A CITIZEN'S GUIDE ON USING THE FREEDOM OF INFORMATION ACT AND THE PRIVACY ACT OF 1974 TO REQUEST GOVERNMENT RECORDS

[ table of contents ]

Appendix 4.--Text of the Freedom of Information Act
 
TITLE 5, UNITED STATES CODE
 
* * * * * * *
 
PART I--THE AGENCIES GENERALLY
 
* * * * * * *
 
CHAPTER 5--ADMINISTRATIVE
 
* * * * * * *
 
SUBCHAPTER II--ADMINISTRATIVE PROCEDURE
 
* * * * * * *
 
Sec. 552. Public information; agency rules, opinions, orders, records,
and proceedings
 
(a) Each agency shall make available to the public
information as follows:
(1) Each agency shall separately state and currently
publish in the Federal Register for the guidance of the
public--
(A) descriptions of its central and field
organization and the established places at which, the
employees (and in the case of a uniformed service, the
members) from whom, and the methods whereby, the public
may obtain information, make submittals or requests, or
obtain decisions;
(B) statements of the general course and method by
which its functions are channeled and determined,
including the nature and requirements of all formal and
informal procedures available;
(C) rules of procedure, descriptions of forms
available or the places at which forms may be obtained,
and instructions as to the scope and contents of all
papers, reports, or examinations;
(D) substantive rules of general applicability
adopted as authorized by law, and statements of general
policy or interpretations of general applicability
formulated and adopted by the agency; and
(E) each amendment, revision, or repeal of the
foregoing.
Except to the extent that a person has actual and timely notice
of the terms thereof, a person may not in any manner be
required to resort to, or be adversely affected by, a matter
required to be published in the Federal Register and not so
published. For the purpose of this paragraph, matter reasonably
available to the class of persons affected thereby is deemed
published in the Federal Register when incorporated by
reference therein with the approval of the Director of the
Federal Register.
(2) Each agency, in accordance with published rules, shall
make available for public inspection and copying--
(A) final opinions, including concurring and
dissenting opinions, as well as orders, made in the
adjudication of cases;
(B) those statements of policy and interpretations
which have been adopted by the agency and are not
published in the Federal Register;
(C) administrative staff manuals and instructions
to staff that affect a member of the public;
(D) copies of all records, regardless of form or
format, which have been released to any person under
paragraph (3) and which, because of the nature of their
subject matter, the agency determines have become or
are likely to become the subject of subsequent requests
for substantially the same records; and
(E) a general index of the records referred to
under subparagraph (D);
unless the materials are promptly published and copies offered
for sale. For records created on or after November 1, 1996,
within one year after such date, each agency shall make such
records available, including by computer telecommunications or,
if computer telecommunications means have not been established
by the agency, by other electronic means. To the extent
required to prevent a clearly unwarranted invasion of personal
privacy, an agency may delete identifying details when it makes
available or publishes an opinion, statement of policy,
interpretation, staff manual, instruction, or copies of records
referred to in subparagraph (D). However, in each case the
justification for the deletion shall be explained fully in
writing, and the extent of such deletion shall be indicated on
the portion of the record which is made available or published,
unless including that indication would harm an interest
protected by the exemption in subsection (b) under which the
deletion is made. If technically feasible, the extent of the
deletion shall be indicated at the place in the record where
the deletion was made. Each agency shall also maintain and make
available for public inspection and copying current indexes
providing identifying information for the public as to any
matter issued, adopted, or promulgated after July 4, 1967, and
required by this paragraph to be made available or published.
Each agency shall promptly publish, quarterly or more
frequently, and distribute (by sale or otherwise) copies of
each index or supplements thereto unless it determines by order
published in the Federal Register that the publication would be
unnecessary and impracticable, in which case the agency shall
nonetheless provide copies of such index on request at a cost
not to exceed the direct cost of duplication. Each agency shall
make the index referred to in subparagraph (E) available by
computer telecommunications by December 31, 1999. A final
order, opinion, statement of policy, interpretation, or staff
manual or instruction that affects a member of the public may
be relied on, used, or cited as precedent by an agency against
a party other than an agency only if--
(i) it has been indexed and either made available
or published as provided by this paragraph; or
(ii) the party has actual and timely notice of the
terms thereof.
(3)(A) Except with respect to the records made available
under paragraphs (1) and (2) of this subsection, each agency,
upon any request for records which (i) reasonably describes
such records and (ii) is made in accordance with published
rules stating the time, place, fees (if any), and procedures to
be followed, shall make the records promptly available to any
person.
(B) In making any record available to a person under this
paragraph, an agency shall provide the record in any form or
format requested by the person if the record is readily
reproducible by the agency in that form or format. Each agency
shall make reasonable efforts to maintain its records in forms
or formats that are reproducible for purposes of this section.
(C) In responding under this paragraph to a request for
records, an agency shall make reasonable efforts to search for
the records in electronic form or format, except when such
efforts would significantly interfere with the operation of the
agency's automated information system.
(D) For purposes of this paragraph, the term ``search''
means to review, manually or by automated means, agency records
for the purpose of locating those records which are responsive
to a request.
(4)(A)(i) In order to carry out the provisions of this
section, each agency shall promulgate regulations, pursuant to
notice and receipt of public comment, specifying the schedule
of fees applicable to the processing of requests under this
section and establishing procedures and guidelines for
determining when such fees should be waived or reduced. Such
schedule shall conform to the guidelines which shall be
promulgated, pursuant to notice and receipt of public comment,
by the Director of the Office of Management and Budget and
which shall provide for a uniform schedule of fees for all
agencies.
(ii) Such agency regulations shall provide that--
(I) fees shall be limited to reasonable standard
charges for document search, duplication, and review,
when records are requested for commercial use;
(II) fees shall be limited to reasonable standard
charges for document duplication when records are not
sought for commercial use and the request is made by an
educational or noncommercial scientific institution,
whose purpose is scholarly or scientific research; or a
representative of the news media; and
(III) for any request not described in (I) or (II),
fees shall be limited to reasonable standard charges
for document search and duplication.
(iii) Documents shall be furnished without any charge or at
a charge reduced below the fees established under clause (ii)
if disclosure of the information is in the public interest
because it is likely to contribute significantly to public
understanding of the operations or activities of the government
and is not primarily in the commercial interest of the
requester.
(iv) Fee schedules shall provide for the recovery of only
the direct costs of search, duplication, or review. Review
costs shall include only the direct costs incurred during the
initial examination of a document for the purposes of
determining whether the documents must be disclosed under this
section and for the purposes of withholding any portions exempt
from disclosure under this section. Review costs may not
include any costs incurred in resolving issues of law or policy
that may be raised in the course of processing a request under
this section. No fee may be charged by any agency under this
section--
(I) if the costs of routine collection and
processing of the fee are likely to equal or exceed the
amount of the fee; or
(II) for any request described in clause (ii) (II)
or (III) of this subparagraph for the first two hours
of search time or for the first one hundred pages of
duplication.
(v) No agency may require advance payment of any fee unless
the requester has previously failed to pay fees in a timely
fashion, or the agency has determined that the fee will exceed
$250.
(vi) Nothing in this subparagraph shall supersede fees
chargeable under a statute specifically providing for setting
the level of fees for particular types of records.
(vii) In any action by a requester regarding the waiver of
fees under this section, the court shall determine the matter
de novo: Provided, That the court's review of the matter shall
be limited to the record before the agency.
(B) On complaint, the district court of the United States
in the district in which the complainant resides, or has his
principal place of business, or in which the agency records are
situated, or in the District of Columbia, has jurisdiction to
enjoin the agency from withholding agency records and to order
the production of any agency records improperly withheld from
the complainant. In such a case the court shall determine the
matter de novo, and may examine the contents of such agency
records in camera to determine whether such records or any part
thereof shall be withheld under any of the exemptions set forth
in subsection (b) of this section, and the burden is on the
agency to sustain its action. In addition to any other matters
to which a court accords substantial weight, a court shall
accord substantial weight to an affidavit of an agency
concerning the agency's determination as to technical
feasibility under paragraph (2)(C) and subsection (b) and
reproducibility under paragraph (3)(B).
(C) Notwithstanding any other provision of law, the
defendant shall serve an answer or otherwise plead to any
complaint made under this subsection within thirty days after
service upon the defendant of the pleading in which such
complaint is made, unless the court otherwise directs for good
cause shown.
(D) [Repealed.]
(E) The court may assess against the United States
reasonable attorney fees and other litigation costs reasonably
incurred in any case under this section in which the
complainant has substantially prevailed.
(F) Whenever the court orders the production of any agency
records improperly withheld from the complainant and assesses
against the United States reasonable attorney fees and other
litigation costs, and the court additionally issues a written
finding that the circumstances surrounding the withholding
raise questions whether agency personnel acted arbitrarily or
capriciously with respect to the withholding, the Special
Counsel shall promptly initiate a proceeding to determine
whether disciplinary action is warranted against the officer or
employee who was primarily responsible for the withholding. The
Special Counsel, after investigation and consideration of the
evidence submitted, shall submit his findings and
recommendations to the administrative authority of the agency
concerned and shall send copies of the findings and
recommendations to the officer or employee or his
representative. The administrative authority shall take the
corrective action that the Special Counsel recommends.
(G) In the event of noncompliance with the order of the
court, the district court may punish for contempt the
responsible employee, and in the case of a uniformed service,
the responsible member.
(5) Each agency having more than one member shall maintain
and make available for public inspection a record of the final
votes of each member in every agency proceeding.
(6)(A) Each agency, upon any request for records made under
paragraph (1), (2), or (3) of this subsection, shall--
(i) determine within ten days \1\ (excepting
Saturdays, Sundays, and legal public holidays) after
the receipt of any such request whether to comply with
such request and shall immediately notify the person
making such request of such determination and the
reasons therefor, and of the right of such person to
appeal to the head of the agency any adverse
determination; and
---------------------------------------------------------------------------
\1\ Under section 12(b) of the Electronic Freedom of Information
Act Amendments of 1996 (Pub. L. 104-231; 110 Stat. 3054), the amendment
made by section 8(b) of such Act striking ``ten days'' and inserting
``20 days'' shall take effect on October 3, 1997.
---------------------------------------------------------------------------
(ii) make a determination with respect to any
appeal within twenty days (excepting Saturdays,
Sundays, and legal public holidays) after the receipt
of such appeal. If on appeal the denial of the request
for records is in whole or in part upheld, the agency
shall notify the person making such request of the
provisions for judicial review of that determination
under paragraph (4) of this subsection.
(B) \2\ In unusual circumstances as specified in this
subparagraph, the time limits prescribed in either clause (i)
or clause (ii) of subparagraph (A) may be extended by written
notice to the person making such request setting forth the
reasons for such extension and the date on which a
determination is expected to be dispatched. No such notice
shall specify a date that would result in an extension for more
than ten working days. As used in this subparagraph, ``unusual
circumstances'' means, but only to the extent reasonably
necessary to the proper processing of the particular request--
---------------------------------------------------------------------------
\2\ Under section 12(b) of the Electronic Freedom of Information
Act Amendments of 1996 (Pub. L. 104-231; 110 Stat. 3054), the amendment
made by section 7(b) of such Act striking subparagraph (B) and
inserting a new subparagraph (B) shall take effect on October 3, 1997.
As a result of that amendment, upon that date subparagraph (B) will
read as follows:
 
(B)(i) In unusual circumstances as specified in this subparagraph,
the time limits prescribed in either clause (i) or clause (ii) of
subparagraph (A) may be extended by written notice to the person making
such request setting forth the unusual circumstances for such extension
and the date on which a determination is expected to be dispatched. No
such notice shall specify a date that would result in an extension for
more than ten working days, except as provided in clause (ii) of this
subparagraph.
(ii) With respect to a request for which a written notice under
clause (i) extends the time limits prescribed under clause (i) of
subparagraph (A), the agency shall notify the person making the request
if the request cannot be processed within the time limit specified in
that clause and shall provide the person an opportunity to limit the
scope of the request so that it may be processed within that time limit
or an opportunity to arrange with the agency an alternative time frame
for processing the request or a modified request. Refusal by the person
to reasonably modify the request or arrange such an alternative time
frame shall be considered as a factor in determining whether
exceptional circumstances exist for purposes of subparagraph (C).
(iii) As used in this subparagraph, ``unusual circumstances''
means, but only to the extent reasonably necessary to the proper
processing of the particular requests--
---------------------------------------------------------------------------
 
(I) the need to search for and collect the requested records
from field facilities or other establishments that are separate
from the office processing the request;
(II) the need to search for, collect, and appropriately
examine a voluminous amount of separate and distinct records
which are demanded in a single request; or
(III) the need for consultation, which shall be conducted
with all practicable speed, with another agency having a
substantial interest in the determination of the request or
among two or more components of the agency having substantial
subject-matter interest therein.
---------------------------------------------------------------------------
(iv) Each agency may promulgate regulations, pursuant to notice and
receipt of public comment, providing for the aggregation of certain
requests by the same requestor, or by a group of requestors acting in
concert, if the agency reasonably believes that such requests actually
constitute a single request, which would otherwise satisfy the unusual
circumstances specified in this subparagraph, and the requests involve
clearly related matters. Multiple requests involving unrelated matters
shall not be aggregated.
---------------------------------------------------------------------------
(i) the need to search for and collect the
requested records from field facilities or other
establishments that are separate from the office
processing the request;
(ii) the need to search for, collect, and
appropriately examine a voluminous amount of separate
and distinct records which are demanded in a single
request; or
(iii) the need for consultation, which shall be
conducted with all practicable speed, with another
agency having a substantial interest in the
determination of the request or among two or more
components of the agency having substantial subject-
matter interest therein.
(C) Any person making a request to any agency for records
under paragraph (1), (2), or (3) of this subsection shall be
deemed to have exhausted his administrative remedies with
respect to such request if the agency fails to comply with the
applicable time limit provisions of this paragraph. If the
Government can show exceptional circumstances exist and that
the agency is exercising due diligence in responding to the
request, the court may retain jurisdiction and allow the agency
additional time to complete its review of the records. Upon any
determination by an agency to comply with a request for
records, the records shall be made promptly available to such
person making such request. Any notification of denial of any
request for records under this subsection shall set forth the
names and titles or positions of each person responsible for
the denial of such request. \1\
---------------------------------------------------------------------------
\1\ Under section 12(b) of the Electronic Freedom of Information
Act Amendments of 1996 (Pub. L. 104-231; 110 Stat. 3054), the
amendments made by section 7(c) of such Act inserting ``(i)'' after
``(C)'' and adding at the end new clauses (ii) and (iii), shall take
effect on October 3, 1997. As a result of those amendments, upon that
date clauses (ii) and (iii) will read as follows:
 
(ii) For purposes of this subparagraph, the term ``exceptional
circumstances'' does not include a delay that results from a
predictable agency workload of requests under this section, unless the
agency demonstrates reasonable progress in reducing its backlog of
pending requests.
(iii) Refusal by a person to reasonably modify the scope of a
request or arrange an alternative time frame for processing a request
(or a modified request) under clause (ii) after being given an
opportunity to do so by the agency to whom the person made the request
shall be considered as a factor in determining whether exceptional
circumstances exist for purposes of this subparagraph.
 
Under section 12(b) of the Electronic Freedom of Information Act
Amendments of 1996 (Pub. L. 104-231; 110 Stat. 3054), the amendments
made by sections 7(a) and 8(a) and (c) of that Act adding at the end of
this paragraph new subparagraphs (D) through (F), shall take effect on
October 3, 1997. As a result of those amendments, upon that date
subparagraphs (D) through (F) will read as follows:
 
(D)(i) Each agency may promulgate regulations, pursuant to notice
and receipt of public comment, providing for multitrack processing of
requests for records based on the amount of work or time (or both)
involved in processing requests.
(ii) Regulations under this subparagraph may provide a person
making a request that does not qualify for the fastest multitrack
processing an opportunity to limit the scope of the request in order to
qualify for faster processing.
(iii) This subparagraph shall not be considered to affect the
requirement under subparagraph (C) to exercise due diligence.
(E)(i) Each agency shall promulgate regulations, pursuant to notice
and receipt of public comment, providing for expedited processing of
requests for records--
---------------------------------------------------------------------------
 
(I) in cases in which the person requesting the records
demonstrates a compelling need; and
(II) in other cases determined by the agency.
---------------------------------------------------------------------------
(ii) Notwithstanding clause (i), regulations under this
subparagraph must ensure--
---------------------------------------------------------------------------
 
(I) that a determination of whether to provide expedited
processing shall be made, and notice of the determination shall
be provided to the person making the request, within 10 days
after the date of the request; and
(II) expeditious consideration of administrative appeals of
such determinations of whether to provide expedited processing.
---------------------------------------------------------------------------
(iii) An agency shall process as soon as practicable any request
for records to which the agency has granted expedited processing under
this subparagraph. Agency action to deny or affirm denial of a request
for expedited processing pursuant to this subparagraph, and failure by
an agency to respond in a timely manner to such a request shall be
subject to judicial review under paragraph (4), except that the
judicial review shall be based on the record before the agency at the
time of the determination.
(iv) A district court of the United States shall not have
jurisdiction to review an agency denial of expedited processing of a
request for records after the agency has provided a complete response
to the request.
(v) For purposes of this subparagraph, the term ``compelling need''
means--
---------------------------------------------------------------------------
 
(I) that a failure to obtain requested records on an
expedited basis under this paragraph could reasonably be
expected to pose an imminent threat to the life or physical
safety of an individual; or
(II) with respect to a request made by a person primarily
engaged in disseminating information, urgency to inform the
public concerning actual or alleged Federal Government
activity.
---------------------------------------------------------------------------
(vi) A demonstration of a compelling need by a person making a
request for expedited processing shall be made by a statement certified
by such person to be true and correct to the best of such person's
knowledge and belief.
(F) In denying a request for records, in whole or in part, an
agency shall make a reasonable effort to estimate the volume of any
requested matter the provision of which is denied, and shall provide
any such estimate to the person making the request, unless providing
such estimate would harm an interest protected by the exemption in
subsection (b) pursuant to which the denial is made.
---------------------------------------------------------------------------
(b) This section does not apply to matters that are--
(1)(A) specifically authorized under criteria
established by an Executive order to be kept secret in
the interest of national defense or foreign policy and
(B) are in fact properly classified pursuant to such
Executive order;
(2) related solely to the internal personnel rules
and practices of an agency;
(3) specifically exempted from disclosure by
statute (other than section 552b of this title),
provided that such statute (A) requires that the
matters be withheld from the public in such a manner as
to leave no discretion on the issue, or (B) establishes
particular criteria for withholding or refers to
particular types of matters to be withheld;
(4) trade secrets and commercial or financial
information obtained from a person and privileged or
confidential;
(5) inter-agency or intra-agency memorandums or
letters which would not be available by law to a party
other than an agency in litigation with the agency;
(6) personnel and medical files and similar files
the disclosure of which would constitute a clearly
unwarranted invasion of personal privacy;
(7) records or information compiled for law
enforcement purposes, but only to the extent that the
production of such law enforcement records or
information (A) could reasonably be expected to
interfere with enforcement proceedings, (B) would
deprive a person of a right to a fair trial or an
impartial adjudication, (C) could reasonably be
expected to constitute an unwarranted invasion of
personal privacy, (D) could reasonably be expected to
disclose the identity of a confidential source,
including a State, local, or foreign agency or
authority or any private institution which furnished
information on a confidential basis, and, in the case
of a record or information compiled by criminal law
enforcement authority in the course of a criminal
investigation or by an agency conducting a lawful
national security intelligence investigation,
information furnished by a confidential source, (E)
would disclose techniques and procedures for law
enforcement investigations or prosecutions, or would
disclose guidelines for law enforcement investigations
or prosecutions if such disclosure could reasonably be
expected to risk circumvention of the law, or (F) could
reasonably be expected to endanger the life or physical
safety of any individual;
(8) contained in or related to examination,
operating, or condition reports prepared by, on behalf
of, or for the use of an agency responsible for the
regulation or supervision of financial institutions; or
(9) geological and geophysical information and
data, including maps, concerning wells.
Any reasonably segregable portion of a record shall be provided
to any person requesting such record after deletion of the
portions which are exempt under this subsection. The amount of
information deleted shall be indicated on the released portion
of the record, unless including that indication would harm an
interest protected by the exemption in this subsection under
which the deletion is made. If technically feasible, the amount
of the information deleted shall be indicated at the place in
the record where such deletion is made.
(c)(1) Whenever a request is made which involves access to
records described in subsection (b)(7)(A) and--
(A) the investigation or proceeding involves a
possible violation of criminal law; and
(B) there is reason to believe that (i) the subject
of the investigation or proceeding is not aware of its
pendency, and (ii) disclosure of the existence of the
records could reasonably be expected to interfere with
enforcement proceedings,
the agency may, during only such time as that circumstance
continues, treat the records as not subject to the requirements
of this section.
(2) Whenever informant records maintained by a criminal law
enforcement agency under an informant's name or personal
identifier are requested by a third party according to the
informant's name or personal identifier, the agency may treat
the records as not subject to the requirements of this section
unless the informant's status as an informant has been
officially confirmed.
(3) Whenever a request is made which involves access to
records maintained by the Federal Bureau of Investigation
pertaining to foreign intelligence or counterintelligence, or
international terrorism, and the existence of the records is
classified information as provided in subsection (b)(1), the
Bureau may, as long as the existence of the records remains
classified information, treat the records as not subject to the
requirements of this section.
(d) This section does not authorize withholding of
information or limit the availability of records to the public,
except as specifically stated in this section. This section is
not authority to withhold information from Congress.
(e)(1) On or before February 1 of each year, each agency
shall submit to the Attorney General of the United States a
report which shall cover the preceding fiscal year and which
shall include--
(A) the number of determinations made by the agency
not to comply with requests for records made to such
agency under subsection (a) and the reasons for each
such determination;
(B)(i) the number of appeals made by persons under
subsection (a)(6), the result of such appeals, and the
reason for the action upon each appeal that results in
a denial of information; and
(ii) a complete list of all statutes that the
agency relies upon to authorize the agency to withhold
information under subsection (b)(3), a description of
whether a court has upheld the decision of the agency
to withhold information under each such statute, and a
concise description of the scope of any information
withheld;
(C) the number of requests for records pending
before the agency as of September 30 of the preceding
year, and the median number of days that such requests
had been pending before the agency as of that date;
(D) the number of requests for records received by
the agency and the number of requests which the agency
processed;
(E) the median number of days taken by the agency
to process different types of requests;
(F) the total amount of fees collected by the
agency for processing requests; and
(G) the number of full-time staff of the agency
devoted to processing requests for records under this
section, and the total amount expended by the agency
for processing such requests.
(2) Each agency shall make each such report available to
the public including by computer telecommunications, or if
computer telecommunications means have not been established by
the agency, by other electronic means.
(3) The Attorney General of the United States shall make
each report which has been made available by electronic means
available at a single electronic access point. The Attorney
General of the United States shall notify the Chairman and
ranking minority member of the Committee on Government Reform
and Oversight of the House of Representatives and the Chairman
and ranking minority member of the Committees on Governmental
Affairs and the Judiciary of the Senate, no later than April 1
of the year in which each such report is issued, that such
reports are available by electronic means.
(4) The Attorney General of the United States, in
consultation with the Director of the Office of Management and
Budget, shall develop reporting and performance guidelines in
connection with reports required by this subsection by October
1, 1997, and may establish additional requirements for such
reports as the Attorney General determines may be useful.
(5) The Attorney General of the United States shall submit
an annual report on or before April 1 of each calendar year
which shall include for the prior calendar year a listing of
the number of cases arising under this section, the exemption
involved in each case, the disposition of such case, and the
cost, fees, and penalties assessed under subparagraphs (E),
(F), and (G) of subsection (a)(4). Such report shall also
include a description of the efforts undertaken by the
Department of Justice to encourage agency compliance with this
section.
(f) For purposes of this section, the term--
(1) ``agency'' as defined in section 551(1) of this
title includes any executive department, military
department, Government corporation, Government
controlled corporation, or other establishment in the
executive branch of the Government (including the
Executive Office of the President), or any independent
regulatory agency; and
(2) ``record'' and any other term used in this
section in reference to information includes any
information that would be an agency record subject to
the requirements of this section when maintained by an
agency in any format, including an electronic format.
(g) The head of each agency shall prepare and make publicly
available upon request, reference material or a guide for
requesting records or information from the agency, subject to
the exemptions in subsection (b), including--
(1) an index of all major information systems of
the agency;
(2) a description of major information and record
locator systems maintained by the agency; and
(3) a handbook for obtaining various types and
categories of public information from the agency
pursuant to chapter 35 of title 44, and under this
section.
Appendix 5.--Text of the Privacy Act of 1974
 
Sec. 552a. Records maintained on individuals
 
(a) Definitions.--For purposes of this section--
(1) the term ``agency'' means agency as defined in
section 552(e) \1\ of this title;
---------------------------------------------------------------------------
\1\ Reference probably should be to ``552(f)''. Section 1802(b) of
Public Law 99-570 redesignated subsection (e) as (f) of section 552.
---------------------------------------------------------------------------
(2) the term ``individual'' means a citizen of the
United States or an alien lawfully admitted for
permanent residence;
(3) the term ``maintain'' includes maintain,
collect, use, or disseminate;
(4) the term ``record'' means any item, collection,
or grouping of information about an individual that is
maintained by an agency, including, but not limited to,
his education, financial transactions, medical history,
and criminal or employment history and that contains
his name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such
as a finger or voice print or a photograph;
(5) the term ``system of records'' means a group of
any records under the control of any agency from which
information is retrieved by the name of the individual
or by some identifying number, symbol, or other
identifying particular assigned to the individual;
(6) the term ``statistical record'' means a record
in a system of records maintained for statistical
research or reporting purposes only and not used in
whole or in part in making any determination about an
identifiable individual, except as provided by section
8 of title 13;
(7) the term ``routine use'' means, with respect to
the disclosure of a record, the use of such record for
a purpose which is compatible with the purpose for
which it was collected;
(8) the term ``matching program''--
(A) means any computerized comparison of--
(i) two or more automated systems
of records or a system of records with
non-Federal records for the purpose
of--
(I) establishing or
verifying the eligibility of,
or continuing compliance with
statutory and regulatory
requirements by, applicants
for, recipients or
beneficiaries of, participants
in, or providers of services
with respect to, cash or in-
kind assistance or payments
under Federal benefit programs,
or
(II) recouping payments or
delinquent debts under such
Federal benefit programs, or
(ii) two or more automated Federal
personnel or payroll systems of records
or a system of Federal personnel or
payroll records with non-Federal
records,
(B) but does not include--
(i) matches performed to produce
aggregate statistical data without any
personal identifiers;
(ii) matches performed to support
any research or statistical project,
the specific data of which may not be
used to make decisions concerning the
rights, benefits, or privileges of
specific individuals;
(iii) matches performed, by an
agency (or component thereof) which
performs as its principal function any
activity pertaining to the enforcement
of criminal laws, subsequent to the
initiation of a specific criminal or
civil law enforcement investigation of
a named person or persons for the
purpose of gathering evidence against
such person or persons;
(iv) matches of tax information (I)
pursuant to section 6103(d) of the
Internal Revenue Code of 1986, (II) for
purposes of tax administration as
defined in section 6103(b)(4) of such
Code, (III) for the purpose of
intercepting a tax refund due an
individual under authority granted by
section 464 or 1137 of the Social
Security Act; or (IV) for the purpose
of intercepting a tax refund due an
individual under any other tax refund
intercept program authorized by statute
which has been determined by the
Director of the Office of Management
and Budget to contain verification,
notice, and hearing requirements that
are substantially similar to the
procedures in section 1137 of the
Social Security Act;
(v) matches--
(I) using records
predominantly relating to
Federal personnel, that are
performed for routine
administrative purposes
(subject to guidance provided
by the Director of the Office
of Management and Budget
pursuant to subsection (v)); or
(II) conducted by an agency
using only records from systems
of records maintained by that
agency;
if the purpose of the match is not to
take any adverse financial, personnel,
disciplinary, or other adverse action
against Federal personnel \2\
---------------------------------------------------------------------------
\2\ So in original. The amendment made by Public Law 103-66 (107
Stat. 611, sec. 13581(c)(1)) struck ``; or''. It did not put back any
punctuation.
---------------------------------------------------------------------------
(vi) matches performed for foreign
counterintelligence purposes or to
produce background checks for security
clearances of Federal personnel or
Federal contractor personnel;
(9) the term ``recipient agency'' means any agency,
or contractor thereof, receiving records contained in a
system of records from a source agency for use in a
matching program;
(10) the term ``non-Federal agency'' means any
State or local government, or agency thereof, which
receives records contained in a system of records from
a source agency for use in a matching program;
(11) the term ``source agency'' means any agency
which discloses records contained in a system of
records to be used in a matching program, or any State
or local government, or agency thereof, which discloses
records to be used in a matching program;
(12) the term ``Federal benefit program'' means any
program administered or funded by the Federal
Government, or by any agent or State on behalf of the
Federal Government, providing cash or in-kind
assistance in the form of payments, grants, loans, or
loan guarantees to individuals; and
(13) the term ``Federal personnel'' means officers
and employees of the Government of the United States,
members of the uniformed services (including members of
the Reserve Components), individuals entitled to
receive immediate or deferred retirement benefits under
any retirement program of the Government of the United
States (including survivor benefits).
(b) Conditions of Disclosure.--No agency shall disclose any
record which is contained in a system of records by any means
of communication to any person, or to another agency, except
pursuant to a written request by, or with the prior written
consent of, the individual to whom the record pertains, unless
disclosure of the record would be--
(1) to those officers and employees of the agency
which maintains the record who have a need for the
record in the performance of their duties;
(2) required under section 552 of this title;
(3) for a routine use as defined in subsection
(a)(7) of this section and described under subsection
(e)(4)(D) of this section;
(4) to the Bureau of the Census for purposes of
planning or carrying out a census or survey or related
activity pursuant to the provisions of title 13;
(5) to a recipient who has provided the agency with
advance adequate written assurance that the record will
be used solely as a statistical research or reporting
record, and the record is to be transferred in a form
that is not individually identifiable;
(6) to the National Archives and Records
Administration as a record which has sufficient
historical or other value to warrant its continued
preservation by the United States Government, or for
evaluation by the Archivist of the United States or the
designee of the Archivist to determine whether the
record has such value;
(7) to another agency or to an instrumentality of
any governmental jurisdiction within or under the
control of the United States for a civil or criminal
law enforcement activity if the activity is authorized
by law, and if the head of the agency or
instrumentality has made a written request to the
agency which maintains the record specifying the
particular portion desired and the law enforcement
activity for which the record is sought;
(8) to a person pursuant to a showing of compelling
circumstances affecting the health or safety of an
individual if upon such disclosure notification is
transmitted to the last known address of such
individual;
(9) to either House of Congress, or, to the extent
of matter within its jurisdiction, any committee or
subcommittee thereof, any joint committee of Congress
or subcommittee of any such joint committee;
(10) to the Comptroller General, or any of his
authorized representatives, in the course of the
performance of the duties of the General Accounting
Office;
(11) pursuant to the order of a court of competent
jurisdiction; and
(12) to a consumer reporting agency in accordance
with section 3711(e) of title 31.
(c) Accounting of Certain Disclosures.--Each agency, with
respect to each system of records under its control shall--
(1) except for disclosures made under subsections
(b)(1) or (b)(2) of this section, keep an accurate
accounting of--
(A) the date, nature, and purpose of each
disclosure of a record to any person or to
another agency made under subsection (b) of
this section; and
(B) the name and address of the person or
agency to whom the disclosure is made;
(2) retain the accounting made under paragraph (1)
of this subsection for at least five years or the life
of the record, whichever is longer, after the
disclosure for which the accounting is made;
(3) except for disclosures made under subsection
(b)(7) of this section, make the accounting made under
paragraph (1) of this subsection available to the
individual named in the record at his request; and
(4) inform any person or other agency about any
correction or notation of dispute made by the agency in
accordance with subsection (d) of this section of any
record that has been disclosed to the person or agency
if an accounting of the disclosure was made.
(d) Access to Records.--Each agency that maintains a system
of records shall--
(1) upon request by any individual to gain access
to his record or to any information pertaining to him
which is contained in the system, permit him and upon
his request, a person of his own choosing to accompany
him, to review the record and have a copy made of all
or any portion thereof in a form comprehensible to him,
except that the agency may require the individual to
furnish a written statement authorizing discussion of
that individual's record in the accompanying person's
presence;
(2) permit the individual to request amendment of a
record pertaining to him and--
(A) not later than 10 days (excluding
Saturdays, Sundays, and legal public holidays)
after the date of receipt of such request,
acknowledge in writing such receipt; and
(B) promptly, either--
(i) make any correction of any
portion thereof which the individual
believes is not accurate, relevant,
timely, or complete; or
(ii) inform the individual of its
refusal to amend the record in
accordance with his request, the reason
for the refusal, the procedures
established by the agency for the
individual to request a review of that
refusal by the head of the agency or an
officer designated by the head of the
agency, and the name and business
address of that official;
(3) permit the individual who disagrees with the
refusal of the agency to amend his record to request a
review of such refusal, and not later than 30 days
(excluding Saturdays, Sundays, and legal public
holidays) from the date on which the individual
requests such review, complete such review and make a
final determination unless, for good cause shown, the
head of the agency extends such 30-day period; and if,
after his review, the reviewing official also refuses
to amend the record in accordance with the request,
permit the individual to file with the agency a concise
statement setting forth the reasons for his
disagreement with the refusal of the agency, and notify
the individual of the provisions for judicial review of
the reviewing official's determination under subsection
(g)(1)(A) of this section;
(4) in any disclosure, containing information about
which the individual has filed a statement of
disagreement, occurring after the filing of the
statement under paragraph (3) of this subsection,
clearly note any portion of the record which is
disputed and provide copies of the statement and, if
the agency deems it appropriate, copies of a concise
statement of the reasons of the agency for not making
the amendments requested, to persons or other agencies
to whom the disputed record has been disclosed; and
(5) nothing in this section shall allow an
individual access to any information compiled in
reasonable anticipation of a civil action or
proceeding.
(e) Agency Requirements.--Each agency that maintains a
system of records shall--
(1) maintain in its records only such information
about an individual as is relevant and necessary to
accomplish a purpose of the agency required to be
accomplished by statute or by executive order of the
President;
(2) collect information to the greatest extent
practicable directly from the subject individual when
the information may result in adverse determinations
about an individual's rights, benefits, and privileges
under Federal programs;
(3) inform each individual whom it asks to supply
information, on the form which it uses to collect the
information or on a separate form that can be retained
by the individual--
(A) the authority (whether granted by
statute, or by executive order of the
President) which authorizes the solicitation of
the information and whether disclosure of such
information is mandatory or voluntary;
(B) the principal purpose or purposes for
which the information is intended to be used;
(C) the routine uses which may be made of
the information, as published pursuant to
paragraph (4)(D) of this subsection; and
(D) the effects on him, if any, of not
providing all or any part of the requested
information;
(4) subject to the provisions of paragraph (11) of
this subsection, publish in the Federal Register upon
establishment or revision a notice of the existence and
character of the system of records, which notice shall
include--
(A) the name and location of the system;
(B) the categories of individuals on whom
records are maintained in the system;
(C) the categories of records maintained in
the system;
(D) each routine use of the records
contained in the system, including the
categories of users and the purpose of such
use;
(E) the policies and practices of the
agency regarding storage, retrievability,
access controls, retention, and disposal of the
records;
(F) the title and business address of the
agency official who is responsible for the
system of records;
(G) the agency procedures whereby an
individual can be notified at his request if
the system of records contains a record
pertaining to him;
(H) the agency procedures whereby an
individual can be notified at his request how
he can gain access to any record pertaining to
him contained in the system of records, and how
he can contest its content; and
(I) the categories of sources of records in
the system;
(5) maintain all records which are used by the
agency in making any determination about any individual
with such accuracy, relevance, timeliness, and
completeness as is reasonably necessary to assure
fairness to the individual in the determination;
(6) prior to disseminating any record about an
individual to any person other than an agency, unless
the dissemination is made pursuant to subsection (b)(2)
of this section, make reasonable efforts to assure that
such records are accurate, complete, timely, and
relevant for agency purposes;
(7) maintain no record describing how any
individual exercises rights guaranteed by the first
amendment unless expressly authorized by statute or by
the individual about whom the record is maintained or
unless pertinent to and within the scope of an
authorized law enforcement activity;
(8) make reasonable efforts to serve notice on an
individual when any record on such individual is made
available to any person under compulsory legal process
when such process becomes a matter of public record;
(9) establish rules of conduct for persons involved
in the design, development, operation, or maintenance
of any system of records, or in maintaining any record,
and instruct each such person with respect to such
rules and the requirements of this section, including
any other rules and procedures adopted pursuant to this
section and the penalties for noncompliance;
(10) establish appropriate administrative,
technical, and physical safeguards to insure the
security and confidentiality of records and to protect
against any anticipated threats or hazards to their
security or integrity which could result in substantial
harm, embarrassment, inconvenience, or unfairness to
any individual on whom information is maintained;
(11) at least 30 days prior to publication of
information under paragraph (4)(D) of this subsection,
publish in the Federal Register notice of any new use
or intended use of the information in the system, and
provide an opportunity for interested persons to submit
written data, views, or arguments to the agency; and
(12) if such agency is a recipient agency or a
source agency in a matching program with a non-Federal
agency, with respect to any establishment or revision
of a matching program, at least 30 days prior to
conducting such program, publish in the Federal
Register notice of such establishment or revision.
(f) Agency Rules.--In order to carry out the provisions of
this section, each agency that maintains a system of records
shall promulgate rules, in accordance with the requirements
(including general notice) of section 553 of this title, which
shall--
(1) establish procedures whereby an individual can
be notified in response to his request if any system of
records named by the individual contains a record
pertaining to him;
(2) define reasonable times, places, and
requirements for identifying an individual who requests
his record or information pertaining to him before the
agency shall make the record or information available
to the individual;
(3) establish procedures for the disclosure to an
individual upon his request of his record or
information pertaining to him, including special
procedure, if deemed necessary, for the disclosure to
an individual of medical records, including
psychological records pertaining to him;
(4) establish procedures for reviewing a request
from an individual concerning the amendment of any
record or information pertaining to the individual, for
making a determination on the request, for an appeal
within the agency of an initial adverse agency
determination, and for whatever additional means may be
necessary for each individual to be able to exercise
fully his rights under this section; and
(5) establish fees to be charged, if any, to any
individual for making copies of his record, excluding
the cost of any search for and review of the record.
The Office of the Federal Register shall biennially compile and
publish the rules promulgated under this subsection and agency
notices published under subsection (e)(4) of this section in a
form available to the public at low cost.
(g)(1) Civil Remedies.--Whenever any agency--
(A) makes a determination under subsection (d)(3)
of this section not to amend an individual's record in
accordance with his request, or fails to make such
review in conformity with that subsection;
(B) refuses to comply with an individual request
under subsection (d)(1) of this section;
(C) fails to maintain any record concerning any
individual with such accuracy, relevance, timeliness,
and completeness as is necessary to assure fairness in
any determination relating to the qualifications,
character, rights, or opportunities of, or benefits to
the individual that may be made on the basis of such
record, and consequently a determination is made which
is adverse to the individual; or
(D) fails to comply with any other provision of
this section, or any rule promulgated thereunder, in
such a way as to have an adverse effect on an
individual,
the individual may bring a civil action against the agency, and
the district courts of the United States shall have
jurisdiction in the matters under the provisions of this
subsection.
(2)(A) In any suit brought under the provisions of
subsection (g)(1)(A) of this section, the court may order the
agency to amend the individual's record in accordance with his
request or in such other way as the court may direct. In such a
case the court shall determine the matter de novo.
(B) The court may assess against the United States
reasonable attorney fees and other litigation costs reasonably
incurred in any case under this paragraph in which the
complainant has substantially prevailed.
(3)(A) In any suit brought under the provisions of
subsection (g)(1)(B) of this section, the court may enjoin the
agency from withholding the records and order the production to
the complainant of any agency records improperly withheld from
him. In such a case the court shall determine the matter de
novo, and may examine the contents of any agency records in
camera to determine whether the records or any portion thereof
may be withheld under any of the exemptions set forth in
subsection (k) of this section, and the burden is on the agency
to sustain its action.
(B) The court may assess against the United States
reasonable attorney fees and other litigation costs reasonably
incurred in any case under this paragraph in which the
complainant has substantially prevailed.
(4) In any suit brought under the provisions of subsection
(g)(1)(C) or (D) of this section in which the court determines
that the agency acted in a manner which was intentional or
willful, the United States shall be liable to the individual in
an amount equal to the sum of--
(A) actual damages sustained by the individual as a
result of the refusal or failure, but in no case shall
a person entitled to recovery receive less than the sum
of $1,000; and
(B) the costs of the action together with
reasonable attorney fees as determined by the court.
(5) An action to enforce any liability created under this
section may be brought in the district court of the United
States in the district in which the complainant resides, or has
his principal place of business, or in which the agency records
are situated, or in the District of Columbia, without regard to
the amount in controversy, within two years from the date on
which the cause of action arises, except that where an agency
has materially and willfully misrepresented any information
required under this section to be disclosed to an individual
and the information so misrepresented is material to
establishment of the liability of the agency to the individual
under this section, the action may be brought at any time
within two years after discovery by the individual of the
misrepresentation. Nothing in this section shall be construed
to authorize any civil action by reason of any injury sustained
as the result of a disclosure of a record prior to September
27, 1975.
(h) Rights of Legal Guardians.--For the purposes of this
section, the parent of any minor, or the legal guardian of any
individual who has been declared to be incompetent due to
physical or mental incapacity or age by a court of competent
jurisdiction, may act on behalf of the individual.
(i)(1) Criminal Penalties.--Any officer or employee of an
agency, who by virtue of his employment or official position,
has possession of, or access to, agency records which contain
individually identifiable information the disclosure of which
is prohibited by this section or by rules or regulations
established thereunder, and who knowing that disclosure of the
specific material is so prohibited, willfully discloses the
material in any manner to any person or agency not entitled to
receive it, shall be guilty of a misdemeanor and fined not more
than $5,000.
(2) Any officer or employee of any agency who willfully
maintains a system of records without meeting the notice
requirements of subsection (e)(4) of this section shall be
guilty of a misdemeanor and fined not more than $5,000.
(3) Any person who knowingly and willfully requests or
obtains any record concerning an individual from an agency
under false pretenses shall be guilty of a misdemeanor and
fined not more than $5,000.
(j) General Exemptions.--The head of any agency may
promulgate rules, in accordance with the requirements
(including general notice) of sections 553(b)(1), (2), and (3),
(c), and (e) of this title, to exempt any system of records
within the agency from any part of this section except
subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6),
(7), (9), (10), and (11), and (i) if the system of records is--
(1) maintained by the Central Intelligence Agency;
or
(2) maintained by an agency or component thereof
which performs as its principal function any activity
pertaining to the enforcement of criminal laws,
including police efforts to prevent, control, or reduce
crime or to apprehend criminals, and the activities of
prosecutors, courts, correctional, probation, pardon,
or parole authorities, and which consists of (A)
information compiled for the purpose of identifying
individual criminal offenders and alleged offenders and
consisting only of identifying data and notations of
arrests, the nature and disposition of criminal
charges, sentencing, confinement, release, and parole
and probation status; (B) information compiled for the
purpose of a criminal investigation, including reports
of informants and investigators, and associated with an
identifiable individual; or (C) reports identifiable to
an individual compiled at any stage of the process of
enforcement of the criminal laws from arrest or
indictment through release from supervision.
At the time rules are adopted under this subsection, the agency
shall include in the statement required under section 553(c) of
this title, the reasons why the system of records is to be
exempted from a provision of this section.
(k) Specific Exemptions.--The head of any agency may
promulgate rules, in accordance with the requirements
(including general notice) of sections 553(b)(1), (2), and (3),
(c), and (e) of this title, to exempt any system of records
within the agency from subsections (c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I) and (f) of this section if the system
of records is--
(1) subject to the provisions of section 552(b)(1)
of this title;
(2) investigatory material compiled for law
enforcement purposes, other than material within the
scope of subsection (j)(2) of this section: Provided,
however, That if any individual is denied any right,
privilege, or benefit that he would otherwise be
entitled by Federal law, or for which he would
otherwise be eligible, as a result of the maintenance
of such material, such material shall be provided to
such individual, except to the extent that the
disclosure of such material would reveal the identity
of a source who furnished information to the Government
under an express promise that the identity of the
source would be held in confidence, or, prior to the
effective date of this section, under an implied
promise that the identity of the source would be held
in confidence;
(3) maintained in connection with providing
protective services to the President of the United
States or other individuals pursuant to section 3056 of
title 18;
(4) required by statute to be maintained and used
solely as statistical records;
(5) investigatory material compiled solely for the
purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment,
military service, Federal contracts, or access to
classified information, but only to the extent that the
disclosure of such material would reveal the identity
of a source who furnished information to the Government
under an express promise that the identity of the
source would be held in confidence, or, prior to the
effective date of this section, under an implied
promise that the identity of the source would be held
in confidence;
(6) testing or examination material used solely to
determine individual qualifications for appointment or
promotion in the Federal service the disclosure of
which would compromise the objectivity or fairness of
the testing or examination process; or
(7) evaluation material used to determine potential
for promotion in the armed services, but only to the
extent that the disclosure of such material would
reveal the identity of a source who furnished
information to the Government under an express promise
that the identity of the source would be held in
confidence, or, prior to the effective date of this
section, under an implied promise that the identity of
the source would be held in confidence.
At the time rules are adopted under this subsection, the agency
shall include in the statement required under section 553(c) of
this title, the reasons why the system of records is to be
exempted from a provision of this section.
(l)(1) Archival Records.--Each agency record which is
accepted by the Archivist of the United States for storage,
processing, and servicing in accordance with section 3103 of
title 44 shall, for the purposes of this section, be considered
to be maintained by the agency which deposited the record and
shall be subject to the provisions of this section. The
Archivist of the United States shall not disclose the record
except to the agency which maintains the record, or under rules
established by that agency which are not inconsistent with the
provisions of this section.
(2) Each agency record pertaining to an identifiable
individual which was transferred to the National Archives of
the United States as a record which has sufficient historical
or other value to warrant its continued preservation by the
United States Government, prior to the effective date of this
section, shall, for the purposes of this section, be considered
to be maintained by the National Archives and shall not be
subject to the provisions of this section, except that a
statement generally describing such records (modeled after the
requirements relating to records subject to subsections
(e)(4)(A) through (G) of this section) shall be published in
the Federal Register.
(3) Each agency record pertaining to an identifiable
individual which is transferred to the National Archives of the
United States as a record which has sufficient historical or
other value to warrant its continued preservation by the United
States Government, on or after the effective date of this
section, shall, for the purposes of this section, be considered
to be maintained by the National Archives and shall be exempt
from the requirements of this section except subsections
(e)(4)(A) through (G) and (e)(9) of this section.
(m) Government Contractors.--(1) When an agency provides by
a contract for the operation by or on behalf of the agency of a
system of records to accomplish an agency function, the agency
shall, consistent with its authority, cause the requirements of
this section to be applied to such system. For purposes of
subsection (i) of this section any such contractor and any
employee of such contractor, if such contract is agreed to on
or after the effective date of this section, shall be
considered to be an employee of an agency.
(2) A consumer reporting agency to which a record is
disclosed under section 3711(e) of title 31 shall not be
considered a contractor for the purposes of this section.
(n) Mailing Lists.--An individual's name and address may
not be sold or rented by an agency unless such action is
specifically authorized by law. This provision shall not be
construed to require the withholding of names and addresses
otherwise permitted to be made public.
(o) Matching Agreements.--(1) No record which is contained
in a system of records may be disclosed to a recipient agency
or non-Federal agency for use in a computer matching program
except pursuant to a written agreement between the source
agency and the recipient agency or non-Federal agency
specifying--
(A) the purpose and legal authority for conducting
the program;
(B) the justification for the program and the
anticipated results, including a specific estimate of
any savings;
(C) a description of the records that will be
matched, including each data element that will be used,
the approximate number of records that will be matched,
and the projected starting and completion dates of the
matching program;
(D) procedures for providing individualized notice
at the time of application, and notice periodically
thereafter as directed by the Data Integrity Board of
such agency (subject to guidance provided by the
Director of the Office of Management and Budget
pursuant to subsection (v)), to--
(i) applicants for and recipients of
financed assistance or payments under Federal
benefit programs, and
(ii) applicants for and holders of
positions as Federal personnel,
that any information provided by such applicants,
recipients, holders, and individuals may be subject to
verification through matching programs;
(E) procedures for verifying information produced
in such matching program as required by subsection (p);
(F) procedures for the retention and timely
destruction of identifiable records created by a
recipient agency or non-Federal agency in such matching
program;
(G) procedures for ensuring the administrative,
technical, and physical security of the records matched
and the results of such programs;
(H) prohibitions on duplication and redisclosure of
records provided by the source agency within or outside
the recipient agency or the non-Federal agency, except
where required by law or essential to the conduct of
the matching program;
(I) procedures governing the use by a recipient
agency or non-Federal agency of records provided in a
matching program by a source agency, including
procedures governing return of the records to the
source agency or destruction of records used in such
program;
(J) information on assessments that have been made
on the accuracy of the records that will be used in
such matching program; and
(K) that the Comptroller General may have access to
all records of a recipient agency or a non-Federal
agency that the Comptroller General deems necessary in
order to monitor or verify compliance with the
agreement.
(2)(A) A copy of each agreement entered into pursuant to
paragraph (1) shall--
(i) be transmitted to the Committee on Governmental
Affairs of the Senate and the Committee on Government
Operations of the House of Representatives; and
(ii) be available upon request to the public.
(B) No such agreement shall be effective until 30 days
after the date on which such a copy is transmitted pursuant to
subparagraph (A)(i).
(C) Such an agreement shall remain in effect only for such
period, not to exceed 18 months, as the Data Integrity Board of
the agency determines is appropriate in light of the purposes,
and length of time necessary for the conduct, of the matching
program.
(D) Within 3 months prior to the expiration of such an
agreement pursuant to subparagraph (C), the Data Integrity
Board of the agency may, without additional review, renew the
matching agreement for a current, ongoing matching program for
not more than one additional year if--
(i) such program will be conducted without any
change; and
(ii) each party to the agreement certifies to the
Board in writing that the program has been conducted in
compliance with the agreement.
(p) Verification and Opportunity to Contest Findings.--(1)
In order to protect any individual whose records are used in a
matching program, no recipient agency, non-Federal agency, or
source agency may suspend, terminate, reduce, or make a final
denial of any financial assistance or payment under a Federal
benefit program to such individual, or take other adverse
action against such individual, as a result of information
produced by such matching program, until--
(A)(i) the agency has independently verified the
information; or
(ii) the Data Integrity Board of the agency, or in
the case of a non-Federal agency the Data Integrity
Board of the source agency, determines in accordance
with guidance issued by the Director of the Office of
Management and Budget that--
(I) the information is limited to
identification and amount of benefits paid by
the source agency under a Federal benefit
program; and
(II) there is a high degree of confidence
that the information provided to the recipient
agency is accurate;
(B) the individual receives a notice from the
agency containing a statement of its findings and
informing the individual of the opportunity to contest
such findings; and
(C)(i) the expiration of any time period
established for the program by statue or regulation for
the individual to respond to that notice; or
(ii) in the case of a program for which no such
period is established, the end of the 30-day period
beginning on the date on which notice under
subparagraph (B) is mailed or otherwise provided to the
individual.
(2) Independent verification referred to in paragraph (1)
requires investigation and confirmation of specific information
relating to an individual that is used as a basis for an
adverse action against the individual, including where
applicable investigation and confirmation of--
(A) the amount of any asset or income involved;
(B) whether such individual actually has or had
access to such asset or income for such individual's
own use; and
(C) the period or periods when the individual
actually had such asset or income.
(3) Notwithstanding paragraph (1), an agency may take any
appropriate action otherwise prohibited by such paragraph if
the agency determines that the public health or public safety
may be adversely affected or significantly threatened during
any notice period required by such paragraph.
(q) Sanctions.--(1) Notwithstanding any other provision of
law, no source agency may disclose any record with is contained
in a system of records to a recipient agency or non-Federal
agency for a matching program if such source agency has reason
to believe that the requirements of subsection (p), or any
matching agreement entered into pursuant to subsection (o), or
both, are not being met by such recipient agency.
(2) No source agency may renew a matching agreement
unless--
(A) the recipient agency or non-Federal agency has
certified that it has complied with the provisions of
that agreement; and
(B) the source agency has no reason to believe that
the certification is inaccurate.
(r) Report on New Systems and Matching Programs.-- Each
agency that proposes to establish or make a significant change
in a system of records or a matching program shall provide
adequate advance notice of any such proposal (in duplicate) to
the Committee on Government Operations of the House of
Representatives, the Committee on Governmental Affairs of the
Senate, and the Office of Management and Budget in order to
permit an evaluation of the probable or potential effect of
such proposal on the privacy or other rights of individuals.
(s) Biennial Report.--The President shall biennially submit
to the Speaker of the House of Representatives and the
President pro tempore of the Senate a report--
(1) describing the actions of the Director of the
Office of Management and Budget pursuant to section 6
of the Privacy Act of 1974 during the preceding 2
years;
(2) describing the exercise of individual rights of
access and amendment under this section during such
years;
(3) identifying changes in or additions to systems
of records;
(4) containing such other information concerning
administration of this section as may be necessary or
useful to the Congress in reviewing the effectiveness
of this section in carrying out the purposes of the
Privacy Act of 1974.
(t)(1) Effect of Other Laws.--No agency shall rely on any
exemption contained in section 552 of this title to withhold
from an individual any record which is otherwise accessible to
such individual under the provisions of this section.
(2) No agency shall rely on any exemption in this section
to withhold from an individual any record which is otherwise
accessible to such individual under the provisions of section
552 of this title.
(u) Data Integrity Boards.--(1) Every agency conducting or
participating in a matching program shall establish a Data
Integrity Board to oversee and coordinate among the various
components of such agency the agency's implementation of this
section.
(2) Each Data Integrity Board shall consist of senior
officials designated by the head of the agency, and shall
include any senior official designated by the head of the
agency as responsible for implementation of this section, and
the inspector general of the agency, if any. The inspector
general shall not serve as chairman of the Data Integrity
Board.
(3) Each Data Integrity Board--
(A) shall review, approve, and maintain all written
agreements for receipt or disclosure of agency records
for matching programs to ensure compliance with
subsection (o), and all relevant statutes, regulations,
and guidelines;
(B) shall review all matching programs in which the
agency has participated during the year, either as a
source agency or recipient agency, determine compliance
with applicable laws, regulations, guidelines, and
agency agreements, and assess the costs and benefits of
such programs;
(C) shall review all recurring matching programs in
which the agency has participated during the year,
either as a source agency or recipient agency, for
continued justification for such disclosures;
(D) shall compile an annual report, which shall be
submitted to the head of the agency and the Office of
Management and Budget and made available to the public
on request, describing the matching activities of the
agency, including--
(i) matching programs in which the agency
has participated as a source agency or
recipient agency;
(ii) matching agreements proposed under
subsection (o) that were disapproved by the
Board;
(iii) any changes in membership to
structure of the Board in the preceding year;
(iv) the reasons for any waiver of the
requirement in paragraph (4) of this section
for completion and submission of a cost-benefit
analysis prior to the approval of a matching
program;
(v) any violations of matching agreements
that have been alleged or identified and any
corrective action taken; and
(vi) any other information required by the
Director of the Office of Management and Budget
to be included in such report;
(E) shall serve as a clearinghouse for receiving
and providing information on the accuracy,
completeness, and reliability of records used in
matching programs;
(F) shall provide interpretation and guidance to
agency components and personnel on the requirements of
this section for matching programs;
(G) shall review agency recordkeeping and disposal
policies and practices for matching programs to assure
compliance with this section; and
(H) may review and report on any agency matching
activities that are not matching programs.
(4)(A) Except as provided in subparagraphs (B) and (C), a
Data Integrity Board shall not approve any written agreement
for a matching program unless the agency has completed and
submitted to such Board a cost-benefit analysis of the proposed
program and such analysis demonstrates that the program is
likely to be cost effective.
(B) The Board may waive the requirements of subparagraph
(A) of this paragraph if it determines in writing, in
accordance with guidelines prescribed by the Director of the
Office of Management and Budget, that a cost-benefit analysis
is not required.
(C) A cost-benefit analysis shall not be required under
subparagraph (A) prior to the initial approval of a written
agreement for a matching program that is specifically required
by statute. Any subsequent written agreement for such a program
shall not be approved by the Data Integrity Board unless the
agency has submitted a cost-benefit analysis of the program as
conducted under the preceding approval of such agreement.
(5)(A) If a matching agreement is disapproved by a Data
Integrity Board, any party to such agreement may appeal the
disapproval to the Director of the Office of Management and
Budget. Timely notice of the filing of such an appeal shall be
provided by the Director of the Office of Management and Budget
to the Committee on Governmental Affairs of the Senate and the
Committee on Government Operations of the House of
Representatives.
(B) The Director of the Office of Management and Budget may
approve a matching agreement notwithstanding the disapproval of
a Data Integrity Board if the Director determines that--
(i) the matching program will be consistent with
all applicable legal, regulatory, and policy
requirements;
(ii) there is adequate evidence that the matching
agreement will be cost-effective; and
(iii) the matching program is in the public
interest.
(C) The decision of the Director to approve a matching
agreement shall not take effect until 30 days after it is
reported to committees described in subparagraph (A).
(D) If the Data Integrity Board and the Director of the
Office of Management and Budget disapprove a matching program
proposed by the inspector general of an agency, the inspector
general may report the disapproval to the head of the agency
and to the Congress.
(6) The Director of the Office of Management and Budget
shall, annually during the first 3 years after the date of
enactment of this subsection and biennially thereafter,
consolidate in a report to the Congress the information
contained in the reports from the various Data Integrity Boards
under paragraph (3)(D). Such report shall include detailed
information about costs and benefits of matching programs that
are conducted during the period covered by such consolidated
report, and shall identify each waiver granted by a Data
Integrity Board of the requirement for completion and
submission of a cost-benefit analysis and the reasons for
granting the waiver.
(7) In the reports required by paragraphs (3)(D) and (6),
agency matching activities that are not matching programs may
be reported on an aggregate basis, if and to the extent
necessary to protect ongoing law enforcement or
counterintelligence investigations.
(v) Office of Management and Budget Responsibilities.--The
Director of the Office of Management and Budget shall--
(1) develop and, after notice and opportunity for
public comment, prescribe guidelines and regulations
for the use of agencies in implementing the provisions
of this section; and
(2) provide continuing assistance to an oversight
of the implementation of this section by agencies.
 
(Added Public Law 93-579, Sec. 3, Dec. 31, 1974, 88 Stat. 1897,
and amended Public Law 94-183, Sec. 2(2), Dec. 31, 1975, 89
Stat. 1057; Public Law 97-365, Sec. 2, Oct. 25, 1982, 96 Stat.
1749; Public Law 97-375, title II, Sec. 201(a), (b), Dec. 21,
1982, 96 Stat. 1821; Public Law 97-452, Sec. 2(a)(1), Jan. 12,
1983, 96 Stat. 2478; Public Law 98-477, Sec. 2(c), Oct. 15,
1984, 98 Stat. 2211; Public Law 98-497, title I, Sec. 107(g),
Oct. 19, 1984, 98 Stat. 2292; Public Law 100-503, Sec. Sec. 2-
6(a), 7, 8, Oct. 18, 1988, 102 Stat. 2507-2514; Public Law 101-
508, title VII, Sec. 7201(b)(1), Nov. 5, 1990, 104 Stat. 1388-
334; Public Law 103-66, title XIII, Sec. 13581(c), Aug. 10,
1993, 107 Stat. 611.)

---