(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.