Advanced Criminal Investigations and Intelligence Operations

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Advanced Criminal Investigations and Intelligence Operations Page 55

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  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 sec-

  tion 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 subsec-

  tion (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.

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  403

  (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 produc-

  tion to the complainant of any agency records improp-

  erly 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 with-

  held under any of the exemptions set forth in subsection

  (k) of this section, and the burden is on the agency to sus-

  tain 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 dis-

  trict 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 con-

  troversy, 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.

  404

  Appendix D: Consumer and Credit Data Privacy Laws

  (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 individual y identifi-

  able information the disclosure of which is prohibited by this sec-

  tion or by rules or regulations established thereunder, and who

  knowing that disclosure of the specific material is so prohibited,

  willful y 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 $5000.

  (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 $5000.

  (3) Any person who knowingly and willful y requests or obtains any

  record concerning an individual from an agency under false pre-

  tenses shall be guilty of a misdemeanor and fined not more than

  $5000.

  (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 per-

  forms as its principal function any activity pertaining to the

  enforcement of criminal laws, including police efforts to pre-

  vent, control, or reduce crime or to apprehend criminals, and

  the activities of prosecutors, courts, correctional, probation, par-

  don, or parole authorities, and which consists of (A) informa-

  tion compiled for the purpose of identifying individual criminal

  offenders and alleged offenders and consisting only of identify-

  ing data and notations of arrests, the nature and disposition of

  criminal charges, sentencing, confinement, release, and parole

  and probation status; (B) informati
on compiled for the purpose

  Appendix D: Consumer and Credit Data Privacy Laws

  405

  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 dis-

  closure 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 con-

  fidence, 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 deter-

  mining suitability, eligibility, or qualifications for Federal civil-

  ian employment, military service, Federal contracts, or access

  to classified information, but only to the extent that the disclo-

  sure 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 con-

  fidence, or, prior to the effective date of this section, under an

  406

  Appendix D: Consumer and Credit Data Privacy Laws

  implied promise that the identity of the source would be held

  in confidence;

  (6) testing or examination material used solely to determine individ-

  ual qualifications for appointment or promotion in the Federal

  service the disclosure of which would compromise the objectiv-

  ity 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 disclo-

  sure 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 con-

  fidence, 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

  (1) Each agency record which is accepted by the Archivist of the

  United States for storage, processing, and servicing in accor-

  dance 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

  Appendix D: Consumer and Credit Data Privacy Laws

  407

  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 sec-

  tion except subsections (e)(4)(A) through (G) and (e)(9) of this

  section.

  (m) Government contractors

  (1) 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 sys-

  tem. For purposes of subsection (i) of this section any such con-

  tractor 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 con-

  tractor 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 autho-

  rized 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 dis-

  closed to a recipient agency or non-Federal agency for use in a

  computer matching program except pursuant to a written agree-

  ment between the source agency and the recipient agency or

  non-Federal agency specifying�
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  (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 num-

  ber of records that will be matched, and the projected start-

  ing 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 guid-

  ance 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

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  Appendix D: Consumer and Credit Data Privacy Laws

  (ii) applicants for and holders of positions as Federal person-

  nel, 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 iden-

  tifiable 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 pro-

  vided 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-

 

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