U.S. Department of Justice
Office of Justice Programs
Bureau of Justice Statistics


Resource Materials on the
National Crime Prevention
and Privacy Compact


Jan M. Chaiken, Ph.D.
Director

Acknowledgments

This report was prepared by SEARCH, The National Consortium
for Justice Information and Statistics, Kenneth E. Bischoff,
Chairman, and Gary R. Cooper, Executive Director. The project
director was Sheila J. Barton, Deputy Executive Director. Twyla R.
Cunningham, Manager, Corporate Communications, and Jane L.
Bassett, Publishing Assistant, provided editing and layout
assistance. The federal project monitor was Carol G. Kaplan,
Chief, National Criminal History Improvement Programs, Bureau
of Justice Statistics.

Report of work performed under BJS Grant No. 96-BJ-CX-K010,
awarded to SEARCH Group, Inc., 7311 Greenhaven Drive, Suite
145, Sacramento, California  95831.  Contents of this document do
not necessarily reflect the views or policies of the Bureau of Justice
Statistics or the U.S. Department of Justice.

Copyright (c) SEARCH, The National Consortium for Justice
Information and Statistics 1998.

The U.S. Department of Justice authorizes any person to
reproduce, publish, translate or otherwise use all or any part of the
copyrighted material in this publication with the exception of those
items indicating they are copyrighted or printed by any source
other than SEARCH, The National Consortium for Justice
Information and Statistics.

Contents

Introduction   1
Section I: The System    2
Role and Benefits of the Interstate Identification Index System  2
A National System   2
State Role     2
Decentralization    2
Benefits  2
Elimination of Duplication    2
Increased Record Quality 3
Increased System Security     3
Faster Response Times    3
Cost Savings   3
Uniform Dissemination Standard     3
     
Minimum Standards for State Participation in the
   Interstate Identification Index 4
Fingerprint Identification Matters 4
Record Content and III Maintenance 4
Record Response     4
Accountability 4

Section II: The Compact  5
Major Provisions of the National Crime Prevention and Privacy
Compact 5
      
The Importance of the National Crime Prevention and Privacy
Compact 5
Assured Record Availability   6
Uniform Interstate Dissemination Policy 6
Strong State Role   6

National Crime Prevention and Privacy Compact and
   Section-by-Section Analysis     7

Section III: Correspondence   21

Introduction


This report consists of several informational resources relating to
the proposed National Crime Prevention and Privacy Compact
(Compact). Adoption of the Compact by the U.S. Congress and the
States will facilitate the full implementation of the Interstate
Identification Index (III) as a decentralized system for the
exchange of criminal history records for noncriminal justice
purposes among States and the Federal government. 

Included in this report are the following materials:
* An overview of the III system, including information setting
forth its benefits;
* A list of the minimum standards for State participation in the III;
* A summary of the major provisions of the Compact;
* A summary of the importance of the Compact's ratification to
further implementation of the III system;
* A copy of the Compact, along with a section-by-section analysis;
and 
* Correspondence from the U.S. Department of Justice relating to
the introduction of the Compact in the Congress.

The purpose of the Compact is to authorize and require
participating State criminal history repositories and the Federal
Bureau of Investigation (FBI) to make all unsealed criminal history
records available in response to authorized noncriminal justice
requests, for such purposes as background checks on those seeking
employment with children or the elderly. The requests will be
fingerprint-supported, and the dissemination and use of the records
will be governed by the receiving State's laws.

When ratified, the Compact will eliminate the duplicate
maintenance of criminal history records by the States and the FBI.
The Compact was introduced first in Congress, which has adopted
it. State legislatures may now ratify the Compact in essentially
identical form. No ratifying State may thereafter unilaterally
amend the Compact. The Compact supersedes any conflicting State
laws in States where it is adopted. This will result in a uniform
dissemination policy among States, while still ensuring that
each State may apply its own laws within the State.

The governor-appointed Membership Group of SEARCH, The
National Consortium for Justice Information and Statistics, has
formally endorsed the Compact. In addition, the Advisory Policy
Board to the Criminal Justice Information Services Division of the
FBI and the National Sheriffs' Association have endorsed the
Compact.

The Compact was included in Senate Bill 2022, which was passed
by Congress and signed into law by the president in October 1998.
***Footnote 1:  Title II of Pub. L. 105-251*

Section I: The System

Role and Benefits of the
Interstate Identification Index
System

A National System
The Interstate Identification Index (III), is an "index-pointer"
criminal history record system that ties the computerized files of
the FBI and the State-level centralized files maintained by each
State into a national system. This system will serve as the vehicle
for the National Instant Criminal Background Check System
(NICS) that will be used for point-of-sale screening of firearm
purchasers.

The FBI maintains the III system's automated index, which can be
accessed by Federal, State and local criminal justice agencies
throughout the country to conduct name searches to determine
whether a particular individual has a criminal record anywhere in
the country and, if so, to be pointed to the Federal or State file(s)
from which the record(s) may be obtained on-line. The FBI also
maintains the National Fingerprint File (NFF) which contains
fingerprints of all the individuals in the index. The NFF provides a
means of positive identification of subjects in the index and can be
searched to identify individuals who give false names to police
or employers in an attempt to hide their criminal pasts.

State Role
States can participate in the III system in two phases: 

* In the first phase, the State's centralized criminal history record
repository agrees to make its III-indexed records available in
response to requests from Federal or out-of-State criminal justice
agencies for criminal justice purposes. During this phase, the FBI
continues to maintain duplicate records of offenders from this State
in order to meet the needs of Federal and out-of-State noncriminal
justice agencies that need the records for employment screening
and other authorized noncriminal justice purposes. 

* In the second phase of participation, a State agrees to make its
III-indexed records available on an interstate and Federal-State
basis for both criminal justice and noncriminal justice purposes. 

The Compact is privacy-neutral in that it respects the intrastate
dissemination laws for each State. At the same time, it permits
ratifying states with sufficient interstate record-dissemination
authority to become full participants in the III system.

Decentralization
As particular States become full III participants in the course of the
ongoing phased implementation of the system, the FBI ceases to
maintain duplicate criminal records for persons arrested and
prosecuted in those States. Eventually, when all of the States have
become full III participants, the FBI's centralized files of State
offender records will be discontinued and all users of criminal
history records - for criminal justice purposes as well as authorized
noncriminal justice purposes - will obtain those records directly
from the States' central computerized files (or from the FBI if the
offender has a Federal record). 

Benefits
Elimination of Duplication
Duplicate maintenance of criminal history records by the States
and the FBI, and attendant costs, will be eliminated.

* The States will be relieved of the burden and cost of submitting
arrest fingerprints and charge/disposition data to the FBI for all
arrests for felonies and serious misdemeanors. Instead, they will
submit only fingerprints and textual identification data for each
person's first arrest, to update the III automated index and the NFF.

* The FBI will be relieved of the burden and cost of maintaining
records on State offenders and receiving and processing fingerprint
cards for all State arrests. Instead, it will maintain the III automated
index, the NFF and full criminal records of Federal offenders.

Increased Record Quality
There will be an increase in the completeness of records made
available on an interstate basis for both criminal justice and
noncriminal justice purposes, including the screening of firearms
purchasers and child care providers through the NICS. This is
because records maintained in the State repositories are more
up-to-date than the FBI's files. Also, many of the States maintain
records of some misdemeanor offenses that have not been
submitted to the FBI. These records will become available through
the III system for NICS purposes and other authorized uses.

Increased System Security
There will be an increase in system security through the use of
written agreements with all user agencies covering authorized
access, transaction logging and record validation by record
providers.

Faster Response Times
Some noncriminal justice users will enjoy faster response times
because they will be receiving electronic responses rather than
mailed record responses from the FBI and because of increased
efficiency at the State level resulting from increased automation
and system improvements preceding III participation.

Cost Savings
In most States (those that already have efficient automated
systems), full participation in the III system will result in no
significant new burdens and probably will result in overall cost
savings. Evaluations of the NFF Pilot Project, which is
implementing the decentralization phase of III on a State-by-State
basis, have confirmed that start-up costs are reasonable and
that the FBI and the four participating States have experienced cost
savings. In the States, savings have also been realized at the local
level because fingerprint cards for the FBI no longer need to be
prepared for second and subsequent offenses.

Uniform Dissemination Standard
Ratification of the Compact will establish a uniform nationwide
standard governing the interstate dissemination of criminal history
records for noncriminal justice purposes. 

* This will ensure that Federal agencies will continue to receive the
State records they need to screen persons for employment in
sensitive positions and for other authorized purposes and that
authorized State agencies will continue to receive the out-of-State
records they need to screen State employees and licensees.

* Each State will determine what criminal history record
information is disseminated within its borders for noncriminal
justice purposes.  States will continue to apply their own
dissemination laws to in-State use of their own records and they
will screen out-of-State records received through III pursuant to
their own laws.

Minimum Standards for State
Participation in the Interstate
Identification Index

A State must meet the following minimum standards to participate
in the III:  ***Footnote 2:   Source: U.S. Department of Justice,
Federal Bureau of Investigation, Interstate Identification Index
Program - Operational and Technical Manual, pp. Intro-8 - Intro-9
(August 1, 1994).***

Fingerprint Identification Matters
Standard No. 1 - The State has a central repository for criminal
history record information with fingerprint identification
capability; that is, the ability to match fingerprint impressions.
Although full technical fingerprint search capability is desirable, it
is not a requirement.

Standard 2 - The State's central repository serves as the sole
conduit for the transmission of arrest, judicial and correctional
fingerprint cards for criterion offenses within the State to the FBI
(single-source submission). Submission of related final disposition
reports and expungements to the Identification Division via the
central repository is desirable.  Single-source submission of
information to the FBI should not be unduly delayed by the State
agency. 

Standard 3 - The central repository maintains the subject's
fingerprint impressions or a copy thereof as the basic source
document of each Index record and to support each arrest event in
the criminal history record.

Standard 4 - The central repository agrees to continue submitting
all criterion arrest, court and correctional fingerprint cards and,
when possible, the related final disposition reports to the FBI until
such time as a study is completed regarding the NFF and approval
is given to submitting only the first arrest fingerprint card
(single-print submission).

Record Content and III Maintenance
Standard No. 5 - Each record maintained by the State contains all
known arrest, disposition and custody-supervision data for that
State. 

Standard No. 6 - The State agrees to remove or expunge the State
Identification Number (SID) from a III record when corresponding
record data no longer exist at the State level. 

Standard No. 7 - The State agrees to conduct a regularly scheduled
audit to identify discrepancies and synchronize III records pointing
to the State's database.

Standard No. 8 - Record completeness, accuracy and timeliness are
considered by the State to be of primary importance and are
maintained at the highest level possible.

Record Response
Standard No. 9 - The State agrees to respond immediately to III
record requests via the National Law Enforcement
Telecommunications System with the record or an
acknowledgment and notice when the record will be
provided.
               
Standard No. 10 - Record responses will have any alphabetic
and/or numeric codes translated to literals (words or easily
understood abbreviations) in order that the record responses can be
readily understood.

Standard No. 11 - The State agrees not to include in its III response
any out-of-State criminal history record information maintained in
its files.

Accountability
Standard 12 - A single agency within each State agrees to be
responsible for ensuring that the standards of participation are met.

Standard 13 - The State agrees to maintain records and provide
dissemination in accordance with the civil and constitutional rights
of individuals reflected in the records.

Standard 14 - The State agency executes a written agreement with
the FBI to comply with the standards of participation.

Section II: The Compact

Major Provisions of the
National Crime Prevention
and Privacy Compact

Major provisions of the proposed National Crime Prevention and
Privacy Compact include the following:

* The Compact will bind the FBI and ratifying States to participate
in the noncriminal justice access program of III in accordance with
the Compact and established system policies.

* Authorized users will be the same as those currently authorized
to obtain records from the FBI's files.

* Participating State repositories will be authorized and required to
make all unsealed criminal history records available in response to
authorized noncriminal justice requests.

* All noncriminal justice access to the system will be through the
FBI and the State repositories and will be based upon fingerprint
identification of record subjects to ensure positive identification.

* Release and use of information obtained through the system for
noncriminal justice purposes will be governed by the laws of the
receiving States, and the receiving repositories will be required to
screen record responses and delete any information that cannot be
released legally within the State.

* The Compact will establish a compact council, composed of
Federal and State officials and other members representing user
interests, to establish operating policies for noncriminal justice
uses of the III system.

Ratification of the Compact has not yet been made a condition of
State participation in III. It is expected that all participating States
will ratify the Compact since, in most States, the Compact will
provide record dissemination authority now lacking under State
laws. 

The Importance of the
National Crime Prevention
and Privacy Compact

Ratification of the interstate Compact by the Congress and by the
States is critical to further implementation of the decentralization
phase of the III system for three main reasons:

Assured Record Availability
First, as the FBI's files of State criminal history records are
decentralized, the FBI loses its ability to ensure that records will be
available to the many agencies, including large Federal agencies,
that are authorized by Federal law to obtain criminal history
records for specified purposes. Such agencies will become
dependent on records supplied by the State repositories, and there
needs to be some means of assuring that these records will remain
available for all authorized III users and purposes.

An interstate compact is the most effective means of providing
such long-term assurances. Once in effect, a compact cannot
unilaterally be amended in any material respect by any party. Such
a party can only renounce the compact completely and
renunciation of a compact that has been ratified by the States in
reliance on mutual obligations solemnly undertaken by all of them
would be an extremely serious undertaking for any State. For these
reasons, a compact is preferable to uniform State laws or
independent State legislative action as a means to bind the States to
long-term III participation.

Uniform Interstate Dissemination Policy
Second, compacts supersede conflicting State laws; thus,
ratification of the Compact by the States will have the effect of
amending some of their record dissemination laws. The Compact
amends the dissemination laws to the extent necessary to overcome
existing restrictions that keep most State repositories from being
able to participate in the III system as providers of records for
noncriminal justice purposes. Further, after ratifying the Compact,
no State will be able to reinstitute any such restrictions by
legislation because any such statute would be in conflict with the
Compact and thus void.

Only one or two more States can participate in the NFF under
existing legal authority. The others will need to amend their record
dissemination laws and, for the reasons mentioned above, a
compact is the best way to accomplish such amendments in a
consistent and lasting manner.

Strong State Role
Finally, the States need assurances that they will have a policy
voice sufficient to protect their interests as the III system evolves
in the future. The FBI will maintain the III automated index and
the NFF and will, therefore, be in a strong position to influence
future developments affecting the system. However, since the
records available through the system will be predominantly
State-maintained records, the States need to be able to ensure that
uses of those records will be consistent with their concerns in areas
such as individual privacy, system security and data quality.

The Compact provides these assurances by establishing a
policymaking ouncil with authority to oversee the use of the III
system for noncriminal justice purposes. A majority of the
members of the council must be State officials selected by the
participating States. Since the council will have authority to
establish policy affecting some aspects of FBI operations, the
Compact must be ratified by the U.S. Congress.

National Crime Prevention
and Privacy Compact and Section-by-Section Analysis

Senate Bill 2022, which includes the Compact, was passed by
Congress and signed into law by the president in October 1998.  
***Footnote 3:   Title II of Pub. L. 105-251.***

 The section-by-section analysis of the Compact is a statement of
Sen. Mike DeWine (R-OH), which was read into the October 16,
1998, edition of the Congressional Record.***Footnote 4:   Cong.
Rec. S12671-S12673 (daily ed. October 16, 1998) (statement of
Sen. DeWine).***

TITLE II-NATIONAL CRIMINAL HISTORY ACCESS AND
CHILD PROTECTION ACT

Section 201. Short Title.

This title may be cited as the "National Criminal History Access
and Child Protection Act".

Subtitle A-Exchange of Criminal History Records for Noncriminal
Justice Purposes Section 211. Short Title.
This subtitle may be cited as the "National Crime Prevention and
Privacy Compact Act of 1998".

Section 212. Findings.

Congress finds that-

(1) both the Federal Bureau of Investigation and State criminal
history record repositories maintain fingerprint-based criminal
history records;

(2) these criminal history records are shared and exchanged for
criminal justice purposes through a Federal-State program known
as the Interstate Identification Index System;

(3) although these records are also exchanged for legally
authorized, noncriminal justice uses, such as governmental
licensing and employment background checks, the purposes for
and procedures by which they are exchanged vary widely from
State to State;

(4) an interstate and Federal-State compact is necessary to facilitate
authorized interstate criminal history record exchanges for
noncriminal justice purposes on a uniform basis, while permitting
each State to effectuate its own dissemination policy within its own
borders; and 

(5) such a compact will allow Federal and State records to be
provided expeditiously to governmental and nongovernmental
agencies that use such records in accordance with pertinent Federal
and State law, while simultaneously enhancing the accuracy of the
records and safeguarding the information contained therein from
unauthorized disclosure or use.

Section 213. Definitions.

In this subtitle:

(1) ATTORNEY GENERAL.-The term "Attorney General" means
the Attorney General of the United States.

(2) COMPACT.-The term "Compact" means the National Crime
Prevention and Privacy Compact set forth in section 217.

(3) COUNCIL.-The term "Council" means the Compact Council
established under Article VI of the Compact.

(4) FBI.-The term "FBI" means the Federal Bureau of
Investigation.

(5) PARTY STATE.-The term "Party State" means a State that has
ratified the Compact.

(6) STATE.-The term "State" means any State, territory, or
possession of the United States, the District of Columbia, and the
Commonwealth of Puerto Rico.

Section 214. Enactment and Consent of the United States.

The National Crime Prevention and Privacy Compact, as set forth
in section 217, is enacted into law and entered into by the Federal
Government. The consent of Congress is given to States to enter
into the Compact.

Section 215. Effect on Other Laws.

(a) PRIVACY ACT OF 1974.-Nothing in the Compact shall affect
the obligations and responsibilities of the FBI under section 552a
of title 5, United States Code (commonly known as the "Privacy
Act of 1974").

(b) ACCESS TO CERTAIN RECORDS NOT AFFECTED.

-Nothing in the Compact shall interfere in any manner with-

(1) access, direct or otherwise, to records pursuant to-

(A) section 9101 of title 5, United States Code;

(B) the National Child Protection Act;

(C) the Brady Handgun Violence Prevention Act (Public Law
l03-l59; 107 Stat. 1536);

(D) the Violent Crime Control and Law Enforcement Act of 1994
(Public Law 103-322; 108 Stat. 2074) or any amendment made by
that Act; 

(E) the United States Housing Act of 1937 (42 U.S.C. 1437 et
seq.); or

(F) the Native American Housing Assistance and
Self-Determination Act of 1996 (25 U.S.C. 4101 et seq.); or

(2) any direct access to Federal criminal history records authorized
by law.

(c) AUTHORITY OF FBI UNDER DEPARTMENTS OF STATE,
JUSTICE, AND COMMERCE, THE JUDICIARY, AND
RELATED AGENCIES APPROPRIATION ACT, 1973.-Nothing
in the Compact shall be construed to affect the authority of the FBI
under the Departments of State, Justice, and Commerce, the
Judiciary, and Related Agencies Appropriation Act, 1973 (Public
Law 92-544 (86 Stat. 1115)).

(d) FEDERAL ADVISORY COMMITTEE ACT.-The Council
shall not be considered to be a Federal advisory committee for
purposes of the Federal Advisory Committee Act (5 U.S.C. App.).

(e) MEMBERS OF COUNCIL NOT FEDERAL OFFICERS OR
EMPLOYEES.-Members of the Council (other than a member
from the FBI or any at-large member who may be a Federal official
or employee) shall not, by virtue of such membership, be deemed-

(1) to be, for any purpose other than to effect the Compact, officers
or employees of the United States (as defined in sections 2104 and
2105 of title 5, United States Code); or

(2) to become entitled by reason of Council membership to any
compensation or benefit payable or made available by the Federal
Government to its officers or employees.

Section 216. Enforcement and Implementation.

All departments, agencies, officers, and employees of the United
States shall enforce the Compact and cooperate with one another
and with all Party States in enforcing the Compact and effectuating
its purposes. For the Federal Government, the Attorney General
shall make such rules, prescribe such instructions, and take such
other actions as may be necessary to carry out the Compact and
this subtitle.

Section 217. 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 A 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:

(l) 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 a 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.

NATIONAL CRIME PREVENTION AND PRIVACY
COMPACT OF
THE NATIONAL CRIMINAL HISTORY ACCESS AND CHILD
PROTECTION ACT SECTION-BY-SECTION ANALYSIS

Section 211.-This section provides the short title of the Act.

Section 212.-This section sets forth the congressional findings
upon which the Act is predicated. The section reflects
congressional determinations that both the FBI and the states
maintain fingerprint-based criminal history records and exchange
them for criminal justice purposes and also, to the extent
authorized by federal law and the laws of the various states, use the
information contained in these records for certain noncriminal
justice purposes. Although this system has operated for years on a
reciprocal, voluntary basis, the exchange of records for
noncriminal justice purposes has been hampered by the fact that
the laws and policies of the states governing the noncriminal
justice use of criminal history records and the procedures by which
they are exchanged vary widely. A compact will establish a
uniform standard for the interstate and federal-state exchange
of criminal history records for noncriminal justice purposes, while
permitting each state to continue to enforce its own record
dissemination laws within its own borders. A compact will also
facilitate the interstate and federal-state exchange of information
by clarifying the obligations and responsibilities of the respective
parties, streamlining the processing of background search
applications and eliminating record maintenance duplication at the
federal and state levels. Finally, the compact will provide a
mechanism for establishing and enforcing uniform standards
governing record accuracy and protecting the confidentiality and
privacy interests of record subjects.

Section 213.-This section sets out definitions of key terms used in
this subtitle. Definitions of key terms used in the compact are set
out in Article I of the compact.

Section 214.-This section formally enacts the compact into federal
law, makes the United States a party, and consents to entry into the
Compact by the States.

Section 215.-This section outlines the effect of the Compact's
enactment on certain other laws. First, subsection (a) provides that
the Compact is deemed to have no effect on the FBI's obligations
and responsibilities under the Privacy Act. The Privacy Act
became effective in 1975, and can generally be characterized as a
federal code of fair information practices regarding individuals.
The Privacy Act regulates the collection, maintenance, use, and
dissemination of personal information by the federal government.
This Section makes clear that the Compact will neither expand nor
diminish the obligations imposed on the FBI by the Privacy Act.
All requirements relating to collection, disclosure and
administrative matters remain in effect, including standards
relating to notice, accuracy and security measures.

Second, enactment of the Compact will neither expand nor
diminish the responsibility of the FBI and the state criminal history
record repositories to permit access, direct or otherwise, to criminal
history records under the authority of certain other federal laws
(enumerated in subsection (b)(1)). 

These laws include the following:

The Security Clearance Information Act (Section 9101 of Title 5,
United States Code) requires state and local criminal justice
agencies to release criminal history record information to certain
federal agencies for national security background checks.

The Brady Handgun Violence Prevention Act prescribes a waiting
period before the purchase of a handgun may be consummated in
order for a criminal history records check on the purchaser to be
completed, and also establishes a national instant background
check system to facilitate criminal history checks of firearms
purchasers. Under this system, licensed firearms dealers are
authorized access to the national instant background check system
for purposes of complying with the background check requirement.

The National Child Protection Act of 1993 (42 U.S.C.  5119a)
authorizes states with appropriate state statutes to access and
review state and federal criminal history records through the
national criminal history background check system for the purpose
of determining whether care providers for children, the elderly and
the disabled have criminal histories bearing upon their fitness to
assume such responsibilities.

The Violent Crime Control and Law Enforcement Act of 1994
authorizes federal and state civil courts to have access to FBI
databases containing criminal history records, missing person
records and court protection orders for use in connection with
stalking and domestic violence cases. 

The United States Housing Act of 1937, as amended by the
Housing Opportunity Program Extension Act of 1996, authorizes
public housing authorities to obtain federal and state criminal
conviction records relating to public housing applicants or tenants
for purposes of applicant screening, lease enforcement and
eviction. 

The Native American Housing Assistance and Self-Determination
Act authorizes Indian tribes or tribally designated housing entities
to obtain federal and state conviction records relating to applicants
for or tenants of federally assisted housing for purposes of
applicant screening, lease enforcement and eviction. Nothing in the
Compact would alter any rights of access provided under these
laws.

Subsection (b)(2) provides that the compact shall not affect any
direct access to federal criminal history records authorized by law.
Under  existing legal authority, the FBI has provided direct
terminal access to  certain federal agencies, including the Office of
Management and Budget and the Immigration and Naturalization
Service, to facilitate the processing of large numbers of
background search requests by these agencies for such purposes as
federal employment, immigration and naturalization matters, and
the issuance of security clearances. This access will not be affected
by the compact.

Subsection (c) provides that the Compact's enactment will not
affect the FBI's authority to use its criminal history records for
noncriminal justice purposes under Public Law 92-544-the State,
Justice, Commerce Appropriations Act of 1973. This law restored
the Bureau's authority to exchange its identification records with
the states and certain other organizations or entities, such as
federally chartered or insured banking institutions, for employment
and licensing purposes, after a federal district court had declared
the FBI's practice of doing so to be without foundation.
(See Menard v. Mitchell, 328 F. Supp. 718 (D.D.C. 1971)).
 
Subsection (d) provides that the Council created by the Compact to
facilitate its administration is deemed not to be a federal advisory
committee as defined under the Federal Advisory Committee Act.
This provision is necessary since nonfederal employees will sit on
the Compact Council together with federal personnel and the
Council may from time to time be called upon to provide the
Director of the FBI or the Attorney General with collective advice
on the administration of the Compact. 

Without this stipulation, such features might cause the Council to
be considered an advisory committee within the meaning of the
Federal Advisory Committee Act. Even though the Council will
not be considered an advisory committee for purposes of the Act, it
will hold public meetings.

Similarly, to avoid any question on the subject, Subsection (e)
provides that members of the Compact Council will not be deemed
to be federal employees or officers by virtue of their Council
membership for any purpose other than to effect the Compact.
Thus, state officials and other nonfederal personnel who are
appointed to the Council will be considered federal officials only
to the extent of their roles as Council members. They
will not be entitled to compensation or benefits accruing to federal
employees or officers, but they could receive reimbursement from
federal funds for travel and subsistence expenses incurred in
attending council meetings.

Section 216.-This Section admonishes all federal personnel to
enforce the Compact and to cooperate in its implementation. It also
directs the U.S. Attorney General to take such action as may be
necessary to implement the Compact within the federal
government, including the promulgation of regulations.

Section 217.-This is the core of the subtitle and sets forth the text
of the Compact:

Overview. This briefly describes what the Compact is and how it is
meant to work. Under the Compact, the FBI and the states agree to
maintain their respective databases of criminal history records and
to make them available to Compact parties for authorized purposes
by means of an electronic information sharing system established
cooperatively by the federal government and the states.

Article I-Definitions. This article sets out definitions for key terms
used in the Compact. Most of the definitions are substantially
identical to definitions commonly used in federal and state laws
and regulations relating to criminal history records and need no
explanation. However, the following definitions merit comment:

(20) Positive Identification. This term refers, in brief, to
association of a person with his or her criminal history record
through a comparison of fingerprints or other equally reliable
biometric identification techniques. Such techniques eliminate or
substantially reduce the risks of associating a
person with someone else's record or failing to find a record of a
person who uses a false name. At present, the method of
establishing positive identification in use in criminal justice
agencies throughout the United States is based upon comparison of
fingerprint patterns, which are essentially unique and unchanging
and thus provide a highly reliable basis for identification. It is
anticipated that this method of positive identification will remain
in use for many years to come, particularly since federal and state
agencies are investing substantial amounts of money to acquire
automated fingerprint identification equipment and related devices 
which facilitate the capturing and transmission of fingerprint
images and provide searching and matching methods that are
efficient and highly accurate. However, there are other biometric
identification techniques, including retinal scanning, voice-print
analysis and DNA typing, which might be adapted for criminal
record identification purposes. The wording of the definition
contemplates that at some future time the Compact Council might
authorize the use of one or more of these techniques for
establishing positive identification, if it determines that the
reliability of such technique(s) is at least equal to the reliability of
fingerprint comparison.

(21) Sealed Record Information. Article IV, paragraph (b), permits
the FBI and state criminal history record repositories to delete
sealed record information when responding to an interstate record
request pursuant to the Compact. Thus, the definition of "sealed"
becomes important, particularly since state sealing laws vary
considerably, ranging from laws that are quite restrictive in their
application to others that are very broad.  The definition set out
here is intended to be a narrow one in keeping with a
basic tenet of the Compact-that state repositories shall 
release as much information as possible for interstate exchange
purposes, with issues concerning the use of particular information
for particular purposes to be decided under the laws of the
receiving states. Consistent with the definition, an adult record, or
a portion of it, may be considered sealed only if its release for
noncriminal justice purposes has been prohibited by a court order
or by action of a designated official or board, such as a State
Attorney General or a Criminal Record Privacy Board,
acting pursuant to a federal or state law. Further, to qualify under
the definition, a court order, whether issued in response to a
petition or on the court's own motion, must apply only to a
particular record subject or subjects referred to by name in the
order. So-called "blanket" court orders applicable to multiple
unnamed record subjects who fall into particular classifications or
circumstances, such as first-time non-serious drug offenders, do
not fit the definition. Similarly, sealing orders issued by
designated officials or boards acting pursuant to statutory authority
meet the definition only if such orders are issued in response to
petitions filed by individual record subjects who are referred to by
name in the orders. So-called "automatic" sealing laws, which
restrict the noncriminal justice use of the records of certain defined
classes of individuals, such as first-time offenders who
successfully complete probation terms, do not satisfy the
definition, because they do not require the filing of individual
petitions and the issuance of individualized sealing orders.

Concerning juvenile records, each state is free to adopt whatever
definition of sealing it prefers.

Article II-Purposes. Five purposes are listed: creation of a legal
framework for establishment of the Compact; delineation of the
FBI's obligations under the Compact; delineation of the obligations
of party states; creation of a Compact Council to monitor system
operations and promulgate necessary rules and procedures; and,
establishment of an obligation by the parties to adhere to the
Compact and its related rules and standards.

Article III-Responsibilities of Compact Parties. This article details
FBI and state responsibilities under the Compact and provides for
the appointment of Compact Officers by the FBI and by party
states. Compact officers shall have primary responsibility for
ensuring the proper administration of the Compact within their
jurisdictions.

The FBI is required to provide criminal history records maintained
in its automated database for noncriminal justice purposes
described in Article IV of the Compact. These responses will
include federal criminal history records and, to the extent that the
FBI has such data in its files, information from non-Compact
States and information from Compact States relating to records
which such states cannot provide through the III System. The FBI
is also responsible for providing and maintaining the centralized
system and equipment necessary for the Compact's success and
ensuring that requests made for criminal justice purposes will have
priority over requests made for noncriminal justice purposes.

State responsibilities are similar. Each Party State must grant other
states access to its III system-indexed criminal history records for
authorized noncriminal justice purposes and must submit to the
FBI fingerprint records and subject identification information that
are necessary to maintain the national indices. Each state must
comply with duly established system rules, procedures, and
standards. Finally, each state is responsible for providing and
maintaining the telecommunications links and equipment
necessary to support system operations within that state.

Administration of Compact provisions will not be permitted to
reduce the level of service available to authorized criminal justice
and noncriminal justice users on the effective date of the Compact.

Article IV-Authorized Record Disclosures. This article requires the
FBI, to the extent authorized by the Privacy Act, and the state
criminal history record repositories to provide criminal history
records to one another for use by governmental or
nongovernmental agencies for noncriminal justice
purposes that are authorized by federal statute, by federal executive
order, or by a state statute that has been approved by the U.S.
Attorney General.

Compact parties will be required to provide criminal history
records to other compact parties for noncriminal justice uses that
are authorized by law in the requesting jurisdiction even though the
law of the responding jurisdiction does not authorize such uses
within its borders. Further, the responding party must provide all of
the criminal history record information it holds on the individual
who is the subject of the request (deleting only sealed record
information) and the law of the requesting jurisdiction will
determine how much of the information will actually be 
released to the noncriminal justice agency on behalf of which the
request  was made. This approach provides a uniform
dissemination standard for interstate exchanges, while permitting
each compact party to enforce its  own record dissemination laws
within its borders.

To provide uniformity of interpretation, state laws authorizing
noncriminal justice uses of criminal history records under this
article must be reviewed by the U.S. Attorney General to ensure
that the laws explicitly authorize searches of the national indices.

Records provided through the III System pursuant to the Compact
may be used only by authorized officials for authorized purposes.
Compact officers must establish procedures to ensure compliance
with this limitation as well as procedures to ensure that criminal
history record information provided for noncriminal justice
purposes is current and accurate and is protected from
unauthorized release. Further, procedures must be established to
ensure that records received from other compact
parties are screened to ensure that only legally authorized
information is released. For example, if the law of the receiving
jurisdiction provides that only conviction records may be released
for a particular noncriminal justice purpose, all other entries, such
as acquittal or dismissal notations or arrest notations with no
accompanying disposition notation, must be deleted.

Article V-Record Request Procedures. This article provides that
direct access to the National Identification Index and the National
Fingerprint File for purposes of conducting criminal history record
searches for noncriminal justice purposes shall be limited to the
FBI and the state criminal history record repositories. A
noncriminal justice agency authorized to obtain national searches
pursuant to an approved state statute must submit the search
application through the state repository in the state in which the
agency is located. A state repository receiving a search application
directly from a noncriminal justice agency in another state may
process the application through its own criminal history record
system, if it has legal authority to do so, but it may not conduct a
search of the national indices on behalf of such an out-of-state
agency nor may it obtain out-of-state or federal records for such an
agency through the III System.

Noncriminal justice agencies authorized to obtain national record
checks under federal law or federal executive order, including
federal agencies, federally chartered or insured financial
institutions and certain securities and commodities establishments,
must submit search applications through the FBI or, if the
repository consents to process the application, through the state
repository in the state in which the agency is located.

All noncriminal justice search applications submitted to the FBI or
to the state repositories must be accompanied by fingerprints or
some other approved form of positive identification. If a state
repository positively identifies the subject of such a search
application as having a III System-indexed record maintained by
another state repository or the FBI, the state repository shall be
entitled to obtain such records from such other state repositories or
the FBI. If a state repository cannot positively identify the subject
of a noncriminal justice search application, the repository shall
forward the application, together with fingerprints or other
approved identifying information, to the FBI. If the FBI positively
identifies the search application subject as having a III
System-indexed record or records, it shall notify the state
repository which submitted the application and that repository shall
be entitled to obtain any III System-indexed record or records
relating to the search subject maintained by any other state
repository or the FBI.

The FBI and state repositories may charge fees for processing
noncriminal justice search applications, but may not charge fees for
providing criminal history records by electronic means in response
to authorized III System record requests.

Article VI-Establishment of Compact Council. This article
establishes a Compact Council to promulgate rules and procedures
governing the use of the III System for noncriminal justice
purposes. Such rules cannot conflict with the FBI's administration
of the III System for criminal justice purposes. Issues concerning
whether particular rules or procedures promulgated by the Council
conflict with FBI authority under this article shall be adjudicated
pursuant to Article XI.

The Council shall consist of 15 members from compact states and
federal and local criminal justice and noncriminal justice agencies.
All members shall be appointed by the U.S. Attorney General.
Council members shall elect a Council Chairman and Vice
Chairman, both of whom shall be compact officers unless there are
no compact officers on the Council who are willing to serve, in
which case at-large members may be elected to these offices.

The 15 Council members include nine members who must be state
compact officers or state repository administrators, four at-large
members representing federal, state and local criminal justice and
noncriminal justice interests, one member from the FBI's advisory
policy board on criminal justice information services and one
member who is an FBI employee. Although, as noted, all members
will be appointed by the U.S. 

Attorney General, they will be nominated by other persons, as
specified in the Compact. If the Attorney General declines to
appoint any person so nominated, the Attorney General shall
request another nomination from the person or persons who
nominated the rejected person. Similarly, if a Council membership
vacancy occurs, for any reason, the Attorney General shall request
a replacement nomination from the person or persons who
made the original nomination. 


Persons who are appointed to the Council who are not already
federal officials or employees shall, by virtue of their appointment
by the Attorney General, become federal officials to the extent of
their duties and responsibilities as Council members. They shall,
therefore, have authority to participate in the development and
issuance of rules and procedures, and to participate in other actions
within the scope of their duties as Council members, which may be
binding upon federal officers and employees or otherwise affect
federal interests.

The Council shall be located for administrative purposes within the
FBI and shall have authority to request relevant assistance and
information from the FBI. Although the Council will not be
considered a Federal Advisory Committee (see Section 215(d)), it
will hold public meetings and will publish its rules and procedures
in the Federal Register and make them available for public
inspection and copying at a Council office within the FBI. 

Article VII-Ratification of Compact. This article states that the
Compact will become effective immediately upon its execution by
two or more states and the United States Government and will have
the full force and effect of law within the ratifying jurisdictions.
Each state will follow its own laws in effecting ratification.

Article VIII-Miscellaneous Provisions. This article makes clear
that administration of the Compact shall not interfere with the
authority of the FBI Director over the management and control of
the FBI's collection and dissemination of criminal history records
for any purpose other than noncriminal justice. Similarly, nothing
in the Compact diminishes a state's obligations and authority under
Public Law 92-544 regarding the dissemination or use of criminal
history record information (see analysis of Section 214, above).
The Compact does not require the FBI to obligate or expend funds
beyond its appropriations.

Article IX-Renunciation. This article provides that a state wishing
to end its obligations by renouncing the Compact shall do so in the
same manner by which it ratified the Compact and shall provide
six months' advance notice to other compact parties.

Article X-Severability. This article provides that the remaining
provisions of the Compact shall not be affected if a particular
provision is found to be in violation of the Federal Constitution or
the constitution of a party state.  Similarly, a finding in one state
that a portion of the Compact is legally objectionable will have no
effect on the viability of the Compact in other Party States.

Article XI-Adjudication of Disputes. This article vests initial
authority in the Compact Council to interpret its own rules and
standards and to resolve disputes among parties to the Compact.
Decisions are to be rendered upon majority vote of Council
members after a hearing on the issue. Any Compact party may
appeal any such Council decision to the U.S. Attorney General and
thereafter may file suit in the appropriate United States district
court. Any suit concerning the compact filed in any state court
shall be removed to the appropriate federal district court.

Section III: Correspondence
U.S. Department of Justice
Office of Legislative Affairs

Office of the Assistant Attorney General
Washington, D.C.  20530
October 23, 1997

The Honorable Newt Gingrich
Speaker
U.S. House of Representatives
Washington, D.C. 2O515

Dear Mr. Speaker:

Enclosed is a legislative proposal to provide congressional
approval of the National Crime Prevention and Privacy Compact
("Compact"). This Compact will allow for decentralized and more
efficient exchange of criminal history records for noncriminal
justice purposes among the states and the federal government.

Currently, arrest fingerprint cards are submitted to the FBI by
Federal, State, and local agencies on a voluntary basis. Law
enforcement agencies, primarily local police and sheriffs' offices,
maintain a system of records specific to their state or locality and
submit duplicate prints of arrested and charged persons to the FBI
to receive information on an individual's prior nationwide criminal
history. The FBI reports its findings and maintains the fingerprint
card, along with the accompanying data, in its criminal-history
files. The FBI has maintained a duplicate set of criminal-history
records since 1924 and today has over 2OO million fingerprint
cards on file. 


Use of fingerprint-based criminal-history record information for
noncriminal-justice purposes is increasingly in demand. This bill
would do nothing to expand or diminish the noncriminal- justice
purposes for which criminal history records may be used; it is
merely intended to facilitate their exchange in a more efficient and
effective manner. Specifically, this Compact would establish both
a legal framework for the cooperative exchange of criminal-history
records for noncriminal-justice purposes, and a Compact Council
to monitor system operations and promulgate necessary rules and
procedures.

The primary goal of the Compact is to provide a decentralized
national records system that will provide at least the same level of
service as the existing centralized FBI record system at reduced
cost. The Compact will use the same electronic criminal history
record information sharing system for noncriminal-justice purposes
that is currently employed for criminal justice purposes. The
necessity for duplicate records at the Federal level will be
eliminated, and states will no longer need to send the FBI duplicate
sets of fingerprints for an individual's second or subsequent arrest.

Subsequent inquiries regarding an individual will automatically
produce an index of the states in which that individual has a
criminal record.  Implementation of the Compact will permit a
requesting state to access directly another state's records
electronically so long as it is seeking the information based on
fingerprint identification for a noncriminal-justice purpose
authorized under its own laws and Federal law.


The savings associated with decentralization of criminal history
records maintenance are significant. The savings arise from
avoiding the costs of  processing fingerprint cards and related data
maintenance at both the Federal and State levels. In addition, the
Compact is expected to provide a higher level of data quality.
Currently, in some instances disposition information is not
submitted to the FBI by the States. Without complete
dispositions, the utility of record information included in the
centralized record system is somewhat limited as many uses rely
on the conviction data. Various studies by the FBI and others have
shown that state records are often more complete than those of the
FBI.

The Compact was prepared by the Criminal Justice Information
Services (CJIS) Advisory Policy Board with FBI support. The
CJIS Board is chartered under the Federal Advisory Committee
Act (Public Law 92-463, 86 Stat. 770) to advise the Director of the
FBI on policies addressing information systems. It has 29 members
and is made up primarily of senior policy-level officials from
federal, state and local criminal justice agencies. In addition,
Attorneys General in both Democratic and Republican
Administrations have approved the concept of the Compact.

The Compact Clause of the Constitution, Article I, Section 10,
Clause 3, generally requires congressional consent for agreements
or compacts among the states. While we do not believe that
congressional approval is constitutionally mandated in this
instance because the United States will be a party to the Compact,
we believe that congressional approval, whether constitutionally
mandated or not, will be an important factor in achieving the goals
of the Compact. 

The office of Management and Budget advises that submission of
this proposed legislation is consistent with the Administration's
program. An identical letter and enclosures have been forwarded to
the President of the Senate.  We urge prompt congressional
consideration of this important legislation.

Sincerely,

Andrew Fois
Assistant Attorney General

Enclosures


U.S. Department of Justice
Office of Legislative Affairs

Office of the Assistant Attorney General
Washington, D.C.  20530 

October 23, 1997
     
The Honorable Albert Gore, Jr.
President
United States Senate
Washington, D.C. 2O51O

Dear Mr. President:

Enclosed is a legislative proposal to provide congressional
approval of the National Crime Prevention and Privacy Compact
("Compact"). This Compact will allow for decentralized and more
efficient exchange of criminal history records for
noncriminaljustice purposes among the states and the federal
government.

Currently, arrest fingerprint cards are submitted to the FBI by
Federal, State, and local agencies on a voluntary basis. Law
enforcement agencies, primarily local police and sheriffs' offices,
maintain a system of records specific to their state or locality and
submit duplicate prints of arrested and charged persons to the FBI
to receive information on an individual's prior nationwide criminal
history. The FBI reports its findings and maintains the fingerprint
card, along with the accompanying data, in its criminal-history
files. The FBI has maintained a duplicate set of criminal-history
records since 1924 and today has over 2OO million fingerprint
cards on file.

Use of fingerprint-based criminal-history record information for
noncriminal-justice purposes is increasingly in demand. This bill
would do nothing to expand or diminish the noncriminal- justice
purposes for which criminal history records may be used; it is
merely intended to facilitate their exchange in a more efficient and
effective manner. Specifically, this Compact would establish both
a legal framework for the cooperative exchange of criminal-history
records for noncriminal-justice purposes, and a Compact Council
to monitor system operations and promulgate necessary rules and
procedures.

The primary goal of the Compact is to provide a decentralized
national records system that will provide at least the same level of
service as the existing centralized FBI record system at reduced
cost. The Compact will use the same electronic criminal history
record information sharing system for noncriminal-justice purposes
that is currently employed for criminal justice purposes. The
necessity for duplicate records at the Federal level will be
eliminated, and states will no longer need to send the FBI duplicate
sets of fingerprints for an individual's second or subsequent arrest.

Subsequent inquiries regarding an individual will automatically
produce an index of the states in which that individual has a
criminal record.
Implementation of the Compact will permit a requesting state to
access directly another state's records electronically so long as it is
seeking the information based on fingerprint identification for a
noncriminal-justice purpose authorized under its own laws and
Federal law.

The savings associated with decentralization of criminal history
records maintenance are significant. The savings arise from
avoiding the costs of processing fingerprint cards and related data
maintenance at both the Federal and State levels. In addition, the
Compact is expected to provide a higher level of data quality.
Currently, in some instances disposition information is not
submitted to the FBI by the States. Without complete
dispositions, the utility of record information included in the
centralized record system is somewhat limited as many uses rely
on the conviction data. Various studies by the FBI and others have
shown that state records are often more complete than those of the
FBI.

The Compact was prepared by the Criminal Justice Information
Services (CJIS) Advisory Policy Board with FBI support. The
CJIS Board is chartered under the Federal Advisory Committee
Act (Public Law 92-463, 86 Stat. 770) to advise the Director of the
FBI on policies addressing information systems. It has 29 members
and is made up primarily of senior policy-level officials from
federal, state and local criminal justice agencies. In addition,
Attorneys General in both Democratic and Republican
Administrations have approved the concept of the Compact.

The Compact Clause of the Constitution, Article I, Section 10,
Clause 3, generally requires congressional consent for agreements
or compacts among the states. While we do not believe that
congressional approval is constitutionally mandated in this
instance because the United States will be a party to the Compact,
we believe that congressional approval, whether constitutionally
mandated or not, will be an important factor in achieving the goals
of the Compact.

The office of Management and Budget advises that submission of
this proposed legislation is consistent with the Administration's
program. An identical letter and enclosures have been forwarded to
the Speaker of the House.


We urge prompt congressional consideration of this important
legislation.

Sincerely,

Andrew Fois
Assistant Attorney General

Enclosures


End of File
pm 1/6/99