be as accurate as appropriate for purposes of the agency which maintained the record. (See subsection (e) (5)). The only exceptions to this requirement are for disclosures to another agency or to the public under the Freedom of Information Act which may not be delayed or impeded. Recognizing that an agency properly disclosing information (pursuant to subsection (b), conditions of disclosure) is often not in a position to evaluate acceptable tolerances of error for the purposes of the recipient of the information, the primary objective of this provision is, nonetheless, to assure that reasonable efforts are made to assure the quality of records disclosed to persons who are not subject to the provisions of subsection (e) (5). The agency must, therefore, make reasonable efforts to assure that a record it discloses is as accurate, relevant, timely, and complete as would be reasonably necessary to essure fairness in any determination that it might make on the basis of that record It may, for example, be appropriate to adVise recipients that the information disclosed was accurate as of a specific date, such as the last date on which a determination was made by the agency on the basis of the record or of other known limits on its accuracy e.g., its source. Records on Religious or Political Activities. Subsection (e) (7) "Maintain no record describing how-any individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity;" Whereas subsection (e) (1) generally enjoins agencies from collecting information not "relevant and necessary to accomplish a purpose of the agency." this provisions establishes an even more rigorous standard governing the maintenance of records regarding the exercise of First Amendment rights. These include, but are not limited to religious and political beliefs, freedom of speech and of the press, and freedom of assembly and petition. In determining whether or not a particular activity constitutes the exercise of a right" guaranteed by the First Amendment", agencies will apply the broadest reasonable interpretation. Records describing the exercise of these rights may be maintained only if one of the following conditions is met: A statute specifically authorizes it. Specific authorization means that statute explicitly provides that an agency may maintain records on activities whose exercise is covered by the First Amendment: not merely that the agency is authorized to establish a system of records. However, the statute need not address itself specifically to the maintenance of records of First Amendment activities if it species that such activities are relevant to a determination concerning the individual. For example, since the Immigration and Nationality Act makes the possibility of religious or political persecution relevant to a stay of deportation, the information on these subjects may be admitted in evidence, and therefore would not be prohibited by this provision. The individual expressly authorizes it; e.g., a member of the armed forces may indicate a religious preference so that, if seriously injured or killed while on duty. the proper clergyman can be called. The individual may also volunteer such information and if he does so, the agency is not precluded from accepting and retaining it. Thus, if an applicant for polltical appointment should list his political affiliation, association memberships, and religious activities, the agency may retain this as part of his application file or include it in an official biography. Similarly, if an individual volunteers information on civic or religious activities in order to enhance his chances of receiving a benefit, such as executive clemency, the agency may consider information thus volunteered. However, nothing in the request for information should in any way suggest that information on an individual's First Amendment activities is required The record is required by the agency for an authorized law enforcement function. In the discussions on the floor of the House regarding the authority to maintain such records for law enforcement purposes, it was stated that the objective of the law enforcement qualification on the general prohibition was "to make certain that political and religious activities are not used as a cover for illegal or subversive activities." However, it was agreed that "no file would be kept of persons who are merely exercising their constitutional rights" and that in accepting this qualification "there was no intention to interfere with First Amendment rights" (Congressional Record, November 20, 1974, H10892 and November 21, 1974, H10952) Notification for Disclosures under Com pulsory Legal Process. Subsection (e) (8) "Make reasonable efforts to serve notice on an individual when any record on such individual is made available to any person under compulsory legal process when such process becomes a matter of public record;" When a record is disclosed under compulsory legal process (e.g.. pursuant to subsection (b) (11)), and the issuance of that order or subpoena is made public by the court or agency which issued it, agencies must make reasonable efforts to notify the individual to whom the record pertains. This may be accomplished by notifying the individual by mail at his or her last known address. The most recent address in the agency's records will suffice for this purpose and no separate address records are required. Upon being served with an order to disclose a record, the agency should endeavor to determine whether the issuance of the order is a matter of public record and, if it is not, seek to be advised when it becomes public. An accounting of the disclosure, pursuant to subsection (c) (1), is also required to be made at the time the agency complies with the order or subpoena. Rules of Conduct for Agency Personnel. Subsection (e) (9) "Establish rules of conduct for persons involved in the design, development, operation, or maintenance of any system of records, or in maintaining any record, and instruct each such person with respect to such rules and the requirements of this section, including any other rules and procedures adopted pursuant to this section and the penalties for noncompliance;" Effective compliance with the provisions of this Act will require informed and active support of a broad cross section of agency personnel. It is important that all personnel who in any way have access to systems of records or who are engaged in the development of procedures or systems for handling records, be informed of the requirements of the Act and be adequately trained in agency procedures developed to implement the Act. Personnel with particular concerns include, but are not limited to, those engaged in personnel management, paperwork management (reports, forms, records, and related functions), computer systems development and operations, communications, statistical data collec tion and analysis, and program evaluation. (The Communications Act of 1934 prescribes standards and penalties for personnel engaged in handling interstate communications and shall also be consulted, where applicable, when agency rules of conduct are being developed). Activities under this provision will include The incorporation of provisions on privacy into agency standards of conduct: The discussion of individual employee responsibilities under the Act in general personnel orientation programs; and The incorporation of training on the specific procedural requirements of the Act into both formal and informal (onthe-job) training programs. Concurrently, those agencies with broad policy development and training responsibilities (e.g., the General Services Administration, the Civil Service Commission) will also be revising their programs as appropriate to augment agency activities in this area. This provision is also important in ensuring that individuals who are potentially criminally liable or whose actions could expose the agency to civil suit (under subsections (i) and (g), respectively) are fully informed of their obligations under the Act. Administrative, Technical and Physical Safeguards. Subsection (e) (10) "Establish appropriate administrative, technical, and physical safeguards to insure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any inCividual on whom information is maintained:" The development of appropriate administrative, technical. and physical safeguards will, necessarily, have to be tailored to the requirements of each system of records and other related requirements for security and confidentiality The need to assure the integrity of and to prevent unauthorized access to, systems of records will be determined not only by the requirements of this Act but also by other factors like the requirement for continuity of agency operations, the need to protect proprietary data ap licable access restrictions to protect the ational security, and the need for acuracy and reliability of agency inforcation. While the technology of system secuity (both for computer-based and other systems of records) is well developed as t relates to materials classified for reson of national defense or foreign policy, dew standards currently exist to guide the "civil" agency in this area. Until such standards are developed and promulgated, agencies will be required to analyze each system as to the risk of improper disclosure of records and the cost and availability of measures to minimize those risks. The Department of Commerce (National Bureau of Standards) will be issuing guidelines and standards to assist agencies in evaluating various technological approaches to providing security safeguards in their system and for assessing risks. Notice for New/Revised Routine Uses. Subsection (e) (11) "At least 30 days prior to publication of information under paragraph (4) (D) of this subsection, publish in the FEDERAL REGISTER notice of any new use or intended use of the information in the system, and provide an opportunity for interested persons to submit written data, views, or arguments to the agency." Agencies are required to publish in the FEDERAL REGISTER a notice of their intention to establish "routine uses" for each of their systems of records. Although this provision is designed to supplant the informal rule-making provisions of 5 U.S.C. 553, the accommodation of the public comments in the judicial review of the rule-making exercise was intended wherever practicable. Agencies should furnish as complete an explanation of the routine uses and any changes made or not made as a result of the public comment as possible so that the public will be fully informed of the proposed use. This is to give the public an opportunity to comment on the appropriateness of those uses before they come into effect. This notice should be published sufficiently in advance of the proposed effective date of the use to permit time for the public to comment and for the agency to review those comments, but in no case may a new "routine use" be used as the basis for a disclosure less than 30 days after the publication of the "routine use" notice in the FEDERAL REGISTER. A revised public notice (subsection (e) (4)) must be published before a "routine use" is put into effect; ie., before a record is disclosed for such a use. It is clearly permissible to publish the entire system notice (prescribed by subsection (e) (4)) as the notice of "routine use" provided that such "routine uses" are not put into effect until the required 30 day notice period. If an entire system notice is not published, the notice of "routine use" issued pursuant to subsection (e) (11) must, as a minimum. contain The name of the system of records for which the "routine use" is to be established: Where feasible, the authority for the system (see discussion of subsection (e) (1), and the required notice to the individual in subsection (e) (3) (A)), above); The categories of records maintained: For new "routine uses" of systems for which a public notice under subsection (e) (4) has already been published, reference should be made to that public notice. A notice in the FEDERAL REGISTER inviting public comment on a proposed new "routine use" is required. For all existing systems of records not later than August 28, 1975. (Since 30 days advance notice of "routine use" is required, an agency that fails to publish necessary notices for existing systems on or prior to August 28 may find that it is precluded from making necessary interagency transfers until it has complied with this provision); For an existing system of records. whenever a new "routine use" is proposed. A new "routine use" is one which involves disclosure of records for a new purpose compatible with the purpose for which the record is maintained or to a new recipient or category of recipients (even if other uses are concurrently curtailed); and For any new systems of recorde for which "routine uses" are contemplated. SECTION (1) AGENCY RULES Subsection (f) "In order to carry out the provisions of this section, each agency that maintains a system of records shall promulgate rules, in accordance with the requirements (including general notice) of section 553 of this title, which shall—” Agencies must promulgate rules to implement the provisions of the Act in accordance with the requirements of sertion 553 of title 5 of the United States Code Including publication of the rules in the FEDERAL REGISTER So that inter sendused an annua compilation 2bished 19 DEA, A vecarnate set of is seed act be published facem of records that in mo na as The senelopment of a male set of a37 nes sex304-356 the appo-priate Anca re required to publish proposed Tues vides Lis Tibsec icz allowng at least 30 days for pubic comment prior to publishing tem as final miles Por systems which = be to use on September 27, 1973, agencies will have to publish rues not later than August 28, 1375, NO further republication of agency rules is reg wred other then thetr inclusion in the annual complation published by the office of the Federal Register) unless a change is proposed The language of subsection (f) explicity requires "general notice:" Le.. section 553(b) of title 5 which permits agencies not to publish a general notice 11 persons subject thereto are named and either personally served or otherwise have sctual notice ***." shall not apply The formation necessary to idensfy the nerd. Where the gsen enploys a rectalized denticamon scheme. the dual should not be required so provide such a number or symooi as an absolute rrement though the intuma might be requested to supply it he or she can reasonaciy be expected 20 Cow fastead alterative commonssons of person cancerstics may be used to deny od nicuals who may have lost forgotten, or are aware of the dentication numbers or symbols. For example, the combination of name. fate of birth place of birth, and father's fst name may be scient to identify an individual without the use of a system identication number As was suggested above. the development of new retneval and indexing capabilities is not encouraged, rather agencies s' ould expicit existing capabilities to serve individual needs. Restrictions on the use of the Social Security Number as an identifer established by Section 7 of this Act should also be noted where applicable. Any requirements for verification of faentity. These may only be imposed when the fact of the existence of a record would not be required to be disclosed under the Freedom of Information Act (5 US.C. 552). FEDERAL I for verifications he ranting Access to Recaria. cumbersome are a The risk of attesten et a at individual who seletas weighed agains the prudle cluding embarrassment de adual to whom the recurt peraNE FICH would result from inaintaret wors and his partest of us record mormation anna tm. ncluding special prose. I teemed necessary for the ndividua neca, reewneuding sychological records. per duas may be acted access to teroris ether in person or by hav ng mcles maled a them. The nature of he stem and of the inciduals on whom records are made will determine which method is appropriate. If an agency determines that it can grant ac The standards for verdicon if de-a records by providing a copy tity which & a t if he record through the mail because it whom record is mananes sous le provide reasonable" means for pected to meet narcas to have access to their rec person it may not charge a fee for macing the copy. When agencies spendy that advidiasis may or present themes person to verify thar detay hours and The issue of access to medical records locations specified stout take me so was the subject of extensive discussion count the nnds of navdals about during the development of the Act An whom records are mananed. For exwhen the Act provides that individ. ample, it may be appropmate to BK & mals have an unqualified right of access current employee who seeks socess to has to records pertaining to them (with cer record to present himself to the agency tan exceptions specified in subser ti personnel office during normal working) and (k), below) but that the process hours. No requirements may be estab- by which individuals are granted lished which would have the effect of im to medical records may, at the diere peding an individual in exercising his ortion of the agency, be modified be her right to access. vent harm to the individual its bu section (d) (1).) Agencies which maintain systems of records on widely dispersed groups of individuals and which have feid omces equipped to do so, are encouraged to use those offices as sites at which an individual can present a request for access even though his or her records may not be maintained at any one of those field offices. The information necessary to identify individuals should be kept to the absolute minimum and neither this pro As a minimum, rules issued ywaver to this subsection shall be co the requirements of subsection 147/17 and should include |