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PART I-CORRESPONDENCE AND AGENCY RESPONSE
TO INTRODUCTORY QUESTIONS
The Department of the Treasury finally responded on May 8, 1973, to the subcommittee's October 15, 1971 request for responses to the subcommittee's standard three introductory questions and nineteenquestion questionnaire. (See inside back cover.) The Department's May 8, 1973 letter, together with its reply to the introductory questions regarding law enforcement-oriented and intelligence-type files appear in this part.
THE GENERAL COUNSEL OF THE TREASURY,
Washington, D.C., May 8, 1973. DEAR SENATOR ERVIN: This is in response to your letter to former Secretary Connally pertaining to a government-wide survey of automated, mechanized and computerized files containing information about individuals. We regret the delay in responding to your request, but in view of the number of questions you raised as well as the several Treasury Bureaus involved, it took many months to compile. You have asked for a statement from this Department on three issues pertaining to law enforcement-oriented or intelligence-type files maintained for certain specified purposes. Our response to these questions is attached hereto as Enclosure A.
You have also asked 19 questions which are to be answered individually as to each file or data bank covered by your inquiry which is maintained by this Department. Since you state that reports from this investigation will be published, we have endeavored to answer each question in such a manner that the public may understand our operations. The 19 questions are answered as to each of the 47 files maintained in this Department which are the subject of your inquiry. Our response to these questions is indexed and attached hereto as Enclosure B. Some of the individual file submissions contained in Enclosure B were initially prepared in November and December 1971. In view of subsequent changes in some of these, the file submissions have been reviewed and updated, as required, some as recently as April 1973.
Please do not hesitate to contact this office if you have any questions on our response.
Very sincerely yours,
SAMUEL R. PIERCE, Jr.
STATEMENT ON LAW ENFORCEMENT ORIENTED OR
INTELLIGENCE TYPE FILES
The purpose of this statement is to provide a summary of the responses reflecting the statements from the Bureau of Alcohol, Tobacco and Firearms, 1 Bureau of Customs, the Internal Revenue Service and the Secret Service on the extent to which such Federal agencies maintain automated, mechanized or computerized law enforcement-oriented or intelligence files on:
1. The surveillance of demonstrators and others involved in political activities either for or against various governmental policies;
2. Persons who are either no longer dealing with the agency; or
1 On July 1, 1972, the IRS Alcohol, Tobacco and Firearms Division became a separate Bureau of the Department of the Treasury.
3. Persons who have not dealt with it.
For each of these files, the following was asked:
1. The extent of such a data-collection, processing and storage program, if any, conducted by the Treasury Department;
2. Any agency plans for automating, filming or computerizing such files, or creating a data bank in any form;
3. Whether or not any part, or all, of another agency's file system or data bank has been incorporated in those of your agency.
Treasury does not maintain automated files resulting from surveillance of demonstrators per se. Treasury does maintain files on those individuals that it has previously dealt with as a result of arrest, conviction or previous investigation for suspected illegal activities. Treasury also maintains files on individuals with whom it has not dealt officially when those persons are suspected of being involved in illegal activities for which the Department has responsibility of investigation.
Information in response to these issues is summarized in more detail below. It is summarized with respect to each of the enforcement agencies within Treasury. Where no such information is applicable, the situation is identified by the word "None".
1. FILES ON SURVEILLANCE OF DEMONSTRATORS, ETC.
Bureau of Alcohol, Tobacco and Firearms (BATF).—None
Internal Revenue Service (IRS).-None
U.S. SECRET SERVICE
Extent.-Files are maintained with information on persons referred to the Secret Service by other agencies or coming to the attention of the Secret Service, which persons may be of some protective interest, including persons who exhibit an abnormal interest in, threaten or attempt to harm:
(1) individuals under protection of the Secret Service;
Some such individuals may have participated in demonstrations.
Incorporation With Other Agency Data Banks.-The Secret Service files are not incorporated with data banks of other agencies.
2. FILES ON PERSONS NO LONGER DEALING WITH THE AGENCY
It should be noted that on December 13, 1972, the Department of the Treasury announced a Treasury-wide law enforcement system known as the Treasury Enforcement Communications System (TECS). The participating Treasury enforcement agencies are the Bureau of Customs, IRS Intelligence Division, IRS Inspection Service, and the Bureau of Alcohol, Tobacco and Firearms. The Secret Service is expected to join the system in July 1973.
The Bureau of Customs CADPIN system was chosen as the backbone of TECS. Effective March 30, 1973, Customs substituted the acronym TECS for CADPIN. All manuals and other documents are being revised to reflect the proper name of the system as TECS.
TECS provides for all Treasury participating bureaus the transmission and exchange of law enforcement information among themselves and, additionally, provides them with one-way communications (query-response) interface to the FBI's National Crime Information Center (NCIC). The NCIC does not have access to TECS files. Furthermore, information furnished by IRS to the TECS System will be limited to identifying data elements of name, address, SSN, and date of birth. In general, IRS participation will be restricted to individuals involved in current investigation under the Narcotics Trafficker and Strike Force programs. However, information on fugitives and major racketeers whose tax affairs are of continuing interest to the IRS will be included in the TECS System.
Extent. None. However, manual files are maintained on all persons who have been arrested, indicted and investigated where the investigation developed information pertaining to a violation of the laws enforced by the BATF. These files are maintained primarily at ATF field offices around the country.
Status. It is planned to commence converting during CY 73 the manual files into an automated Central File. BATF will have access to information on fugitives through its connection to the Treasury Enforcement Communications System (TECS) which it commenced using in January 1973.
Incorporation with Other Agency Data Banks.—Law enforcement information is exchanged with other Treasury agencies through the Treasury TECS System and information on fugitives is indexed and maintained in the FBI's National Crime Information Center (NCIC).
Extent. Through its Customs Automated Data Processing Intelligence Network (CADPIN, now called TECS) records are maintained on persons arrested or dealt with in the past. These persons may be in jail and/or not currently under investigation.
Status.-CADPIN (now called TECS) is in operation. Other studies to achieve efficient means of storing and retrieving baggage declarations (10 to 12 million annually) are being conducted. The result could be a microfilm file, a manual file, a computerized index to a manual file, or a combination of all three.
Incorporation with Other Agency Data Banks.-The CADPIN (now called TECS) data base contains information from other Customs files as well as:
Organized Crime and Racketeering Section files (Department of Justice); and
• Immigration and Naturalization Service Soundex File.
TECS also provides for the transmission of law enforcement information as noted earlier under "Background".
Extent. Through the Intelligence Division Information Retrieval System, data will be maintained on persons who have previously been the subject of an IRS investigation and who are of continuing interest. The Information Retrieval System is composed of two sub-systems, a National Register and automated indices to District Background Files. The National Register is planned to contain about 20,000 names which will come from the following: Manual Files:
Major Racketeer Files (3,000)
• Potential Major Racketeer Files (4,000)
• Narco Trafficking Information System (1,500) • Strike Force Disclosure List (7,000)
Project 866 Management Information System (10,000)
There will be approximately 200,000 manual District Background Files maintained in the 58 District Offices on individuals where specific information with potential tax consequence has come to the attention of the Intelligence Division. The automated indices contain only sufficient data to identify the location of the manual files which are maintained and accessible only in each separate district office. Thus, these automated indices serve as a directory to the manual files.
Status.-Implementation of the automated indices to the District Background Files part of the Information Retrieval System was begun in January 1973. The National Register part is scheduled for implementation in September 1973. The Narco Trafficking Information System, the Strike Force Disclosure List, and the Project 866 Management Information System are in operation.
Incorporation with Other Agency Data Banks.-The separate files maintained by the IRS Intelligence Division are not incorporated or interfaced with the files of any other agency. The IRS Inspection Service does not maintain any automated, mechanized, or computerized law enforcement or intelligence type files. However, as mentioned earlier under " 'Background", the IRS Intelligence Division and the IRS Inspection Service use TEČS to aid in the transmission of law enforcement
information among IRS and other Treasury units and from these units to the
Extent.-Automated and manual intelligence files are maintained on individuals
Status.-The files have been computerized as previously stated.
Incorporation with Other Agency Data Banks.-The Secret Service files are not
3. FILES ON PERSONS NOT YET DEALT WITH
Extent.-Files are maintained on persons under active investigation but not yet
Status.-The files have been computerized to the degree previously indicated
Incorporation with Other Agency Data Banks.-Files are incorporated with other
Extent. -The Intelligence Division will be maintaining files as noted earlier
Incorporation with Other Agency Data Banks.—The same remarks apply as noted
Extent. Same remarks as noted under "Extent" under the paragraph on “Files
Status. The files have been computerized as previously stated under "Status"
Incorporation With Other Agency Data Banks.-The Secret Service files are not