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

01/07/1977

1 It should be noted that subsection 3(a)(3) of the Act defines "maintain". as including the terms "collect, use or disseminate." Consequently, any limitation on the maintenance of information carries with it an implicit limitation on collection.

2 U.S. Department of Labor, "1975 Annual Report on the Privacy Act of 1974," p. 6.

3Federal 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), pp. 11, 12.

4 Program Research Staff Assistant, Research Division, Veterans Administration at the Privacy Protection Study Commission Staff Workshop on Research and Statistical Records, October 25, 1976.

5 Chief, Program and Policy Development Office, Bureau of the Census (U. S. Department of Commerce), at the Privacy Protection Study Commission Staff Workshop on Research and Statistical Records, October 25, 1976.

6 U. S. National Science Foundation, "1975 Annual Report on the Privacy Act of 1974," p. 5.

7 This practice is being contested under the Privacy Act in Robert Gang v. United States Civil Service Commission, Civil Action No. 76-1263, (D.D.C., 1976).

8 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, May, 1977.

9 U. S. National Foundation on the Arts and Humanities, "1975 Annual Report on the Privacy Act of 1974," p. 4.

10 U, S. National Aeronautics and Space Administration, "1975 Annual Report on the Privacy Act of 1974," III, p. 4.

11 U, S. Department of Labor, "1975 Annual Report on the Privacy Act of 1974," III, p. 5.

12 For a further discussion of Section 7 and its impact, see Personal Privacy in an Information Society, Final Report of the Privacy Protection Study Commission (Washington, D.C.: U. S. Government Printing Office, 1977), Chapter 16.

13 President's Second Annual Report, p. 12.

14 U. S. Department of State, "1975 Annual Report on the Privacy Act of 1974," III(b), pp. 7-8

15 U.S. Securities and Exchange Commission, "1975 Annual Report on the Privacy Act of 1974," p. 19.

16 U.S. National Aeronautics and Space Administration, op. cit., III, p. 2.

17 U.S. Civil Service Commission, "1975 Annual Report on the Privacy Act of 1974," III, p. 2.

18 U. S. Department of Defense, "1975 Annual Report on the Privacy Act of 1974," p. 32.

19 Canal Zone Government, "1975 Annual Report on the Privacy Act of 1974," III, p. 5.

20 U. S. Energy Research and Development Administration, "1975 Annual Report on the Privacy Act of 1974," III, p. 5.

21 For a discussion of the Family Educational Rights and Privacy Act of 1974 see Personal Privacy in an Information Society, op. cit..., Chapter 10.

22 2U.S. Social Security Administration (Department of Health, Education, and Welfare) "1975 Annual Report on the Privacy Act of 1974," p. 17.

23 U S. Secret Service (Department of the Treasury), "1975 Annual Report on the Privacy Act of 1974," III, p. 1.

24 U. S. Office of Management and Budget, "Privacy Act Implementation: Guidelines and Responsibilities," (hereinafter, OMB Guidelines), 40 F.R. 28973 (July 9, 1975).

25Ibid., p. 28974.

26 U. S. Department of Defense, op. cit., pp. 31-32.

27 U. S. National Foundation on the Arts and Humanities, op. cit., p. 3.

28 Letter from Herman G. Fleming, Privacy Act Officer, U.S. National Science Foundation, to the Privacy Protection Study Commission, October 26, 1976.

29 Letter from Thomas E. Malone, Associate Director for Extramural Research and Training, Public Health Service, U. S. National Institutes of Health, (Department of Health, Education, and Welfare), to the Privacy Protection Study Commission, February 1, 1976.

30Ibid.

31 U.S. National Science Foundation, 1975 Annual Report, op. cit., p. 5.

32 U . S. National Aeronautics and Space Administration, op. cit., III, p. 3.

33 U. S. Bureau of Alcohol, Tobacco & Firearms (Department of the Treasury), "1975 Annual Report on the Privacy Act of 1974," pp. 1-2.

34 All the agencies at the Privacy Protection Study Commission October 29, 1976 Staff Workshop on Employment and Personnel Records said they did not publish their promotion files as systems of records. This included the Civil Service Commission; the Department of Defense; the Federal Aviation Administration (Department of Transportation); the General Services Administration; the Department of Health, Education, and Welfare; the National Bureau of Standards (Department of Commerce); the National Labor Relations Board; the Postal Service; the State Department; the Treasury Department; and the Veterans Administration.

35 U. S. Office of Management and Budget, Circular No. A-108, Transmittal Memorandum No. 2, "Reporting Instructions for the Annual Report to the Congress under the Privacy Act of 1974," March 25, 1975, p. 4.

36 U.S. Department of Defense, op. cit., p. 29.

37 Export-Import Bank of the United States, "1975 Annual Report on the Privacy Act of I974," III, p. 1.

38 U. S. Department of the Interior, "1975 Annual Report on the Privacy Act of 1974," III, p. 5.

39 U. S. Department of Transportation, "1975 Annual Report on the Privacy Act of 1974," Office of the Secretary, III, p. 2.

40 U. S. Department of the Interior, op. cit.

41 Records Management Regulations Division Chief, Bureau of Personnel, U.S. Department of State, Privacy Protection Study Commission Staff Workshop on Employment and Personnel Records, October 29, 1976.

42 U. S. Drug Enforcement Administration (Department of Justice), "1975 Annual Report on the Privacy Act of 1974," II, p. 6.

43 U. S. Information Agency, "1975 Annual Report on the Privacy Act of 1974," III, p. 2.

44 U.S. Department of Housing and Urban Development, "1975 Annual Report on the Privacy Act of 1974," p. 6.

45 U.S. Department of Health, Education, and Welfare, "1975 Annual Report on the Privacy Act of 1974," p. 16.

46 In the President's 1976 annual report, however, OMB said that the number of systems had not been significantly reduced. (President's Second Annual Report, p. 21)

47 Agencies reporting such destruction included the Agriculture Department, the Community Services Administration (which reported destroying 129 cubic feet of such records), CSC, DOD, the Environmental Protection Agency, ERDA, the Federal Reserve Board, the Federal Power Commission, GSA, OMB, the Postal Rate Commission, the Department of Transportation, the Department of the Treasury, the International Trade Commission, and the Canal Zone Government.

48 U.S. National Aeronautics and Space Administration, op. cit., III, p. 1.

49 U.S. Community Services Administration, "1975 Annual Report on the Privacy Act of I974," p. 4.

50 Letter from Fritz L. Puls, General Counsel, U.S. National Transportation Safety Board, to the Privacy Protection Study Commission, October 1, I976.

51 U. S. International Trade Commission, "I975 Annual Report on the Privacy Act of 1974," p.4.

52 The Social Security Administration reported the elimination of five information collection forms and the National Institutes of Health withdrew twenty. The Departments of Treasury and State, the Federal Reserve Board, NASA and the SEC also reported discontinuation of some information collection. Other agencies reporting a reduction in the amount of information they maintain included ERDA, the FAA, the National Science Foundation, the Department of the Navy, and the Overseas Private Investment Corporation (which reported a 2 to 3 percent reduction).

53 U. S. Civil Service Commission, op. cit.., III, p. 1.

54 U . S. Department of Labor, op. cit.., p. 5.

55 U.S. Department of Defense, op. cit.., p. 23.

56 Briefing by the Department of Defense on Employment and Personnel Records for Dr. Alan F. Westin of Columbia University, August 9, I976.

57 U.S. Veteran's Administration, "1975 Annual Report on the Privacy Act of 1974," III, p. 4.

58 U. S. International Trade Commission, op. cit..

59 This program is one in which States may voluntarily participate. Its system of records contains information on 5.5 million drivers who have been denied a license or whose license has been revoked or suspended. Prior to the passage of the Privacy Act, individuals were unable to see their NDR records.

60 Privacy Protection Study Commission staff interview with the Privacy Act Coordinator, U. S. National Highway Traffic Safety Administration (Department of Transportation), August 26, 1976.

61 U.S. ACTION Agency, "1975 Annual Report on the Privacy Act of 1974," II, p. 4; Pennsylvania Avenue Development Corporation, "1975 Annual Report on the P62rivacy Act of 1974," II, p. 2.

U.S. Committee for Purchase from the Blind and Other Severely Handicapped, "I975 Annual Report on the Privacy Act 0f 1974," II, (d).

63 U.S. Federal Reserve Board, "I975 Annual Report on the Privacy Act of I974," p. 3.

64 U.S. ACTION Agency, op. cit.., III, p. 4.

65 Belair, op. cit..., p. 486.

66 U.S. Pennsylvania Avenue Development Corporation, op. cit., III, p. 3.

67 Director, Evaluation and Systems Services, Office of Personnel, U.S. Veterans Administration at the Privacy Protection Study Commission Staff Workshop on Employment and Personnel Records, October 27, 1976.

68 Privacy Protection Study Commission staff interview with the Deputy Secretary to the Commission, U.S. Federal Trade Commission, October 7, 1976.

69 Reported at the Privacy Protection Study Commission Staff Workshop on Employment and Personnel Records, October 29, 1976.

70 Protecting Individual Privacy in Federal Gathering, Use and Disclosure of Information, Report of the Committee on Government Operations, U. S. Senate, 93rd Congress, 2nd Session, 1974, p. 54.

71Ibid, p. 55.

72 U. S. National Bureau of Standards (Department of Commerce), Federal Information Processing Standards Publication No. 41, Computer Security Guidelines for Implementing the Privacy Act (May 30, 1975).

73 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.

74 U. S. Civil Service Commission, op. cit., II, p. 2.

75 U. S. Department of Defense, op. cit., p. 25.

76 Privacy Protection Study Commission staff interview with a Personnel Management Specialist, U. S. Federal Aviation Administration (Department of Transportation), October 12, 1976.

77 U.S. Overseas Private Investment Corporation, "1975 Annual Report on the Privacy Act of 1974," II, p. 1.

78 U. S. Drug Enforcement Assistance Administration (Department of Justice), op. cit., II, p. 2.

79 It established a task force on this issue and published its own Information Processing Standards Publication.

80 President's Second Annual Report, p. 23.

81 This is required by OMB, not by the Act itself. See U.S. Office of Management and Budget, Circular A-108, Transmittal Memorandum No. 1, New Systems Reports, 40 F.R. 45877-78 (October 3, I976).

82 Office of the Federal Register, Privacy Act Issuances, I976 Compilation, Volume 2, p. 471.

83Ibid, p. 470.

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

85 Belair, op. cit..., pp. 503-04.

86 U. S. Interstate Commerce Commission, "System of Records," 41 F.R. 40430 (1975); 28 U.S.C. 534.

87 U. S. Department of State, 1975 Annual Report, op. cit..., III, p. 8.

88 U.S. National Labor Relations Board, "1975 Annual Report on the Privacy Act of I974," III, p. 3.

89 U. S. Civil Service Commission, 1975 Annual Report, op. cit., III, p. 3.

90Ibid., p. 4.

91 U. S. Postal Service, "I975 Annual Report on the Privacy Act of 1974," III, p. 2.

92 U. S. Customs Service (Department of Treasury), "1975 Annual Report on the Privacy Act of 1974," p. 6.

93 U. S. Secret Service (Department of the Treasury), op. cit..., III, p. 2.

94 U.S. Information Agency, op. cit..., III, p. 3.

95 Testimony of Dr. Leonard T. Kurland, Mayo Clinic, Privacy Protection Study Commission Medical Records Hearings, June 1I, I976, pp. 569-70.

96 U. S. Federal Aviation Administration (Department of Transportation), "I975 Annual Report on the Privacy Act of 1974," III, p. I.

97 U. S. Postal Services, op. cit..., III, p. I.

98 U.S. National Aernautics and Space Administration, op. cit..., p. 2.

99 U. S. Federal Bureau of Investigation (Department of Justice), "I975 Annual Report on the Privacy Act," pp. 7-8.

100 Reported in their 1975 annual reports by the Bureau of Engraving and Printing (Treasury Department); the Department of the Air Force (DOD); the Coast Guard (Department of Transportation) which continues to give out rank, base pay, duty station and telephone number without consent; TVA, which has discontinued the practice of suggesting candidates for employment without their written consent; GSA; the Consumer Product Safety Commission; the Federal Deposit Insurance Corporation; the Federal Maritime Commission; the Federal Reserve Board, which only gives out dates of employment and title without the individual's written consent; the International Trade Commission, which gives job title, grade, salary, and duty location in response to telephone inquiries; NASA, which only releases what it would be required to disclose under the FOIA; the National Credit Union Administration; the Occupational Safety and Health Review Commission; the Pennsylvania Avenue Development Corporation; the Export-Import Bank; the Council on Environmental Quality, which only gives title, length of employment and salary without the individual's written consent. The Federal Home Loan Bank Board has made such disclosure a routine use of the information in at least one of its systems of records.

101 U.S. Community Services Administration, op. cit..., p. 4.

102Privacy Act of 1974, Report of the Committee on Government Operations, U. S. House 0f Representatives, 93d Congress, 2nd Session, 1974, p. I4.

103 U. S. Community Services Administration, op. cit..., p. 6.

104 Privacy Protection Study Commission staff interview with the U. S. Social Security Administration (Department of Health, Education, and Welfare), January 12, 1976.

105 Briefmg by the Department of Defense 0n Employment and Personnel Records, op. cit.

106 Tbis was reported by the National Bureau of Standards (Department of Commerce), the U.S. Postal Service; the National Labor Relations Board; the General Services Administration; the Department of Defense; the Coast Guard and the Federal Aviation Administration at the Department 0f Transportation; the Treasury Department; the Veterans Administration; and the Department of Health, Education, and Welfare at the Privacy Protection Study Commission Staff Workshop on Employment and Personnel Records, October 25, I976.

107 Reported by a Personnel Management Specialist, Division of Personnel, U. S. Internal Revenue Service (Department of the Treasury), at the Privacy Protection Study Commission Staff Workshop on Employment and Personnel Records, October 29, I976.

108Infra, Chapter 3.

109 OMB Guidelines, p. 28956.