22-5001. National crime prevention and privacy compact; contents.
The National Crime Prevention and Privacy Compact
is hereby ratified, enacted into law and entered into with all
jurisdictions
legally joining in the Compact, in substantially the form set forth in
this section.
Article I. Definitions
As used in this Compact, the following definitions apply:
(1) "Attorney General" means the Attorney General
of the United States.
(2) "Compact officer" means:
(a) With respect to the
Federal Government, an official so designated by the Director of the
FBI;
and
(b) With respect to a party
state, the chief administrator of the state's criminal history record
repository
or a designee of the chief administrator who is a regular full-time
employee
of the repository.
(3) "Council" means the Compact Council established
under Article VI.
(4) "Criminal history record repository" means the
state agency designated by the governor or other appropriate executive
official or the legislature of a state to perform centralized
recordkeeping
functions for criminal history records and services in the state.
(5) (a) "Criminal history records" means information
collected by criminal justice agencies on individuals consisting of
identifiable
descriptions and notations of arrests, detentions, indictments, or
other
formal criminal charges and any disposition arising therefrom,
including
acquittal, sentencing, correctional supervision, or release.
(b) The term does not include identification
information
such as fingerprint records if the information does not indicate
involvement
of the individual with the criminal justice system.
(6) "Criminal justice" includes activities relating
to the detection, apprehension, detention, pretrial release, post trial
release, prosecution, adjudication, correctional supervision, or
rehabilitation
of accused persons or criminal offenders. The administration of
criminal
justice includes criminal identification activities and the collection,
storage, and dissemination of criminal history records.
(7) (a) "Criminal justice agency" means:
(i) Courts; and
(ii) A governmental agency
or any subunit of an agency that performs the administration of
criminal
justice pursuant to a statute or executive order and allocates a
substantial
part of its annual budget to the administration of criminal justice.
(b) The term includes federal and state inspector
general offices.
(8) "Criminal justice services" means services
provided
by the FBI to criminal justice agencies in response to a request for
information
about a particular individual or as an update to information previously
provided for criminal justice purposes.
(9) "Direct access" means access to the national
identification index by computer terminal or other automated means not
requiring the assistance of or intervention by any other party or
agency.
(10) "Executive order" means an order of the
President
of the United States or the chief executive officer of a state that has
the force of law and that is promulgated in accordance with applicable
law.
(11) "FBI" means the Federal Bureau of
Investigation.
(12) (a) "III System" means the Interstate
Identification
Index System, which is the cooperative federal-state system for the
exchange
of criminal history records.
(b) The term includes the national identification
index, the national fingerprint file, and to the extent of their
participation
in the system, the criminal history record repositories of the states
and
the FBI.
(13) "National fingerprint file" means a database
of fingerprints or of other uniquely personal identifying information
that
relates to an arrested or charged individual and that is maintained by
the FBI to provide positive identification of record subjects indexed
in
the III System.
(14) "National identification index" means an index
maintained by the FBI consisting of names, identifying numbers, and
other
descriptive information relating to record subjects about whom there
are
criminal history records in the III System.
(15) "National indices" means the national
identification
index and the national fingerprint file.
(16) "Noncriminal justice purposes" means uses of
criminal history records for purposes authorized by federal or state
law
other than purposes relating to criminal justice activities, including
employment suitability, licensing determinations, immigration and
naturalization
matters, and national security clearances.
(17) "Nonparty state" means a state that has not
ratified this Compact.
(18) "Party state" means a state that has ratified
this Compact.
(19) "Positive identification" means a
determination,
based upon a comparison of fingerprints or other equally reliable
biometric
identification techniques, that the subject of a record search is the
same
person as the subject of a criminal history record or records indexed
in
the III System. Identifications based solely upon a comparison of
subjects'
names or other nonunique identification characteristics or numbers, or
combinations thereof, does not constitute positive identification.
(20) "Sealed record information" means:
(a) With respect to adults, that portion of a record
that is:
(i) Not available for
criminal
justice uses;
(ii) Not supported by
fingerprints
or other accepted means of positive identification; or
(iii) Subject to
restrictions
on dissemination for noncriminal justice purposes pursuant to a court
order
related to a particular subject or pursuant to a federal or state
statute
that requires action on a sealing petition filed by a particular record
subject; and
(b) With respect to juveniles, whatever each state
determines is a sealed record under its own law and procedure.
(21) "State" means any state, territory, or
possession
of the United States, the District of Columbia, and the Commonwealth of
Puerto Rico.
Article II. Purposes
The purposes of this Compact are to:
(1) Provide a legal framework for the establishment
of a cooperative federal-state system for the interstate and
federal-state
exchange of criminal history records for noncriminal justice uses;
(2) Require the FBI to permit use of the national
identification index and the national fingerprint file by each party
state
and to provide, in a timely fashion, federal and state criminal history
records to requesting states, in accordance with the terms of this
Compact
and with rules, procedures, and standards established by the Council
under
Article VI;
(3) Require party states to provide information
and records for the national identification index and the national
fingerprint
file and to provide criminal history records, in a timely fashion, to
criminal
history record repositories of other states and the Federal Government
for noncriminal justice purposes, in accordance with the terms of this
Compact and with rules, procedures, and standards established by the
Council
under Article VI;
(4) Provide for the establishment of a Council to
monitor III System operations and to prescribe system rules and
procedures
for the effective and proper operation of the III System for
noncriminal
justice purposes; and
(5) Require the FBI and each party state to adhere
to III System standards concerning record dissemination and use,
response
times, system security, data quality, and other duly established
standards,
including those that enhance the accuracy and privacy of such records.
Article III. Responsibilities of Compact Parties
(1) The Director of the FBI shall:
(a) Appoint an FBI Compact officer who shall:
(i) Administer this Compact
within the Department of Justice and among federal agencies and other
agencies
and organizations that submit search requests to the FBI pursuant to
Article
V(3);
(ii) Ensure that Compact
provisions and rules, procedures, and standards prescribed by the
Council
under Article VI are complied with by the Department of Justice and the
federal agencies and other agencies and organizations referred to in
subsection
(1)(a)(i) of this Article III; and
(iii) Regulate the use of
records received by means of the III System from party states when such
records are supplied by the FBI directly to other federal agencies;
(b) Provide to federal agencies and to state
criminal
history record repositories criminal history records maintained in its
database for the noncriminal justice purposes described in Article IV,
including:
(i) Information from
nonparty
states; and
(ii) Information from party
states that is available from the FBI through the III System, but is
not
available from the party state through the III System;
(c) Provide a telecommunications network and
maintain
centralized facilities for the exchange of criminal history records for
both criminal justice purposes and the noncriminal justice purposes
described
in Article IV and ensure that the exchange of the records for criminal
justice purposes has priority over exchange for noncriminal justice
purposes;
and
(d) Modify or enter into user agreements with
nonparty
state criminal history record repositories to require them to establish
record request procedures conforming to those prescribed in Article V.
(2) Each party state shall:
(a) Appoint a Compact officer who shall:
(i) Administer this Compact
within that state;
(ii) Ensure that Compact
provisions and rules, procedures, and standards established by the
Council
under Article VI are complied with in the state; and
(iii) Regulate the in-state
use of records received by means of the III System from the FBI or from
other party states;
(b) Establish and maintain a criminal history record
repository, which shall provide:
(i) Information and records
for the national identification index and the national fingerprint
file;
and
(ii) The state's III
System-indexed
criminal history records for noncriminal justice purposes described in
Article IV;
(c) Participate in the national fingerprint file;
and
(d) Provide and maintain telecommunications links
and related equipment necessary to support the criminal justice
services
set forth in this Compact.
(3) In carrying out their responsibilities under
this Compact, the FBI and each party state shall comply with III System
rules, procedures, and standards duly established by the Council
concerning
record dissemination and use, response times, data quality, system
security,
accuracy, privacy protection, and other aspects of III System
operation.
(4) (a) Use of the III System for noncriminal
justice
purposes authorized in this Compact must be managed so as not to
diminish
the level of services provided in support of criminal justice purposes.
(b) Administration of Compact provisions may not
reduce the level of service available to authorized noncriminal justice
users on the effective date of this Compact.
Article IV. Authorized Record Disclosures
(1) To the extent authorized by section 552a of
Title
5, United States Code (commonly known as the Privacy Act of 1974), the
FBI shall provide on request criminal history records, excluding sealed
record information, to state criminal history record repositories for
noncriminal
justice purposes allowed by federal statute, federal executive order,
or
a state statute which has been approved by the Attorney General and
which
authorizes national indices checks.
(2) The FBI, to the extent authorized by section
552a of Title 5, United States Code (commonly known as the Privacy Act
of 1974), and state criminal history record repositories shall provide
criminal history records, excluding sealed record information, to
criminal
justice agencies and other governmental or nongovernmental agencies for
noncriminal justice purposes allowed by federal statute, federal
executive
order, or a state statute that has been approved by the Attorney
General,
that explicitly authorizes national indices checks.
(3) Any record obtained under this Compact may be
used only for the official purposes for which the record was requested.
Each Compact officer shall establish procedures, consistent with this
Compact
and with rules, procedures, and standards established by the Council
under
Article VI, which procedures shall protect the accuracy and privacy of
the records and shall:
(a) Ensure that records obtained under this Compact
are used only by authorized officials for authorized purposes;
(b) Require that subsequent record checks are
requested
to obtain current information whenever a new need arises; and
(c) Ensure that record entries that may not legally
be used for a particular noncriminal justice purpose are deleted from
the
response and, if no information authorized for release remains, an
appropriate
"no record" response is communicated to the requesting official.
Article V. Record Request Procedures
(1) Subject fingerprints or other approved forms
of positive identification must be submitted with all requests for
criminal
history record checks for noncriminal justice purposes.
(2) Each request for a criminal history record check
utilizing the national indices made under any approved state statute
must
be submitted through that state's criminal history record repository. A
state criminal history record repository shall process an interstate
request
for noncriminal justice purposes through the national indices only if
the
request is transmitted through another state criminal history record
repository
or the FBI.
(3) Each request for criminal history record checks
utilizing the national indices made under federal authority must be
submitted
through the FBI or, if the state criminal history record repository
consents
to process fingerprint submissions, through the criminal history record
repository in the state in which the request originated. Direct access
to the national identification index by entities other than the FBI and
state criminal history records repositories may not be permitted for
noncriminal
justice purposes.
(4) A state criminal history record repository or
the FBI:
(a) May charge a fee, in accordance with applicable
law, for handling a request involving fingerprint processing for
noncriminal
justice purposes; and
(b) May not charge a fee for providing criminal
history records in response to an electronic request for a record that
does not involve a request to process fingerprints.
(5) (a) If a state criminal history record
repository
cannot positively identify the subject of a record request made for
noncriminal
justice purposes, the request, together with fingerprints or other
approved
identifying information, must be forwarded to the FBI for a search of
the
national indices.
(b) If, with respect to a request forwarded by a
state criminal history record repository under subsection (5)(a), the
FBI
positively identifies the subject as having a III System-indexed record
or records:
(i) The FBI shall so advise
the state criminal history record repository; and
(ii) The state criminal
history record repository is entitled to obtain the additional criminal
history record information from the FBI or other state criminal history
record repositories.
Article VI. Establishment of Compact Council
(1) (a) There is established a Council to be
known
as the Compact Council, which has the authority to promulgate rules and
procedures governing the use of the III System for noncriminal justice
purposes, not to conflict with FBI administration of the III System for
criminal justice purposes.
(b) The Council shall:
(i) Continue in existence
as long as this Compact remains in effect;
(ii) Be located, for
administrative
purposes, within the FBI; and
(iii) Be organized and hold
its first meeting as soon as practicable after the effective date of
this
Compact.
(2) The Council must be composed of 15 members,
each of whom must be appointed by the Attorney General, as follows:
(a) Nine members, each of whom shall serve a 2-year
term, who must be selected from among the Compact officers of party
states
based on the recommendation of the Compact officers of all party
states,
except that in the absence of the requisite number of Compact officers
available to serve, the chief administrators of the criminal history
record
repositories of nonparty states must be eligible to serve on an interim
basis;
(b) Two at-large members, nominated by the Director
of the FBI, each of whom shall serve a 3-year term, of whom:
(i) One must be a
representative
of the criminal justice agencies of the Federal Government and may not
be an employee of the FBI; and
(ii) One must be a
representative
of the noncriminal justice agencies of the Federal Government;
(c) Two at-large members, nominated by the Chairman
of the Council once the Chairman is elected pursuant to subsection (3)
of this Article VI, each of whom shall serve a 3-year term, of whom:
(i) One must be a
representative
of state or local criminal justice agencies; and
(ii) One must be a
representative
of state or local noncriminal justice agencies;
(d) One member who shall serve a 3-year term and
who shall simultaneously be a member of the FBI's advisory policy board
on criminal justice information services, nominated by the membership
of
that policy board; and
(e) One member, nominated by the Director of the
FBI, who shall serve a 3-year term and who must be an employee of the
FBI.
(3) (a) From its membership, the Council shall elect
a Chairman and a Vice Chairman of the Council. Both the Chairman and
Vice
Chairman of the Council:
(i) Must be a Compact
officer,
unless there is no Compact officer on the Council who is willing to
serve,
in which case the Chairman may be an at-large member; and
(ii) Shall serve 2-year
terms and may be reelected to only one additional 2-year term.
(b) The Vice Chairman of the Council shall serve
as the Chairman of the Council in the absence of the Chairman.
(4) (a) The Council shall meet at least once each
year at the call of the Chairman. Each meeting of the Council must be
open
to the public. The Council shall provide prior public notice in the
Federal
Register of each meeting of the Council, including the matters to be
addressed
at the meeting.
(b) A majority of the Council or any committee of
the Council shall constitute a quorum of the Council or of a committee,
respectively, for the conduct of business. A lesser number may meet to
hold hearings, take testimony, or conduct any business not requiring a
vote.
(5) The Council shall make available for public
inspection and copying at the Council office within the FBI and shall
publish
in the Federal Register any rules, procedures, or standards established
by the Council.
(6) The Council may request from the FBI reports,
studies, statistics, or other information or materials that the Council
determines to be necessary to enable the Council to perform its duties
under this Compact. The FBI, to the extent authorized by law, may
provide
assistance or information upon a request.
(7) The Chairman may establish committees as
necessary
to carry out this Compact and may prescribe their membership,
responsibilities,
and duration.
Article VII. Ratification of Compact
This Compact takes effect upon being entered into by two or more states as between those states and the Federal Government. When additional states subsequently enter into this Compact, it becomes effective among those states and the Federal Government and each party state that has previously ratified it. When ratified, this Compact has the full force and effect of law within the ratifying jurisdictions. The form of ratification must be in accordance with the laws of the executing state.
Article VIII. Miscellaneous Provisions
(1) Administration of this Compact may not
interfere
with the management and control of the Director of the FBI over the
FBI's
collection and dissemination of criminal history records and the
advisory
function of the FBI's advisory policy board chartered under the Federal
Advisory Committee Act (5 U.S.C. App.) for all purposes other than
noncriminal
justice.
(2) Nothing in this Compact requires the FBI to
obligate or expend funds beyond those appropriated to the FBI.
(3) Nothing in this Compact diminishes or lessens
the obligations, responsibilities, and authorities of any state,
whether
a party state or a nonparty state, or of any criminal history record
repository
or other subdivision or component thereof, under the Departments of
State,
Justice, and Commerce, the Judiciary, and Related Agencies
Appropriation
Act, 1973 (Public Law 92-544), or regulations and guidelines
promulgated
thereunder, including the rules and procedures promulgated by the
Council
under Article VI(1), regarding the use and dissemination of criminal
history
records and information.
Article IX. Renunciation
(1) This Compact shall bind each party state
until
renounced by the party state.
(2) Any renunciation of this Compact by a party
state must:
(a) Be effected in the same
manner by which the party state ratified this Compact; and
(b) Become effective 180
days after written notice of renunciation is provided by the party
state
to each other party state and to the Federal Government.
Article X. Severability
The provisions of this Compact are severable. If any phrase, clause, sentence, or provision of this Compact is declared to be contrary to the constitution of any participating state or to the Constitution of the United States or if the applicability of any phrase, clause, sentence, or provision of this Compact to any government, agency, person, or circumstance is held invalid, the validity of the remainder of this Compact and the applicability of the remainder of the Compact to any government, agency, person, or circumstance is not affected by the severability. If a portion of this Compact is held contrary to the constitution of any party state, all other portions of this Compact remain in full force and effect as to the remaining party states and in full force and effect as to the party state affected, as to all other provisions.
Article XI. Adjudication of Disputes
(1) The Council:
(a) Has initial authority
to make determinations with respect to any dispute regarding:
(i) Interpretation of this Compact;
(ii) Any rule or standard established by the Council pursuant to
Article
VI; and
(iii) Any dispute or controversy between any parties to this Compact;
and
(b) Shall hold a hearing
concerning any dispute described in subsection (1)(a) at a regularly
scheduled
meeting of the Council and only render a decision based upon a majority
vote of the members of the Council. The decision must be published
pursuant
to the requirements of Article VI(5).
(2) The FBI shall exercise immediate and necessary
action to preserve the integrity of the III System, to maintain system
policy and standards, to protect the accuracy and privacy of records,
and
to prevent abuses until the Council holds a hearing on the matters.
(3) The FBI or a party state may appeal any decision
of the Council to the Attorney General and after that appeal may file
suit
in the appropriate District Court of the United States that has
original
jurisdiction of all cases or controversies arising under this Compact.
Any suit arising under this Compact and initiated in a state court must
be removed to the appropriate District Court of the United States in
the
manner provided by section 1446 of Title 28, United States Code, or
other
statutory authority.
History: L. 2001, ch. 97, § 1; April 19.