Page images
[merged small][ocr errors][merged small][merged small]

5 SC 552a.

5 SC 552.

13 USC 8.

"§ 552a. Records maintained on individuals
“(:1) DEFINITIONS.---for purposes of this section---

"(1) the term agency' means in genes ils sletinced in section 3.12(e) of this title:

**() the term 'individual' means a citizen of the limited States oralni ilien lawfully admitted for permanent residence;

"(33) the term 'maintain' includes maintain, collect, use, or visseminate;

"(+) the term 'recoril means any item, collection, or grouping of information about an individual that is maintained by an agenov: including, but not limited to, his education, financial Transactions, medical history, iind criminal or employment history auqid that contains his nanie, 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 recoril' means il 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, (scept as provided by section 8 of title 1:3; and

“(7) the term 'routine lisen? means, with respect to the clisclosure of a record, the use of such record for a purpose which

is compatible with the purpose for which it was collected. "(b) (OXDitoxS (F DisclosURE.- Vo agency shall disclose any record which is contained in a system of records by any means of conmunication 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 lisclosurt of the record would le

(1) to those officers and employees of the agency which main- · tains the record who have a need for the record in the performance of their duties;

“(2) required under section :532 of this title;

"(3) for a routine use as defined in subsection (a) (7) of this section and described under subsection (c) (+)(D)) of this section;

"(t) 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 is a statistical researeh or reporting record, and the record is to be transferred in a form that is not inclividually identifiable;

“(6) to the Vational Archives of the United States as a record which has sufficient historical or other value to warrant its continned preservation by the United States Government, or for evaluation by the Administrator of General Services or his designee to determine whether the record has such value;

“77) 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

[merged small][ocr errors][merged small][merged small]

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 sulxcommittee of any such joint committee;

“(10) to the Comptroller General, or any of his authorized representatives, in the course of the performance of the cuties of the General Accounting Office; or

"(11) pursuant to the order of a court of competent jurisilietion. “(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 inade 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 personal 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 Amendment pertaining to him and

“(A) not later than 10 days (excluding Saturdays, Sun-
days, 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


88 STAT. 1899


Notation of dispute.

Pub. Law 93-579

- 4. December 31, 1974 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 deterinination under subsection (g)(1)(A) of this section;

“(4) in any disclosure, containing information about which the individual has filed a statement of disagreenient, nccurring 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 deenis 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 oliscloseil: 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 lises which may be made of the information, as published pursuant to paragraph (4)(1)) 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 at least annually a notice of the existence and character of the system of records, which notice shall include

“(A) the name and location of the system;

Publication in Federal Register.

[merged small][ocr errors][merged small][merged small]


“(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

tem, including the categories of users and the purpose of such

"(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 conduct. 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 Confidentiality physical safeguards to insure the security and confidentiality of of rocords. 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; and

“(11) at least 30 days prior to publication of information under Publication paragraph (4)(D) of this subsection, publish in the Federal Register notice of any new use or intended use of the information Register. in the system, and provide an opportunity for interested persons to

submit written data, views, or arguments to the agency. “(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

Rules of

in Federal

5 USC 553.

Pub. Law 93-579


December 31, 1974

88 STAT. 1901


Publication in Federal Register.

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 identilying an individual who requests his record or information pertaining to him before the agency shall make the record or Jhormation 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 annually 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 de ermine 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


Amendment of record.


« PreviousContinue »