§ 850 — Enactment of compact

New York § 850

• Jurisdiction: New York
• Law EXC: Executive
• Art. 38: National Crime Prevention and Privacy Compact

Text

§ 850. Enactment of compact. The national crime prevention and privacy\ncompact is hereby enacted into law and entered into with all other\njurisdictions legally joining therein in the form substantially as\nfollows:\n The Contracting Parties agree to the following:\n NATIONAL CRIME PREVENTION AND PRIVACY COMPACT\nARTICLE I. Definitions.\nARTICLE II. Purposes.\nARTICLE III. Responsibilities of compact parties.\nARTICLE IV. Authorized record disclosures.\nARTICLE V. Record request procedures.\nARTICLE VI. Establishment of compact council.\nARTICLE VII. Ratification of compact.\nARTICLE VIII. Miscellaneous provisions.\nARTICLE IX. Renunciation.\nARTICLE X. Severability.\nARTICLE XI. Adjudication of disputes.\n OVERVIEW\n (a) In general, this compact organizes an electronic information\nsharing system among the federal government and the states to exchange\ncriminal history records for noncriminal justice purposes authorized by\nfederal or state law, such as background checks for governmental\nlicensing and employment.\n (b) Under this compact, the FBI and the party states agree to maintain\ndetailed databases of their respective criminal history records,\nincluding arrests and dispositions, and to make them available to the\nfederal government and to party states for authorized purposes. The FBI\nshall also manage the federal data facilities that provide a significant\npart of the infrastructure for the system.\n ARTICLE I--DEFINITIONS\n As used in this compact:\n (a) "Attorney general" means the attorney general of the United\nStates.\n (b) "Compact officer" means:\n 1. with respect to the federal government, an official so designated\nby the director of the FBI; and\n 2. with respect to a party state, the chief administrator of the\nstate's criminal history record repository or a designee of the chief\nadministrator who is a regular full-time employee of the repository.\n (c) "Council" means the compact council established under article VI.\n (d) "Criminal history records":\n 1. means information collected by criminal justice agencies on\nindividuals consisting of identifiable descriptions and notations of\narrests, detentions, indictments, or other formal criminal charges, and\nany disposition arising therefrom, including acquittal, sentencing,\ncorrectional supervision, or release; and\n 2. does not include identification information such as fingerprint\nrecords if such information does not indicate involvement of the\nindividual with the criminal justice system.\n (e) "Criminal history record repository" means the state agency\ndesignated by the governor or other appropriate executive official or\nthe legislature of a state to perform centralized recordkeeping\nfunctions for criminal history records and services in the state.\n (f) "Criminal justice" includes activities relating to the detection,\napprehension, detention, pretrial release, post-trial release,\nprosecution, adjudication, correctional supervision, or rehabilitation\nof accused persons or criminal offenders. The administration of criminal\njustice includes criminal identification activities and the collection,\nstorage, and dissemination of criminal history records.\n (g) "Criminal justice agency":\n 1. means:\n a. courts; and\n b. a governmental agency or any subunit thereof that:\n (i) performs the administration of criminal justice pursuant to a\nstatute or executive order; and\n (ii) allocates a substantial part of its annual budget to the\nadministration of criminal justice; and\n 2. includes federal and state inspectors general offices.\n (h) "Criminal justice services" means services provided by the FBI to\ncriminal justice agencies in response to a request for information about\na particular individual or as an update to information previously\nprovided for criminal justice purposes.\n (i) "Criterion offense" means any felony or misdemeanor offense not\nincluded on the list of nonserious offenses published periodically by\nthe FBI.\n (j) "Direct access" means access to the national identification index\nby computer terminal or other automated means not requiring the\nassistance of or intervention by any other party or agency.\n (k) "Executive order" means an order of the president of the United\nStates or the chief executive officer of a state that has the force of\nlaw and that is promulgated in accordance with applicable law.\n (l) "FBI" means the Federal Bureau of Investigation.\n (m) "Interstate identification index system" or "III system":\n 1. means the cooperative federal-state system for the exchange of\ncriminal history records; and\n 2. includes the national identification index, the national\nfingerprint file and, to the extent of their participation in such\nsystem, the criminal history record repositories of the states and the\nFBI.\n (n) "National fingerprint file" means a database of fingerprints, or\nother uniquely personal identifying information, relating to an arrested\nor charged individual maintained by the FBI to provide positive\nidentification of record subjects indexed in the III system.\n (o) "National identification index" means an index maintained by the\nFBI consisting of names, identifying numbers, and other descriptive\ninformation relating to record subjects about whom there are criminal\nhistory records in the III system.\n (p) "National indices" means the national identification index and the\nnational fingerprint file.\n (q) "Nonparty state" means a state that has not ratified this compact.\n (r) "Noncriminal justice purposes" means uses of criminal history\nrecords for purposes authorized by federal or state law other than\npurposes relating to criminal justice activities, including employment\nsuitability, licensing determinations, immigration and naturalization\nmatters, and national security clearances.\n (s) "Party state" means a state that has ratified this compact.\n (t) "Positive identification" means a determination, based upon a\ncomparison of fingerprints or other equally reliable biometric\nidentification techniques, that the subject of a record search is the\nsame person as the subject of a criminal history record or records\nindexed in the III system. Identifications based solely upon a\ncomparison of subjects' names or other nonunique identification\ncharacteristics or numbers, or combinations thereof, shall not\nconstitute positive identification.\n (u) "Sealed record information" means:\n 1. with respect to adults, that portion of a record that is:\n a. not available for criminal justice uses;\n b. not supported by fingerprints or other accepted means of positive\nidentification; or\n c. subject to restrictions on dissemination for noncriminal justice\npurposes pursuant to a court order related to a particular subject or\npursuant to a federal or state statute that requires action on a sealing\npetition filed by a particular record subject; and\n 2. with respect to juveniles, whatever each state determines is a\nsealed record under its own law and procedure.\n (v) "State" means any state, territory, or possession of the United\nStates, the district of Columbia, and the commonwealth of Puerto Rico.\n ARTICLE II--PURPOSES\n The purposes of this compact are to:\n (a) provide a legal framework for the establishment of a cooperative\nfederal-state system for the interstate and federal-state exchange of\ncriminal history records for noncriminal justice uses;\n (b) require the FBI to permit use of the national identification index\nand the national fingerprint file by each party state, and to provide,\nin a timely fashion, federal and state criminal history records to\nrequesting states, in accordance with the terms of this compact and with\nrules, procedures, and standards established by the council under\narticle VI;\n (c) require party states to provide information and records for the\nnational identification index and the national fingerprint file and to\nprovide criminal history records, in a timely fashion, to criminal\nhistory record repositories of other states and the federal government\nfor noncriminal justice purposes, in accordance with the terms of this\ncompact and with rules, procedures, and standards established by the\ncouncil under article VI;\n (d) provide for the establishment of a council to monitor III system\noperations and to prescribe system rules and procedures for the\neffective and proper operation of the III system for noncriminal justice\npurposes; and\n (e) require the FBI and each party state to adhere to III system\nstandards concerning record dissemination and use, response times,\nsystem security, data quality, and other duly established standards,\nincluding those that enhance the accuracy and privacy of such records.\n ARTICLE III--RESPONSIBILITIES OF COMPACT PARTIES\n (a) The director of the FBI shall:\n 1. appoint an FBI compact officer who shall:\n a. administer this compact within the department of justice and among\nfederal agencies and other agencies and organizations that submit search\nrequests to the FBI pursuant to subdivision (c) of article V;\n b. ensure that compact provisions and rules, procedures, and standards\nprescribed by the council under article VI are complied with by the\ndepartment of justice and the federal agencies and other agencies and\norganizations referred to in subparagraph a of paragraph one of this\nsubdivision; and\n c. regulate the use of records received by means of the III system\nfrom party states when such records are supplied by the FBI directly to\nother federal agencies;\n 2. provide to federal agencies and to state criminal history record\nrepositories, criminal history records maintained in its database for\nthe noncriminal justice purposes described in article IV, including:\n a. information from nonparty states; and\n b. information from party states that is available from the FBI\nthrough the III system, but is not available from the party state\nthrough the III system;\n c. provide a telecommunications network and maintain centralized\nfacilities for the exchange of criminal history records for both\ncriminal justice purposes and the noncriminal justice purposes described\nin article IV, and ensure that the exchange of such records for criminal\njustice purposes has priority over exchange for noncriminal justice\npurposes; and\n d. modify or enter into user agreements with nonparty state criminal\nhistory record repositories to require them to establish record request\nprocedures conforming to those prescribed in article V.\n (b) Each party state shall:\n 1. appoint a compact officer who shall:\n a. administer this compact within that state;\n b. ensure that compact provisions and rules, procedures, and standards\nestablished by the council under article VI are complied with in the\nstate; and\n c. regulate the in-state use of records received by means of the III\nsystem from the FBI or from other party states;\n 2. establish and maintain a criminal history record repository, which\nshall provide:\n a. information and records for the national identification index and\nthe national fingerprint file; and\n b. the state's III system-indexed criminal history records for\nnoncriminal justice purposes described in article IV; and\n c. participate in the national fingerprint file; and\n d. provide and maintain telecommunications links and related equipment\nnecessary to support the services set forth in this compact.\n (c) Compliance with III system standards. In carrying out their\nresponsibilities under this compact, the FBI and each party state shall\ncomply with III system rules, procedures, and standards duly established\nby the council concerning record dissemination and use, response times,\ndata quality, system security, accuracy, privacy protection, and other\naspects of III system operation.\n (d) 1. Use of the III system for noncriminal justice purposes\nauthorized in this compact shall be managed so as not to diminish the\nlevel of services provided in support of criminal justice purposes.\n 2. Administration of compact provisions shall not reduce the level of\nservice available to authorized noncriminal justice users on the\neffective date of this compact.\n ARTICLE IV--AUTHORIZED RECORD DISCLOSURES\n (a) State criminal history record repositories. To the extent\nauthorized by section five hundred fifty-two-a of title five of the\nUnited States code, (commonly known as the "Privacy Act of 1974"), the\nFBI shall provide on request criminal history records (excluding sealed\nrecords) to state criminal history record repositories for noncriminal\njustice purposes allowed by federal statute, federal executive order, or\na state statute that has been approved by the attorney general and that\nauthorizes national indices checks.\n (b) The FBI, to the extent authorized by section five hundred\nfifty-two-a of title five of the United States code, (commonly known as\nthe "Privacy Act of 1974"), and state criminal history record\nrepositories shall provide criminal history records (excluding sealed\nrecords) to criminal justice agencies and other governmental or\nnongovernmental agencies for noncriminal justice purposes allowed by\nfederal statute, federal executive order, or a state statute that has\nbeen approved by the attorney general, that authorizes national indices\nchecks.\n (c) Any record obtained under this compact may be used only for the\nofficial purposes for which the record was requested. Each compact\nofficer shall establish procedures, consistent with this compact, and\nwith rules, procedures, and standards established by the council under\narticle VI, which procedures shall protect the accuracy and privacy of\nthe records, and shall:\n 1. ensure that records obtained under this compact are used only by\nauthorized officials for authorized purposes;\n 2. require that subsequent record checks are requested to obtain\ncurrent information whenever a new need arises; and\n 3. ensure that record entries that may not legally be used for a\nparticular noncriminal justice purpose are deleted from the response\nand, if no information authorized for release remains, an appropriate\n"no record" response is communicated to the requesting official.\n ARTICLE V--RECORD REQUEST PROCEDURES\n (a) Subject fingerprints or other approved forms of positive\nidentification shall be submitted with all requests for criminal history\nrecord checks for noncriminal justice purposes.\n (b) Each request for a criminal history record check utilizing the\nnational indices made under any approved state statute shall be\nsubmitted through that state's criminal history record repository. A\nstate criminal history record repository shall process an interstate\nrequest for noncriminal justice purposes through the national indices\nonly if such request is transmitted through another state criminal\nhistory record repository or the FBI.\n (c) Each request for criminal history record checks utilizing the\nnational indices made under federal authority shall be submitted through\nthe FBI or, if the state criminal history record repository consents to\nprocess fingerprint submissions, through the criminal history record\nrepository in the state in which such request originated. Direct access\nto the national identification index by entities other than the FBI and\nstate criminal history records repositories shall not be permitted for\nnoncriminal justice purposes.\n (d) A state criminal history record repository or the FBI:\n 1. may charge a fee, in accordance with applicable law, for handling a\nrequest involving fingerprint processing for noncriminal justice\npurposes; and\n 2. may not charge a fee for providing criminal history records in\nresponse to an electronic request for a record that does not involve a\nrequest to process fingerprints.\n (e) 1. If a state criminal history record repository cannot positively\nidentify the subject of a record request made for noncriminal justice\npurposes, the request, together with fingerprints or other approved\nidentifying information, shall be forwarded to the FBI for a search of\nthe national indices.\n 2. If, with respect to a request forwarded by a state criminal history\nrecord repository under paragraph one of this subdivision, the FBI\npositively identifies the subject as having a III system-indexed record\nor records:\n a. the FBI shall so advise the state criminal history record\nrepository; and\n b. the state criminal history record repository shall be entitled to\nobtain the additional criminal history record information from the FBI\nor other state criminal history record repositories.\n ARTICLE VI--ESTABLISHMENT OF COMPACT COUNCIL\n (a) 1. In general, there is established a council to be known as the\n"compact council", which shall have the authority to promulgate rules\nand procedures governing the use of the III system for noncriminal\njustice purposes, not to conflict with FBI administration of the III\nsystem for criminal justice purposes.\n 2. The council shall:\n a. continue in existence as long as this compact remains in effect;\n b. be located, for administrative purposes, within the FBI; and\n c. be organized and hold its first meeting as soon as practicable\nafter the effective date of this compact.\n (b) The council shall be composed of fifteen members, each of whom\nshall be appointed by the attorney general, as follows:\n 1. Nine members, each of whom shall serve a two-year term, who shall\nbe selected from among the compact officers of party states based on the\nrecommendation of the compact officers of all party states, except that,\nin the absence of the requisite number of compact officers available to\nserve, the chief administrators of the criminal history record\nrepositories of nonparty states shall be eligible to serve on an interim\nbasis.\n 2. Two at-large members, nominated by the director of the FBI, each of\nwhom shall serve a three-year term, of whom:\n a. one shall be a representative of the criminal justice agencies of\nthe federal government and may not be an employee of the FBI; and\n b. one shall be a representative of the noncriminal justice agencies\nof the federal government.\n 3. Two at-large members, nominated by the chairman of the council,\nonce the chairman is elected pursuant to subdivision (c) of this\narticle, each of whom shall serve a three-year term, of whom:\n a. one shall be a representative of state or local criminal justice\nagencies; and\n b. one shall be a representative of state or local noncriminal justice\nagencies.\n 4. One member, who shall serve a three-year term, and who shall\nsimultaneously be a member of the FBI's advisory policy board on\ncriminal justice information services, nominated by the membership of\nthat policy board.\n 5. One member, nominated by the director of the FBI, who shall serve a\nthree-year term, and who shall be an employee of the FBI.\n (c) 1. In general, from its membership, the council shall elect a\nchairman and a vice chairman of the council, respectively. Both the\nchairman and vice chairman of the council:\n a. shall be a compact officer, unless there is no compact officer on\nthe council who is willing to serve, in which case the chairman may be\nan at-large member; and\n b. shall serve a two-year term and may be reelected to only one\nadditional two-year term.\n 2. The vice chairman of the council shall serve as the chairman of the\ncouncil in the absence of the chairman.\n (d) 1. In general, the council shall meet at least once each year at\nthe call of the chairman. Each meeting of the council shall be open to\nthe public. The council shall provide prior public notice in the federal\nregister of each meeting of the council, including the matters to be\naddressed at such meeting.\n 2. A majority of the council or any committee of the council shall\nconstitute a quorum of the council or of such committee, respectively,\nfor the conduct of business. A lesser number may meet to hold hearings,\ntake testimony, or conduct any business not requiring a vote.\n (e) The council shall make available for public inspection and copying\nat the council office within the FBI, and shall publish in the federal\nregister, any rules, procedures, or standards established by the\ncouncil.\n (f) The council may request from the FBI such reports, studies,\nstatistics, or other information or materials as the council determines\nto be necessary to enable the council to perform its duties under this\ncompact. The FBI, to the extent authorized by law, may provide such\nassistance or information upon such a request.\n (g) The chairman may establish committees as necessary to carry out\nthis compact and may prescribe their membership, responsibilities, and\nduration.\n ARTICLE VII--RATIFICATION OF COMPACT\n This compact shall take effect upon being entered into by two or more\nstates as between those states and the federal government. Upon\nsubsequent entering into this compact by additional states, it shall\nbecome effective among those states and the federal government and each\nparty state that has previously ratified it. When ratified, this compact\nshall have the full force and effect of law within the ratifying\njurisdictions. The form of ratification shall be in accordance with the\nlaws of the executing state.\n ARTICLE VIII--MISCELLANEOUS PROVISIONS\n (a) Administration of this compact shall not interfere with the\nmanagement and control of the director of the FBI over the FBI's\ncollection and dissemination of criminal history records and the\nadvisory function of the FBI's advisory policy board chartered under the\nfederal advisory committee act (5 U.S.C. App.) for all purposes other\nthan noncriminal justice.\n (b) Nothing in this compact shall require the FBI to obligate or\nexpend funds beyond those appropriated to the FBI.\n (c) Nothing in this compact shall diminish or lessen the obligations,\nresponsibilities, and authorities of any state, whether a party state or\na nonparty state, or of any criminal history record repository or other\nsubdivision or component thereof, under the departments of state,\njustice, and commerce, the judiciary, and related agencies appropriation\nact, 1973 (Public Law 92-544), or regulations and guidelines promulgated\nthereunder, including the rules and procedures promulgated by the\ncouncil under subdivision (a) of article VI, regarding the use and\ndissemination of criminal history records and information.\n ARTICLE IX--RENUNCIATION\n (a) In general, this compact shall bind each party state until\nrenounced by the party state.\n (b) Any renunciation of this compact by a party state shall:\n 1. be effected in the same manner by which the party state ratified\nthis compact; and\n 2. become effective one hundred eighty days after written notice of\nrenunciation is provided by the party state to each other party state\nand to the federal government.\n ARTICLE X--SEVERABILITY\n The provisions of this compact shall be severable, and if any phrase,\nclause, sentence, or provision of this compact is declared to be\ncontrary to the constitution of any participating state, or to the\nconstitution of the United States, or the applicability thereof to any\ngovernment, agency, person, or circumstance is held invalid, the\nvalidity of the remainder of this compact and the applicability thereof\nto any government, agency, person, or circumstance shall not be affected\nthereby. If a portion of this compact is held contrary to the\nconstitution of any party state, all other portions of this compact\nshall remain in full force and effect as to the remaining party states\nand in full force and effect as to the party state affected, as to all\nother provisions.\n ARTICLE XI--ADJUDICATION OF DISPUTES\n (a) The council shall:\n 1. have initial authority to make determinations with respect to any\ndispute regarding:\n a. interpretation of this compact;\n b. any rule or standard established by the council pursuant to article\nVI; and\n c. any dispute or controversy between any parties to this compact; and\n 2. hold a hearing concerning any dispute described in paragraph one of\nthis subdivision at a regularly scheduled meeting of the council and\nonly render a decision based upon a majority vote of the members of the\ncouncil. Such decision shall be published pursuant to the requirements\nof subdivision (e) of article VI.\n (b) The FBI shall exercise immediate and necessary action to preserve\nthe integrity of the III system, maintain system policy and standards,\nprotect the accuracy and privacy of records, and to prevent abuses,\nuntil the council holds a hearing on such matters.\n (c) The FBI or a party state may appeal any decision of the council to\nthe attorney general, and thereafter may file suit in the appropriate\ndistrict court of the United States, which shall have original\njurisdiction of all cases or controversies arising under this compact.\nAny suit arising under this compact and initiated in a state court shall\nbe removed to the appropriate district court of the United States in the\nmanner provided by section fourteen hundred forty-six of title\ntwenty-eight of the United States code, or other statutory authority.\n