The Privacy Act of 1974: An Assessment. APPENDIX 4 TO The Report of The Privacy Protection Study Commission.. Notes

01/07/1977

1 U. S. Department of Justice, Attorney General's Memorandum on the 1974 Amendments to the Freedom of Information Act, (Washington, D.C.: U. S. Government Printing Office, February, 1975), p. 26.

2Amending Section 552 of Title 5, United States Code, known as the Freedom of Information Act, Report of the Committee on Government Operations, U.S. House of Representatives, 93rd Congress, 2nd Session, 1974, pp. 8-9; Freedom of Information Act Amendments, Conference Report, U.S. House of Representatives, 93rd Congress, 2nd Session, 1974, pp. 14-15

3 Letter from Assistant Attorney General, Office of Legal Counsel, U. S. Department of Justice, to the Office of Management and Budget, April 19, 1975.

4 U.S. Office of Management and Budget, "Privacy Act Implementation; Guidelines and Responsibilities" (hereinafter OMB Guidelines), 40 F.R. 28951, 28959 (July 9, 1975).

5Ibid., p. 28976.

6Ibid.

7Ibid.

8 Memorandum from General Counsel William H. Taft III to John Ottina, Assistant Secretary for Administration and Management, U.S. Department of Health, Education, and Welfare, regarding the application of the Privacy Act to DHEW contractors, May 14, 1976.

9 Privacy Protection Study Commission staff interview with the Privacy Act Officer, and an Attorney, Office of General Counsel, U.S. Department of the Interior, October 20, 1976.

10 Privacy Protection Study Commission staff interview with the Chief, Information Management Division, Office of Organization and Management Systems, U.S. Department of Commerce, November 2, 1976.

11 Director, Personnel Management Staff, Office of Personnel, U.S. General Services Administration, Privacy Protection Study Commission Staff Workshop on Employment and Personnel Records, October 29, 1976. None of the other agencies at the workshop (DOD, DHEW, State, Treasury, USPS, GSA, VA, the Civil Service Commission, the FAA, the National Bureau of Standards, and the NLRB) declared vacancy announcements, promotion files, or retention records (established in reduction-in-force proceedings) as systems of records under the Privacy Act.

12 Privacy Protection Study Commission staff interview with the Privacy Act Officer, and an Attorney, Office of the General Counsel, U.S. Department of the Interior, October 20, 1976.

13 Testimony of the U.S. Veterans Administration, Medical Records, Hearings before the Privacy Protection Study Commission, July 2I, 1976, pp. 444, 445.

14 U.S. Agency for International Development, "1975 Annual Report on the Privacy Act of I974," April 30, I976, p. 10.

15 Privacy Protection Study Commission staff interview with an Attorney, Legal Advisor's Office and the Chief, Document and Reference Division, Foreign Affairs Document and Reference Center, U.S. Department of State, November 12, 1976.

16Federal Personal Data Systems Subject to the Privacy Act of 1974, Second Annual Report of the President, Calendar Year 1976 (hereinafter, President's Second Annual Report), p. 23

17 Federal Personal Data Systems Subject to the Privacy Act of 1974, First Annual Report of the President, Calendar Year 1975 (hereinafter, President's First Annual Report), p. 2.

18Ibid, p. 3.

19Ibid, pp. 45.

20Ibid, pp. 5-6.

21 The number after the system name is assigned by the agencies. OMB also assigns a unique number to each system consisting of agency and bureau codes for the agency maintaining the system, plus a sequential number. Agencies are encouraged to use the same numbering system as OMB.

22 Office of the Federal Register, Protecting Your Right to Privacy-Digest of Systems of Records, Agency Rules, Research Aids, p. 266.

23 OMB Guidelines, p. 28963.

24 U.S. Department of Defense, "1975 Annual Report on the Privacy Act of 1974," p. 23.

25 Privacy Protection Study Commission staff interview with the Records Officer, U. S. Postal Service, October 12, 1976.

26 Oflice of the Federal Register, Privacy Act Issuances, 1976 Compilation, 5 vol. The 1975 compilation was published in a single volume, supra, note 22.

27 Briefing by the Defense Privacy Board for the staff of the Privacy Protection Study Commission, January 16, 1976.

28Protecting Individual Privacy in Federal Gathering Use and Disclosure of Information, Report of the Committee on Government Operations, U. S. Senate, 93d Congress, 2nd Session, 1974, p. 399.

29 OMB Guidelines, p. 28977.

30 U.S. Office of Management and Budget, Circular A-108, Transmittal Memorandum No. 1, New Systems Reports, 40 F.R. 45877 (October 3, 1975).

31Ibid.

32Ibid, p. 45878.

33President's Second Annual Report, p. 9.

34Ibid.

35Ibid., p. I1.

36 Robert R. Belair, "Agency Implementation of the Privacy Act and the Freedom of Information Act: Impact on the Government's Collection, Maintenance and Dissemination of Personally Identifiable Information," John Marshall Journal of Practice and Procedure, Vol. 10, No. 3, (Spring, 1977) p. 480.

37Ibid.

38 Under the Federal Reports Act [44 U.S.C 350I et seq.], OMB approves all fortes on which agencies propose to collect information from six or more members of the public, except that 44 U.S.C. 3507 exempts forms used by the Internal Revenue Service and certain other divisions of the Treasury Department. In addition, pursuant to a 1973 amendment, [44 U.S.C.A. 3512], forms used by independent regulatory agencies are reviewed by the Comptroller General, U. S. Government Accounting Office.

39 U..S. Civil Service Commission, Federal Personnel Manual System Letter 711-126, December 30, 1976.

40 U. S. National Bureau of Standards (Department of Commerce), Federal Information Processing Standards, Publication 41, "Computer Security Guidelines for Implementing the Privacy Act of 1974" (May 30, 1975).

41 U. S. National Bureau of Standards (Department of Commerce), Federal Information Processing Standards Task Group 15, "Index of Automated System Design Requirements as Derived from the OMB Privacy Act Implementation Guidelines," (October, 1975).

42 "Additional Guidance on Reduction in Reports Required of the American Public," Memorandum from Hon. Bert Lance, Director, U.S. Office of Management Budget, to Heads of Executive Departments and Establishments, March 7, 1977.

43 In this section the terms "regulation" and "rule" are used interchangeably.

44 OMB Guidelines, pp. 28957, 28967.

45Ibid., pp. 28957-58.

46 U. S. Central Intelligence Agency, 1975 Annual Report on the Privacy Act of 1974, III, p. 5; letter from Clarence M. Kelley, Director, U. S. Federal Bureau of Investigation, Uepartment Justice, to the Privacy Protection Study Commission, June 30, I976.

47 U. S. Drug Enforcement Administration (Department of Justice), "1975 Annual Report on the Privacy Act of I974," p. 11.

48 U. S. Energy Research and Development Administration, "1975 Annual Report on the Privacy Act of 1974," p. 6.

49 U. S. Department of Defense, 1975 Annual Report, op. cit., pp. 5,23.

50Ibid., p. 23.

51 Briefing by the Defense Privacy Board, op. cit.

52 Civilian Health and Medical Program of the Uniformed Services.

53 Department of Health, Education and Welfare, Secretary's Advisory Committee on Automated Personal Data Systems, Records, Computers and the Rights of Citizens, (Washington: U. S. Government Printing Office, 1973).

54 U.S. Internal Revenue Service (Department of the Treasury), "1975 Annual Report on the Privacy of 1974," pp. 3, 4.

55 This represents the time spent to give every IRS employee 30 minutes of training about the Privacy Act. Privacy Protection Study Commission staff interview with the Chief, Freedom of Information Branch, Internal Revenue Service (U. S. Department of the Treasury), August 25, 1977.

56 U.S. Energy Research and Development Administration, op. cit, p.2.

57President's Second Annual Report, p. 14.

58 Privacy Protection Study Commission staff interview with the Assistant Chief, Division of Program Planning and Management, Bureau of Personnel Investigations, U. S. Civil Service Commission, August 30, 1976.

59 Letter from Alan Carter, Assistant Director for Public Information, U. S. Information Agency, to the Privacy Protection Study Commission, November I7, 1976.

60 Briefing by the Defense Privacy Board, op. cit..

61 This figure is the sum of all requests identified in the 1975 annual reports as "Privacy Act" requests.

62 Privacy Protection Study Commission staff interview with the Inspector and Deputy Assistant Director, Freedom of Information Privacy Act Branch, Records Management Division, Federal Bureau of Investigation, U. S. Department of Justice, August 26, 1977.

63 Belair, op. cit, p. 497.

64Ibid., p. 498.

65President's Second Annual Report, p. 13. Of the 35,723, 14,517 were granted in full; 3,417 were partially granted; 399 were denied; and 2,105 were returned as inadequately specific. Action was pending on the remainder. For 9,705, no record on the individual could be found.

66President's Second Annual Report, p. 14.

67Ibid.

68Ibid., pp. 14,15.

69 This figure is drawn from an analysis of all the discussions of public comment in the 1975 annual reports.

70President's Second Annual Report, p. 8.

71 Privacy Protection Study Commission staff interview with the Acting Chief, Paperwork Management Branch, Management Analysis Division, U. S. Department of Transportation, October 12, 1976.

72 Letter from Jeffrey Axelrad, Chief, Information and Privacy Section, Civil Division, U. S. Department of Justice, to the Privacy Protection Study Commission, November 12, 1976.

73 Privacy Protection Study Commission staff interview with a Trial Attorney, Freedom of Information Section, U. S. Department of Justice, August 26, 1977.

74 Memorandum from Charles C. Marson, Legal Director, ACLU Foundation of Northern California, to the Privacy Protection Study Commission, June 7, I977.

75 In United States v. Gonzalez, Crim. No. 76-132 (M.D.La. Dec. 21, I976), a former United States Attorney in Baton Rouge, Louisiana was convicted and fined $1,500 for making an unauthorized disclosure of agency records.

76 "Analysis of House and Senate Compromise Amendments to the Federal Privacy Act," 120 Cong. Rec. S21817 (December 17, 1974).

77 Privacy Protection Study Commission staff interview, with the Federal Bureau of Investigation, op. cit.

78 Letter from Hon. Bert Lance, Director, Office of Management and Budget, to Senator Abraham A. Ribicoff, Chairman, Committee on Governmental Affairs, United States Senate, March, 1977, including a report on Costs of Implementing the Privacy Act of 1974, p. 5.

79President's First Annual Report, pp. 2-3.