Procedures established for the savings bond program make available a selfpolicing action to insure the correctness of data in addition to corrections initiated by the Committee or by individuals in their own right or as legal representatives. (15) What other agencies have access to information or use of information in each data bank?

Response.-The Federal Bureau of Investigation, the U.S. Secret Service, and the Internal Revenue Service have limited access to information maintained in the Parkersburg Office data bank based on established practices and Bureau policies.

(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? Response.-Magnetic tape containing savings bond data is furnished to the Secret Service solely in theft cases for use in the NCIC file. Magnetic tape containing data for tax purposes is furnished to the Internal Revenue Service.

In addition, the Parkersburg Office prepares photographic prints of the film images of retired bonds for the Chicago Departmental Office. The Chicago Office furnishes these prints to the Federal Bureau of Investigation, Secret Service or Internal Revenue Service.

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

Response.-The Parkersburg Office, being a service organization for the Chicago Departmental Office, does not furnish information directly to the individuals or their representatives. The release of such information is under the jurisdiction of the Chicago Departmental Office in accordance with prescribed policies and guidelines.

(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?

Response.-This information is not available in the Parkersburg Office.

(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.

Response. This information is not available in the Parkersburg Office.

BUREAU OF THE PUBLIC DEBT-CHICAGO OFFICE

C. U.S. SAVINGS BONDS RECORDS

Date Response Prepared.-November 19, 1971

Class of Files.-Other Files

File Control No.-06

File Medium.-Microfilm and Magnetic Tape 1

National 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.

United States Savings Bonds are registered securities. This office maintains registration and retirement records of savings bonds and the data includes the bond serial number, denomination, issue date, name(s) and address inscribed on the bond at time of purchase, and the amount of interest paid. The file involves approximately 3.3 billion bond records. No record of the number of individual bondowners is available.

(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.

1 Records of series A, B, C, D, E, F, G, H, J and K U.S. Savings Bonds are maintained on microfilm. Records of series H and K bonds are also maintained on magnetic tape.

The Second Liberty Bond Act, as amended, authorized the issuance of bonds of the United States to be known as "United States Savings Bonds". (31 U.S.C. 757c). The data bank was established to provide a record of each bondowner's purchases. This file is utilized in the processing of claims for lost, stolen, mutilated or destroyed bonds and for the payment of semiannual interest on current income bonds.

Title 5 U.S.C. 301 authorizes the head of the executive department to prescribe regulations pertaining to custody, use and preservation of its records.

(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.

State officials and private individuals are not involved in this data-gathering program.

(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.

Prior to October 1957 bond registration records were accumulated for six calendar months and microfilmed in alphabetic sequence. Access to these records is a manual operation which involves the use of a microfilm reader. Since conversion to electronic data processing equipment registration records are microfilmed in batch and date sequence within each Federal Reserve district. In the Chicago Office, a magnetic tape file in taxpayer identifying number sequence provides the batch and data information required to locate specific microfilm records on a microfilm reader.

(5) Describe plans for further computerization or mechanization in each program.

None.

(6) In what instances would each system be utilized? By what officials and by what agencies?

Does not apply.

(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.

Does not apply.

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

None.

(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.

Disclosure of information in the data bank and distribution of data to other agencies is made pursuant to the provisions of 31 CFR Part 323. (10-A) Is the subject individual or his representative notified of the fact that he is in the data bank?

No specific notification is made to the individual or his representative that he is in the data bank, however, from the inception of the Savings Bond Program the maintenance of records of United States Savings Bonds by the Bureau of the Public Debt for the purpose of replacing lost, stolen or destroyed bonds has been widely advertised.

(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.

The data on file pertaining to bond holdings is furnished to authorized persons and agencies. No limitation is imposed on their right to question the accuracy of Bureau records.

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

Records pertaining to the purchase, ownership of, and transactions of United States Savings Bonds is ordinarily disclosed to owners, their executors, administrators or other legal representatives or to their survivors or to investigative and certain other agencies of the Federal and State governments, to trustees in bankruptcy, receivers of insolvent estates or where proper order has been entered requesting disclosure of information to Federal and State courts. Bond information is disclosed for the purpose of establishing ownership or entitlement.

Disclosure of records is made pursuant to 31 CFR Part 323.

(12) Is a record maintained of each inspection or use of the individual's record?

No specific record is maintained of each inspection or use of the individual's record. However, case files are developed as a result of inquiries which are retained for various predetermined periods of time.

(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.

United States Savings Bonds are registered securities. When a bond is issued a stub record containing all information on the bond is forwarded to the Bureau of the Public Debt through the Federal Reserve Bank system. When bonds are retired the securities are forwarded in the same manner. (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?

The operating personnel and organization segment managers are responsible for determining the accuracy of information in the data base with final responsibility resting with the Commissioner of the Public Debt. An inquiry from a bond owner may reveal a name, address, or issue date discrepancy in the Bureau records which would be corrected after verification.

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

No other agencies have direct access. However, information is disclosed pursuant to 31 CFR Part 323 to Federal and State Courts and Federal and State investigative agencies. The Chicago Disbursing Center, Division of Disbursement, Bureau of Accounts, prints checks in payment of semiannual interest on Series H savings bonds and also furnishes the Internal Revenue Service a magnetic tape containing name and address information, a four letter name code, a taxpayer identifying number, and the total interest paid to each bondowner during the calendar year. Magnetic tapes containing name and address and interest payment data for Series H bondowners are forwarded by the Chicago Office of the Bureau of the Public Debt to the Chicago Disbursing Center each month.

(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?

The Internal Revenue Service uses the four letter name code and the taxpayer identifying number contained in the magnetic tape of interest paid to Series H bondowners during the calendar year to relate to their records. (17) What security devices and procedures are utilized to prevent: (a) unauthorized access to the data file; and (b) improper use of the information?

Access to the data file is restricted to those personnel who require information concerning bondholdings or interest payment information in order to properly reply to inquiries or correspondence from bondowners. Procedures governing the disclosure of information have been established as outlined in reply to question 11.

(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?

None.

(19-A) Have any data program or the development of other comprehensive records systems been discussed before other congressional committees by Treasury Department representatives?

Does not apply.

(B) Have any been specifically approved by Congress or congressional committees?

Does not apply.

Attachments

The following attachment accompanied the Bureau of Public Debt

response.

ATTACHMENT 1

Sec. 323.1

323.2 323.3

CODE OF FEDERAL REGULATIONS. TITLE 31

CHAPTER II-FISCAL SERV., DEPT. OF THE TREAS.

PART 323-DISCLOSURE OF RECORDS

Purpose of regulations.

Rules governing availability of information.
Materials available for inspection and copying.

323.4 Requests for identifiable records.

AUTHORITY: The provisions of this Part 323 are issued under 80 Stat. 379; sec. 3, 60 Stat. 238, as amended; 5 U.S.C. 301, 552.

SOURCE: The provisions of this Part 323 appear at 32 F.R.. 9967. Julv 7, 1967, unless otherwise noted.

§ 323.1 Purpose of regulations.

The regulations of this part are issued to implement 5 U.S.C. 552 (a) (2) and (3). The requirements of 5 U.S.C. 552(a)(1) are met through the publication in the FEDERAL REGISTER of the statement of the organization, functions and procedures available of the Fiscal Service, including the Bureau of the Public Debt, and revisions thereof, and through the publication therein of substantive and procedural regulations of the Bureau. A synopsis of the statements of Bureau organization, functions and procedures available will be published annually by the Office of the Federal Register in the U.S. Government Organization Manual. § 323.2 Rules governing availability of information.

(a) General. The records of the Bureau of the Public Debt required by 5 U.S.C. 552 to be made available to the public shall be made available in accordance with the regulations on the Disclosure of Records of the Office of the Secretary issued under 5 U.S.C. 552 and published as Part I of Title 31 of the Code of Federal Regulations, 32 F.R. 9562, July 1, 1967, except as specifically provided in this Part.

(b) Limitations on the availability of records relating to securities. Records relating to the purchase, ownership of, and transactions in Treasury securities or other securities handled by the Bureau of the Public Debt for government agencies or wholly or partially Government-owned corporations will ordinarily be disclosed only to the owners of such securities, their executors, administrators or other legal representatives or to their survivors or to investigative and certain other agencies of the Federal and State governments, to trustees in bankruptcy, receivers of insolvents' estates or where proper order has been entered requesting disclosure of information to Federal and State courts. These records are held confidential because they relate to private financial affairs of the owners.

§ 323.3 Materials available for inspection and copying.

(a) Availability. The materials which are required under 5 U.S.C. 552(a)(2) to be made available for inspection and copying are:

(1) Final opinions or orders made in the adjudication of cases. Any issued by the Bureau of the Public Debt would be in the form of letters or memorandums setting out determinations made in disposing of any matter before the Bureau. (2) Statements of policy and interpretations which have been adopted by the Bureau but not published in the FEDERAL REGISTER.

(3) Administrative staff manuals and instructions to the staff that affect any member of the public. Some Federal Reserve Bank memorandums and Public Debt memorandums will be made available under this provision.

(b) Location. The materials listed in paragraph (a) of this section are available for inspection and copy during office hours in the Public Reading Room of the Treasury Department, 15th Street and Pennsylvania Avenue NW., Washington, D.C. 20220.

§ 323.4 Requests for identifiable records.

(a) Procedure. (1) A written request for an identifiable record relating to a U.S. savings bond or note shall be addressed to the Deputy Commissioner, Bureau of the Public Debt, Chicago, Ill. 60605.

(2) A request for an identifiable record relating to any Treasury Department security, other than a savings bond or note, or a security of a Government agency or a wholly or partially Government-owned corporation, the record of which is maintained by the Bureau of the Public Debt, shall be addressed to the Chief, Division of Loans and Currency, Bureau of the Public Debt, Washington, D.C. 20226.

(3) A request for an identifiable record relating to any security of a Government agency or wholly or partially Government-owned corporation, the record for which is maintained by the Federal Reserve Bank of New York, shall be addressed to the Federal Reserve Bank of New York, New York, N. Y. 10045.

(4) A written request for any identifiable record that the Bureau of the Public Debt has other than those set out in subparagraphs (1), (2), and (3) of this paragraph shall be addressed to the Commissioner of the Public Debt, Washington, D.C. 20220.

(5) A request may be presented in person at the office to which a written request would be addressed.

(b) Determination of availability. Determination as to whether or not a requested record shall be disclosed will be made by the Officer to whom the request should be directed under paragraph (a) of this section, and by the Bureau of Public Debt Information Officer for requests directed to the Office of the Commissioner, subject to an appeal to the Commissioner of the Public Debt. The decision of the Commissioner shall constitute final agency action unless he refers the appeal to the Fiscal Assistant Secretary, in which case the decision of the Fiscal Assistant Secretary shall constitute final agency action.

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