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Subcommittee Analysis

The Bureau of the Mint reported one computerized data bank. I. Index


Description: (1) Purpose; (2) Contents


A. Numismatic service customer file (com- (1) Provides a record of numismatic service trans- 2,000,000. puterized).


(2) Identification data, order information.

II. Nature of Material Submitted

The answers provided by the Bureau of the Mint were candid and reasonably complete. However, there was no clear statement of the extent, if any, of public access to Numismatic files.

III. Comments

A. Statutory Authority

A federal statute, 31 U.S.C. 369, regulates the manufacture and sale of medals and proof coins. Since individual record keeping for such an operation is obviously required, derivative statutory authorization justifies this file.

B. Subject Notification and Review

Individuals are notified of inclusion in the files and are invited to update information.

C. Access by Other Agencies

The GSA, IRS, and Bureau of Accounts provide computer service, filing, and printing service to the Bureau of the Mint and therefore have access to information.

D. Public Access

There is no clear indication as to whether outside individuals are allowed access to files.

E. Security Precautions

Files are located ". . . in a controlled access building and are under constant surveillance when in use by responsible officials.” No more specific guidelines were provided in the response.

F. Source of Information

Subject individuals provide file data.

IV. Evaluation

The material retained in the Numismatic files is not of a sensitive nature. Access to files is limited and the security provided appears to be appropriate.


Agency Response

The Bureau of the Mint prepared the following response to the subcommittee's October 15, 1971, request for replies to the standard questionnaire (see inside back cover), on November 15, 1971. It was received May 8, 1973.



Date Response Prepared.-November 15, 1971
Class of File.-All Other Files

File Control No.-BM 02

File Medium.-Microfilm, Punched Cards and Magnetic Tape

National Security Classification.—None

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. Microfilm recordings are made of the original order for numismatic product and the instrument of payment, as submitted by individual customer. The order includes the name, street address, city, state, zip code, type of product ordered, number of products, dollar amount, and type of instrument of payment. The instrument of payment is either check or money order. Total number of records is approximately two million. Microfilm is retained for 21⁄2 years.

The orders are then recorded in punched cards for processing to magnetic tape. This magnetic tape is then updated to show date instrument was deposited in a Federal Reserve Bank, date product was shipped, and postal registry number. If customer does not reorder within 21⁄2 years, his name is removed from these files. The file presently contains approximately two million records.

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. 31 U.S.C. 369, as amended September 5, 1962, 76 Stat. 440. This Data Bank is a record of transactions in the Numismatic Service of the U.S. Mint. 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. State officials or private individuals neither administer nor utilize this data-gathering program.

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. The records are microfilmed for use in answering correspondence and used as input media to computerized information storage and retrieval. This is a further step in responding to mail order transactions when mailing labels are produced. Data are only analyzed to derive volume statistics, on a product basis for production planning purposes. Names are not analyzed except to eliminate duplicates from the file.

Question 5. Describe plans for further computerization or mechanization in each


Answer. None at present.

Question 6. In what instances would each system be utilized? By what officials and by what agencies?

Answer. The system will be used to respond to a customer's order or to individual inquiries pertaining to his own order status. Only officials of the Bureau of the Mint would have access to these files and then only in performance of their official functions.

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 are that orders can be processed on a "first come, first served" basis and a record of the status of processing and shipping data is available to answer inquiries from an individual pertaining to his order. The volume of orders could not be processed without the aid of computerization.

(b) No attempt is made to correlate any data except to extract volume totals for use in projecting production requirements, and to balance totals of monies received to monies deposited.

Question 8. What specific subject areas concerning an individual's background, personal life, personality and habits are noted in each data program?

Answer. None.

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. These data are not distributed to any other agency without specific authority. To date, such authority does not exist.

Question 10-A. Ís the subject individual or his representative notified of the fact that he is in the data bank?

Answer. Yes, each individual is sent an acknowledgment of receipt of his order. This acknowledgment includes all the information that is recorded about that individual.

Question 10-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. After reviewing his acknowledgment, he is invited to furnish correction data. He is encouraged to submit an up-to-date address until he receives his ordered item.

Question 11. What aspects of the recorded data are available to other persons? Who, specifically? For what purpose? By what authority?

Answer. Internal Revenue Service Centers, Philadelphia, Pa., Ogden, Utah, and Kansas City, Mo., provide data transcription service to the Bureau of the Mint. Bureau of Accounts, Austin, Texas, and GSA, San Francisco, California, maintain the files and print shipping labels. Bureau of Accounts, Chicago, Illinois, provides printing service from these files. These organizations provide data processing service to the Bureau of the Mint in accordance with an inter/intra agency agreement.

Question 12. Is a record maintained of each inspection or use of the individual's record?

Answer. No.

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. The information is solicited from the individual.

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?

Answer. The Officer in Charge, United States Assay Office, San Francisco, is responsible for the accuracy of the data. Inaccuracies are corrected both on the initiative of the agency and on the motion of the individual.

Question 15. What other agencies have access to information or use of information in each data bank?

Answer. IRS, Bureau of Accounts and GSA as in 11 above.

Question 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? Answer. None.

Question 17. What security devices and procedures are utilized to prevent: (a) unauthorized access to the data file; and (b) improper use of the information?

Answer. Microfilm and punched card files are maintained in controlled access building and are under constant surveillance when in use by responsible officials. Question 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? Answer. The Bureau of the Mint has no such arrangement.

Question 19-a. Have any data programs or the development of other comprehensive records systems been discussed before other congressional committees by Treasury Department representatives?

Answer. The fact that the U.S. Mint uses computer service of other government agencies in order processing was included in remarks of the Director before the Senate Appropriations Committee, HR 9271, 92nd Congress, First Session, Fiscal Year 1972, pages 210 and 212. See also the remarks of the Director of the U.S. Mint before the Subcommittee of the Committee on Appropriations, House of Representatives, Ninety-Second Congress, First Session, Part 1, page 346. Question 19-b. Have any been specifically approved by Congress or congressional committees?

Answer. The budget was approved including the cost of computer operations. Question 19-c. If so, would you please supply any available testimony, or citation s to such hearings?

Answer. See reference cited in 19a. above.


Subcommittee Analysis

The Bureau of the Public Debt reported three data banks. I. Index

[blocks in formation]

A. Registered securities ownership files (1) Serves as a record of security ownership. (computerized microfilm files).

Facilitates issue of interest payments and
services of inquiries.


215,000 records,
[200,000 active;
15,000,000 his-
torical records.]

(2) Identification data, address, number of se- (Response does not curities owned.

B. Savings bond microfilm file (computer- (1) Authenticates entitlement, furnishes informaized).

tion for adjudication of claims for relief of
lost, stolen, mutilated, or destroyed bonds
of particular categories.

(2) Microfilm image of bonds sold and redeemed.
Includes identification data.

C. U.S. savings bonds records (computer- (1) ized microfilm files).

indicate whether a "record" refers to an individual or to a security.) Number of individ

File is used in processing of claims for bonds NG.
and for interest payments on current income

(2) Identification data, amounts of interest paid.

uals on record is not indicated.

Note: The responses are not absolutely clear as to the factors that distinguish the 3 banks from one another. The registered securities ownership file seems to pertain to registered securities other than savings bonds. The savings bond microfilm file contains various bonds other than U.S. savings bonds. The U.S. savings bonds records, as the name suggests, pertain solely to U.S. savings bonds.

II. Nature of Material Submitted

Some of the Bureau of the Public Debt's answers did not respond to questions asked. Also, some pertinent questions were deemed by the respondents to be "not applicable." Sufficient information was provided, though, to give a fairly adequate picture of the data banks being maintained.

III. Comments

A. Statutory Authority

31 U.S.C. 752C authorizes the issue of various instruments by the Secretary of the Treasury, including bonds and other securities. The maintenance of records as to sale, ownership, and redemption is clearly derived from this statute.

B. Subject Notification and Review

Individuals are not specifically notified of their inclusion in the files; however, individuals purchasing securities are probably aware that the securities are registered and that the maintenance of ownership records is required. No restrictions on the right of an individual to review or revise his file is indicated in the response.

C. Access by Other Agencies

Information from files is provided to the IRS, investigative and law enforcement agencies, including the FBI and Secret Service, and '... to certain Federal and State government agencies who can show that they are entitled to receive the information."


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