To the extent that the November 11, 1971, memorandum was a sincere effort to improve file security, the Subcommittee inquiry has already had an immediate positive effect. 2. MANAGEMENT INFORMATION SYSTEM.-The information concerning individuals contained in the files is limited; even so, the mere inclusion of one's name in the file means that he is under investigation or has been investigated. Security precautions are general. The statement in the response that information from the files is supplied to field offices makes the absence of definitive security guidelines even more serious. Agency Response The Bureau of Alcohol, Tobacco and Firearms submitted the following responses to the subcommittee's October 15, 1971 request for replies to the standard questionnaire. (See inside back cover.) The firearms records response was prepared November 17, 1971 and updated April 13, 1973. The management information system response was prepared April 16, 1973. Both were received May 8, 1973. BUREAU OF ALCOHOL, TOBACCO AND FIREARMS A. NATIONAL FIREARMS REGISTRATION AND TRANSFER RECORDS Current Date of Preparation.-November 17, 1971 (updated April 13, 1973) Form of File.-Microfilm/Physical Document National Defense Security Classification.-None (1) Describe briefly the major categories of data on individuals presently maintained and stored under auspices of the Treasury Department and its agencies and the approximate number of subject individuals covered in each category? There are approximately 200,000 Firearms Registration Documents filed alphabetically in the Internal Revenue Service building in Washington, D.C. The firearms required to be registered in this file are machineguns, sawed-off shotguns, explosives and incendiary devices and the category described as any other weapons. There are approximately 200,000 cards, filed by the serial number of the firearms mentioned above. (See exhibit 1 for types of firearms registered.) [Omitted.] (2) Under what statutory and administrative authority was each data bank established and for what purpose? Please supply copies of pertinent federal statutes, regulations and memoranda on which this authority is based and by which it is implemented? The statutory authority establishing this file is Public Law 474 of the 73rd Congress, known as the National Firearms Act enacted on June 26, 1934, also known as the United States Code, Title 26, Chapter 53, and the regulations implementing the Act contained in Part 179, Title 26, Code of Federal Regulations. Destructive Devices registration requirements were added through an amendment contained in Title II of the Gun Control Act of 1968. (See exhibit 2, pages 5 & 6; exhibit 2A, pages 3, 6, 7, 8, 9; exhibit 2B, page 4.) (3) Are Treasury Department controls, guidelines, or advice required by or offered to state officials and private individuals who either administer or who utilize this data-gathering program? Please supply copies of pertinent rules or advisory documents as issued by federal and state agencies. Treasury Department controls are required in the administration of this file, as set forth in Section 207(b) of the Gun Control Act. The information contained in the file is not available to state officials or private individuals. No information or evidence required to be submitted or retained by a natural person to register a firearm under this section shall be used, directly or indirectly, as evidence against such person in any criminal proceeding with respect to a prior or concurrent violation of law. (See exhibit 2, page 6, Section 5841.) ། (4) For each category and each conglomerate of data, indicate its present state of computerization or other mechanization for access and retrieval as well as for evaluation and analysis. The above mentioned file is being converted to microfilm. This consists of taking a photographed document through the use of a person's name to numbers. The electronic reader then reads the number and stops the photographed image in order to be read. The same microfilm system is used to store and retrieve the information contained on the card file, assembled by serial number, which was mentioned earlier. At this date the serial number file is completed, and the converting of document images to film is at the letter "K" of the alphabet. (See exhibit 3-3A-3B-3C-3D-3E-3F-3G-3H & 31.) [31 omitted.] (5) Describe plans for further computerization or mechanization in each program. No further plans for either of these programs. Any additional registrations will be added as they occur. (6) In what instances would each system be utilized? By what officials and by what agencies? The system would be utilized to determine if an individual did not have a firearm registered when he was supposed to have it registered and a negative result in a search of the file would be the only significant result, as far as a law enforcement function is concerned. Officials designated in the National Office to search the files are the only individuals who would have the file information available to them. It would be used by the Alcohol, Tobacco and Firearms agency only. However, no information in the file can be used against any individual who has a firearm registered, it is the absence of the information which can be used against the individual. (7) For each new data storage and processing program, please describe: (a) the advantages; and (b) the extent to which it permits correlating, common storage and multi-faceted analysis of data on a scale not hitherto available. The Microfilm System and its retrieval capabilities provide an additional copy of the registration file. Up to that time, the original was the only one in existence. The film of the registration file eliminates the physical handling of the registration documents, some of which date back to 1934, thus helping to preserve the file. The system also eliminates the possibility of a misfile of a document in its alphabetical location, which is possible in a manual file. The search time involved in the use of the microfilm is considerably less. The microfilm process can make the two files, the alphabet and the serial number file, correlate to one another on a cross-reference basis. (See exhibit 31.) [31 omitted] (8) What specific subject areas concerning an individual's background, personal life, personality and habits are noted in each data program? Name and address, place of employment, date of birth, social security number, title or status, and signature. (See exhibit 3 thru 31.) (9) Has the Treasury Department and its component agencies developed comprehensive guidelines governing maintenance of any or all the various data systems, access to them, review and disclosure of material in them, and distribution of data to other agencies? If so, please supply copies. The access to, disclosure of material, and distribution of data to other agencies is covered in Section 207(b) of the Gun Control Act. Local procedures and controls have been set up within the section having control of the file. (See exhibit 2, page 8 and exhibit 2A, page 3, Section 179.23. Also see exhibit 2C.) (10-A) Is the subject individual or his representative notified of the fact that he is in the data bank? (B) Is he allowed to review the data on record about him; to supplement his file; or to explain or rebut inaccurate material? Please describe the precise limitations on such rights for each restriction. (A) Subject individual knows he is in the file, by virtue of his own voluntary submission of the information in the file. A certified copy of his registration document is returned to the individual. (B) He is allowed to review data on his registration document only, and correct any inaccurate information which may be in the file. He is required to notify the Treasury Department of any movement of his registered firearms, when it crosses a state line. (11) What aspects of the recorded data are available to other persons? Who, specifically? For what purpose? By what authority? Any of the information pertaining to the registration of a particular firearm is available to those individuals delegated the responsibility of maintaining the file, and for making searches. The authority is the National Firearms Act as amended by Title II of the Gun Control Act of 1968. (12) Is a record maintained of each inspection or use of the individual's record? Yes, a narrative type record is kept as opposed to a bookkeeping type record. (I.e., TWX requesting registration checks and correspondence from the registrant are maintained.) (13) For each data bank, please indicate how the information is collected, whether it is solicited from the indiivdual, from third persons, or from existing records. The information is collected from required forms submitted by the registrant. (See exhibit 3 thru 31.) (14) What officials in your agency are responsible for determining the accuracy of information in the data bank? What provisions are made, procedurally, for deleting information found to be inaccurate or inappropriate, either on the initiative of the agency or on motion of the individual? Document examiners are responsible for determining the accuracy and completeness of the registration document. The truthfulness of the information contained on the form is the responsibility of the registrant, as the registration document is completed under penalty of perjury. Information is corrected, deleted or amended as required either through the use of the mail or by personal contact with the registrant by field investigators initiated by the agency or the registrant. (15) What other agencies have access to information or use of information in each data bank? No other agency has access or use of the information in this data bank. (16) What states and federal agencies may utilize the data in your computerized files by coding, interfacing and other devices relating to their own computers? None. (17) What security devices and procedures are utilized to prevent: (a) unauthorized access to the data file; and (b) improper use of the information? All files are locked up during non-working hours. During working hours, copies of documents may be obtained for use only by authorized personnel in answering correspondence or pursuing an item of investigation. The original documents are not removed from the files. The use of information contained in the file must be authorized by the department head. (18) What formal or informal arrangement does the Treasury Department have with congressional committees for the authorizing and reviewing of new data banks and the clearance of new electronic or mechanized record-management techniques? The National Firearms Registration and Transfer Record is the result of a study which was conducted while the Bureau of Alcohol, Tobacco and Firearms was a division of Internal Revenue Service. The specifications and costs were outlined in a memorandum to the Fiscal Management Division from Alcohol, Tobacco and Firearms. The funds required were included in the IRS budget requests for fiscal 1970. The authorization of the system was given by Internal Revenue Service, and was forwarded to the House appropriations subcommittee for review. To my knowledge, a detailed inspection of the system was not conducted, but the background information is always available. (19-A) Have any data programs or the development of other comprehensive records systems been discussed before other congressional committees by Treasury Department representatives. (B) Have any been specifically approved by Congress or congressional committees? (C) If so, would you please supply any available testimony, or citations to such hearings? (A) The National Firearms Registration and transfer record has not been discussed before other congressional committees, because it appears as a cost item in the budget. The material is available for discussion, and has been in the past. (B) No, all were expressed in the budget. (C) There is no testimony or citation available. BUREAU OF ALCOHOL, TOBACCO AND FIREARMS B. MANAGEMENT INFORMATION SYSTEM Date of Response.-April 16, 1973 Class of File.-All other files (Special Agents and Suspects Investigated) File Medium.-Magnetic Tape and Disk Question 1.-Describe briefly the major categories of data on individuals presently maintained and stored under auspices of the Treasury Department and its agencies and the approximate number of subject individuals covered in each category. Answer. The file contains: An office ID code designating the office to which the Special Agent is assigned. A Special Agent identification number-his social security number. Title of investigation-which is the name of a person, place or inanimate object. This is the subject of the investigation. If a name of a person is not known, then a place can be inserted, mainly to identify the investigation. A transaction code, used to show what is being done to an investigation— initial reporting, reassignment to another agent, changing some information. in some way, deleting information. The social security number of the person who is the title of the investigation, and the date of birth. The hours the Special Agent has devoted to the investigation. The office identification code of the office which originated the investigation,. or for whom the investigation is being performed. An investigation number showing month, year, and identification number of the investigation. The number of suspects within the investigation. The origin of the information that initiated the investigation in coded form. The activity of jurisdiction, in coded form, as to what the investigation applies to. A Bureau program code used for classifying the general category of investigation. A code showing the disposition of the investigation. A code for the judicial district where the investigation is conducted. A code to show the action taken by the Special Agent In Charge. A code to show the action taken by the U.S. Attorney. A code to the result of a prosecution. A code to show the sentence of a trial, if applicable. A code to show the status of a defendant if the investigation has progressed to such a status. A code for use by internal security concerned with any investigation of conduct of any of the employees of Alcohol, Tobacco and Firearms. All the codes and information can be found on [ATF Forms 4795 and 4796] front and reverse sides. [Attachments 14 and 15.] The file contains information on approximately 1700 Special Agents. At the present time the file contains the names of approximately 23,000 titles of investigations, and the other information described above. The file was initiated in January of 1973. Question 2.-Under what statutory and administrative authority was each data bank established and for what purpose? Please supply copies of pertinent federal statutes, regulations and memoranda on which this authority is based and by which it is implemented. Answer. (a) Statutory authority. This system was established under the broad statutory authority of the Bureau of Alcohol, Tobacco and Firearms to prevent the illegal manufacture, importation, distribution and use of alcohol, firearms, explosives and tobacco in the United States. Congress conferred this authority under the Internal Revenue Code, Chapter 51, 52 and 53, National Firearms Act, Explosives Act, Federal Alcohol Administration Act, Gun Control. Act, and Executive Order #221. (b) Administrative authority. This system was administratively authorized in order to increase the efficiency of the Bureau of Alcohol, Tobacco and Firearms operations. Question 3.-Are Treasury Department controls, guidelines, or advice required by or offered to state officials and private individuals who either administer or who utilize this data-gathering program? Please supply copies of pertinent rules or advisory documents as issued by federal and state agencies. Answer.-No. This file is used by authorized Bureau of ATF employees only. Question 4.-For each category and each conglomerate of data, indicate its present state of computerization or other mechanization for access and retrieval as well as for evaluation and analysis. Answer. This data uses a batch retreival system, and query is effected by means of the investigation number, activity, hours, origin, disposition, or any combination of the codes described earlier. Question 5.-Describe plans for futher computerization or mechanization in each program? Answer. The file will be increased as far as quantity of data is concerned, with the same objective of a management report as the goal. Question 6.-In what instances would each system be utilized? By what officials and by what agencies? Answer. Use of the system is restricted to Bureau of ATF personnel for purposes of management analysis and preparation reports. Question 7.-For each new data storage and processing program, please describe: (a) the advantages; and (b) the extent to which it permits correlating, common storage and multi-faceted analysis of data on a scale not hitherto available. Answer. (a) The advantages.-It enables the Bureau to prepare management type reports for statistical and analysis purposes more efficiently by converting from a manual system to a computerized system. An inventory of investigations opened and closed, the time spent, workload ratios will be computed and comparisons and trends made. This will also help in determining the deployment of Bureau personnel. (b) Extent of correlation, common storage, and multi-faceted analysis.-None. Question 8.-What specific subject areas concerning an individual's background, personal life, personality and habits are noted in each data program? Answer. The individual's social security number and date of birth. Question 9. Has the Treasury Department and its component agencies developed comprehensive guidelines governing maintenance of any or all the various data systems, access to them, review and disclosure of material in them, and distribution of data to other agencies? If so, please supply copies. Answer. There are no such guidelines governing this data bank. Question 10.-(A) Is the subject individual or his representative notified of the fact that he is in the data bank? (B) Is he allowed to review the data on record about him; to supplement his file; or to explain or rebut inaccurate material? Please describe the precise limitations on such rights for each restriction. Answer. (A) The Special Agent knows he is in the data bank, the suspect under investigation does not. (B) In the Special Agent's case the figures are a statistical accumulation of his workload, and is used as a management tool. All input on the Special Agent is submitted by the Special Agent himself. Any errors of input can be corrected. In the case of a suspect all information is used for purposes of a statistical report. Neither of the classes of individuals are free to explain or rebut any material as it is used for management purposes only. Question 11.-What aspects of the recorded data are available to other persons? Who, specifically? For what purpose? By what authority? Answer.-None. Strictly for internal Bureau use. Question 12.-Is a record maintained of each inspection or use of the individual's record? Answer. Yes, as a statistic. Question 13.-For each data bank, please indicate how the information is collected, whether it is solicited from the individual, from third persons, or from existing records. Answer.-Information is collected from forms which each agent prepares showing new investigations and status changes. Question 14.-What officials in your agency are responsible for determining the accuracy of information in the data bank? What provisions are made, procedurally, for deleting information found to be inaccurate or inappropriate, either on the initiative of the agency or on motion of the individual? |