The following document is from the PRIVACY Forum Archive at Vortex Technology, Woodland Hills, California, U.S.A. For direct web access to the PRIVACY Forum and PRIVACY Forum Radio, including detailed information, archives, keyword searching, and related facilities, please visit the PRIVACY Forum via the web URL: http://www.vortex.com ----------------------------------------------------------------------- Note from the PRIVACY Forum Moderator: The following information has been provided to the PRIVACY Forum by the Privacy Rights Clearinghouse (PRC). In some cases, the items have been reformatted locally for online presentation. Index descriptions for FTP/listserv/gopher access have been chosen locally. Other than such formatting and index descriptions, all information below in this file is the responsibility of the PRC, and any questions regarding that information should be directed to the PRC at: Phone: 619-298-3396 (800-773-7748 Calif. only) Fax: 619-260-4753 E-mail: prc@teetot.acusd.edu ------------------------------------------------------------------------- Privacy Rights Clearinghouse Fact Sheet #11 From Cradle to Grave: Government Records and Your Privacy Government records are public in order to ensure the free flow of information in a democratic society. The challenge to policymakers is to balance the public's right to information with the individual's right to privacy. Virtually every major change in life is recorded somewhere in a government document. Shortly after you are born, a birth certificate is issued; if you obtain a driver's license, get married, buy a house, file a lawsuit--all of these events are recorded in public documents easily available to you and to others. This fact sheet covers: o Public records o Confidential records o Federal privacy laws o State privacy laws o For more information Public Records Public records are just that--public. There are few, if any, restrictions on the release of this information. For example, information from public records is frequently obtained by direct marketers. (See Privacy Rights Clearinghouse fact sheet number 4 on "junk mail.") Public records may also be used by private investigators, law enforcement officials and other government agencies. In fact, as more public records are computerized, anyone with a computer and a modem can easily compile detailed profiles on individuals. The most common government records containing personal information are listed below: Your California Department of Motor Vehicles (DMV) driver's license file contains: o your name; o birth date; o home and mailing addresses; o license number; o physical description; o Social Security number; o failures to appear in court; o failures to pay traffic fines; o license status (valid, revoked, suspended, expired); o major traffic convictions for the past seven years; o minor traffic convictions for the past three years. The DMV also keeps files of vehicle registrations which include: o the name of the person who owns the vehicle; o residential and mailing addresses of the registered owner; o vehicle year, make and body style; o year the vehicle was bought by the current owner and previous owners' names and addresses going back three years; o license plate number; vehicle identification number; o name of the lienholder if the loan for the vehicle has not yet been paid in full. DMV files are routinely consulted by employers, insurance companies, attorneys and private investigators. They used to be sold to marketers, but access has been restricted since 1990. Confidential portions of your file include medical information, home address and Social Security number. Even though it is considered confidential, in some specific instances your home address can be released to insurance companies, banks, attorneys and process servers. The DMV also releases information to "casual requesters." However, the person must apply to the main DMV office in Sacramento and explain why the information is wanted and how it will be used. Then, the person who is the subject of the inquiry is notified and can object to the release of the information. In the case of a dispute, the DMV decides whether to release the information. There have recently been changes in the information you must provide to receive a license and how that information is processed. Your Social Security number is now required to receive or renew your driver's license but is considered confidential. The law allows SSNs to be used to help track down parents who have not made court-ordered child support payments, for tax administration purposes and collecting government fines. Another change is in the appearance of the license. It now looks very similar to a plastic credit card with a magnetic "stripe" on the back. The "stripe" holds information which can be read by special scanners. Currently the information on the stripe is the same as the front of the license. It can be used by law enforcement officers to print traffic tickets and by retailers to record information when a customer pays by check. Some privacy advocates are concerned that the magnetic stripe makes it easier for merchants to establish computerized data banks about their customers, and thereby poses a threat to personal privacy. Voting records are kept at the County Clerk's or Registrar of Voters office. An index is available to the public that contains voters' names, addresses, telephone numbers and party affiliations. Information about a specific person can be requested. However, the person asking for the information must provide the clerk with his or her name and address as well as how the information will be used. On election days state law requires the index of precinct voters to be posted in each polling place. Records of requests for bi-lingual election information or ballots can be released for election or governmental purposes, or for scholarly or political research. Some people with sensitive positions in the criminal justice field and their families can ask to have their voter registration information kept confidential. In these cases only the name of the person is released in the public record. The confidential information is open to election officials, candidates for office, political parties and academic research. It is also released if the person's vote is challenged or if the person decides to run for office. Birth certificates are on file in the county in which the birth occurred and at the State Registrar's office in Sacramento. Birth records usually contain the name of the child, date and time of birth, the city and the hospital in which the child was born, the parents' names, the attending physician's name and various signatures. Birth records housed in the State Registrar's Office are public and can be ordered by anyone with sufficient identifying information (for address see page 8). County records may be confidential and available only to the subject of the record or by court order. Confidentiality policies differ by county. Marriage certificates are usually filed in the County Clerk's office where the marriage application was filed and in the State Registrar's office in Sacramento. An index is available to the public. It contains the bride and groom's names, the county where the application was filed and the date of the marriage. In California a couple may file for a confidential marriage certificate which is not placed in the index and is not a public record. A confidential marriage license is open only to the bride and groom or by court order. Death certificates are also public documents. They are usually kept on file in the county in which the death occurred at the County Clerk's office. The State Registrar's office in Sacramento also maintains these files. An index of death certificates is available to the public. It contains the name of the person who died, where the death occurred, the date and the person's Social Security number. Property records are open for public inspection. When you purchase a home or other real estate, a record of the transaction is made by the County Assessor's office and the County Recorder's office. The files maintained by the Assessor, Tax Collector and/or Recorder contain the location of the property, current owner's name, address and previous owners' names, dates of sale, description of the property and the approximate value of the real estate holding. Court records, unless they involve a juvenile, are usually public. Superior, municipal and small claims court records are kept in the court clerk's office. The court clerk maintains an index of civil and criminal cases which is filed in alphabetical order by the names of the parties involved. Case files can be retrieved under the name of either the plaintiff or the defendant. They contain the initial complaint, the defendant's answer and motions filed in the case. Case files may also contain evidence or exhibits which were used in court. A person involved in a lawsuit can ask the judge to have parts of a case file "sealed." If the judge consents to seal parts of the record, that portion is no longer open to public viewing. In criminal cases, probation reports, medical information and psychiatric information are removed from the file before it is made available to the public. Divorce records are public documents and are usually considered part of court files. They are filed at the Superior Court clerk's office of the county in which the divorce was granted. Arrest records are public records. They may include detailed information about the person arrested, the incident leading to the arrest and the victim. These records can be closed if their release would endanger an ongoing investigation or public safety. If the person arrested is found innocent of the charges, he or she may ask to have the record sealed and claim they have never been arrested. Postal address information is not a matter of public record through the U.S. Post Office. However, the information from postal Change of Address forms is available to many people. If you move and fill out a Change of Address form (USPS Form 3575), the information is sold to mailing list, direct mail and credit bureau companies by the National Change of Address system. The Change of Address form carries a notice that the information you provide may be used by others. By filling out the form, the Post Office assumes you have read this warning and consent to the release of your information. For a small fee, the Post Office will provide "casual requesters" with the address of anyone who has filled out a Change of Address form. The requester must provide the name and last known address of the person for whom they are looking, and the Post Office provides the most current address. People who do not want their new address to become public knowledge should not fill out the Change of Address form. This can be extremely important for anyone involved in a threatening or violent situation such as a battered spouse who does not want to be located. Confidential Records Some records kept by government agencies are considered confidential. For example, your tax records are private. You may have access to your Internal Revenue Service file but others do not. The following are some common government records which are confidential. Social welfare information such as Medicare records and Social Security information is generally confidential. However, social service agencies must supply a list of benefit recipients and their Social Security numbers to tax authorities. In addition, the federal government has a computer matching program which allows agencies to compare computerized records to verify eligibility or compliance with benefit programs. This program is also used to collect debts owed to the government or unpaid child support. If you apply for benefits, you must be told that the matching program is being used. No one can be denied benefits based solely on the results of information obtained through matching. Tax information, both federal and state, is not a public record. It is not disclosed unless: o the taxpayer is part of a court proceeding where tax issues are relevant; o a government agency is trying to locate a parent who owes child support payments; o state financial aid programs have been requested; o it is for statistical use; o agencies request tax information for the purpose of tax administration. People who file joint returns have equal access to tax records. Federal law allows the Social Security Administration and the Department of Education access to tax records to withhold tax refunds if money is owed to the government. School records are usually confidential. Persons over age 18 must authorize the release of their school records before they can be viewed by others (including parents). The records of children under 18 years of age are under the control of their parents and/or guardians. The records can be released without consent only to: o the current school district; o a school district to which the student is transferring; o state or federal education authorities; o state or federal financial aid programs; o law enforcement officials for "child welfare" protection; o or upon a judge's order for release. Parents have the right to inspect all records a school has about their child if the child is under 18, and to request the record be amended if an error is found. California law provides noncustodial parents and foster parents with the right to view a child's records. However, only custodial parents may challenge its content or consent to its release. Adult students have the same rights as parents of minor students. Schools must keep a log, open only to parents and school officials, which records those who have received information from a student's record and how the information was used. The school may release directory information about students only after the parents (or the student if over 18) have been notified as to the type of information which would be released. Parents have the right to block the release of the information by notifying the school of their objection. Usually a notice dealing with this issue is sent home at the beginning of the school year. Public library records are confidential under the California Public Records Act. All registration and circulation records of any library which receives public funds may only be disclosed for library employees to do their job, by order of a superior court, or if the person authorizes the release. Confidential data includes information provided to receive a library card and a list of the materials that have been borrowed. Records of fines and statistical reports are not confidential. Privately-funded libraries may not have the same privacy protection as those which receive public funds. You may want to request a copy of the facility's policies. Criminal history information compiled by local and state criminal justice departments is not public. "Rap" sheets (records of arrests and prosecutions) can only be accessed by: o law enforcement agencies; o attorneys working on a case involving the individual; o the subject of the information; o probation or parole officers; o a state agency which needs the information to license an individual; o employers, under limited circumstances authorized by law. With the increasing computerization of records, however, some private firms are able to compile what amounts to a "rap sheet" by searching arrest records and court files which are public records. The information compiled by such firms is sometimes used by employers to run background checks on prospective employees. Federal Privacy Laws The two main federal privacy laws are the Privacy Act of 1974 and the Freedom of Informa- tion Act. They apply only to federal government agencies. At first glance, the two laws seem diametrically opposed. The Privacy Act deals with keeping government records about individuals confidential, and the Freedom of Information Act is commonly used to pry open government files. However, these laws are attempts to balance the public's right to know about the actions of government with the rights of an individual to retain his or her privacy. The Privacy Act gives an individual the right to: o see and copy files that the federal government maintains on him or her; o find out who else has had access to the information; o and request a change in any information that is not accurate or relevant. A government agency is required to: o respond to a request for information within 10 days; o notify the public about the types of files they maintain via the Federal Register; o inform the public how they use the information; o make sure the information in files is relevant; o not use the information for any purpose other than the one for which it was initially collected. Government files on an individual may be opened to others in a few cases including: o a purpose similar to the original reason for collecting the information; o for statistical research; o for law enforcement purposes; o when ordered by a court; o if it is medically necessary for the requester to have access to the information. There is no central index of federal government records about individuals. If you want to look at your records, you must first identify which agency has them. Then use the Privacy Act to ask to see your files. The agency must respond to your request within 10 days. You may be charged a "reasonable" fee for copying the file. You may be denied access to government records about you if they involve: o law enforcement activities; o the Central Intelligence Agency (CIA); o litigation; o civil service exams (to the extent access would affect the fairness of the tests); o and confidential government sources. If you are denied access to your records, you can appeal in court. You may also take a government agency to court if you believe it has improperly disclosed information about you or if you want to block impending disclosures. The Freedom of Information Act was designed to help individuals obtain information about the actions of government. It requires that citizens be given access to government records unless disclosure involves: o litigation; o the CIA; o internal agency memos; o personnel matters; o trade secrets; o classified documents; o law enforcement activities; o confidential government sources; o violating an individual's privacy interests; o civil service exams (to the extent it would affect the fairness of the tests). If an agency denies your request for information, it must tell you why within 10 days. You may appeal the denial either within the agency itself or in court. State Privacy Laws California has two state laws which are similar to federal privacy legislation: the Information Practices Act and the Public Records Act. The California Information Practices Act applies only to state agencies. It is substantially the same as the federal Privacy Act and gives individuals access to information about them held by state agencies. However, the Information Practices Act does not require the state to publish a list of the type of records agencies create. If you request information, the state agency must respond within 30 to 60 days. You can be denied access to your records for the same reasons as under the Privacy Act. If a request is denied, you must be told the reason for the denial. You can appeal the decision in court. If you find incorrect information in a record the state keeps about you, you have the right to amend your file. The agency must note in the record that you dispute its accuracy. The Information Practices Act does not cover city or county government records. Local governments are free to make their own laws in this area. The California Public Records Act is similar to the federal Freedom of Information Act and covers state, city and county boards, special districts, commissions, agencies and school districts. With a few exceptions, all records from these bodies are considered public documents. The major exemptions from public disclosure include: o memos; o personnel matters; o medical records; o tax records; o litigation; o preliminary drafts; o public library records; o complaints or investigations by law enforcement authorities unless the person requesting the information is involved in the crime or suspected crime; o information which would compromise civil service exams. If you request information under the California Public Records Act, the agency must let you know within 10 days that it has received your request. If your request is denied, you must be notified within 10 days and given the reason the information is not being released. You have the right to appeal such decisions in court. For More Information The information in this brochure covers only the most common government records. There are a number of other government agencies which may contain information about you. For example, various local, state and federal agencies license individuals, and many of these records are open to the public. For more in-depth information on government records, you may wish to consult an investigative manual such as Paper Trails: A Guide to Public Records in California by Barbara T. Newcombe, Reporter's Handbook on Media Law by the California Newspaper Publishers Association, or The Reporter's Handbook: An Investigator's Guide To Documents and Techniques by John Ullmann and Jan Colbert. An inexpensive guide to federal government information is A Citizen's Guide on Using the Freedom of Information Act and the Privacy Act of 1974 to Request Government Records (Report no. 103-104, U.S. Government Printing Office, 1991). Write to: USGPO, Superintendent of Documents, Washington, D.C. 20402. Telephone: (202) 783-3238. California laws are explained in Your Guide to Public Information: the California Public Records Act. It is available from: Office of Senate Publications, 1100 J St., Rm. B15, Sacramento, CA 95814. Call (916) 327-2155 for price information. Individuals may obtain a copy of their criminal record by writing to the Federal Bureau of Investigation. Include a letter stating why you are making the request, a set of fingerprints and a check for $17. Mail to: FBI, Criminal Justice Information Services Division, Rm. 10104, 10th Street and Pennsylvania Ave. N.W., Washington, D.C. 20537-9700. Telephone: (202) 324-2222. Individuals who do not have a criminal record can make a request under the Freedom of Information Act to determine if the FBI has compiled information about them. The request must be in writing and should include a complete name, address, date and place of birth and notarized signature. It should be sent to: FBI, Freedom of Information Privacy Section, 10th Street and Pennsylvania Ave. N.W., Washington, D.C. 20535. Telephone: (202) 324-5520. On the state level, to receive a copy of your "rap" sheet (record of arrests and prosecutions), contact the California Attorney General. Write to: California Department of Justice, Applicant and Public Services Sections, P.O. Box 903417, Sacramento, CA 94203-4170. Telephone: (916) 227-3822. For additional information on birth, death and marriage certificates, contact: Office of State Registrar, Department of Health Services, 304 S St., P.O. Box 730241, Sacramento, CA 95814-0241. Telephone: (916) 445-2684 (recorded message). Citations for the federal and state laws on government records are as follows: Federal laws: California state laws: Privacy Act of 1974, 5 USC, S.552a. Information Practices Act, Calif. Civil Code, 1798. Freedom of Information Act, 5 USC, S.552. Public Records Act, Calif. Government Code, 6250. For more information on this and other privacy issues, contact the Privacy Rights Clearinghouse hotline at (800) 773-7748. November 1993