§ 692B.2 — Crime prevention and privacy compact

Iowa § 692B.2

• Jurisdiction: Iowa
• Title XVI: CRIMINAL LAW AND PROCEDURE
• Ch. 692B: NATIONAL CRIME PREVENTION AND PRIVACY COMPACT

Text

The national crime prevention and privacy compact is enacted into law and entered into
by this state with any other state or jurisdiction legally joining the compact in the form
substantially as follows:
1. Article I — Definitions. As used in this compact, unless the context clearly requires
otherwise:
a. Attorney general. The term “attorney general” means the attorney general of the
United States.
b. Compact officer. The term “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. The term “council” means the compact council established under article VI.
d. Criminal history records. The term “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. The term “criminal history record repository”
means the state agency designated by the governor or other appropriate executive official
or the legislature of a state to perform centralized record-keeping functions for criminal
history records and services in the state.
f. Criminal justice. The term “criminal justice” includes activities relating to the
detection, apprehension, detention, pretrial release, posttrial 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. The term “criminal justice agency”
(1) means
(a) courts; and
(b) a governmental agency or any subunit thereof that
(i) performstheadministrationofcriminaljusticepursuanttoastatuteorexecutiveorder;
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. The term “criminal justice services” means services
provided by the FBI to criminal justice agencies in response to a request for information
§692B.2, NATIONAL CRIME PREVENTION AND PRIVACY COMPACT 2
about a particular individual or as an update to information previously provided for criminal
justice purposes.
i. Criterion offense. The term “criterion offense” means any felony or misdemeanor
offense not included on the list of nonserious offenses published periodically by the FBI.
j. Direct access. The term “direct access” means access to the national identification
index by computer terminal or other automated means not requiring the assistance of or
intervention by any other party or agency.
k. Executive order. The term “executive order” means an order of the president of the
United States or the chief executive officer of a state that has the force of law and that is
promulgated in accordance with applicable law.
l. FBI. The term “FBI” means the federal bureau of investigation.
m. Interstate identification index system. The term “interstate identification index
system” or “III system”
(1) means the cooperative federal-state system for the exchange of criminal history
records; and
(2) includesthenationalidentificationindex,thenationalfingerprintfileand,totheextent
of their participation in such system, the criminal history record repositories of the states and
the FBI.
n. National fingerprint file. The term “national fingerprint file” means a database of
fingerprints, or other uniquely personal identifying information, relating to an arrested or
charged individual maintained by the FBI to provide positive identification of record subjects
indexed in the III system.
o. National identification index. The term “national identification index” means an
index maintained by the FBI consisting of names, identifying numbers, and other descriptive
information relating to record subjects about whom there are criminal history records in the
III system.
p. National indices. The term “national indices” means the national identification index
and the national fingerprint file.
q. Nonparty state. The term “nonparty state” means a state that has not ratified this
compact.
r. Noncriminal justice purposes. The term “noncriminal justice purposes” means uses
of criminal history records for purposes authorized by federal or state law other than
purposes relating to criminal justice activities, including employment suitability, licensing
determinations, immigration and naturalization matters, and national security clearances.
s. Party state. The term “party state” means a state that has ratified this compact.
t. Positive identification. The term “positive identification” means a determination,
based upon a comparison of fingerprints or other equally reliable biometric identification
techniques, that the subject of a record search is the same person as the subject of a criminal
history record or records indexed in the III system. Identifications based solely upon a
comparison of subjects’ names or other nonunique identification characteristics or numbers,
or combinations thereof, shall not constitute positive identification.
u. Sealed record information. The term “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
courtorderrelatedtoaparticularsubjectorpursuanttoafederalorstatestatutethatrequires
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. The term “state” means any state, territory, or possession of the United States,
the District of Columbia, and the Commonwealth of Puerto Rico.
2. 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;
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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.
3. Article III — Responsibilities of compact parties.
a. FBI responsibilities. The director of the FBI shall
(1) appoint an FBI compact officer who shall
(a) administer this compact within the department of justice and among federal agencies
and other agencies and organizations that submit search requests to the FBI pursuant to
article V, paragraph “c”;
(b) ensure that compact provisions and rules, procedures, and standards prescribed by
the council under article VI are complied with by the department of justice and the federal
agencies and other agencies and organizations referred to in subparagraph division (a); and
(c) regulate the use of records received by means of the III system from party states when
such records are supplied by the FBI directly to other federal agencies;
(2) provide to federal agencies and to state criminal history record repositories, criminal
history records maintained in its database for the noncriminal justice purposes described in
article IV, including
(a) information from nonparty states; and
(b) information from party states that is available from the FBI through the III system, but
is not available from the party state through the III system;
(3) provide a telecommunications network and maintain centralized facilities for the
exchange of criminal history records for both criminal justice purposes and the noncriminal
justice purposes described in article IV, and ensure that the exchange of such records for
criminal justice purposes has priority over exchange for noncriminal justice purposes; and
(4) modify or enter into user agreements with nonparty state criminal history record
repositories to require them to establish record request procedures conforming to those
prescribed in article V.
b. State responsibilities. Each party state shall
(1) appoint a compact officer who shall
(a) administer this compact within that state;
(b) ensure that compact provisions and rules, procedures, and standards established by
the council under article VI are complied with in the state; and
(c) regulate the in-state use of records received by means of the III system from the FBI
or from other party states;
(2) establish and maintain a criminal history record repository, which shall provide
(a) information and records for the national identification index and the national
fingerprint file; and
(b) the state’s III system-indexed criminal history records for noncriminal justice
purposes described in Article IV;
(3) participate in the national fingerprint file; and
(4) provide and maintain telecommunications links and related equipment necessary to
support the services set forth in this compact.
c. Compliance with III system standards. In carrying out their responsibilities under this
§692B.2, NATIONAL CRIME PREVENTION AND PRIVACY COMPACT 4
compact, the FBI and each party state shall comply with III system rules, procedures, and
standards duly established by the council concerning record dissemination and use, response
times, data quality, system security, accuracy, privacy protection, and other aspects of III
system operation.
d. Maintenance of record services.
(1) Use of the III system for noncriminal justice purposes authorized in this compact shall
be managed so as not to diminish the level of services provided in support of criminal justice
purposes.
(2) Administration of compact provisions shall not reduce the level of service available to
authorized noncriminal justice users on the effective date of this compact.*
4. Article IV — Authorized record disclosures.
a. State criminal history record repositories. To the extent authorized by 5 U.S.C. §552a,
commonly known as the Privacy Act of 1974, the FBI shall provide on request criminal
history records (excluding sealed records) to state criminal history record repositories for
noncriminal justice purposes allowed by federal statute, federal executive order, or a state
statute that has been approved by the attorney general and that authorizes national indices
checks.
b. Criminal justice agencies and other governmental or nongovernmental agencies. The
FBI, to the extent authorized by 5 U.S.C. §552a, commonly known as the Privacy Act
of 1974, and state criminal history record repositories shall provide criminal history
records (excluding sealed records) to criminal justice agencies and other governmental
or nongovernmental agencies for noncriminal justice purposes allowed by federal statute,
federal executive order, or a state statute that has been approved by the attorney general,
that authorizes national indices checks.
c. Procedures. Any record obtained under this compact may be used only for the
official purposes for which the record was requested. Each compact officer shall establish
procedures, consistent with this compact and with rules, procedures, and standards
established by the council under article VI, which procedures shall protect the accuracy and
privacy of the records, and shall
(1) ensure that records obtained under this compact are used only by authorized officials
for authorized purposes;
(2) require that subsequent record checks are requested to obtain current information
whenever a new need arises; and
(3) ensure that record entries that may not legally be used for a particular noncriminal
justice purpose are deleted from the response and, if no information authorized for release
remains, an appropriate “no record” response is communicated to the requesting official.
5. Article V — Record request procedures.
a. Positive identification. Subject fingerprints or other approved forms of positive
identification shall be submitted with all requests for criminal history record checks for
noncriminal justice purposes.
b. Submission of state requests. Each request for a criminal history record check
utilizing the national indices made under any approved state statute shall be submitted
through that state’s criminal history record repository. A state criminal history record
repository shall process an interstate request for noncriminal justice purposes through the
national indices only if such request is transmitted through another state criminal history
record repository or the FBI.
c. Submission of federal requests. Each request for criminal history record checks
utilizing the national indices made under federal authority shall be submitted through
the FBI or, if the state criminal history record repository consents to process fingerprint
submissions, through the criminal history record repository in the state in which such
request originated. Direct access to the national identification index by entities other than
the FBI and state criminal history records repositories shall not be permitted for noncriminal
justice purposes.
d. Fees. A state criminal history record repository or the FBI
(1) may charge a fee, in accordance with applicable law, for handling a request involving
fingerprint processing for noncriminal justice purposes; and
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(2) maynotchargeafeeforprovidingcriminalhistoryrecordsinresponsetoanelectronic
request for a record that does not involve a request to process fingerprints.
e. Additional search.
(1) If a state criminal history record repository cannot positively identify the subject of a
record request made for noncriminal justice purposes, the request, together with fingerprints
or other approved identifying information, shall be forwarded to the FBI for a search of the
national indices.
(2) If, with respect to a request forwarded by a state criminal history record repository
undersubparagraph(1),theFBIpositivelyidentifiesthesubjectashavingaIIIsystemindexed
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.
6. Article VI — Establishment of compact council.
a. Establishment.
(1) In general. There is established a council to be known as the compact council, which
shall have the authority to promulgate rules and procedures governing the use of the III
system for noncriminal justice purposes, not to conflict with FBI administration of the III
system for criminal justice purposes.
(2) Organization. The council shall
(a) continue in existence as long as this compact remains in effect;
(b) be located, for administrative purposes, within the FBI; and
(c) be organized and hold its first meeting as soon as practicable after the effective date
of this compact.*
b. Membership. The council shall be composed of 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) Oneshallbearepresentativeofthecriminaljusticeagenciesofthefederalgovernment
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 chairperson of the council, once the
chairperson is elected pursuant to paragraph “c”, 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. Chairperson and vice chairperson.
(1) In general. From its membership, the council shall elect a chairperson and a vice
chairperson of the council, respectively. Both the chairperson and vice chairperson 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 chairperson may be an at-large member; and
(b) shallserveatwo-yeartermandmaybereelectedtoonlyoneadditionaltwo-yearterm.
§692B.2, NATIONAL CRIME PREVENTION AND PRIVACY COMPACT 6
(2) Duties of vice chairperson. The vice chairperson of the council shall serve as the
chairperson of the council in the absence of the chairperson.
d. Meetings.
(1) In general. The council shall meet at least once each year at the call of the
chairperson. Each meeting of the council shall be open to the public. The council shall
provide prior public notice in the federal register of each meeting of the council, including
the matters to be addressed at such meeting.
(2) Quorum. A majority of the council or any committee of the council shall constitute a
quorumofthecouncilorofsuchcommittee,respectively,fortheconductofbusiness. Alesser
number may meet to hold hearings, take testimony, or conduct any business not requiring a
vote.
e. Rules, procedures, and standards. The council shall make available for public
inspection and copying at the council office within the FBI, and shall publish in the federal
register, any rules, procedures, or standards established by the council.
f. Assistance from FBI. The council may request from the FBI such reports, studies,
statistics, or other information or materials as the council determines to be necessary to
enable the council to perform its duties under this compact. The FBI, to the extent authorized
by law, may provide such assistance or information upon such a request.
g. Committees. The chairperson may establish committees as necessary to carry out this
compact and may prescribe their membership, responsibilities, and duration.
7. 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.
8. Article VIII — Miscellaneous provisions.
a. Relation of compact to certain FBI activities. Administration of this compact shall not
interfere with the management and control of the director of the FBI over the FBI’s collection
and dissemination of criminal history records and the advisory function of the FBI’s advisory
policy board chartered under the Federal Advisory Committee Act, 5 U.S.C. App., for all
purposes other than noncriminal justice.
b. No authority for nonappropriated expenditures. Nothing in this compact shall require
the FBI to obligate or expend funds beyond those appropriated to the FBI.
c. Relating to Pub. L. No. 92-544. Nothing in this compact shall diminish or lessen the
obligations, responsibilities, and authorities of any state, whether a party state or a nonparty
state, or of any criminal history record repository or other subdivision or component thereof,
under the Departments of State, Justice, and Commerce, the Judiciary, and Related Agencies
Appropriation Act, 1973, Pub. L. No. 92-544, or regulations and guidelines promulgated
thereunder, including the rules and procedures promulgated by the council under article
VI, paragraph “a”, regarding the use and dissemination of criminal history records and
information.
9. Article IX — Renunciation.
a. Ingeneral. Thiscompactshallbindeachpartystateuntilrenouncedbythepartystate.
b. Effect. Any renunciation of this compact by a party state shall
(1) be effected in the same manner by which the party state ratified this compact; and
(2) become effective 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.
10. 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
7 NATIONAL CRIME PREVENTION AND PRIVACY COMPACT, §692B.3
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.
11. Article XI — Adjudication of disputes.
a. In general. The council shall
(1) have initial authority to make determinations with respect to any dispute regarding
(a) interpretation of this compact;
(b) any rule or standard established by the council pursuant to article VI; and
(c) any dispute or controversy between any parties to this compact; and
(2) hold a hearing concerning any dispute described in subparagraph (1) at a regularly
scheduled meeting of the council and only render a decision based upon a majority vote of
the members of the council. Such decision shall be published pursuant to the requirements
of article VI, paragraph “e”.
b. Duties of FBI. The FBI shall exercise immediate and necessary action to preserve the
integrity of the III system, maintain system policy and standards, protect the accuracy and
privacy of records, and to prevent abuses, until the council holds a hearing on such matters.
c. Right of appeal. The FBI or a party state may appeal any decision of the council to the
attorney general, and thereafter may file suit in the appropriate district court of the United
States, which shall have original jurisdiction of all cases or controversies arising under this
compact. Any suit arising under this compact and initiated in a state court shall be removed
to the appropriate district court of the United States in the manner provided by 28 U.S.C.
§1446, or other statutory authority.