CENTRAL INTELLIGENCE AGENCY ANNUAL PRIVACY ACT REPORT, PART II, FOR 1977

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• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP81M00980R000200010019-9
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CENTRAL INTELLIGENCE AGENCY
WASHINGTON. D.C. 20505
MEMORANDUM FOR: Mr. James T. McIntyre
Director Office of Management
and Budget
ATTENTION: Mr. Walter W. Haase
Deputy Associate Director for
Information Systems Policy
FROM: John F. Blake
Deputy Director for Administration
SUBJECT: Central Intelligence Agency Annual
Privacy Act Report, Part II, for 1977
REFERENCE: Agency Memorandum of 10 March 1978
Containing Part I of the Annual Report
In accordance with 0MB Circular No. A-108, Transmittal
Memorandum No. 4, and 0MB Memorandum of 25 January 1978,
forwarded herewith is the balance of the CIA Annual Privacy
Act Report for 1977.
John F. Blake
AORI/CDF
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CIA ANNUAL PRIVACY ACT REPORT FOR 1977
NARRATIVE
1. Whereas technical and descriptive data of the
Agency's records systems comprised our response of 10 March
1978, this portion of the Annual Report addresses the accom-
plishments, plans, administration, processing difficulties
and recommendations for change vis-a-vis the Privacy Act of
1974. The following discussions correlate to subparagraphs
2 (a through g) of the attachment to your memorandum of
inquiry of 25 January 1978.
2(a) Summary of Accomplishments and Future Plans:
(1) Protecting Individual Privacy:
As a matter of course, the sensitive nature
of records held by the Agency and our basic policies
governing access to them assist in preserving an
individual's privacy. Since the preponderance of
our documentation is classified, only properly
cleared personnel can review documents, and then
on a need-to-know principle. Moreover, the Agency
does not have a centralized file system; there-
fore, this built-in compartmentation limits the
amount of information available to any one person.
All offices and files are secured whenever staff
personnel are not present and all visitors are
asked to state their business and verify their
need for records. Visits by non-Agency personnel
are recorded, and the visitors' movements are
closely monitored at all times.
(2) Reducing the Scope of Personal Recordkeeping:
Current reductions in holdings of documen-
tation have been virtually impossible due to
a number of overlapping and repetitive non-
destruction directives. The Agency is currently
under such an order issued by the House Select
Committee on Assassinations. However, with the
view that these record destruction moratoriums
will eventually end, extensive reviews have been
initiated to determine what records will be
retained, declassified or destroyed. One signi-
ficant step in making possible future reductions
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in our holdings has been the approval of all of
the Agency's Records Control Schedules by the
National Archives and Records Service. Given this
approval, it is likely that the number of Agency
records systems currently maintained may be
decreased by two. There are indications, however,
that approximately five new systems will have to
be declared in the near future. The scope of
maintained records is contained by our review and
the removal of extraneous data prior to its in-
clusion in a system. There has been concern
expressed that future access to records may in-
hibit the input of current documentation, leading
to bland and incomplete files. Although this has
been expressed by some records managers, to date
we have seen very little evidence of such an
occurrence.
(b) Scope and Nature of Federal Personal Recordkeeping;
Analysis of C anges to Systems of Recor s:
(1) During 1977, CIA--22 was merged with CIA--21.
This incorporated the case files maintained on the
Agency's Freedom of Information Act and E.O. 11652
document declassification requesters with those
for persons who filed Privacy Act requests. Two
new systems were declared, namely: CIA--60,
Personal and Professional Associates of the Director
of Central Intelligence; and CIA--61, Supplemental
Personnel (Soft) Files. This latter system was
created when the Director established the position
of Special Assistant to the Deputy to the Director
for Resource Management as an integral part of the
intelligence community as a whole. Each of the
new systems was required because, as Director of
Central Intelligence, Admiral Turner assumed
responsibility for directing the intelligence
community and effectual support was needed.
(2) No great change in the use of computer support
was noted in 1977. However, in order to meet
quick response demands for information, significant
increases can be expected within the next two
years in computer-assisted records systems. A
number of developmental programs are currently
being studied for possible implementation.
(3) The size of new systems can be expected to be
significantly large at the outset, but a leveling
off or reduction will be accomplished as permission
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is granted to remove obsolete information. The
scope of new systems will be limited to the effi-
cient, effective and necessary requirements to be
served, not only for the sake of privacy considera-
tions, but also because of the considerable costs
involved.
(c) Agency Administration of the Act:
(1) Accounting for Disclosures:
Records are maintained of instances when
information is released and, where necessary,
waivers are requested from the individuals
concerned.
(2) Maintenance of Only That Information Necessary
for an Authorized Function:
Routine uses of records are the determining
factors in placing a document into a system.
Prior to insertion into a system, records and
information are reviewed for relevance.
(3) Publication Requirements:
All changes to a system of records are pro-
mulgated in the Federal Register with due regard
for the 30-day note to be given to the general
public for their comment and our consideration of
their views. In addition, significant additions
and deletions to the Agency's systems of records
are submitted to the President of the Senate, the
Speaker of the House, the Privacy Protection Study
Commission and the Office of Management and Budget.
(4) Standard of Accuracy, Relevance, Timeliness
and Completeness:
Within the limits of our Records Control
Schedules and the current prohibition on destruction
of records, the relevance and timeliness of records
are considered. Accuracy and completeness of
files are accomplished by placing a copy of the
correspondence from the subject, purporting to
correct or clarify records, with the document in
question. In this way, a complete analysis of the
record can be made by an authorized officer when
reviewing the information.
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(5) Validation of Records Before Disclosure
utsi e t e Agency:
Validation of information is accomplished
through normal verification procedures. Where
prudent or necessary, the individual will be
contacted for additional supporting data.
(6) Restrictions on Recordkee in About First
Amen meet Activities
Collectors and recipients of personal infor-
mation are acutely aware of this requirement.
Documents are reviewed prior to becoming part of
the system.
(7) Rules of Conduct for Agency Personnel:
Personnel having access to personal records
have been instructed in depth as to their respon-
sibilities in this regard and the possible con-
sequences of a breach of this trust. Formal
instruction and realistic situational workshops
have been developed to further understanding of
the Privacy Act. Extensive formal and on-the-job
training are required for those directly implementing
the Act.
(8) Safeguards on information:
Agency personnel have been well trained in
handling sensitive information. Records are
maintained in combination lock safes or in vaulted
areas. Computers can be accessed only by those
personnel who have been assigned controlled pass-
words and/or other coded identifiers.
(9)
Operation of the Exemption Provisions:
A. The CIA regulations promulgated pursuant
to subsection (j) of the Act authorize the
withholding of any information pertaining to
an individual which would reveal intelligence
sources and methods. Polygraph records are
exempt from all sections as provided under
the exemption except fors~hrouto5(e)(5},
(c) (1) and (2), (e)(4) (A through F),
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(6), (7), (9), (10), and (11), and (i). Under
subsection (j) of the Act, systems of records that
contain sources and methods are exempt from sub-
sections (c) (3) , (d) , (e) (3) (A through D) ,
(e) (4) (E) , and (f) (1) .
B. Under subsection (k), regulations were
promulgated which provide that all provisions
of this subsection apply to all systems of
records. Information meeting the criteria
defined in provisions (k)(1) through (k)(7)
may be exempted from subsection (d).
C. In conformity with the express intent of
the Privacy Act, information in a records
system pertaining to an individual is exempt from
disclosure, subsection (d), except as permitted in
subsection (b)(l through 11). Written permission
must be obtained from an individual when personal
information pertaining to that person is requested
by another individual or entity.
D. The Privacy Act permits the Director wide
latitude in implementing exemptions for
access to records; however, this has been done
only to a limited extent. As a system, CIA--23,
Polygraph Files, is totally exempt from access.
The remaining 57 systems of records are searched,
as appropriate, in response to inquiries
from requesters. When the above exemptions do
not apply, documents are released; and, where
they are applicable, segregable portions of
records are released whenever feasible.
E. There were 644 inquiries in which the request
was totally or partially denied and the above
discussed subsections were invoked. The con-
version to an ADP system in June 1977, did not
permit a complete exemption breakout of all the
cases but does provide a sample of the results for
388 cases as follows:
(b)(i.e., Privacy)....204
(j)(1) ................352
(k)(1) ................207
(k)(5)? ................56
Also, the word "Privacy" was cited previously;
however, in order to refer to a specific sub-
section of the Act, subsection (b) replaced
"Privacy" in July 1977.
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F. In lieu of permitting direct access to
records by requesters, as provided for in
subsection (d), the Agency duplicates re-
leasable documentation for requesters at no
cost.
(d) Changes in Patterns of Information Exchange:
(1) Agency employees or applicants are the
primary source of information on themselves.
Where verification of data is necessary,
waivers are requested. Where sensitive opera-
tional and security considerations are para-
mount, liaison with some Federal agencies
has been curtailed or abandoned. This has
resulted from possible exposure, via the
Privacy Act, of the Agency's interest in a
person and where those agencies cannot exert
exemptions to protect our interests.
(2) There have been some changes in procedure to
segregate out that information which is considered
strictly personal and that which is directly
related to employment. A Privacy Act statement
gives the individual a high degree of awareness as
to the limits to which information will be used.
These are fully discussed and the problems that
can develop are explained, should the desired
information not be provided or a waiver for
specific purposes not obtained.
(3) Initially, officials expressed concern that
the Act would cause a significant reduction in
third party-provided information. As for Agency
employees, this factor has not been noticed. How
ever, those interviewed may be narrowing their
answers to the questions being asked, with less
extemporaneous comment being offered. Pledges of
confidentiality requested remain at a level paral-
leling the past. Sources in the private sector,
having become more aware of their rights, seem
somewhat more reluctant to provide information to
government officials, with pledges of confiden-
tiality more often requested.
(4) Alternative sources of information have not
been developed.
(5) Except for procedural requirements, no
significant effect on Agency activities has been
noted, due to the Act's limitations on information
disclosure.
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(6) The Agency's sixth General Routine Use was
promulgated in the Federal Register on 16 May
1977, at Vol. 42, No. 94, Pg. 24760. It made
provision for a record from a system of records
to be disclosed to NARS (GSA) in records manage-
ment inspections conducted under authority of
44
U.S.C. 2904 and 2906. This is responsive
to
of
subsections
the Act.
(b) (6) and (1) (1) ,
(2) and (3)
(7) Although not significant, there have been
instances where local authorities have denied
Agency investigators access to their records.
Vigilance will be exercised by the Agency to
stay abreast of local Freedom and Privacy legis-
lation, especially in the area of exemption
provisions. It could well develop that Agency-
exempted information may be releasable at the
local level.
(e) Exercise of Individual Rights:
(1) Number and Disposition of Privacy Actuests:
A. Carried over from 1976 .............. 598
Received in 1977... ..................
Total Available in 1977 ............ 3621
Final Responses .................... 2397
Granted in Full ..................... 195
Granted in Part ..................... 520*
Denied ... ....... ...... ...124*
Canceled, Withdrawn or No Record ... 1558
Carried over to 1978 ............... 1224
Request for Amendment .................1
*Usage of subsections for denial of information:
Please refer to 2(c)(9)(E) of this report.
B. Appeals
Carried over from 1976 ............... 66
Received in 1977 ...... ..............94
Total Available in 1977 ............. 160
Final Responses ......................45
Sustained Fully .. ...................17
Sustained Partially .................. 28
Reversed .... ....................0
Canceled or Withdrawn .............. ..0
Carried over to 1978 ................115
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C. Civil Actions:
Filed Against Agency .................. 6
Cases Decided in Agency Favor ......... 1**
Cases Decided Against Agency .......... O
Cases Remaining in Litigation ......... 5
**This case was decided in favor of the Agency.
However, the plaintiff appealed one document;
the District court upheld the Agency's posi-
tion but will still review the record in
camera.
(2)(A) The Agency's estimate of current and
former employees making Privacy Act requests is
less than 10 percent of the total. However, the
number of requesters in this group appears to be
increasing. Also, these figures do not take into
account informal requests from current employees
where procedures have been in existence since the
inception of the Act to permit review of one's
files. Approximately 10 percent of Agency em-
ployees have availed themselves of this informal
approach.
(B) Although the Agency does not maintain
statistics on which Act a person cites in making
a request, Agency employees most often cite the
correct Act, given our readily available assist-
ance. When anyone wishes to receive information
on himself, we encourage processing under the
Privacy Act. The requester is assured that all
information will be provided as can be allowed
under both Acts. If he is insistent, however, we
will process such a request under the Freedom Act
or provide the exemptions from both Acts.
(C) Rarely will the general public cite a
system to be searched unless requests for Office
of Strategic Services' documents, drug experiment
information, or Agency intercepted mail can be so
considered. Requesters using commercial services
will often cite records systems. Agency personnel
use a check-off form.
(D) Since all systems are potentially exempt,
the requests for access to exempt systems can be
considered 100 percent. Also, if releasing a
record, where one exists, is considered as access
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to an exempt system, we permit this to over 80
percent of the requesters, the balance being
denied in full.
(f) Public Scrutiny of Federal Personal Recordkee~in&
ractices:
(1) No reaction of'a substantive nature to any
Agency Privacy Act issuance promulgated in the
Federal RResister has been received from the
general public, the Congress or OMB. If the
public wants something, they write or call.
Presently existing rules and regulations are
largely unknown; so, we properly channel their
requests and explain the requirements and pro-
cedures necessary to service their requests.
To say the least, the Act is expensive in terms
of employee time and machine support expended.
From the Agency's standpoint, our costs will not
lessen simply because the number of our requests
are increasing each year, all other factors aside.
(g) Problem Areas and Recommendations for Change:
Although the discussion below may not pertain
specifically to the Privacy Act, it does address
personally identifiable information.
(1) Agency concern over material released under
the Privacy Act is increasing. Problems are being
experienced with former staff employees and cooper-
ating individuals whose Agency affiliation has not
heretofore been disclosed. Serious security
breaches could be in the offing. The mere possession
of a seemingly innocuous Agency document could,
under certain circumstances, cause embarrassment
or danger to the person involved, not to mention
problems for the Agency.
(2) Since deceased individuals have no privacy
rights, it is possible that personally identifiable
information might have to be released connecting the
Agency with undeclared persons. This information,
if pursued by hostile elements, could cause serious
consequences for vital operational activities and
could place in physical jeopardy those who were
in association with such an individual. Hostile
security and intelligence organizations, in view
of their presumed thorough documentation of an
American's activities, could quickly identify
suspected intelligence sources. Through merely
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the exposure of the name of a CIA man, a hostile
country could determine whether and when he was
there.
(3) Because of information which might be re-
leased, liaison equities between the Agency and
its foreign counterparts are being seriously
questioned by the latter. They foresee the possi-
bility of their information being released and we
suspect that they may be withholding information.
This very real problem will affect our national
security more and more as time elapses.
(4) Our experience has shown that the public
seldom uses the published systems of records
as a key to obtain access to their files.
The public generally requests all records
retrievable under their name. The possi-
bility of each agency making available
directly to the public on request a descrip-
tive list of records systems should be con-
sidered. Expensive publication costs in pro-
mulgating systems in the Federal Register
could then be limited to only the deletion of
an existing system of the declaration of a
new system.
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