FEDERAL DATA BANKS AND CONSTITUTIONAL RIGHTS A STUDY OF THE DATA SYSTEMS ON INDIVIDUALS MAINTAINED BY AGENCIES OF THE UNITED STATES GOVERNMENT NINETY-THIRD CONGRESS

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP77M00144R000300100053-3
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 13
• Document Creation Date: December 12, 2016
• Document Release Date: January 25, 2002
• Sequence Number: 53
• Publication Date: January 1, 1974
• Content Type: STUDY

Approved For Release 2002/01/31 CIA=R?P77M00 4R0003001`00 53-3
FEDERAL DATA BANKS AND
CONSTITUTIONAL RIGHTS
A STUDY OF DATA SYSTEMS ON INDIVIDUALS MAINTAINED
BY AGENCIES OF THE UNITED STATES GOVERNMENT
NINETY-THIRD CONGRESS: ;
SECOND SESSION .
PREPARED BY THE STAFF OF THE
SUBCOMMITTEE ON CONSTITUTIONAL RIGHTS
OF THE
COMMITTEE ON THE JUDICIARY
UNITED STATES SENATE
AS PART III. OF
THE SUBCOMMITTEE'S STUDY OF
FEDERAL DATA BANKS, COMPUTERS,. AND
THE BILL OF RIGHTS
Volume 5
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1974
For sale by the Superintendent of Doctunents, U.S. Government Printing Office
Washington, D.C. 20102 - Price $4.00
7 M 00144R000300100053-3
 FEDERAL 'COMMUNICATIONS -COMMISSION
SuiScarnarftlee Analysis
The Federal`. Communications Comx;zsion response states that it
maintains twelve data banks which contain personal information..
1. Index
Titlem Description. (1) Purpose;,(2) Contents _~- Subjects
A. Personnel- inventei master -Mask' (1) To Increase "the of iclecy of the Comnas- 1 !50 "current eme
puterizsd) sloe's persons management and to makes playsea of the-
basic personnel informatloe mono readiiip FCC.,"
ila*~ " _ s.:: car
ava
with theFCC,payplan andoccupatiomco* -y r
current grade level and assignmant withirs
the Commission, bask educationat bade-
ground, previous work experlenee, awards?,
and training, .
B. Payroll master record (computerized)_e___ (1) To maintain "accurate, up-trrdeta readily Approximately 1,600 ,
available information: on individual and
toss payroll accounts of the CommissiW,
(2) ??Basic payroll information ...: '
C. Political broadcasting by candidates, (1) "To facilitate the Commission's regulatory All Presidential, con-
(computerized). authority over political broadcasting as sat gressional, guber-
_:___"___ out in sec. 315 of the Communications Act - notarial, and Ilea- -
:r,,,
and in the Federal El lair Campaigns Act tenant guber-
of 1971." netoriat raca%
(2) "Amount spent ? by each candidate at each. Including pri-
station for broadcast time as well as the maries.
amount of time that was made available
without chat
D. Broadcast Individual ownership master (1) ",To determine if licenses are operating In All persons having
file (computerized). compliance with provisions of the act, ownership interests
Commission regulation(s), and Commis- in television and
aeon policies with regard to broadcast radio broadcast.
-station ownership." stations.
(2) "Information Is limited to interests In broad
cast stations and includes such Information: as extent of stockholdings, type of stock,
car or stated value, whether of scar, direct
toI, or trustee, and relationship among
stockholders."
E Broadcast financial data (computerized)... (1) "Established In furtherance of the Commis. NG.
sion's statutory responsibility under aec.
308(b) of the Communications Act to con-
Sider financial qualifications in modifying
and renewing licsnsw and under its more
general obligation under sec. 307(d) to
renew a license only upon & finding that thr-
pubtic interest will be served thereby."
(2) "Financial information on networks and
broadcast stations."
F. Broadcast station list (computerized) ...... (1) To facilitate recardkeeping and to provide 26,500 applicants,
rapid access to basic data an broadcast for new licenses
licenses. and renewal of
(2) Information supplied by a plicants for new licenses.
licenses and renewal of licenses for radio
andtetevision(apecificcontentsofdatabank were not indicated in agency's response).
G. Aviation radio service list (computerized). (1) To review application----------------------- 155,520.
(2) Not clear; at least name and number of aircraft.
H. Restricted and commercial operator (1) Application for radio operator license,---.--.- NG_
permits (computerized). ((2) Name, serial number, and date of grant
1. Amateur radio service (computerized)---, 1 Application-------------------------------- 274,585..
O Identification of applicant, and vessel data.
(2905) .
 We Description: (1) Purpose; (2) Contents Subjects
J. Marine radio service (computerized)...... 1) Applications .............................. 891,638.
(2) Identification of applicant and partners and
station information.
K. Citizens radio service list (computerized).. (1) For efficient recordkeeping; to update records 891,638.
as licensees are added and removed; to pro-
vide mailing lists for Commission notices,
and orders; and for statistical and planning
purposes.
flame, address, and assigned call numbers.
L FCC checklist (computerized). ... (1) To assist "the Commission in carrying out its 12,000.
was generally comprehensive with the exception of information con-
The FCC's initial response to the subcommittee's. in uiry was
incomplete and further information was requested. A second response
Ii. Nature of Material Submitted
cerning security. precautions which was omitted entirely. .
The information on statutory authority is presented below in
A. Statutom Authority . ` . .
A. Personnel inventory master file .......... Derivative...... Information which has been extracted from the official
. ........I #.#A.,. whi.6 - .....1.MIn.A by !h. 11 C
qualifications of applicants for licenses and
grant only those which serve the public.
i (2) flame, address data of birth, and a code indl-
cating why their name appears on the list
8. Payroll master record ------------------------ do--------- . Although no statutory authority was cited, the estab-
lishment of this bank is necessary to the efficient
administration of the Commission.
C. Political broadcasting by candidates ------- Implied ------- . Implicit In the FCC's regulatory authority aver ppolitical
broadcasting as set forth in see. 315 of the Commu-
nications Act, and In the Federal Election Campaign
i Act of 1971.
D. Broadcast Individual ownership master Derivative...-... Necessary to Implement sec. 307(b) of the Communica-
file. Ilona Act requirin.4 the Commission to consider
ownership qualifications of applicants for licenses or
renewals thereof and sec. 310, which Imposes limita-
tions on alien ownership Interests.
E. Broadcast financial data................. Implied........ Implicit In the FCC's statutory authority under sea
308(b) to consider financial qualifications in modifying
and renewing licenses and sec. 307(d) to renew a
license only upon a finding that the public Interest
will be served thereby.
F. Broadcast station list..._...._e ..............do___...-e. implicit in the FCC's statutory authority under title lit
of the Communications Act
G. Aviation radio service list ....................do......... Same as F.
H. Restricted and commercial operator per - ----- do_._.----- Do.
mits list
1. Amateur radio service list ....................do......... Do,
J. Marine radio service list .....................do......... Do.
K. Citizens radio service lit ---------------------- do--------- Do.
L. FCC checklist ------------------------------- do......... Do.
B. Subject Notification and Access
Although subjects are not expressly notified of their inclusion in
the FCC data banks, in-most instances they would be aware that a
 file is maintained on them because in most instances they provide in-
formation to the Commission on applications. In all cases subjects
are permitted to review the information maintained by the FCC, and
although no formal procedures for supplementation exist, the Coin-
mission will consider new information which supplements, explains or
rebuts information in the data system. In addition, agency personn&
are responsible for the accuracy of the records.
C. Access by Other Agencies
Information on public and agency. access is presented below in Table
2. The agency indicated in its response that the FCC data banks are
not interfaces) with, those of any other agency..,
D. Public Access ; . .,.
Information on public , and agency 'access : is presents
Table 2.
r, TABLE 2. PUBLIC AND AGENCY ACCESS
Data bank FCC data bank niquest the public (4) MieceHaneo !~
A. Personnel Inventory Master File._.. X t . .................. :.................
B. Payroll Master File ............... .
0. Broadcast Individual Ownerabip ----...-..-_ X X
Master File.
F. Broadcast Station List.-.-....-.. ....................-. X X
G. Aviation Radio Service List .....................---------------- ..._... X
H. Restricted and Commercial Operator ..--------- ...............-.-----.... X
Permits List.
1. Amateur Radio Service List......................:...................... X
J. Marine Radio Service Ust............ ................................... X
K
Citizens Radio Service Litt--------------------------------------------- X
.
I Civil Service Commission has access to information in the personnel inventory master fde. Other agencies have access
ace' in(rormaro n iwith CSC n the FCC chhockliist data bank is normally not available to other agencies except as to those names another
agency may have Itself supplied.
E. Security Precautions
The FCC does not enumerate the specific measures taken to prevent
unauthorized access to its data banks, but it did indicate that the
same security procedures are followed for the data files as are followed
F. Sources of Information
The information in the FCC's data banks, with a few exceptions.,
is collected from the individual subject or licensee. In addition to
information collected from the individual, the Personnel Inventory
Master File contains information from other sources within the
Commission. The information in the Payroll Master Record is collected
from the Commission's Payrcll Section.
The information in the FCC Checklist data bank is collected from
the following sources: Commission officials supply names for such
reasons as license revocation, failure to pay forfeitures, issuance of
a bad check to the Commission and stopping payment on a check
to the Commission; the FBI supplies information from the "FBI
Withhold List," which contains the names of individuals and organi-
zations which are allegedly subversive; the Department of Justice
20-550 0--74-pt. 5-26
proved For Release 2002/01/31 : CIA-RDP77M00144R000300100053-3
 u lies the Commission with the "Organized Crime and Racketeer`sng
s
i ist," which contains the names of individuals who are or have beeac
subjects of investigations in connection with activities identified
with. organized crime; also included are names supplied by the IRS,
CIA, and House Committee on Internal Security. .~~
IV. Evaluation
There are several aspects of the FCC data system which deserve
attention. First, the agency does not expressly notify the individual
subject or licensee of his inclusion in a data bank. While some subjects
may be aware of their inclusion through dealings with the. agency:
(e.g., applications and other forms submitted to the agency), otheas_.
who haven't any contact with the Commission receive no notice
whatsoever.. Second the Commission maintains highly sewgitiv
information, particularly in the FCC Checklist data bank, -whicl I
if released to unauthorized persons, may be detrimental to the subject,:` .
Stringent security precautions are essential to prevent such.:.ua..
authorized disclosure. Finally, there is no express statutory authority.:
. for the creation of the FCC Checklist data bank which, as previously.
indicated, contains information of a highly sensitive nature
Agency Response
1970 the subcommittee requested that the Fede
On December 14
,
mmunications Commission respond to the three introductory ques. .
C
o
tions and the standard questionnaire. (See inside back cover.) The .:
Federal Communications Commission's responses of March 25, 137r.
and March 1, 1973 appear below.
FEDERAL COMMUNICATIONS COMMISSION,
Washington, D.C., March ~5, 1971 `
Lion. SAM J. L' Rvuc, Jr., 't x
U.S. Senate, Washington, D.C.
ERUIN: This is in Iesponse to your letter dated December 14-9
S
D
ENATOR
EAR
1970, concerning a government-wide survey of federally-adminiistered or federally-
sponsored data banks containing personal information about individuals for
statistical, administrative or intelligence purposes.
We are enclosing an October 19684,booklet (Enclosure 1) describing the FCC
computer program and history. [Omitted..1 The booklet sets forth current programs
as well as proposed programs, many of which are technical and engineering
matters which do not appear germane to your inquiry. Listed below are data
banks which do appear to be responsive to your request for information. Each
item indicates whether or not it is available for public inspection as well as if we
are able to furnish a sample of the type of information stored.
ALPHABETICAL ROSTER OF ALL FCC EMPLOYEES
Sample Printout and Schedule of Printouts with descriptions [list of conteat&
included-Attachment 11. Roster contains approximately 1,550 persons currently
employed by the Commission. Personal data associated with each employee are
not routinely available for public inspection.
PAYROLL MASTER RECORD OF ALL FCC EMPLOYEES
List of the information contained therein [Attachment 2]. Payroll record con-
tains approximately 1,550 persons. Data are not routinely available for public
inspection. POLITICAL BROADCASTING BY CANDIDATES
List of information concerning Campaign 1970 for all Senatorial, Congressional,
Gubernatorial, and Lieutenant Gubernatorial Races including Primaries [Attach-
ments 3, 4, and 5]. The amount spent by each candidate at each station for
 broadcast time as well as the amount of time that was made available without
charge. The data is now being edited and tabulated for inclusion in the computer.
The Commission will publish a Political Broadcasting Report, as is its usual
practice. The information obtained is considered public.
BROADCAST INDIVIDUAL OWNERSHIP MASTER Fire
Sample Printout and listing of information included. [List of contents included-
Attachment 6.] Such information as stockholdings, how much, type par or stated
value, whether officer, director, or trustee, relationshipLamong stockholders. The
BROADCAST FINANCIAL. DATA
port-dated July 2,4, 1970, FCC-AM FM Broadcast Financial Data. Report,
dated December 14, 1970. [Omitted.] Tie data for individual stations axe furnished
on a confidential basis and are not routinely available for public inspection. The
two publid reports released by the Commission are sum aries and consolidations
Sample Printout and FCC Forms 301 and 303 for new and renewal applications
`... -' AVIATION RADIO SERVICE LIST-
Sample printout showing FAA number; number of aircoraft, applicant's Dame
and address. [Omitted.] The information is furnished by the applicant and is
considered public.
RESTRrc snAND COMMERCIAL OPERAATOR PERMiTs Lia.T
Sample printout, and listings showing name and date.of birth data, which are
supplied by the applicant, are public. (List of contents included.?- Attachments
7and8.1
AMATEUR RADIO SERvicn
Sample printout and listing showing information submitted by the applicant,
MARINE RADIO SERVICE
a
le
amp
r- -'r
nd "-"-a --- -
name and address, radio fre$uencies, type of transmitter. [List of contents in-
CITIZENS RADIO SERVICE
Sample printout, and listing containing public information furnished by the
FCC CHECS LIST
Listing showing name, address, and date of birth, if known. [List of contents
included-'-Attachment 12.1 Some data furnished on confidential basis from De-
partment of Justice. The information is not available to the public, and, it can be
released only by the Department of Justice.
AUTHORIZED STATION COUNT DATED NOVEMBER 30, 1970
This enclosure indicates the numbers involved in the services listed above.
 COMMISSION ORDER RELEASED FEBRUARY 2, 1971, ESTABLISHING A SPECTR17X
MANAGEMENT TAsc FORCE
The Task Force is preparing to send out specifications for a computer to be
used in the Chicago Regional Center. [Copy of Order omitted.]
COPY OF COMMISSION RULES RELATING TO PUBLIC INFORMATION AND INSPECTION
OF RECORDS
(47 CFR ? 0.441 through ? 0.465)
The Rules indicate the extent of public information, as well as the procedures
to be followed to obtain records not routinely available for public inspection..
[Copy of Rules omitted.]
It may be well to include some additional information with respect to the
FCC Check List, which has approximately 10,900 names. The Commission's
Check List, in the form of a computer printout, is circulated to the various Bureaus
within the Commission; it contains the names and addresses of organizations and
individuals whose qualifications are believed to require close examination in the-
event they apply for a Commission license. A name may be put on the list by
Commission personnel for a variety of reasons, such as a refusal to pay an out-
standing forfeiture, unlicensed operation, license suspension, the issuance of a bad
check to the Commission or stopping payment on a fee check after failing a Cora
mission examination. .
In addition, this list incorporates the names and addresses of individuals and
organizations appearing in several lists prepared by the Department of Justice;
other Government agencies and Congressional committees. For example, the list
contains information from tVe "FBI Withhold List," which contains the names of
individuals or organizations which are allegedly subversive, and from the Depart-
ment of Justice's "Organized Crime and Racketeering List," which contains the
names of individuals who are or have been subjects of investigation in connection
with activities identified with organized crime. Also included in the list are names
obtained from other Government sources, such as the IRS, CIA and the House
Committee on Internal Security. The information furnished by~iie Department of
Justice has been used since about 1964. The use of the data arose because during
the course of Senate hearings chaired by Senator McClellan I it was discovered
that a reputed racketeering boss in New Orleans, Louisiana, Carlos Marcello, in an
alleged partnership with his brother, held a Commission license. In order that such
licensing not take place in the future, the Commission established liaison with the
responsible divisions within the Department of Justice to be kept current on
persons who might have such affiliations. -
With respect to the Spectrum Management Task Force, the results of a major
study for the Commission by Stanford Research Institute concerning Land Mobile
Spectrum Utilization (supported by conclusions and recommendations of the
President's Task Force on Telecommunications Policy and a report by the Joint
Technical Advisory Committee on *9pectrum Engineering) indicate that more
effective utilization of the spectrum can be obtained by introducing systems
engineering concepts and by decentralized or regional frequency management,
which recognizes that each area has unique economic, social, demographic and
other factors which must be considered in making frequency assignments. Under
this approach, regional spectrum management centers will have the capability
of monitoring actual channel occupancy and, through a computerized system
with a comprehensive data base, assigning the most useful. frequencies to Com-
mission licensees.
As can be seen from Enclosure 16 [omitted], the Commission has a method by
which information can be obtained, as well as the necessary safeguards before
nonpublic information is released. A record is kept by the Executive Director of
requests for such information, and whether they are either denied or granted.
It is hoped that the information and data accompanying the sixteen enclosures
will prove to be helpful to you.
Sincerely,
1 Permanent Subcommittee on Investigations-Committee on Government operations, 65th Congres
1st and 2d Sessions--1g64.
 FEDERAL COMMUNICATIONS COMMISSION,
Washington, D.C., March 1, 1973.
Hon. SAM J. ERVrN, Jr.,
Chairman, Subcommittee on Constitutional Rights,
U.S. Senate, Washington, D.C.
DEAR SENATOR ERVIN: Pursuant to the request of Mr. Lawrence Baskir
Chief Counsel of the Subcommittee, we are pleased to provide the additional
information included herein to supplement our letter of March 25, 1971, In regard
to the Subcommittee's survey of federally administered or federally sponsored
data banks containing personal information about individuals for statistical,
administrative or intelligence purposes. As we indicated in our earlier response
much of the Commission's data processing program involves technical and
engineering matters which are not germane to your inquiry. However, we have
attempted herein to provide information which will answer each question pre-
sented in your original request of December 14, 1970, as fully as possible with
regard to each data bank.
Listed below are data banks maintained by the Commission which contain
information on individuals. Several of the questions raised in your earlier request
result in the same answer for each data bank, and therefore these are answered
at the end and apply to all of the relevant data banks maintained by the Com-
mission. The sample print-outs which were supplied with our earlier response
have not changed in any significant way and we have therefore not included such
samples here. The numbered answers which follow correspond to the nineteen:
num areal
ue
ts
i
_? - .
d a_ ."----
q
s
ns ra
se
ri
A. Personnel inventory master,fcle
(1) This data bank contains general personnel information on each current
employee of the Commission,. In addition to such basic information as name,
address and date of birth, it includes such things as dates of service with the FCC,
pay plan and occupation code, current grade level and assignment within the
Commission, basic educational background, previous work experience, awards
and training in Government service. There are approximately 1600 individuals
in this data bank.
(2) The data bank was established for the purpose of increasing the efficiency
of the Commission's personnel management and to make basic personnel informa-
tion more r
adil
il
bl
e
y ava
a
e. The information in the data bank is extracted from
Official Personnel folders maintained for each Commission employee plursuant to
Executive Order 10561 September 13, 1954, 19 F.R. 5963, which are under the
jurisdiction and control, and are a part of the records, of the U.S. Civil Service
commission.
(3) No. The information in this data bank is not routinely available for use by
state officials or private individuals.
(6) The system is used by Commission personnel for general administrative
and record keeping purposes and for such things as preparation of periodic Com-
mission personnel reports for Congress mad for other agencies such as OMB and
CSC.
(8) There is no data regarding an individual's personal life, personality or
habits. There is data on an individual's background such as education and em-
ployment
individual fine. Any changes in the file would result in changes in the matarial in
the data bank.
(11) The information is not routinely available to the public. It is available to
Commission employees within the scope of their duties, e.g , employees in the
Personnel Division. The extent to which such information will otherwise be made
available is governed by CSC regulations 5 CFR 294.701294.703, and Com-
mission Rules, 47 CFR Part 0, Subpart tom`.
12) No.
) Information is primarily collected from the individual. Additional areas
of information are provided during the course of his employment from various
sections of the Commission, e.g., training completed, promotions, awards received,
etc.
(14) Director of Personnel. No formal procedures have been established.
(15) CSC has access to and use of such records. Other agencies may have
access and use according to CSC regulations.
 B. Payroll master record
(1) This data bank contains basic payroll information for each employee
approximately 1600 individuals.
(p2) It was established for the purpose of maintaining accurate, up-to-date-
readily available information on individual and gross payroll account
_3 of the
Commission.
(3) No. Information in this data bank is not routinely available to state
officials or private individuals.
(6) The system is utilized primarily by Commission officials for review of
Commission fiscal policies and for such things as preparation of the budget. The
system may be used by other agencies, however such use would normally involve
aggregate
ne. figures supplied by the data program rather than figures for individuals
8) No
10--A) No.
(B) The employee receives a copy of all data, with regard to him, which are
entered in the data bank. He is of course allowed to rebut inaccurate materiaL??. .
(11) Data are not available to the public except under the provisions of Sec.
tion 0.461 of the Commission Rules, 47 CFR 0.461.
(12) No. (13) Information is supplied by the Commission's Payroll Section. ATM,
(14) Chief, Finance Branch and Chief, Payroll Section. No formal procedures
have been established to delete inaccurate or inappropriate information. !I
(15) Other federal agencies nay have access to or use of the information uponr
reasonable request.
campaign election year, ---Aug the most recent political
in this case 1972, and includes information on all Presi.
dential, Senatorial, Congressional, Gubernatorial, and Lieutenant Gubernatorial.
races, including primaries. Information includes amount spent by each candidate
at each station for broadcast time as well as the amount of time that was made
available without charge.
(2) The data bank was established to facilitate the Commission's regulatory
authority over political broadcasting as set out in Section 315 of the Communi.
cations Act and in the Federal Election Campaign Act of 1971.
(3) No.
comp)utere aninformation alysis of the information fed into dit are used by the Commiss oa hin
publishing a Political Broadcasting Report.
(8) None.
(10-A) No.
(B) Since the information is public it may be reviewed by the individual. No?
formal procedures have been established for supplementing, explaining or rebutting
the information although the Commission would of course consider any such
challenges since the intent of this data bank is to provide as accurate a picture
as possible of political broadcasting during the campaign.
11) The information is available to the public.
12) No.
(13) Information is supplied on FCC Form 322 by each television and radio
broadcast station licensed by the Commission. (A copy of FCC Form 322 was
included in our earlier response.) [Attachment 51
(14) The Chief of the Broadcast Bureau is directly responsible for the accuracy-
of the information. No formal procedures have been established for deleting inac-
curate information.
(15) The information is available to the public.
D. Broadcast individual ownership master file
(1) This data bank contains information on persons having ownership interests
in television and radio broadcast stations. Information is limited to interests in
broadcast stations and includes such information as extent of stockholdings, type
of stock, par or stated value, whether officer, director, or trustee, and relationship
among stockholders.
(2) Establishment of this data bank was based on the Commission's statutory
authority under various provisions of the Communications Act., e.g., Section
307(b) requiring the Commission to consider ownership qualifications of applicants
for licenses or modifications or renewals thereof and Section 310 placing certain
limitations on alien ownership interests. It was necessary to establish a data
bank such as this to provide the Commission with necessary information to make
such determinations.
 (3) No. The information is available to the public.
(6) Information is used by Commission officials to determine if licensees are
operating in compliance with provisions of the Act, Commission regulation and
Commission policies with regard to broadcast station ownership. Since the
information is available to the public it may be used by other persons and agencies
for whatever purpose they desire.. -
(8) None.
(10-A) No.
(B) Since the information is public an individual u1d f
wo
o course be, allowed
to review the data. Althou
gh no formal procedures are involved, lie could, on.
an informal basis ex
lain or
b
t i
p
re
u
naccurate information.
(11) The information is available to the public pursuant to the provisions
of the Public Information A
t
5 U
S
c
,
.
(12) No. .%.P. 552, for any purpose.
.
(13) Information is collected from individual station licensees.
(14) Primary responsibility is with the Chief
f th
C
o
e
ommission-9 Broadcast
Bureau. No formal procedures have been established for deleting inaccurate
or inappropriate informati
h
on,
owever since the information Is supplied solely
by the licensee, any corrections or deletions can be made on an informal basis.
(15) Any member of the public and any other agency may have access to and
use of information in the data bank.
E. Broadcast financial data,
(1) This data. bank contains financial information on networks and broadcast
stations. The information is limited solely to the operations of the station and
relates. to an individual only to the extent that hi
hi
s owners
p in the station could
be related to the station's financial situation. (See sample printout attached to
earlier res
onse) (omitt
d
p
e
)
(2) This data system was established in furtherance of the Comminsion's
statutory responsibility under Section 308(b) of the Communications Act to
consider financial qualifications in modif
in
d
i
y
g an
renew
ng licensers and under
its more general obligation under Section 307(d) to renew a license only upon a
find
ing that the public interest
ill b
w
e served thereby. g
(3) The
in information
except by way of summaries and consolidations in he officials
form of public
reports which do not identify individuals or stations.
(6) The pr:mary use of this system is to provide basic information to the Com-
mission fn making determinations such as those indicated in Question 3 above,
(8) None.
(10-A) No
.
(B) All of the information in this data bank is supplied by the licensee and
although no formal
d
proce
ures have been established the Commission would of
course consider any supplementation or explanation, of inaccurate information
contained in the data bank.
(11) Public reports are available to anyone. Data for individual stations is not
routinely available to the public, however it may be made available on an indi-
vidual basis under the provisions of ? 0.461 of the Commission's Rules which has
been adopted pursuant to the Public Information Act. Such data has, for example,
been made available to a ;petitioner to deny a license renewal.
(12) No. . . 11L 1,, 1
13) Information is collected entirely from individual station licensees.
(14) The Chief of the Broadcast Bureau has primary responsibility for determin-
ing the accuracy of the information. There are no formal provisions for deleting
inaccurate or inappropriate information, however in view of the fact that the
information is collected solely from the station, it would be allowed to amend its
report.
(15) Other federal agencies may have access to and use of the information
upon request within the scope of their duties. . .
F. Broadcast station Use
(1) This data bank contains information supplied by applicants for new licenses
and renewal of licenses for radio and television broadcast stations.
(2) This data bank was established in furtherance of the Commission's re-
sponsibilities under Title III of the Communications Act to make various public
interest findings before granting or renewing a radio station license.
(3) No.
 Approved For Release 2002/01/31 : CIA-RDP77M00144R000300100053-3
2914
(6) This system is used primarily for record keeping purposes to provide rapid
access to basic data on broadcast licensees. The information Is considered public
and is available to any Individual or agency.
) None.
0-A) No.
r) Data is supplied by applicant and he may of course supplement his file or
amend his applications.
(11) The information is available to the public pursuant to the provision of the
Public Information Act, 5 U.S.C. 552.
12 No.
(13) The information is supplied by the applicant on FCC Forms 301 (new)
and 303 (renewal) (copies enclosed in our earlier response). [Omitted.]
(14) Primary responsibility rests with the Chief of the Broadcast Bureau.: No
specific provisions have been established for deleting inaccurate or inappropriate
information in view of the fact that the information is supplied by the applicant..-,
(151'rhw infnrmw4a... to --.i - ----n1_11_ .
ava
able to the public it may be used for any purpose..
8) Nono, aon.
10-A) No.
B) The information is supplied by the individual and may be supplemented
or amended by him as necessary.
(11) The information is avaiilable to the public for any purpose ptustaut tc
the Public Information Act.
(12) No.
( (
R Information is collected solely from the individuals in the data bank.
14Primary responsibility rests with the Chief of the Commission's Safety
and Special Radio Services Bureau. Np specific procedures have been established
for deleting inaccurate or inappropriate information since all information is
supplied by the individual concerned.
y num er, vessel name
and type of transmitter.
(2) These data banks were established under the Commission's General author-- -
ity and responsibility to regulate radio communications under Title III of the
Communications Act. The primary, purpose was simply to provide accurate and.
efficient records of Commission licensees.
(3) No.
(6) The data banks serve primarily a record-keeping function within the Com-
mission allowing for rapid updating as licensees are added and removed, as mailing
lists for Commission notices and orders, and for statistical and planning purposes.
Since the inform t
is
il
-.LL ?%LU Ut vu personsholding operator permits and on licensees in these four radio services. The infor r_
oration Is limited generally to name, address, and assigned call numbers. Some
special information is also included, e.g., in the Aviation List the FAA number
and number of aircraft and In the Marine list the Tress V,
m
S. Citizens radio service list
G. Aviation radio service list
A. Restricted and commercial operator permits list
1. Amateur radio service list
J. Marine radio service list
(15) The information in all of these five data banks is available to the public.
ion are otherwise publicly available, e.g. a license revocation or failure to pay a
fnrfni h.rw
(2) The system was established for the purpose of assisting the Commission in
carrying out its statutory responsibilities under Title III of the Communications
Act to consider the qualifications of applicants for licenses and grant only those
which serve the public interest.
(3) No. In its form as a data bank, the information is nQt available for use by
state officials or private individuals, but some of the individual items of informs-
t
es a
c
h
following s exp aane urther in t e
g questions. The names of approximately 12,000 individuals and organiza-
finna o n....4,.:....A L_ ,u_ J_? _ ._
t
ec o e ommission, and in addition names are supplied by-the
FBI, the Department of Justice and other a en
i
1 - d f
b' "~?""?' J' - 4VlLf1LLL,l1UU LOrteitUlC,
license revocation, issuance of a bad check to the Commission or stopping pay-
ment on - 1, k t
- C
(1) The data bank contains name, address and date of birth of individuals plus
L. FCC checklist ?
 (6) An applicant appplying for a Commission license is compared to this data
bank todetermine if his name appears therein. The use of the checklist is solely
to "flag" those applications in which there is information concerning the applicant
which may warrant further scrutiny. No action, adverse or otherwise, is taken
simply as a result of the fact that the applicant's name appears on the checklist
app
.(8) No.
/in AN XT_
(B) If an individual whose name is on the checklist applies for a Commission
license
th
f
i
ti
d
i
l
h
,
e
n
orma
on un
er
y
n t
e listing is scrutinized, and if any sub .
stantial questions as to licensee qualifications are raised, the applicant is informed
of them and given the opportunity to supplement, explain or rebut any Informa-
tion which raises such questions.
T
(11)
he data are made available only to a specified list of persona y4tlPia the
Commission who have need for it. within the scope of their duties for the purposes
noted above. Further,. Information supplied by other agencies (see Question 13)
may not be made available .without the consent of that agency..
(12) No. However, a record is kept of those individuals who receive copies of
h
t
e list.
(13) The information. is collected from various sources, Various 'Comm-lesion-
officials supply names for such reasons as license revocation, failure to pay fore
feitures and others mentioned in Question 1. In addition, information is supplied
from the "FBI Withhold List," which contains the names of individuals and
.
organizations which are allegedly subversive and from the Department of Justice's
"Organised Grime and Racketeering List 1' which contains the names of indi-
viduals who are or have been subjects o{ investigations iu connection with ac-
tivities identified. with organised crime. Also included are names obtained from
other government sources such as the IRS, CIA, and the Souse Committee on,
Internal Security .
(14) The Bureau processing a particular application is tially responsible for
determining the accuracy of the information underlying they listing of the par-
ticular applicant. The listing serves only to "Hag" those applicants concerning
whom there is further information which must be scrutinized before the applica-
tion can be granted. Each bureau within the Commission which is responlible
for listing individuals periodically reviews the listings, as do other, agencies for
their respective listings. Further, the individual file upon which the listing is based
will reflect any determination as to the relevancy, accuracy or propriety of any
,
.~f
_
lyin g
orm
t n under
t
(15) The data bank itself is normally not available to other agencies except as
to those names another agency may have itself supplied. Information upon which
the data bank is based may be made available if it is otherwwise, pubic informa-
tion, e.g. license revocation.
The answers to the following auestions apply to each data bank listed above:
III first generation computer using punch card and tape input. There are no pro-
i
i
v
s
ons for interfacing with other computers or interconnection of remote access
terminals. All data output is supplied in print-out form.
(5) The Commission's present plans call for installation of third generation
computer capability in FY 75 which will provide more sophisticated; data systems
including such things as centralized application processing system and a centralized
station reporting system. Other applications of the increased data processing
capabilities including interfacing and remote terminal access are in, preliminary
stages of investigation at this time.
(7) The primary advantages of the Commission's limited data storage and proc-
essing programs are mainly in increased efficiency in and access to record keeping
functions of the system. A much more detailed analysis of records is of course
available (e.g. information can be based on geographical location, station call
sign, class of station, class of license, name of licensee, ete.), however, the Com-
mission's current first-generation capability allows for very limited correlation
and common storage among various programs.
(9) The Commission has not developed such guidelines directed s ecifically
toward data processing information, however, Commission rules adopted pursuant
to the Public Information Act would govern disclosure and distribution of data to
other agencies. (Copies of these rules, 47 CFR Part 0, Subpart C, were supplied
 Approved For Release 2002/01/31 CIA-RDP77M00144R000300100053-3
Lion.
(19) The only relevant Commission data bank which has been specifically:
discussed before another Congressional Committee is the Check List which was
discussed before the House Subcommittee on Foreign Operations and Govern-
ment Information on March 28, 1972. Enclosed is a copy of the Commission's.
wl 1;
General Counsel's statement before that Subcommittee. [Attachment 13.1
I hope that the foregoing information will prove helpful to you. If we can be of
additional assistance to you or to the Subcommittee, please do not hesitate.ta
(16) The Commission's present computer system does not provide for use of
any type of interconnection with another system. Copies of certain Commission
data storage tapes, those containing only public information, may be purchased
by the public from the National Technical Information Service.
(17) The same security procedures are followed in regard to the Commission's.
data files as with regard to security of other Commission records and business,
premises.
(18) There are currently no formal arrangements with any Congressional
Committees, however the Commission's data processing program is generally
presented in the context of budgetary requests and the accompanying docunienta-
Enclosure.
8. Commercial Operator Master File Item -?r*
7. Restricted Operator Master File Item, '` '?.
4. Additional Instruction for 1970 Political Broadcasting Report.:
5. Political Broadcasting/Cablecasting Report (FCC Form. 322}- .~
1. System. Outputs
Commission's responses appear below: -
The following attachments enclosed in the Federal .Communicatia> i
9. Amateur Station Master File
10. Marine Master Record
11. Citizens Station 'Master File-Call Sequence
12. FCC Checklist File
13. Statement of John W. Pettit
ATTACHMENT I
A. REGULARLY SCHEDULED PRINTOUTS
.
1. Title: Alphabetical Roster of all F.C.C. Employees with all Inventory Data
Frequency: Monthly.
2. Title: Grade Roster (all FCC employees).
Sequence: By Grade from highest to lowest and alphabetically by name within
grade-space between grades.
Items: Include social security number, sex, date of birth, pay plan, occupational
code, grade and organization. Print columnar headings for these items
Frequency: Monthly.
3. Title: Occupational Code Roster of all FCC Employees.
Sequence: Occupational code in ascending order and grade in descendin?c
order from highest to lowest grade. Space or paragraph between cock*
and print codes as paragraph headings.
Items: Include name, pay plan, occupational code, grade, organizaU00,
and date of birth. Print columnar headings for these items.
Frequency: Monthly.
Sequence: Employee name.
Items: Include all items in the inventory in the order on the records.