should be advised that their identity may
be disclosed to the individual to whom
the record pertains unless a source ex-
pressly requests that his or her identity
not be revealed as a condition of furnish-
ing the Information-); and
The record. If stripped of the identity
of the source would nontheless by Its
content reveal the Identity to the subject.
It was reoog^--wed that the type of in-
vestigatory record covered by subsection
(k) (2) currently contains substantial in-
formation which was obtained with the
tacit understanding that the identity of
the source would not be revealed. For
this reason the Act provides that infor-
mation in such records that was collected
prior to the effective date of the Act may
be withheld from the individual to whom
It pertains to the extent that it was co1-
"eted tinder an Implied promise that Its
'i'ce would not be revealed and dis-
closing It would reveal the Identity of the
sourct.
The Phrase *%o the extant that" is par-
tieularls tmporiant. As Implied above, it
a record can be disclosed in such a way
as to oonosd Its so(aoe. a Prow" of am.
fideotialit7 to the source is not sulScisnt
grounds for withholding It. Obviously.
the content of certain records is such
that it reveals the Identity of the source
even if the name of the source or other
Identifying particulars are romoved: e.g..
the record contains Information that
could only have been furnished by one
Individual known to the subject. Only in
those uses. may the substance of the
record be withheld to protect the identity
of a source and they only to the extent
necessary to do so. It Is recoenlZed. how.
ever that It may in some Instances be
very difscult for an agency to know
whether the oorltent of a record would.
in and of Itself. reveal Its source. There-
fore. It may be appropriate In light of the
Intent underlying this exemption, to
exempt a record when any reasonable
doubt exists as to whether Its disclosure
would reveal the Identity of a eon.
Sdentlal source.
Additional guidance on the clrenm-
stances under which an agency may
withhold a record on the grounds that
Its disclosure would reveal the identity
of a source who provided Information
under a pledge of confidentiality is found
In Senator Ervin's statement on the com-
promise bill on the floor of the Senate.
The compromise provision for the main-
tenance of information recelved from con-
Odeatial sourer represents an acceptance
of the House language after receiving as
assurance that In to Instance would that
language deprive an Individual from know-
Ing of the existence of any information
maintained in a record about hem which was
received from a "oonadentiai source." The
agencies would not be able to claim that
disclcourt of evea a small part of a particular
Item would reveal the identity of a cont.
death) source. The confidential information
would have to be characterized in some gen-
eral way. Thai ace of the item's ezlstence
and a general ehweterizauon of that Item
would have to be made known to the In-
dividual In every case.
Purthermore, the acceptance of this section
to no way precludes an individual from
knowing the substance and source of con-
fidential information. should that Informa.
tion be used to deny him a promotion in a
government job or access to clasolled in-
formation or some other right. behest or
privilege for which be was entitled to bring
legal action when the government wished to
base any part of Its legal cane on that
Information.
Plually. it is important to note that the
House provision would require that all fu-
ture promises of consdentlallty to sources
of information be expressed and not im-
plied promises. ender the authority to pre-
pare guidelines for the administration of
this act it to expected that the Omoe of
Management and budget will wort closer
with agencies to insure that Paderel inves-
trgaton mate sparing use of the ability to
make express promises of eonfldentlaltty.
(Congrwlorud Record. December 17, 1974,
p. 3 21816)
The foregoing discussion with respect
to confidentiality of sources is also ap-
plicable to the provisions of subsections
(k) (S) aid (7).below.
Jlssss9rioe for Records Maintained To
Provide Protsame Services. subsection
(L) (3) '9iatnieIned In oaslnectian with
provtdla[ prow ctive aaryioea to the Pres-
ident of the United States or other mdi-
viduals pmvuant to section 3016 of title
IS;"
This exemption covers records which
an sot clearly within the scope of law
enforcement records covered under sub-
section (k) (2) but which are necessary'
to asug the safety of individuals
protected porooant in IS U.S.C. 3086
It was noted that "access to Secret
Service intelligence Well on C CU= In-
dtviduals would vitiate a critical part of
Secret games work which was specin-
cally manmended by the Warren Com-
mission that Investigated the assasaina-
tlon of President Kennedy and funded
by Congress." (House Report f-1416.
p. 19)
63empfion for Stawtical Records.
Subsection (k) (4) "Requlred by statute
to be maintained and used solely as
statistical records:'
A `statistical reoord" Is defined in
subsection (a) (6) as "a record In a sys-
tem of records maintained for statis-
tical research or reporting purposes
only and not used In whole or in part
in making any determination about an
Identifiable indiyiduaL except as pro-
vided by section f of title l$."
It is the intent of this provision to
permit exemptions for those Systems of
records which by operation of statute
cannot be used to snake a determination
about an individual.
This provision permits an agency
head to exempt a system of records
which Is used only for statistical, re-
search. or program evaluation purposes.
and which is not used to make decisions
on the rights. benefits. or entitlements
of individuals except as permitted by
section $ of Title 13. The use of the
language "required by statute to be
maintained ? ? ? only" suggests that sys-
tems of records which qualify to be ex-
empted under this provision are those
composed exclusively of records that by
statute are prohibited from being used
for any purpose Involving the making of
a determination about the individual to
whom they pertain: not merely that the
agency does not engage In such uses.
Disclosure of statistical records Ito the
Individual) In most instances would hoc
provide soy benefit to anyone, for these
records do not have a direct sheet on am.
given Individual: it would. however. Inter.
fare with a legitimate. Congressionally-
sanctioned activity. (House Report 95.
1416. P. 19)
Exemption for Investigatory Materiel
Compiled !or Determining Suitability for
Federal Employment or Military Service.
Subsection (k) (S) "Investigatory mate-
rial compiled solely for the purpose of
determining suitability. eligibility. or
qualifications for Federal civilian em-
ployment. military service, Federal con-
tracts, or access to elassibed Informa-
tion, but only to the extent that the dis-
closure of such material would reveal
the identity of a source who furnished
Information to the Ooveruaent under an
express promise that the Identity of the
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
source would be held In confidence. or.
prior to the effective date of this section.
under an =Plied promise that the ldeo-
at7 of the source would be held in
eonadencV :
Tars provision permits an agency to
exempt material from the Individual Sc.
teas provision of the Act which would
cause the identity of a conadentsal source
to be revealed only If all of the following
conditions are met:
The material is maintained only for
purposes of deterrsrsrs an individual's
qusl (cations. eligibility or suitabtUtI for
maUta17 service. employment in the d?
vtU'aa service or on a Federal contract,
or access to c asstded materJ. By im?
pUcation. employment would include to-
?ointments to Federal advisory commit.
to" or to membership agencies. whether
or not aaiaried:
The material is considered relevant
and necessary to r-king a judicious de-
termination as to qusllicatians. eUgibil-
It7 or suutablUty and could only be
obtained by providing assurance to the
source that hs or her identity would not
be revealed to the subject of the record:
e.g.. for -critical, sensitive positions:"
and
Disclosure of the record with the
identity of the source removed would
bkel7 reveal the identity of the source:
e.g.. the record contains Information
stitch could only have been furnished by
one of several individuals known to the
subject
(Sine laformauon collected prior to
the effective data of the Act may have
been gathered under an implied promise
of ConitdentsaUty. that pledge may be
honored and those records exempted if
the other criteria are met.)
See subsection (k) (2). above. for a
more extensive discussion of the circum-
stances under which records may be
withheld to protect the Identity of a eon.
zldential source.
This language was Included to take
into account the fact that the screening
of personnel to assure that only those
who are properly qualified and tivst-
worthy are placed In governmental poei-
tiors will, from time to time. require to.
formation to be collected under a pledge
of confidentiality. Such pledges will be
limited only to the most compelling dr.
cumstanees : Le..
Without the information thus ob-
tained. unqualified or otherwise unsuit-
able L-sdirduaI might be selected: or
The potential source would be unwID-
Ing to provide needed Information with-
out a guarantee that his or her identity
will not be revealed to the subject: or
i o be of value in the personnel sereen-
Ing and often highly competitive assess-
ments in which It will be used. the lnfOr.
maaoa must be of such a decree of
franlmess that it can only be obtained
under an express promise that the Iden-
t2ty of Its source will not be revealed
The Civil Service Co-Ion and the
Departsseat of Defense (for military
personnel) will Issue regulations est ,b.
Ushing procedures for determining when
a pledge of eonadentiality is to be made
and otherwise to implement this subset-
do. These regulations and any 1mvie-
menting procedures will not provide that
all information call ted on Individuals
being considered for any particular cate-
gory of positions will automatically be
collected under a guarantee that the
identity of the source will not be revealed
to the subject of the record.
This provision has been among the
most misunderstood is the Act. It should
be noted that it grants authority to
exempt records only under very limited
etreumstaacea. "It will not be the Cus-
tomary thing to tike thue promisee of
eonadentiality. so that most all of the
Information (in Investigatory records3
will be made available." ' Congressional
Record. November 20. 1974. P. 10697.)
The term "federal contracts" covers
Investigatory material on individuals be-
Ing considered for employment On an ex-
isting Federal contract as well as in-
vestiga.tory material complied to evaluate
the capabilities of arms being consid-
ered In a competitive procurement.
Etemption Jor Testing or Zxamuna-
tion Material. subsection +k) (6) 'ast-
ing or examination material used solely
to determine Individual qualidcnaons
for appointment or promotion in the
Federal service the disclosure of which
would compromise the objectivity or
fairness of the testing or examir-aZOA
process."
This provision permits an agency to
exempt testing or ezaixunatlon material
used to assess the quali cations of an
individual for appointment or promo-
tion in the military or civilian service
only if disclosure of the record to the
individual would reveal information
about the testing process which would
potentially give an Individual an unfair
competitive advantage. For example, the
Civil Service Commusuon Lad the miU-
tar7 departments give written exatrtas-
tions which cannot be revised in their
entirety each time they are offered. Ac-
cess to the examination questions and
answers could give an individual as un?
fair advantage. This language also
covers certain of the materials used to
rating individual qualI eatiens. This
subsection permits the agency to with-
hold a record only to the extent that Its
disclosure would reveal tat questions or
answers or testing procedures-
It was not the intent of this subsection
to permit exemptions of information
which are required to be made avail-
able to employees or members or are. In
fact made available to them as a mat-
ter of current practice. The presence of
exemption (k) (7) is an indication of the
intended narrow coverage Of the exemp-
tions set forth In (k) (6) and. sumilsri7.
the exemptions of (k) (7) and (k) (6)
indicate the intended nar: ow coverage
of the exemption set forth In subsection
(k) (3).
Zssmption Jor Material Used To Zaaf-
aate Potential jar Promotion in the
Armed Services. Subsection (k) (7)
"Evaluation material used to determine
potential for promotion In the armed
services, but only to the extent that the
disclosure of such material would reveal
the identity of a sours who furnished
Information to the Govarsment under an
express promise that the Ideau" of t_%,
source would be held In eorAdence.
prior-to the eCettlve data of this see:.':
under an Implied promise that the :des-
tity of the source would be bald in con-
fidence."
The discussions of subsection (k)
and (S). above. Should be -moved ;.-.
applying this provision. The same ra-
tionale regarding when and how toe
conadent:aLty of sources may be pro-
tected applies here.
The military departments will pubiis:.
regulations spee'_ysag those categories
of positions In the -Arnied Services for
which pledges of coabdennauty may be
made when obtaining information on an
individual's suitability for promonor
Those categories will be narrowly draw
Svuzcrrox (1) Aaciavat. Racoass
This subsection addresses the maunte-
asnee of those records which are trans-
ferred to the General Services Admurs-
tration. It should be noted that there is
a substantial difference between
Records which have been placed in
records centers operated by the Adntiyis.
trator of General Services for "storage
processing and serviciar' pursuant to
Section 3103 of Title 44: and
Records which are accepted by the
A trator of Genera( Services "for
deposit in the National Archives of the
United states 'because they) have sue-
cien:lug:orcal or other value to ra:rant
theft continued preservation by t
United States Govern ant" pu--runt
Sec :on 2103 of Title 44.
The forme:. those for which the
General St--"ices Administration is es-
sentially a custodian. are addressed in
subsection (1) (1). The hatter. archival
records which have been trans:erred
the Archives and are ma=tured by the
Archivist. are addressed in subsections
(1) (2) and (1) 131.
Records Stored in GSA Records
Centers. Subsection (U (1) "Each agency
record which is accepted by the Adminis-
trator of General St. -.m for storage.
processing. and servicing In accordance
with section 3103 of title 44 shall. for the
purp5ses of this section. be considered to
be maintained by the agency which de-
posited the record and shall be subject to
the provisions of this section. The
Adrn:nistztor of General Services stall
not disclose the record except to the
agency which maintains the record. or
under rules established by that age-us
which are not inconsistent with the pro-
visions of this :action."
Records which are sent to the General
Services Administration for storage as a
result of determination by the agency
head that 10 do so would "effect sub-
stantial economies or increase operating
e3ciency." 444 U.S.C. 3103). are deemed
to be part of the records of the agency
which sent them and are subject to the
Act to the same extent that they would be
if t""e el on the agency's premises
This language. U., effect. constitutes
clarincation of the term "mslatsii
(subsection (a)(3)) with rest to
records which have been physically
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
NOTICES 2!S73
transferred to GSA for storage While general description be provided wbreh used to mess any deurrainatioc about an'
records are stored L a records center. pertauu to meaningful groupings of rec- todiridus~ so ameodment of tae= woi..d w'
aid "9000 Fvrtnemiore the Aroa:??e a" h-
-lie agency wlucb sea: them to storm ord systems " (Congressional Record, De- Wee of 1001Fih5 sae true scan of eonlstr:
,MA.= accountable for them and the comber It. 1974. p. H122451 taformstloa since It does not wmu,u+r tao
neral Services Admsntstracloa efec- Lf, for any reason. a record currently prormin for wraca the d?ts was eo.i?ctd ..
*IF functions as an agent of that In the Archives U disclosed to an agency nnsiot maso ni4Vroeote as to waetat?r rx?
:racy and matstuns them pursuant to for use by that agency In making a de- sees should be alts-ed (sonar Report,
le4 established by that agency termination as to the rights. benefits. or 1425. P. 21).
Records stored in records centers often entitlements of an Ind. %Idual, It becomes The Archivist is requued to estabLs:
constitute the inactive portion of systems subject to the provisions of the Act to the rules of conduct for OSA personnel to as-
of records. the remainder of wtich are same extent as any other record main- sure that records in the Archives are used
kept on agency premises: e.g.. agency tamed by that agency. only Ia a Mannar consistent wnn 44
payroll and persoa--ie: records When. Records Archived On or Alter SePte"s- U.S.C. 2203 and that Archives persoa.-le:
ever practicable. these Inactive records ber :7. 1975. Subsection (1)(3) "Each art properly instructed In the rules go. -
should be treated as part of the total sys- agency record pertaining to an~ldentlfi- eraug: access to and use of a:cn1:~
the P it?acy Ac: historical or other value to warrant Its closed LO an agency and becomes pa".. Of
To assure the orderly and effecU're op- continued preservation by the United any agentgtncy't records which could be u-?
eration of the records.cente: and consist- Stain Government. on or alter the ef- in a makmg a recors which about as in-
ert with its authority to Issue regulations fective date of this section. shall. for the dit'idua:. that record would again be e suc-
governing Federal agency records man- purposes of this section, be considered led: to the other applicable protui s of
agernent policies (guider title 44 of the to be maintained by the National Ar- the Ac:.
melted State! Code+, the Privacy Act and chives and shall be exempt from the re-
these guidelines; the General Services gwrements of this section except subse-,- Stnseczlo1 (m) GovtaKirl:x-
Admin s:ration shall issue general guide- tions re) '4i (A) through (0) and gel (9' Con' across
lines to the agencies on preferred meth- of this section." Subsection (m) "When an agency pro.
ocs for handling systems of records Records transferred to the Archives se a "for the operation by
stored in Federal records centers In view pursuant to 44 U.S.C. 2103 (for "preser- rides behalf contract of a gsur.
records of the for the the agency of a f ter-
of the intent underlying this provision. vation") on or alter September 27. 1975 or
agencies may consider that the records are considered to be maintained by the or con, tagto accom ency sco an ages y u its
s erred l Federal records centers are Archives for purposes of the Act but are , cause shall. a requirements of tits
transferred ins:a-agency and need not only subject to selected provisions of the ton. the h authority.
to be cause the such system. !b:
publish notice of "routine uses" to enable Act. "[They. are subject only to those purposes of subsection(1) to s
(s) h of vals r.
these trarsferi provisions of this Act requiring annual pu,~svch of subsctor and any employee
Records Archived Prior to September public notice of the existence and char-' of such contractor, if such emplo i contract
1975. Subsection ii ' (2) "Each agency aster of the information systems main- agreed to on or attar the effective date of
record pertaining to an identifiable in- tamed by the Archives. establishment of xctaon 5ha f be considered to be an
vldual a hick was transferred to the appropriate safeguards to Insure the se- ethis
mployee of an agency."
.t oral Archives of the tinted States curity and Integrity of preserved personal fitisiors of
nverrment as a record which has suf- informatlor.. and promulgation and Im- Tythee Act extent would to apply which ice the he p prwisio s of to records sat historical or other value to war- plementation of rules to insure the effec-than
t its continued preservation by the give enforcement of those safegua--di." those physica1'l' maintained by Federal
..:red States Government, prior to the Congressional Record, December 18. agency personnel was one of the pnnci-
efective date of this secuon. shall, for 1914. p. H 1:245.) pal areas of difference between the Sen-
tne purposes of this section. be considered The notice required for these records is ate and House privacy bills (S. 3418 and
to be maintained by the National Ar- or. a system by system basis. "Since the H.R. 16373 ).
cri:ves an: stall not be subject to the records would already have been orga- The Senate bill would have extended its
provisions of this section. except that a sized In conformity with the require- provisions outside the Federal government
statement generally describing such rec- menu of this section by the agency only to those contractors. grantees or pa'-
ords (modeled alter the requirements re- transferring them to the Archives. main- tlc:pants is arecements with the Feder.:
lasing to records subject to subsections taining them in continued conformity government. where the purpose of the com-
tract. grant or agreement was to establish a
(e) (4 i (A) through t G) of this section) with this law would not require any apes alter as into m-Lion system It addr.saee
shall be published in the FsDElul Rt:.- cial effort." (House Report 93-1416. a concern over the policy governing the char-
uTZx." p. 20.1 lag of Federal criminal history information
Records transferred to the Archives for The exclusion of archival records from with State and local government law en-
"?pr esen'atiC ." pursuant to 44 T.S.C. the provisions of the Act establishing the forcemeat agencies and for the amount o:
"1C3. prior to September 27. 1975 are con- right to have access or to amend a record money whie as beo spor At through the Las
sidered to be maintained by the Archives was also discussed in the House Report: tae purchase Enforcement o: tits and local government
but are no, subject to other provisions of Records under the control of the Archives crua:a' information sasums.
the Act. would not. however. be subject to the pro- The . I ipromise amendment would now
However. the National Archives is re- visions of this law which permit ebsnre+ in permit Federal law emendme rat aeeaes?s to
quireC to issue general notices describing documents at the request of the individual determine to what extent their tnformstiott
its current holdings w::icl' cover, to the neared in them A basic areblvai rule holds systeces would be covered by the Art .Ac
extent applicable, the elements Specified that archivists may not ramove o: amend in- to what extent they w::: extend that Covets
formation in Loy records placed in thel: etas- age to those with which they share that 1L-
u: subsection (e i (4:. These should in- tod~ The princ!ple Cf m?inta:niof the In- formation Or resources
elude. as a mries f - tegrits of roooeOi is considered one of the At the asmP rime it is reeornized that mar,
The categories o of individual; on whom most important rules of professional conduct peters, seenree coazra':t for the operation of
records are maintained: It is important because historians quite systems of records on behalf of the aeren-
The types of Information in those rec- properiv want to learn the true eondluon o. In oroer to accompl)eh at agency function 1:
ords: and pis: government records when doing n- was provided therefore that such matrac:r
niter the ? ie:rive date c:
Policies governing access and retrieval ,-archi they frequently and the fact that a u agreed to on Cr
"It is intended that the notice prove- record was inaccurate is at least as important this ieria:?uon shall provide that those con-
as the fast that a record was aecurate tractors and any empiovets of those se cvntra:
On not be applied separately and Spit l!- The Committee believes that this rule is Sons aha:: be considered to be eOPicvees of a-
.tally to each of the many thousands of eminently reasonable and should not be agency and subject to the provisions of the
'parate systems of records transferred breached even in the we of tadividualit legislation .ub)ecessioh?: Record s o 1-Def.
a the Archieves prior to the effective ld?ntt5abi? record, once those documents
?1e of this Act, but rather that a more are given to the Archives. they are no longer 19.4.p 5219.111
FEDERAL 11615TE1. VOL 40. NO 133-WEDNESDAY. JULY ?. 1975
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
M-16 NOT1cis
It was also screed that the Privacy try. cause the requirements of this sec- An agency eont-scu with a state or
Protection Stud? Comusiss,on should be Lion to be applied to such system." private educational orsanuscson to pro.
aitected to study the applicability of the The Clause? ? ' consistent with its vide traiaiag and the records gr.:erav
provsions of the Purace Act to the psi- authority ? ? ?' makes it Clear that the on contract students pursuant to the
vaw sector and mace recommendations subseCLiOO does not give an agency soy attendance Isdmission forma. t.-We rt
to the Congress and toe President 'Set otnew authority herwise uses. The additional subsection clearly on'o 1e stmdLr to and those
are o =tea e
subsectsoa lib) of the Act).
The effect of Lhas provision is to imposes new sesponsibiliun upon an with their records on othe?. student:.
ciarL:y. lur.he:. M* deta&toa of the agency but does not Confer any new When a system of records is to be
term "maintam" as it establishes atenC7 authority to implement at. Although the operated 07 a COatt$Ctot on behalf a: an
tnethad by which ager.c:es cause the rt- siencT for an agency function. the cc:.
accounts ecrlo tot systems of morns.
See subsection s- a3, a . It provides that gruremeas of the srtioa to be applied tracwal tasisua:eac must spec:.,, to ..e
sys;.ems Ope--sted under $ COOLTOCL wruch to systems is not set forth. the mariner extent eonsstent w:th`tat agencys su-
are du+C tied to sc:omplsh an agency of doing so must be consistent :rata the :Sortty to require It. :..at those recc
function are. in effect. deemed to be agency s exiling authority. The method be maanu=ed in accordance with trt
maanuaed by the agency. It was not an. of causing was envisioned to be a clause Act Agencies will emoe:-y their procure
tinned to cover private sector record s the contract. but as with the "Buy merit procedures and prat:.Les to 9=_:t
keeping systems but to Cove-. do facto as America" provision as Government eon- that all cont-acs are reviewer. De c:e
weal as de ]ure Federal agency sysu= tracts, the breach of the clause was not award to determ. a wnetne r a system c:
'?COnt:ac:" covers any cont-act. snit necessarily intended to result as a to:- records within tae scope o. the Ac: s
manauon of the contract. In addition. being contracted :or and. if so. to Inei:I_e
ten or oral. "bject to the Federal Pro- several of the requirements of the Privacy appropratt language regarding
S the
S e r v urement Regulations ?FPR'si or Armed Act are simply not applicable to systems maintenance of any such systems.
e r v b c e a Procurement Rttulaaons maintained by contractors. and this For sT:tems operated under contracts
A S P P . s ,but only those which provide clause was a method of indicating that awarded on or site: September 2's. t971.
?? ? ? for the operation by or on be- as agency was not requited to impose contractor employees may be subjet to
had of the agency of a system of records those new standards. Agencies were given the Criminal penalties of suoseeuorss - I !
at a subj c tsh an egreq aaeti. . ' the some discretion in determining the meth. ' I, and 12, -for disclosing records the
are ub]et to the re cor.t ct need n Of the od or methocs by which they would cause disclosure of which is prohibited by the
osecuon. Whale the cont.: not the otherwise applicable requirements to Act or for failure to publish a pub..
bnave as its sole SC the Opt,
n be applied to a system maintained under notice'. Although the language is not
of such a sysum. the he contract would ould nor- contract This subsection does not merely clear on this Post. it is arguable that
mally Provide that the Contractor opera
. require that an agency include provisions such criminal Liability only exists to the
ate sit:n a system formally as s sPect-C Consistent with the Privacy Act in Its extent that the C*ntractual ss:r.a en.
rec.=:em= of the Contract. There may contrac a. It requires. in addition. that has supulased that the provisions of :he
be some ou gee: irstarces when t`.is pro- the agency cause the requirements of the Act are to tae a:pi:ed :o the :or.::ac:t:al::
vision sill be apot:eible even though the
Att to be applied limited only by its maintained system. However. an agency
for::act does not exPrtem. e.g.. de for authority to do so. Because of the agency enicr fins. within the limits of its au
:.e Doemuou ntra t of a spec, .t where accountabil::y-whoa under::es many of stoats'. to require out sys:e:rs opera:
title co Nang-act can be red only by the provisions of :no Privacy Act-there on Its behalf under contras. may
tae opersluon of a system. The re- should be an incentive for an agency to c:nil y liable to !r-dividaals Injured as
qu:r&naert o ac the cor.tract provide for cause its contractors who are subject to consequence of any suosequer: fails.-s
the operazcn of a sysonteof was rounded this subsection to apply the requirements to maintain records in conformance
to ease admacistratio: of this ros sys- of the section in a manner which is en- with the Ac:. The reference to contsac-
awe to avoid coven.?ng a contractors sent forceaole. Otherwise. the agencies may tors as employees is intended only for
gem used as a result of his management end up performing those functions in purposes of the requirements of the Act
discretion. For example. It was not In- other to satisfy the activity of the "cause" and not to suggest that. cy virtue of the
tended that the system of personnel requirement. language. they are employees for any
records m be stau:ed. suo]eet by to the large providefensesions con- - ant decision as :o whet a to contact oche: purposes.
tracto be for the operation of the system or to St:sssc:tow o nI MA==G Lrs:s
the e Act. t perform the operation "in-house" was
Not only must the tiros Of the con- not Intended w be altered by t:s subset- Section 'n] "Art individual's name aad
tract provide for the operation ens OP- tion. Fur-hermore. this subsection was address may not be sold or rents by as
posed to design, of sueh a system. but the not intended to significantly alter OSA agency runless such action is spec?_lcaLLv
operation of the sysum mutt be to art nod OM33 authortts under the Brooks authorised by law. This provision s.`.ai:
compiish as agency function. This was Act (P.L. 59-306) of Executive Order No. not be Construed to require the wnthhc!-
Intended to 1LT-at the scope of the Cover- lI iI' dated May 9. 1973. concerning the ing of names and addresses otherwise
age to those systems actually taking method of ADP procurement The prs- permitted w be made public."
the place of a Federal sysum which. but espies concerning reliance upon the Pri- Tyne language is this section is sui-
tor the Contact would have been Per. vate sector in OMM Circular No. A-76. cepuble of various iaterpretauors avid
formed by an agency and covered Dy the nod related provisions were also not must be read ffi the context of resera: t
Privacy Ac:. Informauan Per'-A+mng to Intended to be changed. lecisauve history. It is clear. however.
indivtausis rise be maintained by bas The provisions would apply to all sys? that thus provision seeks to reach the sage
agency ( according to subsection I e) i i a I teais of records where. for example- or rental of l sts of names and addresses
only if suc : information is relevant and The determinations on benefits are for eommeri ial or other sollcitataon pur-
necessary to a purpose of the stoney made by Federal agencies. posts not related to the punrposes for
requited w be accomplished by statute or The records are maintained for adman- which the Information was collected.
Executive order of the eci i PrWdenL A]- sstrsave functsoas of the Federal agency Language included tin tat tetaiasaon would
thouta the statute or Fsecvv order such as personnel. payroll. etc: or proanlt tat a.i. or rental of mailing :Iats.
need not specifica.117 squire the e c creation Health words betas maintained be an name, dad sdcresaea. bT Teeru sgeaew
of s system m of of r records from this informs- outside contractor engaged to provide IIIUataiaing tbam. TLe pauotopny beni e
Lion. the operation of a system of records health services to agency personnel. this amendment u 'sat tae Federal Goeera-
reguir'ed by Contract must have a direct The provisions would not apply to sys- rwent1aoti % a t malil gpeutb ssa .. s00 -t a
Cory to res ae d
nti&ll ie of s stow- tems of records where: groat tin lie roPee+ business of soeera-
Lory or Pmlde=tialLl direct ted font Records are maintained by the can. meat. p.rucui&rty WOOD tat repay of sup
If the contract provides for the Opera- tractor on individuals whom the Con- flats b,ae beau authorized unaer tae Ffeta
Lion Of a system Of records to ICeomPlish tractor emplo7s In the process of pro- at saformauoo Att. In other words. sues -
as agency fu ction, theta `? the vhding goods and services r.0 Pederal a Can am be u~mss rant tbadreiOf an eur agwould ent aooss? uw
agency shall, consistent vet is author- government
ptOtlAL ISGISTIL VOL. so. te0. 133-wIDNISOAY. JULY 9. 1975
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
a cleVlt UDta?aDted IDTaiIOD Of pnvaCT
varier se ruoD $421b)161 of utie 5, Dated
its .. Code
Taus. the Iangvart of the bill Often Us
.ies Dot ban the ".file o: such lists wbert
bet felt or rental to sot involved (COD.
saioaa, Record. December I8 1974. P
2461.
at'hlle the reference to the FOIA speaks
only of "a clearly unwarranted invasion
of personal privacy" s(see S V.S C. b5
(b 116)) agencies may presumably with-
hold lists of names and addresses from
the public under any of the exemptions to
the FOIA (S U.S.C 35:,b1) when they
deem it appropriate to no so
It Is apparent that what is prohibited
it "sale or renal" of such lists and the
language may be read to prohibit "the
sale or rental of lists of names and ad-
dresses by Federal agencies unless the
sale or rents: Is specifically authorized by
law (emphasis added! " (Senate Report
d.3-1183.p 3:'
The Senate report. when read in com-
bination with the House floor discussion
cited above. suggests that agenws may
riot sell or rent mailing lists for commer-
cial or solicitation purposes unless they
are authorized specifically by law to sell
or rent such lists It u equally apparent
that this language in no way creates an
authority to withhold any records other-
wise required to be disclosed under the
Freedom of Information Act (5. U.S.C.
552). It Is problematic whether the lan-
guage may not be sold or rented" pre-
cludes the changing of fees authorized
under the Freedom of Information Act.
It would seem reasonable to conclude
at fees permitted to be charged for
steriais required to be disclosed under
Freedom of Information. Act are not
luded and that lists such as agency
shone directories which are cur-
-_.1:)y sold to the public by the Supenn-
tendent of Documents can continue to
be sold
Finally this provision appears not to
have beer. intendee to reach the disclo-
sure of name! and addresses to agencies
or other organizations other than for
commercial or solicitation purposes.
Other disclosure (e.g.. the disclosures of
names and addresses for a statistical
study or to issue checks) would be sub-
ject to the requirements of section (b)
Szcrior to, Rspoe ON Nrw SvsTrxs
Section (o) "Each agency shall pro-
vide adequate advance notice to Con-
gress and the Ot ice of Management and
Budget of any proposal to establish or
alter any system of recoros In order to
permit an evaluation of the probable or
potential tffect of such proposal on the
privacy and other personal or property
rights of Individuals or the disclosure of
1rJormatior. relating to such individuals.
and Its effect on the preservation of the
constitutional principles of federalism
and separation of power: "
This subsection is intended to assure
that proposals to establish or modify US.
,I= of records are made known in ad-
mce so that
There is a base for monitoring the
development or expansion of agency
record-Ieet.ing aetavity.
The Commission estabkshe. ay section
S can review trends in the use td personal
Information and the application of tech-
ooloCy.
.
This provision resulted from the dis-
cussions surrounding the need for an in-
dependent agency to regulate and oversee
the unplemenuion of the Act:
The compromise amendment still would
require that agencies provide adequate ad-
vance notice to the COngrese and to the
OQlce of Management and budget Of any
proposal to .stab:tab or alter a system of
record. in order to permit an etaiuaclon Of
the privacy impact of that proposal In a8d1-
lion so the privacy impact. consideration
should be given to the effect the proposal
mar bate on Our Federal system and OD the
separation of powers between the three
branches of government These concerns are
expressed lD Connection with "cent pro-
posais by the General Services Admintstra-
Uon and Department of Agriculture to estab-
lish a giant data facility for the noting and
sharing of information between those and
perhaps other departments The language to
the Senate report reflecw the concern at-
tached to the inclusion of this language in
63418 (Senate Report 93-1183. page 64-46)
The acceptance of the compromise amend-
ment does not question the motivation or
seed for Improving the Federal government's
data gathering and handling capabilities It
does express a concern. however. that the
office charged with central management and
oversight Of Federal activities and the Con-
gress have an opportunity to examine the
impact of new or altered data systems an our
cltixena. the provisions for confidentiality
and security in those systems and the ex-
tent to which the creation of the system will
Liter or change interagency or intergoverD.
mental relationships related to information
programs (Congressional Record. Decem-
ber 17. 1874. p. S 21818,
A report is required to be submitted
for each proposed new system of records
and for changes to existing systems. The
criteria for determining what constitutes
a charge in an existing system requiring
the preparation of a report under this
subsection are substantially the same as
those discussed unoer subsection (e- (4).
the public notice: namely any change
which.
Increases the number or types of In-
dividuals on whom records are main-
tained:
Expands the type or amount of infor-
mation maint inec.
Increases the number or categories of
agencies or other persons who may have
access to those records
Alters the manner in which the records
are organized so as to change the nature
or scope of those records: e.g.. the com-
bining of two or more existing systems:
ModL')es the way in which the system
operates or its location t s i in such a
manner as to alter the process by which
individuals can exercise their rirht
under the Act. e.g.. to seek access or re-
quest amendment of a record. or
Changes the equipment configuration
on which the system is operated so as to
create the potential for getter scum:
e.g.. adding a telecommunications capa-
bility-.
The reports required under this sec-
tion are to be submitted to the Congress.
to the Director of the Mee of Manarf-
ment and Budget -Attr, lnlorrna,ior,
Systems Dlt,sion 1 and to the Privacy
Protection Study Coounissior.
The Otace of Management and Budget
will Issue, under separate cover. more oc-
talled guidance on the format. timing,
and content of the reports
Stressceloss !p) Axscai RaroaT
Subsection (p) "The President shall
submit to the Speaker of the House and
the President of the Senate, by June 30
of each calendar year. a consolidated re-
port. separately luting for each Federal
agency the number of records eon fined
In any system of records which were ex-
empted from the application of this sec-
tion under the provisions of subsection:
()i and iki of thu section during the
preceding calendar year. and the reason-
for the exemptions. and such other ir.-
formation as indicates efforts to so-
mirfister fully this section -
This subsection provides that the
President submit to the Congress a list co!
systems exempted from the Act under the
terms of section (1) or (it). Also to be
included in the annual feport would be
the reasons for such exemptions and
other information Indicating efforts to
comply with the law. It is hoped that a::
such information would be made puo::_
If. however, the nature of any such ex-
emption requires a security classi cation
marking. it should be placed in a separate
part of the report so as not to affect the
remainder of the annual repot" (House
Report 93-1416. p. 21 .
Agencies will be required to prepare
reports to the Ofce of Management an:
Budget (Attn. Information Systemsa'D.-
vision- by April 30 of each year (begtn-
nmg April 30. 19761 covering their actlt.-
ties under the Act during the preceding
calendar year. The 02:e of Management
and Budget will analyze data container
in the agency reports and prepare -.-
required Presidential report to the Cc. -
gress. The Information required in the
individual agency reports will include n::
only the minimum Information requ:re_
for inclusion in the report to Congres:
but also such information as Is needed to
evaluate the overall effectiveness of the
Privacy Act implementation. identify
areas in which implementing policies or
procedures should be changed and asses!
the impact of Feceral data management
activities
Agency reports shall include but not be
limited to the following
Su--nmar -A beef management sum-
man- of the status of actions taken t:
comply with the Act. the results of these
efforts any problems encountered ant
recofnmendatloru for any changes n lef-
tslation, policies or procedures.
Accomplishments-A summa- of ma-
)or accomplishment: i.e., improvements
in agency information practices arc
safeguards
Pleas,--A summary of manor plans ic:
activities In the upcoming year e.g. are)
of emphasis. additional securing of fii-
cilities planned
Exemptions-A list of systems whit`
are exempted during the year from any
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
29.E NOTlC!S
of the operative provtaiohs of this law Operataohal Ltentaees--A general
,per=tted under the terms of subOectUOOS dmatpclon of oparataOnal exparteacta
41) and it). wnetDer or not the ezemtr laeludls)g egti 0te of the number of &a-
car_ was ootalatd durtag the year. the divlduals cto relat a0 to the total num?
number of retorts m each system ex? bar of reeorda io the s7attm) requesunt
emoted from tact spectftc pronstoo and
seasons for syst not the esie suv= ~ t them. ralussat to provide
% =ber of sYSUass?-A brief f stantaaw7
.I
of cbansa to the total >sventorY of per- to ormauon. reoutat h1 es to
socal tee oats s eub)ec: to the Pro,"-
redress
uov of the Act Att larsud::.t reasons for amend records. and Met= major eba.?ites; e.g. W txteat to wtueh review of the relevance of an necessity More axttasrve data wUl be ttouestsd
for records has resulted s eia.=%-vtaoa
of ads or po~-o03 of syster..s of records on these cases where the agency was un-
or a= reduction in the number of in- able to comply with the reQUaremeats of
Gri iCu .Ls on whore records Lre main- the Act or these ttuldellnes: e.g.. access
L&:Aed. Agencies wi:.' also be retiuested to was not granted or a leQuest to stnct~d
preside OSCB with a detssied W=9 =9 of all
the_ ssstL=s of records. the number of could not be acknowledged within prt-
recor-ss I : each sad ee tsin othe:*data scribed UMe USUAL
to face usage oversight of the ;le- mare het .led last:"tictloas on the
mentatloa of the Act. (DetaUed retaora formes. content Lad Unting of titre re-
i :t ptte cover~ .) v% be tsrued uade".
trcparate co parts wll2 be issued by O.
iacstost v j lrrse' or =vza L& s
Subeectaon (Q) "Yo agency shaJ1 rely
on err exeatptaon coataa ed In sect:
562 of this utle to wntbhoid from a:.
dandual any record whacb Is ot`.e:s
aecesWbfe to naeb individual iaoer the
provisions of U W sec:aoa."
This provulon eases it extliut tha:
an individual say not be der-304 acre=
to a record per?3anmg to h1 under s'"-
seetaon 14) 4 J) . access to records. because
that retold is pe:.ll)tted to be w Vt. e.:
from members of the public a t: the
!`eedoes of Iafo=xuor. Act. TILE or_;
grounds for dearing an ihdandu*J areas:
to a record per?.aaalat to bite are t.1,i e
exemptions stated In this Act. suoser. -
taons 'l) Lad W. sad subsecnea '1.
arc:3vd records. In add:_on eorside-a
uoa may have to be peen to Othe: stat_-
tor7 provisions whaeh Max govern spe-
easc agency records.
(75t Dpe.?s -t-.17e Tiles 17-6-73,.3 :00 Dm )
pWjLAt LIGLSrd, VOL e0. Me. j=-WW$UOAT. Jul? t. 1975
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
OFFICE OF MANAGEMENT AND
BUDGET
IMPLEMENTATION Of THE PRIVACY
ACT OF 1974
supplementary Oudana
Novaosa 21. 1176.
This material is provided to address
comments and questions of general In-
terest raised since the release of the Of-
fice of Management and Budgets guide-
lines for Implementing section 3 of the
Privacy Act of 1974. (ltasaat Rscaasa.
volume 40. Number 132, dated July 9.
1975, pp. 28949-28971.)
Additional supplements will be Issued
sa necessary.
Js T. Lsrrrr,
DVector.
1. Definition of System of Records Cl
D.B.C. 562a(a) (5) ). On page 28952, third
column. after line 29, add:
"Pollowing are several example of the
use of the term 'system of records':
"Telephone directors s. Agency tele-
phone directories are typically derived
from Ales (e.g.. locator cards) which art,
themselves, systems of records. For ex-
ample, agency personnel records may be
used to produce a telephoto directory
which Is distributed to personnel of the
agency and may be made available to the
public pursuant to S 17.S.C. 552a(b) (1)
and (2). (antra-agency and public dls-
-losure, respectively). In this cue the
rectory could be a disclosure from the
/stem of records and. thus, would not
be a separate system. On the other hand,
a separate directory system would be a
system of records If It contains personal
information. A telephone directory. In
this context. Is a list of names, titles,
addresses, telephone numbers, and or-
ganizational designations. An agency
should not utilize this distinction to
avoid the requirements of the Act In-
cluding the requirement to report the
existence of systems of records which It
maintains.
"Mailing lists. Whether or not a mall-
Ing list as a system of records depends
on whether the agency keeps the list as
a separate system. Mailing lists derived
from records compiled for other purposes
(e.g.. licensing) could be considered dis-
closures from that system and would not
be systems of records. If the system from
which the list Is produced is a system of
records. the decision on the disclose bi ity
of the list would have to be made in
terms of subsection (b) (conditions of
disclosure) and subsection (n) ' the sale
or rental of mailing lists). A mailing last
may. In some instances, be a stand-alone
system (e.g., subscription lists) and could
be-a system of records subject to the Act
if the list is maintained separately by
the agency. It consists of records (Le..
contains personal information), and In-
formation is retrieved by reference to
name or some other Identifying par-
ticular.
''Libraries. Standard blblfo`raIble ma-
terials maintained in agency libraries
such as library Indexes..Whe'r Who vol.
times and similar materials are not con-
sidered to be systems of records. This 18
not to sagest that all 'published mats
rial it. by virtue of that fact. not subject
to the Act. Collections of newspaper
elippines or othe- published matter about
an Individual maintained other than ID
a conventional reference library would
normally be a system of records."
2. Routine t7ses-Intro-agency diaelo-
ettres (5 U.S.C. 552a(a) (7) )
On page 38953, lust column, after line
17. add:
Tatra-agency transfer need not be
considered routine uses. Earlier versions
of House privacy bills. from which the
routine use concept derives, permitted
agencies to disclose records within the
agency to personnel who bad a need for
such access in th? toursw of their official
duties thus permitting antra-sgeacy dis-
closure without the consent of the indi-
vidual. The concept of routine use was
developed to permit other than tntra-
agency disclosures after it became ap-
parnst that a substantial unnecessary
workload would result from having to
seek the consent of the subject of a
record each time a transfer was made
for a purpose ' . compatible with the
purpose for which (the record] was ool-
leeted' (5 U.S.C. 5521 (a) (7)) . To deter
promiscuous use of this concept. a fur-
ther provision was added requiring that
routine uses be subject to rublic notice.
(5 U.S.C. 552a(e) (11).) It is our view
that the concept of routine use was de-
vised to cover disclosures other than
those to aMcers or employee who have
a need to for the record in the perform-
ance of their official duties within the
agency.
"It is not nece!sar9 therefore. to In-
clude antra-agency transfers In the por-
tion of the system notice covering rou-
tine uses (6 U.S.C 5't2s- 14)(D)' but
agencies may, at their option elect to
do so. The portion of the system notice
covering storage. retrievability. aexao
controls. retention end disposal 15 U.S.C.
652a(e)(4)(E)) should describe the
categories of agency officials who have
access to the system."
2. Consent for a^eess in response to
congressional Inqulriess (5 U.S.C. 512a (b l
(9) )
On pare 28955, third column, after
lore IS. add:
To assure that implementation of the
Act does not have the unintended effect
of denying individuals the beneft of con-
greasional assistance which they request.
it is recommended that each agency
establish the following as a routine use
for all of Its systems, consistent with
subsections (a) (7) and (e) (11) of the
Act:
Vumioetue May be made to a eengreaalona:
cam Lose tae room of as Samvleual in
Neocene to as inquiry base as songres-
Noaal lees cab at the request of teat
tadtaduaL
The operation of this routine use will
obviate the used for the written consent
of the individual In ever? ease where at
Individual requests assistance of the
member which would entail a disclo-
ar, of u I ormation pertainlag to the
%Wvid
In those eases where the congressional,
Inquiry indicates that the request is
being made on behalf of a persor. other
than the Individual whose record Is to
be disclosed the agency should ads"se
the congressional once that the written
consent of the subject of the record L
r quired. The agency should not contact
the subject unless the congressional
lace requests it to do so.
In addition to the routine use, agea-
eda can, of course, respond to mars
congressional requests for assistance on
behalf of individuals without disclosing
personal information which would fall
within the Privacy Act. e.g.. a congres-
atonal Inquiry concerning a missing So-
dal security check can be answered by
the agency by stating the reason for
the delay.
Personal information can be disclosed
In response to a congressional Inquiry
without written consent or operation of
a routine use-
If the information would be required
to be disclosed under the Freedom of In-
formation Act tlubsectlon (b) (2)):
If the member requests that the re-
sponse go directly to the Individual to
whom the record pertains;
In "compelling circumstances affecting
the health or safety of as Individual,
? ? ?" (Bubeection (b) (t)) ; or
To either House of Congress. or to the
extent of matter within its Jurisdiction.
any committee or subcommittee thereof
? ? ?" (Subsection (b) (9)) .
The routine at recommended above
and disclosures thereunder are. of course.
subject to the 30 dsv prior notice re-
quirement of the Act (Subsection (el
(11) ). in the interim. however, it shoult
be possible to respond to most Inquiries
by using the provisions cited In the
previous paragraph. Furthermore. when
the congressional Inquiry indicates that
the request is being made on the basis cf
a written request from the Individual to
whom the record pertains. consent can
be inferred even if the constituent letter
is not provided to the agency.
"T)w standard for implied comer.:
does not apply to other than conpres-
slonal tnQtttriea."
4. Describing the purpose in the ac-
Counting of disclosures (Subsection (c)
(1))
On page 25956. first column. after line
42. add:
"Agencies which submit Inquiries to
other agencies In connection with law
enforcement or pre-emplovment Investi-
gations (e4r.. record checks) are re-
minded to Include the purpose in their
record check in order to preclude having
record checks returned to them to ascer-
tamn the purpose of the check. It is noted
474 y /
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
 Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1
that us is DooesaU7 weather the to-
((1 (= err (7) (VVJVM to athe te' err law e~m-
fwreomat diaatosurs). At a mtaimM&
the Inquiring agaer taut describe the
purpose as either a bsckgroumd or law
enforcement ebeeL'
5. AoeaCr vroeadwoe for reef n of s*-
pssis of deMels of regrts to awed a
record (Subeactioa (4)(3))
On pap 2sua. wooed ooemsa atta
Inc 31. add:
'This dos sot mean that the omoer an
appeal must be a JUaCte ere fudge.
Mather. the reviewing oftklal designated
by the arena bead may be a Justice or
fudge (tmlasiv to this am) or any other
spay omdal who mew the criteria m
3 A.LC. 210ea (1). (2). and W.0
c. Correctisp reeorda releoasd to at !a-
divideai (subsection (e) (0)
On pale 2913. stand cotton. ether
lint 6. add:
"Wbtk this language requires that
agencies make reav"malle efforts to a
star the sawacy of a rseoad before it
is disclosed. when to individual requests
access to his or her record. pursuant to
subsection (d) a V. above. the record
must be disclosed without cheap or dale-
am except is peraitted by subaectloa
(!) and W. aemtrtbns. To avoid raquir-
Inc individuals to Me tmnecaatar7 re-
quests for ameadmat. however, the
agency should review the. ores and an-
notate an? material disclosed to ladkas
that whip It Intends to amend or do-
les.."
7. Ittphti of pareai sad kW oe(ard-
lasa (Subsection W)
On pace 29970. second colum= att_r
line U. add:
"This Is not Intended to suggest that
=pots are precluded from era eivlag
rights co their own behalf. Mccept as
otherwise provided In the Act (e.g.. ga-
oral or spook anmptiaas) a minor does
have the right to access a record per-
tatniac to him or herself. There Is no
absolute right of a Parent to have scoea
to a raeard About a child absent a Court
ceder or consent."
1. ltelatioashfps to the Freedom of In-
formation Act ($ubserticm WY
On pace 2897$. third column. after
the last line, add:
Oft some instances tinder the Privacy
Act an ageaea may (1) cue=pt a system
of record (or a portion thereof) from
access by ladPiduals In accordance with
the general or spae'.se asmptft= (AaD-
section U) or W); or (2) dmy a re-
40M for seem to records compiled in
reasonable anticipation of a civil action
or p oeeedtat or archival reeord (sub-
section (d) (S) or (2)). In a few in-
stances the armptton from dUcioeure
tinder the ft "vu acy Act may be lath rated
to be broader than the Preedom of Infor-
matfoa Act (5 LB.C. U2). In such in-
stances the Privacy Act should not be
used to de=7 access to information about
an Individual which would otherwise
have been required to be disclosed to
that individual under the Predam of
Information Act.
"Whether a request by an individual
for excess to his or her rscosd is to be
prooee~ed Cade Privaar AS or P rndom
of iatormatioa Act procedures Involves
several ooasidoratioas. Par mum"
while agencies have boa loootasged et
reply to r testa for amean easier at
Prime! Aet within tea dare wherever
practlaabla. aoadatmt with the Preedom
of Information Act (POIA). the Prima
Act does pot establish time limits for re-
spaedia= to requests for epees. Was dis-
auasipa of subsection td) (1) a The Pri-
wb Act also does not require as sdmin-
Istaatlve appeal on denial of boom corn-
parable to that trader POLL althoagb
Meade are encouraged to permit tadl-
vidaals to request an adminimaxive re-
vlo11 of initial doalals of Access to avid.
when possible. the aeod for tma$own"
fadidal action. It as AUG be ar=ced that
requesu Mad
Agg =2
apeeted to bs apethe et& as m the al-
um of rsoordo to which beam Is $=at
whereas agendas are required to respond
to an P01A request only If It 'rwaa-
ably describes' the records sought. Pw-
the. the Preedom of Informatioo Act
permits charging of fans for search as
wan as the making of oopta white the
Prima Act permits eaarpaf poly for
the direct an of making a coot ups re-
OWL
"It is our view that agada should
trot requests by individuals for satarma-
tton pertaining to themselves which
specify either the POIA or gm Prima
Act (but not both) under the paaoadwse
established pursuant to the Act specified
to the request. When the rsgaat aped-
Am and may be processed under. both
the P01A and the Privacy Act. or sped-
Am neither Act Privacy Act praeedmss
should be eaaptoyed. The Individual
should be advised. however. that the
agency boa elected to us. Prima Act
; A M 14nr & of the atatmee and the gen.
oral effect of the freedom of 1nformatlom
Act. and of the differaas. If pas', be-
tween the agency's procedures tinder the
two Acts (e.g., fees, time JIM" ACCOU
and appeals.
Zhe net effect of this approach should
be to asst re the individuals do not. as a
consequence of the Privacy Act. have Lea
access; to Information pertaining to them-
selva than they had prior to Its enact-
ment."
tPR Doe.76?422e7 Tiled 22- -TI:Y aml
Sanitized Copy Approved for Release 2011/08/03: CIA-RDP05CO1629R000701570007-1