(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. Not by this Bureau. (10-A) Is the subject individual or his representative notified of the fact that he is in the data bank? Not by this Bureau. (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. There are no limits on his right to pursue his claim in any way he sees fit. (11) What aspects of the recorded data are available to other persons? Who, specifically? For what purpose? By what authority? None, except to the extent required by the Administrative Procedures Act and law enforcement authorities. (12) Is a record maintained of each inspection or use of the individual's record? No. (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. It is all initiated by the individual making his claim. It is then supplemented by existing records. (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 bureau head, staff and the head of the Check Claims Division are responsible. The second part of the question is not applicable. The information on the individual is automatically removed when his claim is settled. (15) What other agencies have access to information or use of information in each data bank? Secret Service for use in investigating forgery. Ordinarily no other agency would be interested in it, but if, for example, the agency which issued the check would want information, it would be available to it. (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? Usual office security. Material is not classified. (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? With Appropriations Committees only. (19-A) Have any data programs or the development of other comprehensive records systems been discussed before other congressional committees by Treasury Department representatives? Not by this Bureau. (B) Have any been specifically approved by Congress or congressional committees? Not by this Bureau. (C) If so, would you please supply any available testimony, or citations to such hearings. Not applicable. Attachments There were no attachments submitted with the Office of the Treas urer response. PART X-UNITED STATES SECRET SERVICE The Secret Service submitted responses regarding two sets of data banks: passholder files and intelligence files. These are presented and analyzed separately in the two subparts below. Subpart 1-United States Secret Service, Passholder Files The Secret Service reported two passholder files. Information concerning the extent to which data is gathered from outside agencies was disappointingly general. With this exception, answers were reasonably direct and responsive to the questionnaire. However, some explanation of the nature of "the system" with which the Passholder files is interfaced would have been helpful. III. Comments A. Statutory Authority 3 U.S.C. 2020 establishes the "Executive Protective Service" to protect Presidential offices. Authority for the use of a system of passes can be implied from this statute. B. Subject Notification and Review Individuals are aware that records are being maintained but are not allowed to review or revise information. A regular schedule for deletions of individuals from the files has been established; the response does not address the matter of revision of information. C. Access by Other Agencies Data is supplied to the White House Staff Security Representative and to security officials of the agencies housed in the Executive Office Buildings. The Passholder file is interfaced with other data in "the system" relating to name check procedures. No elaboration as to the extent of "the system" was supplied in the response. D. Public Access No access is supplied beyond that noted in C above. E. Security Precautions The response states that Treasury Administrative Circular No. 73 (June 27, 1962) provides data system guidelines. Scrutiny of that publication reveals, however, no specific guidelines regarding security, access, or disclosure of information. Tape files and printouts are maintained in an area of limited access; top secret clearances are required of those to whom files are accessible; terminals are secured; terminal operators must pass a programmed identification test before access to files is permitted. F. Sources of Information The individual (or his firm) supplies background information on application for a pass. Additional data is supplied through checks with enforcement agencies, present and former employers. IV. Evaluation It is curious that individuals are prohibited from accessing their own files. Other aspects of the data banks supporting the pass system seem reasonable. Agency Response The following Secret Service responses to the Subcommittee's October 15, 1971, request for replies to the Standard Questionnaire (see inside back cover), were prepared April 12, 1973. They were received May 8, 1973. U.S. SECRET SERVICE-LAW ENFORCEMENT PASSHOLDER FILE Date Response Prepared.-April 12, 1973 File Control No.-SS-02 File Medium.-Magnetic Tape File National Security Classification.-None-data considered sensitive (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. Personnel record data on individuals possessing or who have possessed (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. Secret Service authority derived from 18 U.S.C. 3056 (Attachment 1), 3 U.S.C. 202 (Attachment 2). The Secret Service automated this file, which was formerly maintained manually, in an administrative decision to improve our clearance procedure to secured areas. (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. Not applicable. (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. Data indicated in answer to question 8 are currently mechanized in a computer produced magnetic tape file. Weekly listings are printed for internal use. Retrieval of any element (s) may be produced for internal use by special request. Names are located on a magnetic disk file for direct rapid searching. (5) Describe plans for further computerization or mechanization in each program. None at present. (6) In what instances would each system be utilized? By what officials and by what agencies? For checking validity of White House Passes by Technical Security Division and the Executive Protective Service officers of the Secret Service. For routine name checks by the Office of Protective Intelligence, Secret Service. (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. (a) Rapid retrieval. (b) These computerized programs allow us to interface this file with other data in the system relating to our name check procedures of people coming to our attention and cleared for access to secured areas. (8) What specific subject areas concerning an individual's background, personal life, personality and habits are noted in each data program? Name, physical description, date and place of birth, pass type and issue date, current home address, name of employer, and address of place of employment. (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. Treasury Department Administrative Circular No. 73 (June 27, 1962) furnishes guidelines to Treasury agencies re data systems. (10-A) Is the subject individual or his representative notified of the fact that he is in the data bank? The individual is aware that a record is maintained of the information he is requested to provide as a prerequisite of his being granted access to the White House or the Executive Office Building. (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. No. (11) What aspects of the recorded data are available to other persons? Who, specifically? For what purpose? By what authority? None of the automated data is available in any form to any other persons, except the White House Staff Security Representative and security officials of the agencies housed in the Executive Office Building can inquire of the Secret Service as to existence of a pass on a need to know basis, or the extent of the information we have on a prospective passholder. The purpose of the inquiry would be to determine suitability for access to the secure environment in this complex. Title 18, Sec. 3056-3 USC 202 (12) Is a record maintained of each inspection or use of the individual's record? No. (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. The individual files a request for a pass to the appropriate agency and supplies personal background information. Checks are made with enforcement agencies, present and former employers. (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? Assistant Director of Protective Intelligence and Special Agent in Charge of Technical Security Division, United States Secret Service. No automatic retirement actions for deactivation or purging. Purging is exercised through external manual control, with programmed assist to indicate review groups to be purged. General rule for purging inactive (former) passholders is no application for reinstatement within two years after being made inactive. Press passholders have built-in expiration date of two years from issuance to nearest birth date. Computer programmed to list expirations coming due following month. No automatic computer inactivation or purging. (15) What other agencies have access to information or use of information in each data bank? None. (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? (a) The magnetic tape files and computer generated listings are kept in secured areas that are available only after passing a guard station where unauthorized access is prohibited. All personnel authorized for access to the system or any products of the system have Top Secret security clearance. All terminals with access to the system are located in a secure area. Terminals and terminal operators must pass a programmed identification test before access to the file is permitted. (b) Administrative and judicial sanctions. (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? Discussions are had with House and Senate Appropriations Committees at appropriation hearings. (19-A) Have any data programs or the development of other comprehensive records systems been discussed before other congressional committees by Treasury Department representatives? See No. 18. (B) Have any been specifically approved by Congress or congressional committees? The acquisition of the hardware and the concept of an automated intelligence system have been thoroughly discussed by congressional committees. The instant file is a spin-off of the acquired hardware. (C) If so, would you please supply any available testimony, or citations to such hearings? Hearings Subcommittee on Treasury, Post Office and General Appropriations-House of Representatives 1966-Pages 3, 4, 42, 70, 71, 400, 404, 405, 406, 408, 411, 414, 420, 421, 422, 423, 424, 425, 426, 427. 1967-19, 53, 377, 378, 384, 385, 395, 396, 397, 406, 407. 1968-11, 100, 107, 116, 117, 133, 134. 1969 Pages 22, 731, 732, 739, 740, 749, 751, 752. 1970-450, 464, 465, 479, 480, 487, 488, 494, 495. 1971-894, 895, 896, 897, 899, 927, 930, 931. 1972-239, 244, 245. Hearings Subcommittee on Treasury, Post Office and General Appropri ations-Senate 1967-Page 236. 1968-270, 271, 276, 277, 278, 283, 289, 290, 291. 1969-533. 1970-691, 692. 1971-303. |