
From the U.S. Code Online via GPO Access
[wais.access.gpo.gov]
[Laws in effect as of January 23, 2000]
[Document not affected by Public Laws enacted between
  January 23, 2000 and December 4, 2001]
[CITE: 42USC14616]

 
                 TITLE 42--THE PUBLIC HEALTH AND WELFARE
 
     CHAPTER 140--CRIMINAL JUSTICE IDENTIFICATION, INFORMATION, AND 
                              COMMUNICATION
 
  SUBCHAPTER II--EXCHANGE OF CRIMINAL HISTORY RECORDS FOR NONCRIMINAL 
                            JUSTICE PURPOSES
 
Sec. 14616. National Crime Prevention and Privacy Compact

    The Contracting Parties agree to the following:

                                Overview

(a) In general

    This Compact organizes an electronic information sharing system 
among the Federal Government and the States to exchange criminal history 
records for noncriminal justice purposes authorized by Federal or State 
law, such as background checks for governmental licensing and 
employment.

(b) Obligations of parties

    Under this Compact, the FBI and the Party States agree to maintain 
detailed databases of their respective criminal history records, 
including arrests and dispositions, and to make them available to the 
Federal Government and to Party States for authorized purposes. The FBI 
shall also manage the Federal data facilities that provide a significant 
part of the infrastructure for the system.

                         ARTICLE I--DEFINITIONS

    In this Compact:

                        (1) Attorney General

        The term ``Attorney General'' means the Attorney General of the 
    United States.

                         (2) Compact officer

        The term ``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

        The term ``Council'' means the Compact Council established under 
    Article VI.

                    (4) Criminal history records

        The term ``criminal history records''--
            (A) 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; and
            (B) does not include identification information such as 
        fingerprint records if such information does not indicate 
        involvement of the individual with the criminal justice system.

               (5) Criminal history record repository

        The term ``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.

                        (6) Criminal justice

        The term ``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) Criminal justice agency

        The term ``criminal justice agency''--
            (A) means--
                (i) courts; and
                (ii) a governmental agency or any subunit thereof that--
                    (I) performs the administration of criminal justice 
                pursuant to a statute or Executive order; and
                    (II) allocates a substantial part of its annual 
                budget to the administration of criminal justice; and

            (B) includes Federal and State inspectors general offices.

                    (8) Criminal justice services

        The term ``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) Criterion offense

        The term ``criterion offense'' means any felony or misdemeanor 
    offense not included on the list of nonserious offenses published 
    periodically by the FBI.

                         (10) Direct access

        The term ``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.

                        (11) Executive order

        The term ``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.

                              (12) FBI

        The term ``FBI'' means the Federal Bureau of Investigation.

                (13) Interstate Identification System

        The term ``Interstate Identification Index System'' or ``III 
    System''--
            (A) means the cooperative Federal-State system for the 
        exchange of criminal history records; and
            (B) includes the National Identification Index, the National 
        Fingerprint File and, to the extent of their participation in 
        such system, the criminal history record repositories of the 
        States and the FBI.

                   (14) National Fingerprint File

        The term ``National Fingerprint File'' means a database of 
    fingerprints, or other uniquely personal identifying information, 
    relating to an arrested or charged individual maintained by the FBI 
    to provide positive identification of record subjects indexed in the 
    III System.

                 (15) National Identification Index

        The term ``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.

                        (16) National indices

        The term ``National indices'' means the National Identification 
    Index and the National Fingerprint File.

                         (17) Nonparty State

        The term ``Nonparty State'' means a State that has not ratified 
    this Compact.

                  (18) Noncriminal justice purposes

        The term ``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.

                          (19) Party State

        The term ``Party State'' means a State that has ratified this 
    Compact.

                    (20) Positive identification

        The term ``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, 
    shall not constitute positive identification.

                   (21) Sealed record information

        The term ``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.

                             (22) State

        The term ``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

(a) FBI responsibilities

    The Director of the FBI shall--
        (1) appoint an FBI Compact officer who shall--
            (A) 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(c);
            (B) 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 
        Article III(1)(A); and
            (C) 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;

        (2) 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--
            (A) information from Nonparty States; and
            (B) 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;

        (3) 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 
    such records for criminal justice purposes has priority over 
    exchange for noncriminal justice purposes; and
        (4) 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.

(b) State responsibilities

    Each Party State shall--
        (1) appoint a Compact officer who shall--
            (A) administer this Compact within that State;
            (B) ensure that Compact provisions and rules, procedures, 
        and standards established by the Council under Article VI are 
        complied with in the State; and
            (C) regulate the in-State use of records received by means 
        of the III System from the FBI or from other Party States;

        (2) establish and maintain a criminal history record repository, 
    which shall provide--
            (A) information and records for the National Identification 
        Index and the National Fingerprint File; and
            (B) the State's III System-indexed criminal history records 
        for noncriminal justice purposes described in Article IV;

        (3) participate in the National Fingerprint File; and
        (4) provide and maintain telecommunications links and related 
    equipment necessary to support the services set forth in this 
    Compact.

(c) Compliance with III System standards

    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.

(d) Maintenance of record services

    (1) Use of the III System for noncriminal justice purposes 
authorized in this Compact shall be managed so as not to diminish the 
level of services provided in support of criminal justice purposes.
    (2) Administration of Compact provisions shall not reduce the level 
of service available to authorized noncriminal justice users on the 
effective date of this Compact.

                ARTICLE IV--AUTHORIZED RECORD DISCLOSURES

(a) State criminal history record repositories

    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 records) 
to State criminal history record repositories for noncriminal justice 
purposes allowed by Federal statute, Federal Executive order, or a State 
statute that has been approved by the Attorney General and that 
authorizes national indices checks.

(b) Criminal justice agencies and other governmental or nongovernmental 
        agencies

    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 records) 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 authorizes 
national indices checks.

(c) Procedures

    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--
        (1) ensure that records obtained under this Compact are used 
    only by authorized officials for authorized purposes;
        (2) require that subsequent record checks are requested to 
    obtain current information whenever a new need arises; and
        (3) 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

(a) Positive identification

    Subject fingerprints or other approved forms of positive 
identification shall be submitted with all requests for criminal history 
record checks for noncriminal justice purposes.

(b) Submission of State requests

    Each request for a criminal history record check utilizing the 
national indices made under any approved State statute shall 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 such request is transmitted through another State criminal 
history record repository or the FBI.

(c) Submission of Federal requests

    Each request for criminal history record checks utilizing the 
national indices made under Federal authority shall 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 such request originated. Direct access 
to the National Identification Index by entities other than the FBI and 
State criminal history records repositories shall not be permitted for 
noncriminal justice purposes.

(d) Fees

    A State criminal history record repository or the FBI--
        (1) may charge a fee, in accordance with applicable law, for 
    handling a request involving fingerprint processing for noncriminal 
    justice purposes; and
        (2) 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.

(e) Additional search

    (1) 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, shall be forwarded to the FBI for a search of 
the national indices.
    (2) If, with respect to a request forwarded by a State criminal 
history record repository under paragraph (1), the FBI positively 
identifies the subject as having a III System-indexed record or 
records--
        (A) the FBI shall so advise the State criminal history record 
    repository; and
        (B) the State criminal history record repository shall be 
    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

(a) Establishment

                           (1) In general

        There is established a council to be known as the ``Compact 
    Council'', which shall have 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.

                          (2) Organization

        The Council shall--
            (A) continue in existence as long as this Compact remains in 
        effect;
            (B) be located, for administrative purposes, within the FBI; 
        and
            (C) be organized and hold its first meeting as soon as 
        practicable after the effective date of this Compact.

(b) Membership

    The Council shall be composed of 15 members, each of whom shall be 
appointed by the Attorney General, as follows:
        (1) Nine members, each of whom shall serve a 2-year term, who 
    shall 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 shall be 
    eligible to serve on an interim basis.
        (2) Two at-large members, nominated by the Director of the FBI, 
    each of whom shall serve a 3-year term, of whom--
            (A) 1 shall be a representative of the criminal justice 
        agencies of the Federal Government and may not be an employee of 
        the FBI; and
            (B) 1 shall be a representative of the noncriminal justice 
        agencies of the Federal Government.

        (3) Two at-large members, nominated by the Chairman of the 
    Council, once the Chairman is elected pursuant to Article VI(c), 
    each of whom shall serve a 3-year term, of whom--
            (A) 1 shall be a representative of State or local criminal 
        justice agencies; and
            (B) 1 shall be a representative of State or local 
        noncriminal justice agencies.

        (4) 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.
        (5) One member, nominated by the Director of the FBI, who shall 
    serve a 3-year term, and who shall be an employee of the FBI.

(c) Chairman and Vice Chairman

                           (1) In general

        From its membership, the Council shall elect a Chairman and a 
    Vice Chairman of the Council, respectively. Both the Chairman and 
    Vice Chairman of the Council--
            (A) shall 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
            (B) shall serve a 2-year term and may be reelected to only 1 
        additional 2-year term.

                     (2) Duties of Vice Chairman

        The Vice Chairman of the Council shall serve as the Chairman of 
    the Council in the absence of the Chairman.

(d) Meetings

                           (1) In general

        The Council shall meet at least once each year at the call of 
    the Chairman. Each meeting of the Council shall 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 such meeting.

                             (2) Quorum

        A majority of the Council or any committee of the Council shall 
    constitute a quorum of the Council or of such 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.

(e) Rules, procedures, and standards

    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.

(f) Assistance from FBI

    The Council may request from the FBI such reports, studies, 
statistics, or other information or materials as 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 such 
assistance or information upon such a request.

(g) Committees

    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 shall take effect upon being entered into by 2 or more 
States as between those States and the Federal Government. Upon 
subsequent entering into this Compact by additional States, it shall 
become effective among those States and the Federal Government and each 
Party State that has previously ratified it. When ratified, this Compact 
shall have the full force and effect of law within the ratifying 
jurisdictions. The form of ratification shall be in accordance with the 
laws of the executing State.

                 ARTICLE VIII--MISCELLANEOUS PROVISIONS

(a) Relation of Compact to certain FBI activities

    Administration of this Compact shall 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.

(b) No authority for nonappropriated expenditures

    Nothing in this Compact shall require the FBI to obligate or expend 
funds beyond those appropriated to the FBI.

(c) Relating to Public Law 92-544

    Nothing in this Compact shall diminish or lessen 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(a), regarding the use and dissemination of 
criminal history records and information.

                        ARTICLE IX--RENUNCIATION

(a) In general

    This Compact shall bind each Party State until renounced by the 
Party State.

(b) Effect

    Any renunciation of this Compact by a Party State shall--
        (1) be effected in the same manner by which the Party State 
    ratified this Compact; and
        (2) 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 shall be severable, and 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 the applicability thereof to any 
government, agency, person, or circumstance is held invalid, the 
validity of the remainder of this Compact and the applicability thereof 
to any government, agency, person, or circumstance shall not be affected 
thereby. If a portion of this Compact is held contrary to the 
constitution of any Party State, all other portions of this Compact 
shall 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

(a) In general

    The Council shall--
        (1) have initial authority to make determinations with respect 
    to any dispute regarding--
            (A) interpretation of this Compact;
            (B) any rule or standard established by the Council pursuant 
        to Article V; and
            (C) any dispute or controversy between any parties to this 
        Compact; and

        (2) hold a hearing concerning any dispute described in paragraph 
    (1) at a regularly scheduled meeting of the Council and only render 
    a decision based upon a majority vote of the members of the Council. 
    Such decision shall be published pursuant to the requirements of 
    Article VI(e).

(b) Duties of FBI

    The FBI shall exercise immediate and necessary action to preserve 
the integrity of the III System, maintain system policy and standards, 
protect the accuracy and privacy of records, and to prevent abuses, 
until the Council holds a hearing on such matters.

(c) Right of appeal

    The FBI or a Party State may appeal any decision of the Council to 
the Attorney General, and thereafter may file suit in the appropriate 
district court of the United States, which shall have original 
jurisdiction of all cases or controversies arising under this Compact. 
Any suit arising under this Compact and initiated in a State court shall 
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.

(Pub. L. 105-251, title II, Sec. 217, Oct. 9, 1998, 112 Stat. 1876.)

                       References in Text

    The Privacy Act of 1974, referred to in Article IV(a), (b), is Pub. 
L. 93-579, Dec. 31, 1974, 88 Stat. 1896, as amended, which enacted 
section 552a of Title 5, Government Organization and Employees, and 
provisions set out as notes under section 552a of Title 5. For complete 
classification of this Act to the Code, see Short Title note set out 
under section 552a of Title 5 and Tables.
    The Federal Advisory Committee Act, referred to in Article VIII(a), 
is Pub. L. 92-463, Oct. 6, 1972, 86 Stat. 770, as amended, which is set 
out in the Appendix to Title 5, Government Organization and Employees.
    The Departments of State, Justice, and Commerce, the Judiciary, and 
Related Agencies Appropriation Act, 1973, referred to in Article 
VIII(c), is Pub. L. 92-544, Oct. 25, 1972, 86 Stat. 1109, as amended. 
For complete classification of this Act to the Code, see Tables.

                  Section Referred to in Other Sections

    This section is referred to in sections 14612, 14613 of this title.
