2023 New York Laws › EXC - Executive › Article 38 - National Crime Prevention and Privacy Compact › 850 - Enactment of Compact.

§ 850. Enactment of compact. The national crime prevention and privacy
compact  is  hereby  enacted  into  law  and entered into with all other
jurisdictions legally joining  therein  in  the  form  substantially  as
follows:
The Contracting Parties agree to the following:
NATIONAL CRIME PREVENTION AND PRIVACY COMPACT
ARTICLE I.    Definitions.
ARTICLE II.   Purposes.
ARTICLE III.  Responsibilities of compact parties.
ARTICLE IV.   Authorized record disclosures.
ARTICLE V.    Record request procedures.
ARTICLE VI.   Establishment of compact council.
ARTICLE VII.  Ratification of compact.
ARTICLE VIII. Miscellaneous provisions.
ARTICLE IX.   Renunciation.
ARTICLE X.    Severability.
ARTICLE XI.   Adjudication of disputes.
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) 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
As used in this compact:
(a) "Attorney general"  means  the  attorney  general  of  the  United
States.
(b) "Compact officer" means:
1.  with  respect to the federal government, an official so designated
by the director of the FBI; and
2. 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.
(c) "Council" means the compact council established under article VI.
(d) "Criminal history records":
1.  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
2. does not include identification  information  such  as  fingerprint
records  if  such  information  does  not  indicate  involvement  of the
individual with the criminal justice system.
(e) "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.
(f)  "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.
(g) "Criminal justice agency":
1. means:
a. courts; and
b. 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
2. includes federal and state inspectors general offices.
(h) "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.
(i) "Criterion offense" means any felony or  misdemeanor  offense  not
included  on  the  list of nonserious offenses published periodically by
the FBI.
(j) "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.
(k) "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.
(l) "FBI" means the Federal Bureau of Investigation.
(m) "Interstate identification index system" or "III system":
1. means the cooperative federal-state  system  for  the  exchange  of
criminal history records; and
2.   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.
(n) "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.
(o) "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.
(p) "National indices" means the national identification index and the
national fingerprint file.
(q) "Nonparty state" means a state that has not ratified this compact.
(r)  "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.
(s) "Party state" means a state that has ratified this compact.
(t)  "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.
(u) "Sealed record information" means:
1. with respect to adults, that portion of a record that is:
a. not available for criminal justice uses;
b.  not  supported by fingerprints or other accepted means of positive
identification; or
c. 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
2. with respect to juveniles, whatever  each  state  determines  is  a
sealed record under its own law and procedure.
(v)  "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:
(a) 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;
(b) 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;
(c)  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;
(d)  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
(e)  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) 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 subdivision (c) of article V;
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  subparagraph a of paragraph one of this
subdivision; 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;
c.  provide  a  telecommunications  network  and  maintain centralized
facilities for  the  exchange  of  criminal  history  records  for  both
criminal justice purposes and the noncriminal justice purposes described
in article IV, and ensure that the exchange of such records for criminal
justice  purposes  has  priority  over  exchange for noncriminal justice
purposes; and
d. modify or enter into user agreements with nonparty  state  criminal
history  record repositories to require them to establish record request
procedures conforming to those prescribed in article V.
(b) 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; and
c. participate in the national fingerprint file; and
d. 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)  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 five hundred fifty-two-a  of  title  five  of  the
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)  The  FBI,  to  the  extent  authorized  by  section  five hundred
fifty-two-a of title five of the 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)  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)   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) 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) 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) 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) 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  one  of  this  subdivision,  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) 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. 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)  The  council  shall  be composed of fifteen members, each of whom
shall be appointed by the attorney general, as follows:
1. Nine members, each of whom shall serve a two-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 three-year term, of whom:
a.  one  shall be a representative of the criminal justice agencies of
the federal government and may not be an employee of the FBI; and
b. one 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  subdivision  (c)  of  this
article, each of whom shall serve a three-year term, of whom:
a.  one  shall  be a representative of state or local criminal justice
agencies; and
b. one shall be a representative of state or local noncriminal justice
agencies.
4. One member, who shall  serve  a  three-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
three-year term, and who shall be an employee of the FBI.
(c)  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  two-year  term  and  may be reelected to only one
additional two-year term.
2. The vice chairman of the council shall serve as the chairman of the
council in the absence of the chairman.
(d)  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. 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) 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)  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)  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 two 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)  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)  Nothing  in  this  compact  shall  require the FBI to obligate or
expend funds beyond those appropriated to the FBI.
(c) 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 subdivision (a) of  article  VI,  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) 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 one hundred eighty 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) 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
VI; and
c. any dispute or controversy between any parties to this compact; and
2. hold a hearing concerning any dispute described in paragraph one of
this  subdivision  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 subdivision (e) of article VI.
(b) 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) 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  fourteen  hundred  forty-six   of   title
twenty-eight of the United States code, or other statutory authority.