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Access to Records
(a) Definitions. - For purposes of this section -
(1) the term ''agency'' means agency as defined in section 552(e) [1] of this
title;
(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 404(e),
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;
(vi) matches performed for
foreign counterintelligence purposes or to produce background checks for security
clearances of Federal personnel or Federal contractor personnel;
(vii) matches performed incident
to a levy described in section 6103(k)(8) of the Internal Revenue Code of 1986; or
(viii) matches performed pursuant
to section 202(x)(3) or 1611(e)(1) of the Social Security Act (42 U.S.C. 402(x)(3),
1382(e)(1));
(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; or
(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) 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) (1) Government Contractors. - 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 financial 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 statute 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 which 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 or
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. [2]
(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) In the reports required by paragraph (3)(D), 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 and oversight of the implementation of this
section by agencies.
Footnotes
[1] See References in Text note below.
[2] So in original. Probably should be ''cost-effective.''
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