# embedding_metadata

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request for records under this subsection shall set forth the 
names and titles or positions of each person responsible 
for the denial of such request.
(ii) For purposes of this subparagraph, the term “ex -
ceptional circumstances” does not include a delay that 
results from a predictable agency workload of requests 
under this section, unless the agency demonstrates rea -
sonable progress in reducing its backlog of pending re -
quests.
(iii) Refusal by a person to reasonably modify the


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quests.
(iii) Refusal by a person to reasonably modify the 
scope of a request or arrange an alternative time frame 
for processing a request (or a modified request) under 
clause (ii) after being given an opportunity to do so by 
the agency to whom the person made the request shall 
be considered as a factor in determining whether ex -
ceptional circumstances exist for purposes of this sub -
paragraph.


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142 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 143	(D)(i) Each agency may promulgate regulations, pur -
suant to notice and receipt of public comment, providing 
for multitrack processing of requests for records based on 
the amount of work or time (or both) involved in pro -
cessing requests.
(ii) Regulations under this subparagraph may pro -
vide a person making a request that does not qualify 
for the fastest multitrack processing an opportunity to


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for the fastest multitrack processing an opportunity to 
limit the scope of the request in order to qualify for 
faster processing.
(iii) This subparagraph shall not be considered to af -
fect the requirement under subparagraph (C) to exer -
cise due diligence.
(E)(i) Each agency shall promulgate regulations, pur -
suant to notice and receipt of public comment, providing 
for expedited processing of requests for records—
(I) in cases in which the person requesting the re -


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(I) in cases in which the person requesting the re -
cords demonstrates a compelling need; and
(II) in other cases determined by the agency.
(ii) Notwithstanding clause (i), regulations under 
this subparagraph must ensure—
(I) that a determination of whether to provide expe -
dited processing shall be made, and notice of the deter -
mination shall be provided to the person making the 
request, within 10 days after the date of the request; and
(II) expeditious consideration of administrative


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(II) expeditious consideration of administrative 
appeals of such determinations of whether to provide 
expedited processing.
(iii) An agency shall process as soon as practicable 
any request for records to which the agency has granted 
expedited processing under this subparagraph. Agency 
action to deny or affirm denial of a request for expe -
dited processing pursuant to this subparagraph, and 
failure by an agency to respond in a timely manner to


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failure by an agency to respond in a timely manner to 
such a request shall be subject to judicial review under 
paragraph (4), except that the judicial review shall be 
based on the record before the agency at the time of the 
determination.
(iv) A district court of the United States shall not 
have jurisdiction to review an agency denial of expedit -ed processing of a request for records after the agency 
has provided a complete response to the request.
(v) For purposes of this subparagraph, the term


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(v) For purposes of this subparagraph, the term 
“compelling need” means—
(I) that a failure to obtain requested records on an 
expedited basis under this paragraph could reason -
ably be expected to pose an imminent threat to the 
life or physical safety of an individual; or
(II) with respect to a request made by a person pri -
marily engaged in disseminating information, urgen -
cy to inform the public concerning actual or alleged 
Federal Government activity.


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Federal Government activity.
(vi) A demonstration of a compelling need by a per -
son making a request for expedited processing shall be 
made by a statement certified by such person to be true 
and correct to the best of such person’s knowledge and 
belief.
(F) In denying a request for records, in whole or in part, 
an agency shall make a reasonable effort to estimate the 
volume of any requested matter the provision of which is 
denied, and shall provide any such estimate to the person


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denied, and shall provide any such estimate to the person 
making the request, unless providing such estimate would 
harm an interest protected by the exemption in subsec -
tion (b) pursuant to which the denial is made.
(7) Each agency shall—
(A) establish a system to assign an individualized 
tracking number for each request received that will take 
longer than ten days to process and provide to each per -
son making a request the tracking number assigned to 
the request; and


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the request; and
(B) establish a telephone line or Internet service that 
provides information about the status of a request to 
the person making the request using the assigned track -
ing number, including—
(i) the date on which the agency originally received 
the request; and
(ii) an estimated date on which the agency will 
complete action on the request.
(b) This section does not apply to matters that are—


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BASIC LAWS and AUTHORITIES  | 143	(1)(A) specifically authorized under criteria established 
by an Executive order to be kept secret in the interest of 
national defense or foreign policy and (B) are in fact prop -
erly classified pursuant to such Executive order;
(2) related solely to the internal personnel rules and 
practices of an agency;
(3) specifically exempted from disclosure by statute 
(other than section 552b of this title), if that statute—
(A)(i) requires that the matters be withheld from the


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(A)(i) requires that the matters be withheld from the 
public in such a manner as to leave no discretion on 
the issue; or
(ii) establishes particular criteria for withholding or 
refers to particular types of matters to be withheld; and
(B) if enacted after the date of enactment of the 
OPEN FOIA Act of 2009, specifically cites to this 
paragraph.
(4) trade secrets and commercial or financial informa -
tion obtained from a person and privileged or confiden -
tial;


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tion obtained from a person and privileged or confiden -
tial;
(5) inter-agency or intra-agency memorandums or let -
ters which would not be available by law to a party other 
than an agency in litigation with the agency;
(6) personnel and medical files and similar files the dis -
closure of which would constitute a clearly unwarranted 
invasion of personal privacy;
(7) records or information compiled for law enforce -
ment purposes, but only to the extent that the production


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ment purposes, but only to the extent that the production 
of such law enforcement records or information (A) could 
reasonably be expected to interfere with enforcement 
proceedings, (B) would deprive a person of a right to a 
fair trial or an impartial adjudication, (C) could reason -
ably be expected to constitute an unwarranted invasion 
of personal privacy, (D) could reasonably be expected to 
disclose the identity of a confidential source, including a


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disclose the identity of a confidential source, including a 
State, local, or foreign agency or authority or any private 
institution which furnished information on a confidential 
basis, and, in the case of a record or information com -
piled by criminal law enforcement authority in the course 
of a criminal investigation or by an agency conducting a 
lawful national security intelligence investigation, infor -


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lawful national security intelligence investigation, infor -
mation furnished by a confidential source, (E) would dis -close techniques and procedures for law enforcement in -
vestigations or prosecutions, or would disclose guidelines 
for law enforcement investigations or prosecutions if such 
disclosure could reasonably be expected to risk circum -
vention of the law, or (F) could reasonably be expected 
to endanger the life or physical safety of any individual;


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to endanger the life or physical safety of any individual;
(8) contained in or related to examination, operat -
ing, or condition reports prepared by, on behalf of, or 
for the use of an agency responsible for the regulation 
or supervision of financial institutions; or
(9) geological and geophysical information and data, 
including maps, concerning wells.
Any reasonably segregable portion of a record shall be 
provided to any person requesting such record after


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provided to any person requesting such record after 
deletion of the portions which are exempt under this 
subsection. The amount of information deleted, and 
the exemption under which the deletion is made, shall 
be indicated on the released portion of the record, 
unless including that indication would harm an interest 
protected by the exemption in this subsection under 
which the deletion is made. If technically feasible, the 
amount of the information deleted, and the exemption


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amount of the information deleted, and the exemption 
under which the deletion is made, shall be indicated at the 
place in the record where such deletion is made.
(c)(1) Whenever a request is made which involves access 
to records described in subsection (b)(7)(A) and—
(A) the investigation or proceeding involves a possi -
ble violation of criminal law; and
(B) there is reason to believe that (i) the subject of 
the investigation or proceeding is not aware of its pen -


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the investigation or proceeding is not aware of its pen -
dency, and (ii) disclosure of the existence of the records 
could reasonably be expected to interfere with enforce -
ment proceedings, the agency may, during only such


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dency, and (ii) disclosure of the existence of the records 
could reasonably be expected to interfere with enforce -
ment proceedings, the agency may, during only such 
time as that circumstance continues, treat the records as 
not subject to the requirements of this section.
(2) Whenever informant records maintained by a crim -
inal law enforcement agency under an informant’s name 
or personal identifier are requested by a third party ac -
cording to the informant’s name or personal identifier, the


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cording to the informant’s name or personal identifier, the 
agency may treat the records as not subject to the require -
ments of this section unless the informant’s status as an 
informant has been officially confirmed.


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144 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 145	(3) Whenever a request is made which involves access 
to records maintained by the Federal Bureau of Investiga -
tion pertaining to foreign intelligence or counterintelli -
gence, or international terrorism, and the existence of the 
records is classified information as provided in subsection 
(b)(1), the Bureau may, as long as the existence of the 
records remains classified information, treat the records as


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records remains classified information, treat the records as 
not subject to the requirements of this section.
(d) This section does not authorize withholding of 
information or limit the availability of records to the public, 
except as specifically stated in this section. This section is 
not authority to withhold information from Congress.
(e)(1) On or before February 1 of each year, each agency 
shall submit to the Attorney General of the United States


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shall submit to the Attorney General of the United States 
a report which shall cover the preceding fiscal year and 
which shall include—
(A) the number of determinations made by the agen -
cy not to comply with requests for records made to such 
agency under subsection (a) and the reasons for each such 
determination;
(B)(i) the number of appeals made by persons under 
subsection (a)(6), the result of such appeals, and the rea -
son for the action upon each appeal that results in a denial


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son for the action upon each appeal that results in a denial 
of information; and
(ii) a complete list of all statutes that the agency relies 
upon to authorize the agency to withhold information 
under subsection (b)(3), the number of occasions on 
which each statute was relied upon, a description of 
whether a court has upheld the decision of the agency 
to withhold information under each such statute, and 
a concise description of the scope of any information 
withheld;


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withheld;
(C) the number of requests for records pending before 
the agency as of September 30 of the preceding year, and 
the median and average number of days that such requests 
had been pending before the agency as of that date;
(D) the number of requests for records received by the agen -
cy and the number of requests which the agency processed;
(E) the median number of days taken by the agency to 
process different types of requests, based on the date on


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process different types of requests, based on the date on 
which the requests were received by the agency;(F) the average number of days for the agency to re -
spond to a request beginning on the date on which the 
request was received by the agency, the median number 
of days for the agency to respond to such requests, and 
the range in number of days for the agency to respond to 
such requests;
(G) based on the number of business days that have 
elapsed since each request was originally received by the


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elapsed since each request was originally received by the 
agency—
(i) the number of requests for records to which the 
agency has responded with a determination within a 
period up to and including 20 days, and in 20-day in -
crements up to and including 200 days;
(ii) the number of requests for records to which the 
agency has responded with a determination within a 
period greater than 200 days and less than 301 days;
(iii) the number of requests for records to which the


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(iii) the number of requests for records to which the 
agency has responded with a determination within a pe -
riod greater than 300 days and less than 401 days; and
(iv) the number of requests for records to which the 
agency has responded with a determination within a 
period greater than 400 days;
(H) the average number of days for the agency to pro -
vide the granted information beginning on the date on 
which the request was originally filed, the median number


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which the request was originally filed, the median number 
of days for the agency to provide the granted information, 
and the range in number of days for the agency to provide 
the granted information;
(I) the median and average number of days for the 
agency to respond to administrative appeals based on the 
date on which the appeals originally were received by the 
agency, the highest number of business days taken by the 
agency to respond to an administrative appeal, and the


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agency to respond to an administrative appeal, and the 
lowest number of business days taken by the agency to 
respond to an administrative appeal;


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agency to respond to an administrative appeal, and the 
lowest number of business days taken by the agency to 
respond to an administrative appeal;
(J) data on the 10 active requests with the earliest fil -
ing dates pending at each agency, including the amount 
of time that has elapsed since each request was originally 
received by the agency;
(K) data on the 10 active administrative appeals with 
the earliest filing dates pending before the agency as of


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BASIC LAWS and AUTHORITIES  | 145	September 30 of the preceding year, including the num -
ber of business days that have elapsed since the requests 
were originally received by the agency;
(L) the number of expedited review requests that are 
granted and denied, the average and median number of 
days for adjudicating expedited review requests, and the 
number adjudicated within the required 10 days;
(M) the number of fee waiver requests that are granted


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(M) the number of fee waiver requests that are granted 
and denied, and the average and median number of days 
for adjudicating fee waiver determinations;
(N) the total amount of fees collected by the agency for 
processing requests; and
(O) the number of full-time staff of the agency devoted 
to processing requests for records under this section, and 
the total amount expended by the agency for processing 
such requests.
(2) Information in each report submitted under para -


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(2) Information in each report submitted under para -
graph (1) shall be expressed in terms of each principal 
component of the agency and for the agency overall.
(3) Each agency shall make each such report available 
to the public including by computer telecommunica -
tions, or if computer telecommunications means have 
not been established by the agency, by other electronic 
means. In addition, each agency shall make the raw sta -
tistical data used in its reports available electronically to


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tistical data used in its reports available electronically to 
the public upon request.
(4) The Attorney General of the United States shall 
make each report which has been made available by 
electronic means available at a single electronic access 
point. The Attorney General of the United States shall 
notify the Chairman and ranking minority member 
of the Committee on Government Reform and Over -
sight of the House of Representatives and the Chair -
man and ranking minority member of the Commit -


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man and ranking minority member of the Commit -
tees on Governmental Affairs and the Judiciary of the 
Senate, no later than April 1 of the year in which each 
such report is issued, that such reports are available by 
electronic means.
(5) The Attorney General of the United States, in 
consultation with the Director of the Office of Manage -
ment and Budget, shall develop reporting and perfor -mance guidelines in connection with reports required 
by this subsection by October 1, 1997, and may es -


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by this subsection by October 1, 1997, and may es -
tablish additional requirements for such reports as the 
Attorney General determines may be useful.
(6) The Attorney General of the United States shall 
submit an annual report on or before April 1 of each 
calendar year which shall include for the prior calendar 
year a listing of the number of cases arising under this 
section, the exemption involved in each case, the dispo -
sition of such case, and the cost, fees, and penalties as -


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sition of such case, and the cost, fees, and penalties as -
sessed under subparagraphs (E), (F), and (G) of subsec -
tion (a)(4). Such report shall also include a description 
of the efforts undertaken by the Department of Justice 
to encourage agency compliance with this section.
(f) For purposes of this section, the term—
(1) “agency” as defined in section 551(1) of this title  
includes any executive department, military department, 
Government corporation, Government controlled


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Government corporation, Government controlled 
corporation, or other establishment in the executive branch 
of the Government (including the Executive Office of the 
President), or any independent regulatory agency; and
(2) “record” and any other term used in this section in 
reference to information includes—
(A) any information that would be an agency record 
subject to the requirements of this section when main -
tained by an agency in any format, including an elec -
tronic format; and


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tronic format; and
(B) any information described under subparagraph 
(A) that is maintained for an agency by an entity un -
der Government contract, for the purposes of records 
management.
(g) The head of each agency shall prepare and make 
publicly available upon request, reference material or 
a guide for requesting records or information from the 
agency, subject to the exemptions in subsection (b), 
including—
(1) an index of all major information systems of the


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a guide for requesting records or information from the 
agency, subject to the exemptions in subsection (b), 
including—
(1) an index of all major information systems of the 
agency;
(2) a description of major information and record lo -
cator systems maintained by the agency; and


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146 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 147	(3) a handbook for obtaining various types and cate -
gories of public information from the agency pursuant 
to chapter 35 of title 44, and under this section.
(h)(1) There is established the Office of Government 
Information Services within the National Archives and 
Records Administration.
(2) The Office of Government Information Services 
shall—
(A) review policies and procedures of administra -
tive agencies under this section;


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tive agencies under this section;
(B) review compliance with this section by admin -
istrative agencies; and
(C) recommend policy changes to Congress and 
the President to improve the administration of this 
section.
(3) The Office of Government Information Services 
shall offer mediation services to resolve disputes be -
tween persons making requests under this section and 
administrative agencies as a non-exclusive alternative 
to litigation and, at the discretion of the Office, may


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to litigation and, at the discretion of the Office, may 
issue advisory opinions if mediation has not resolved 
the dispute.
(i) The Government Accountability Office shall conduct 
audits of administrative agencies on the implementation 
of this section and issue reports detailing the results of 
such audits.
(j) Each agency shall designate a Chief FOIA Officer who 
shall be a senior official of such agency (at the Assistant 
Secretary or equivalent level).


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Secretary or equivalent level).
(k) The Chief FOIA Officer of each agency shall, subject 
to the authority of the head of the agency—(1) have agency-wide responsibility for efficient and ap -
propriate compliance with this section;
(2) monitor implementation of this section throughout 
the agency and keep the head of the agency, the chief legal 
officer of the agency, and the Attorney General appropri -
ately informed of the agency’s performance in implement -
ing this section;


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ing this section;
(3) recommend to the head of the agency such adjust -
ments to agency practices, policies, personnel, and fund -
ing as may be necessary to improve its implementation of 
this section;
(4) review and report to the Attorney General, through 
the head of the agency, at such times and in such formats 
as the Attorney General may direct, on the agency’s per -
formance in implementing this section;
(5) facilitate public understanding of the purposes of


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(5) facilitate public understanding of the purposes of 
the statutory exemptions of this section by including con -
cise descriptions of the exemptions in both the agency’s 
handbook issued under subsection (g), and the agency’s 
annual report on this section, and by providing an over -
view, where appropriate, of certain general categories of 
agency records to which those exemptions apply; and
(6) designate one or more FOIA Public Liaisons.
(l) FOIA Public Liaisons shall report to the agency Chief


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(l) FOIA Public Liaisons shall report to the agency Chief 
FOIA Officer and shall serve as supervisory officials to 
whom a requester under this section can raise concerns 
about the service the requester has received from the FOIA 
Requester Center, following an initial response from the 
FOIA Requester Center Staff. FOIA Public Liaisons shall 
be responsible for assisting in reducing delays, increasing 
transparency and understanding of the status of requests,


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transparency and understanding of the status of requests, 
and assisting in the resolution of disputes.


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BASIC LAWS and AUTHORITIES  | 147	THE PRIVACY ACT OF 1974
5 U.S.C. § 552a, As Amended
§ 552A. RECORDS MAINTAINED ON 
INDIVIDUALS
(a) Definitions
For purposes of this section—
(1) the term “agency” means agency as defined in sec -
tion 552(f) of this title;
(2) the term “individual” means a citizen of the United 
States or an alien lawfully admitted for permanent resi -
dence;
(3) the term “maintain” includes maintain, collect, use 
or disseminate;
(4) the term “record” means any item, collection, or


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(4) the term “record” means any item, collection, or 
grouping of information about an individual that is main -
tained by an agency, including, but not limited to, his ed -
ucation, financial transactions, medical history, and crim -
inal 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


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(5) the term “system of records” means a group of any 
records under the control of any agency from which in -
formation 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 sys -
tem of records maintained for statistical research or re -
porting purposes only and not used in whole or in part in 
making any determination about an identifiable individ -


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making any determination about an identifiable individ -
ual, except as provided by section 8 of Title 13;
(7) the term “routine use” means, with respect to the dis -
closure 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—


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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 Fed -


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or payroll systems of records or a system of Fed -
eral personnel or payroll records with non-Federal 
records,
(B) but does not include—
(i) matches performed to produce aggregate sta -
tistical 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 com -


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(iii) matches performed, by an agency (or com -
ponent 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 investiga -
tion of a named person or persons for the purpose of 
gathering evidence against such person or persons;


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148 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 149	(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


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(IV) for the purpose of intercepting a tax refund 
due an individual under any other tax refund in -
tercept 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 substan -
tially 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


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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; or
(vi) matches performed for foreign counterintel -


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(vi) matches performed for foreign counterintel -
ligence purposes or to produce background checks 
for security clearances of Federal personnel or Fed -
eral contractor personnel; or
(vii) matches performed incident to a levy de -
scribed in section 6103(k)(8) of the Internal Reve -
nue Code of 1986;
(9) the term “recipient agency” means any agency, or 
contractor thereof, receiving records contained in a sys -
tem of records from a source agency for use in a matching 
program;


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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 gov -
ernment, or agency thereof, which discloses records to be 
used in a matching program;


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used in a matching program;
(12) the term “Federal benefit program” means any 
program administered or funded by the Federal Govern -
ment, 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 in -
dividuals; and
(13) the term “Federal personnel” means officers and 
employees of the Government of the United States,  
members of the uniformed services (including members


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members of the uniformed services (including members 
of the Reserve Components), individuals entitled to re -
ceive 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


key: chroma:document
string_value:
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;


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this section;
(4) to the Bureau of the Census for purposes of plan -
ning or carrying out a census or survey or related activity 
pursuant to the provisions of Title 13;


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BASIC LAWS and AUTHORITIES  | 149	(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 Administra -
tion as a record which has sufficient historical or other 
value to warrant its continued preservation by the United


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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 deter -
mine 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 re -


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of the agency or instrumentality has made a written re -
quest 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 cir -
cumstances 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


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(9) to either House of Congress, or, to the extent of 
matter within its jurisdiction, any committee or subcom -
mittee hereof, any joint committee of Congress or sub -
committee of any such joint committee;
(10) to the Comptroller General, or any of his autho -
rized 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 ju -
risdiction; or
(12) to a consumer reporting agency in accordance


key: chroma:document
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(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 account -
ing 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


key: chroma:document
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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 re -
cord, 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 para -
graph (1) of this subsection available to the individual


key: chroma:document
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graph (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 cor -
rection or notation of dispute made by the agency in ac -
cordance with subsection (d) of this section of any record 
that has been disclosed to the person or agency if an ac -
counting 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


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(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 re -
quest, 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 individu -
al’s record in the accompanying person’s presence;


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al’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, Sun -
days, and legal public holidays) after the date of receipt 
of such request, acknowledge in writing such receipt; 
and


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150 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 151	(B) promptly, either—
(i) make any correction of any portion thereof 
which the individual believes is not accurate, rele -
vant, timely, or complete; or
(ii) inform the individual of its refusal to amend 
the record in accordance with his request, the rea -
son 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 of -


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of that refusal by the head of the agency or an of -
ficer 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 Satur -
days, 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


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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 offi -
cial also refuses to amend the record in accordance with 
the request, permit the individual to file with the agen -
cy 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


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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 re -
cord which is disputed and provide copies of the statement 
and, if the agency deems it appropriate, copies of a con -


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string_value:
and, if the agency deems it appropriate, copies of a con -
cise 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 ac -
cess to any information compiled in reasonable anticipa -
tion 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


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about an individual as is relevant and necessary to ac -
complish a purpose of the agency required to be ac -
complished by statute or by Executive order of the 
President;    
(2) collect information to the greatest extent practi -
cable directly from the subject individual when the in -
formation 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


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(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 au -
thorizes the solicitation of the information and 
whether disclosure of such information is manda -
tory or voluntary;
(B) the principal purpose or purposes for which 
the information is intended to be used;


key: chroma:document
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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 establish -
ment or revision a notice of the existence and character of 
the system of records, which notice shall include—


key: chroma:document
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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;


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BASIC LAWS and AUTHORITIES  | 151	(D) each routine use of the records contained in the 
system, including the categories of users and the pur -
pose 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 offi -
cial who is responsible for the system of records;
(G) the agency procedures whereby an individual can


key: chroma:document
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(G) the agency procedures whereby an individual can 
be notified at his request if the system of records con -
tains 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 re -
cords, 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


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(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 indi -
vidual 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


key: chroma:document
string_value:
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 un -
less 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 indi -


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string_value:
(8) make reasonable efforts to serve notice on an indi -
vidual when any record on such individual is made avail -
able 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


key: chroma:document
string_value:
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 confiden -
tiality of records and to protect against any anticipated 
threats or hazards to their security or integrity which 
could result in substantial harm, embarrassment, incon -
venience, or unfairness to any individual on whom infor -


key: chroma:document
string_value:
venience, or unfairness to any individual on whom infor -
mation 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 opportuni -
ty 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


key: chroma:document
string_value:
(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 match -
ing 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


key: chroma:document
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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 in -
formation pertaining to him before the agency shall make


key: chroma:document
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formation pertaining to him before the agency shall make 
the record or information available to the individual;


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152 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 153	(3) establish procedures for the disclosure to an individ -
ual upon his request of his record or information pertain -
ing to him, including special procedure, if deemed neces -
sary, 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


key: chroma:document
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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 in -
dividual 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


key: chroma:document
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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 com -
pile and publish the rules promulgated under this subsec -
tion 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


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of this section not to amend an individual’s record in 
accordance with his request, or fails to make such re -
view in conformity with that subsection;
(B) refuses to comply with an individual request un -
der subsection (d)(1) of this section;
(C) fails to maintain any record concerning any in -
dividual with such accuracy, relevance, timeliness, and 
completeness as is necessary to assure fairness in any 
determination relating to the qualifications, character,


key: chroma:document
string_value:
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 con -
sequently 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,


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string_value:
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 or -
der the agency to amend the individual’s record in ac -
cordance with his request or in such other way as the 
court may direct. In such a case the court shall deter -
mine the matter de novo.


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mine the matter de novo.
(B) The court may assess against the United States 
reasonable attorney fees and other litigation costs rea -
sonably 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 en -
join the agency from withholding the records and order 
the production to the complainant of any agency re -


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the production to the complainant of any agency re -
cords improperly withheld from him. In such a case the 
court shall determine the matter de novo, and may ex -
amine 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


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string_value:
(B) The court may assess against the United States 
reasonable attorney fees and other litigation costs rea -
sonably incurred in any case under this paragraph in 
which the complainant has substantially prevailed.
(4) In any suit brought under the provisions of subsec -
tion (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—


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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


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string_value:
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


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string_value:
BASIC LAWS and AUTHORITIES  | 153	(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, with -
out regard to the amount in controversy, within two years


key: chroma:document
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out 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 misrep -
resented any information required under this section to 
be disclosed to an individual and the information so mis -
represented 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 discov -


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string_value:
may be brought at any time within two years after discov -
ery 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


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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 iden -
tifiable information the disclosure of which is prohibited 
by this section or by rules or regulations established there -


key: chroma:document
string_value:
by this section or by rules or regulations established there -
under, 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


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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 misde -
meanor 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


key: chroma:document
string_value:
(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 there -
of which performs as its principal function any activity


key: chroma:document
string_value:
of which performs as its principal function any activity 
pertaining to the enforcement of criminal laws, includ -
ing police efforts to prevent, control, or reduce crime or 
to apprehend criminals, and the activities of prosecutors, 
courts, correctional, probation, pardon, or parole author -
ities, and which consists of (A) information compiled for 
the purpose of identifying individual criminal offenders 
and alleged offenders and consisting only of identifying


key: chroma:document
string_value:
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 re -
ports 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 en -


key: chroma:document
string_value:
an individual compiled at any stage of the process of en -
forcement of the criminal laws from arrest or indictment 
through release from supervision.
At the time rules are adopted under this subsection,


key: chroma:document
string_value:
forcement 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),


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string_value:
(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—


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string_value:
154 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 155	(1) subject to the provisions of section 552(b)(1) of this 
title;
(2) investigatory material compiled for law enforce -
ment 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 bene -
fit that he would otherwise be entitled by Federal law, or 
for which he would otherwise be eligible, as a result of


key: chroma:document
string_value:
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;


key: chroma:document
string_value:
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 in -
dividuals 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 pur -
pose of determining suitability, eligibility, or qualifications 
for Federal civilian employment, military service, Federal


key: chroma:document
string_value:
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;


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string_value:
the identity of the source would be held in confidence;
(6) testing or examination material used solely to de -
termine individual qualifications for appointment or 
promotion in the Federal service the disclosure of which 
would compromise the objectivity or fairness of the test -
ing 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 iden -


key: chroma:document
string_value:
that the disclosure of such material would reveal the iden -
tity of a source who furnished information to the Gov -ernment under an express promise that the identity of the 
source would be held in confidence, or, prior to the effec -
tive 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


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string_value:
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.
(1) Archival records
(1) Each agency record which is accepted by the Archi -
vist of the United States for storage, processing, and ser -
vicing in accordance with section 3103 of Title 44 shall, 
for the purposes of this section, be considered to be main -
tained by the agency which deposited the record and shall


key: chroma:document
string_value:
tained 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 in -
dividual which was transferred to the National Archives of 
the United States as a record which has sufficient histor -


key: chroma:document
string_value:
the United States as a record which has sufficient histor -
ical 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 sub -


key: chroma:document
string_value:
(modeled after the requirements relating to records sub -
ject to subsections (e)(4)(A) through (G) of this section)


key: chroma:document
string_value:
except that a statement generally describing such records 
(modeled after the requirements relating to records sub -
ject 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 in -
dividual which is transferred to the National Archives of 
the United States as a record which has sufficient histor -
ical or other value to warrant its continued preservation


key: chroma:document
string_value:
ical 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 sec -
tion except subsections (e)(4)(A) through (G) and (e)(9) 
of this section.


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string_value:
BASIC LAWS and AUTHORITIES  | 155	(m) Government contractors
(1) When an agency provides by a contract for the op -
eration by or on behalf of the agency of a system of re -
cords 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


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string_value:
employee of such contractor, if such contract is agreed to 
on or after the effective date of this section, shall be con -
sidered 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


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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—


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agency or non-Federal agency specifying—
(A) the purpose and legal authority for conducting 
the program;
(B) the justification for the program and the antici -
pated results, including a specific estimate of any sav -
ings;
(C) a description of the records that will be matched, 
including each data element that will be used, the ap -
proximate number of records that will be matched, 
and the projected starting and completion dates of the 
matching program;


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matching program;
(D) procedures for providing individualized notice at 
the time of application, and notice periodically there -
after 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


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(ii) applicants for and holders of positions as 
Federal personnel, that any information provided 
by such applicants, recipients, holders, and indi -
viduals 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 destruc -
tion of identifiable records created by a recipient agency 
or non-Federal agency in such matching program;


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or non-Federal agency in such matching program;
(G) procedures for ensuring the administrative, tech -
nical, 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


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(I) procedures governing the use by a recipient agency 
or non-Federal agency of records provided in a match -
ing 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


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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—


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156 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 157	(i) be transmitted to the Committee on Govern -
mental Affairs of the Senate and the Committee 
on Government Operations of the House of Rep -
resentatives; 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


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(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,


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review, renew the matching agreement for a current, 
ongoing matching program for not more than one ad -
ditional 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 con -
ducted 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, Federal


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used in a matching program, no recipient agency, Federal 
agency, or source agency may suspend, terminate, reduce, 
or make a final denial of any financial assistance or pay -
ment 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 pro -
gram, until—
(A)(i) the agency has independently verified the in -
formation; or


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formation; 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 accor -
dance 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;


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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 find -
ings; and
(C)(i) the expiration of any time period established 
for the program by statute or regulation for the individ -
ual 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


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period is established, the end of the 30-day period 
beginning on the date on which notice under sub -
paragraph (B) is mailed or otherwise provided to 
the individual.
(2) Independent verification referred to in paragraph 
(1) requires investigation and confirmation of specific in -
formation 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;


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(A) the amount of any asset or income involved;
(B) whether such individual actually has or had ac -
cess to such asset or income for such individual’s own 
use; and
(C) the period or periods when the individual actual -
ly 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


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BASIC LAWS and AUTHORITIES  | 157	or public safety may be adversely affected or significant -
ly 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),


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reason to believe that the requirements of subsection (p), 
or any matching agreement entered into pursuant to sub -
section (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.


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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


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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 two years;


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Privacy Act of 1974 during the preceding two 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 ad -
ministration of this section as may be necessary or useful 
to the Congress in reviewing the effectiveness of this sec -
tion in carrying out the purposes of the Privacy Act of 
1974.
(t) Effect of other laws


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1974.
(t) Effect of other laws
(1) 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 individu -
al under the provisions of this section.
(2) No agency shall rely on any exemption in this sec -
tion to withhold from an individual any record which is 
otherwise accessible to such individual under the provi -
sions of section 552 of this title.
(u) Data Integrity Boards


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sions 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 sec -
tion.
(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


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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 in -
spector 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 sub -
section (o), and all relevant statutes, regulations, and


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section (o), and all relevant statutes, regulations, and 
guidelines;
(B) shall review all matching programs in which


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158 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 159	the agency has participated during the year, either as 
a source agency or recipient agency, determine compli -
ance 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, ei -
ther as a source agency or recipient agency, for contin -


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ther as a source agency or recipient agency, for contin -
ued 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 sub -


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(ii) matching agreements proposed under sub -
section (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 require -
ment in paragraph (4) of this section for comple -
tion 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


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action taken; and
(vi) any other information required by the Di -
rector 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


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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 agree -
ment for a matching program unless the agency has com -
pleted and submitted to such Board a cost-benefit analysis 
of the proposed program and such analysis demonstrates


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of the proposed program and such analysis demonstrates 
that the program is likely to be cost effective.
(B) The Board may waive the requirements of sub -
paragraph (A) of this paragraph if it determines in writ -
ing, in accordance with guidelines prescribed by the Di -
rector of the Office of Management and Budget, that a 
cost-benefit analysis is not required.
(C) A cost-benefit analysis shall not be required un -
der subparagraph (A) prior to the initial approval of a


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der subparagraph (A) prior to the initial approval of a 
written agreement for a matching program that is spe -
cifically required by statute. Any subsequent written 
agreement for such a program shall not be approved by 
the Data Integrity Board unless the agency has submit -
ted 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


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Integrity Board, any party to such agreement may appeal 
the disapproval to the Director of the Office of Manage -
ment and Budget. Timely notice of the filing of such an ap -
peal shall be provided by the Director of the Office of Man -
agement 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 notwith -


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Budget may approve a matching agreement notwith -
standing 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 require -
ments;


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BASIC LAWS and AUTHORITIES  | 159	(ii) there is adequate evidence that the matching 
agreement will be cost- effective; and
(iii) the matching program is in the public in -
terest.
(C) The decision of the Director to approve a match -
ing 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


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matching program proposed by the inspector general 
of an agency, the inspector general may report the dis -
approval to the head of the agency and to the Congress.
(6) The Director of the Office of Management and Bud -
get shall, annually during the first 3 years after the date 
of enactment of this subsection and biennially thereafter, 
consolidate in a report to the Congress the information 
contained in the reports from the various Data Integrity


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contained in the reports from the various Data Integrity 
Boards under paragraph (3)(D). Such report shall include 
detailed information about costs and benefits of matching 
programs that are conducted during the period covered by 
such consolidated report, and shall identify each waiver 
granted by a Data Integrity Board of the requirement for 
completion and submission of a cost-benefit analysis and 
the reasons for granting the waiver.
(7) In the reports required by paragraphs (3)(D) and


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(7) In the reports required by paragraphs (3)(D) and 
(6), agency matching activities that are not matching pro -
grams 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


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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.
The following section was originally part of the Priva -
cy Act but was not codified; it may be found at § 552a 
(note).
Sec. 7 (a)(1) It shall be unlawful for any Federal, State 
or local government agency to deny to any individual any


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or local government agency to deny to any individual any 
right, benefit, or privilege provided by law because of such 
individual’s refusal to disclose his social security account 
number.
(2) the provisions of paragraph (1) of this subsection 
shall not apply with respect to—
(A) any disclosure which is required by Federal stat -
ute, or
(B) any disclosure of a social security number to any 
Federal, State, or local agency maintaining a system of 
records in existence and operating before January 1,


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records in existence and operating before January 1, 
1975, if such disclosure was required under statute or 
regulation adopted prior to such date to verify the iden -
tity of an individual.
(b) Any Federal, State or local government agency which 
requests an individual to disclose his social security 
account number shall inform that individual whether that 
disclosure is mandatory or voluntary, by what statutory or 
other authority such number is solicited, and what uses 
will be made of it.


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will be made of it.
The following sections were originally part of P .L. 100-
503, the Computer Matching and Privacy Protection Act 
of 1988; they may be found at § 552a (note).
Sec. 6 Functions of the Director of the Office of Man -
agement and Budget.
(b) Implementation Guidance for Amendments— The 
Director shall, pursuant to section 552a(v) of Title 5, 
United States Code, develop guidelines and regulations 
for the use of agencies in implementing the amendments


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for the use of agencies in implementing the amendments 
made by this Act not later than 8 months after the date of 
enactment of this Act.


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160 | BASIC LAWS and AUTHORITIES   BASIC LAWS and AUTHORITIES  | 160	Sec. 9 Rules of Construction.
Nothing in the amendments made by this Act shall be 
construed to authorize—
(1) the establishment or maintenance by any agency 
of a national data bank that combines, merges, or links 
information on individuals maintained in systems of re -
cords by other Federal agencies;
(2) the direct linking of computerized systems of re -
cords maintained by Federal agencies;


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cords maintained by Federal agencies;
(3) the computer matching of records not otherwise 
authorized by law; or(4) the disclosure of records for computer matching ex -
cept to a Federal, State, or local agency.
Sec. 10 Effective Dates.
(a) In General— Except as provided in subsection 
(b), the amendments made by this Act shall take effect 9 
months after the date of enactment of this Act.
(b) Exceptions— The amendment made by sections 
3(b) [Notice of Matching Programs - Report to Congress


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3(b) [Notice of Matching Programs - Report to Congress 
and the Office of Management and Budget], 6 [Functions 
of the Director of the Office of Management and Bud -
get], 7 [Compilation of Rules and Notices] and 8 [Annual 
Report] of this Act shall take effect upon enactment.


