§ 552a TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES Page 44

(c) Agency Reports to the Attorney General and OMB Di- and does not, create any right or benefit, substantive rector. or procedural, enforceable at law or in equity by a (i) The head of each agency shall submit a report, no party against the United States, its departments, agen- later than 6 months from the date of this order, to the cies, instrumentalities, or entities, its officers or em- Attorney General and the OMB Director that summa- ployees, or any other person. rizes the results of the review under section 3(a) of this GEORGE W. BUSH. order and encloses a copy of the agency’s plan under section 3(b) of this order. The agency shall publish a FREEDOM OF INFORMATION ACT copy of the agency’s report on the agency’s website or, Memorandum of President of the United States, Jan. in the case of an agency without a website, on the 21, 2009, 74 F.R. 4683, provided: Firstgov.gov website, or, in the case of any agency with Memorandum for the Heads of Executive Depart- neither a website nor the capability to publish on the ments and Agencies Firstgov.gov website, in the Federal Register. A democracy requires accountability, and account- (ii) The head of each agency shall include in the agen- ability requires transparency. As Justice Louis Bran- cy’s annual FOIA reports for fiscal years 2006 and 2007 deis wrote, ‘‘sunlight is said to be the best of disinfect- a report on the agency’s development and implementa- ants.’’ In our democracy, the Freedom of Information tion of its plan under section 3(b) of this order and on Act (FOIA), which encourages accountability through the agency’s performance in meeting the milestones set transparency, is the most prominent expression of a forth in that plan, consistent with any related guide- profound national commitment to ensuring an open lines the Attorney General may issue under section Government. At the heart of that commitment is the 552(e) of title 5, United States Code. idea that accountability is in the interest of the Gov- (iii) If the agency does not meet a milestone in its ernment and the citizenry alike. plan, the head of the agency shall: The Freedom of Information Act should be adminis- (A) identify this deficiency in the annual FOIA re- tered with a clear presumption: In the face of doubt, port to the Attorney General; openness prevails. The Government should not keep in- (B) explain in the annual report the reasons for the formation confidential merely because public officials agency’s failure to meet the milestone; might be embarrassed by disclosure, because errors and (C) outline in the annual report the steps that the failures might be revealed, or because of speculative or agency has already taken, and will be taking, to ad- abstract fears. Nondisclosure should never be based on dress the deficiency; and an effort to protect the personal interests of Govern- (D) report this deficiency to the President’s Man- ment officials at the expense of those they are supposed agement Council. to serve. In responding to requests under the FOIA, ex- SEC. 4. Attorney General. ecutive branch agencies (agencies) should act promptly (a) Report. The Attorney General, using the reports and in a spirit of cooperation, recognizing that such submitted by the agencies under subsection 3(c)(i) of agencies are servants of the public. this order and the information submitted by agencies All agencies should adopt a presumption in favor of in their annual FOIA reports for fiscal year 2005, shall disclosure, in order to renew their commitment to the submit to the President, no later than 10 months from principles embodied in FOIA, and to usher in a new era the date of this order, a report on agency FOIA imple- of open Government. The presumption of disclosure mentation. The Attorney General shall consult the should be applied to all decisions involving FOIA. OMB Director in the preparation of the report and shall The presumption of disclosure also means that agen- include in the report appropriate recommendations on cies should take affirmative steps to make information administrative or other agency actions for continued public. They should not wait for specific requests from agency dissemination and release of public informa- the public. All agencies should use modern technology tion. The Attorney General shall thereafter submit two to inform citizens about what is known and done by further annual reports, by June 1, 2007, and June 1, 2008, their Government. Disclosure should be timely. that provide the President with an update on the agen- I direct the Attorney General to issue new guidelines cies’ implementation of the FOIA and of their plans governing the FOIA to the heads of executive depart- under section 3(b) of this order. ments and agencies, reaffirming the commitment to ac- (b) Guidance. The Attorney General shall issue such countability and transparency, and to publish such instructions and guidance to the heads of departments guidelines in the Federal Register. In doing so, the At- and agencies as may be appropriate to implement sec- torney General should review FOIA reports produced by tions 3(b) and 3(c) of this order. the agencies under Executive Order 13392 of December SEC. 5. OMB Director. The OMB Director may issue 14, 2005. I also direct the Director of the Office of Man- such instructions to the heads of agencies as are nec- agement and Budget to update guidance to the agencies essary to implement this order, other than sections 3(b) to increase and improve information dissemination to and 3(c) of this order. the public, including through the use of new tech- SEC. 6. Definitions. As used in this order: nologies, and to publish such guidance in the Federal (a) the term ‘‘agency’’ has the same meaning as the Register. term ‘‘agency’’ under section 552(f)(1) of title 5, United This memorandum does not create any right or bene- States Code; and fit, substantive or procedural, enforceable at law or in (b) the term ‘‘record’’ has the same meaning as the equity by any party against the United States, its de- term ‘‘record’’ under section 552(f)(2) of title 5, United partments, agencies, or entities, its officers, employ- States Code. ees, or agents, or any other person. SEC. 7. General Provisions. The Director of the Office of Management and Budget (a) The agency reviews under section 3(a) of this is hereby authorized and directed to publish this memo- order and agency plans under section 3(b) of this order randum in the Federal Register. shall be conducted and developed in accordance with BARACK OBAMA. applicable law and applicable guidance issued by the President, the Attorney General, and the OMB Direc- § 552a. Records maintained on individuals tor, including the laws and guidance regarding informa- tion technology and the dissemination of information. (a) DEFINITIONS.—For purposes of this sec- (b) This order: tion— (i) shall be implemented in a manner consistent with (1) the term ‘‘agency’’ means agency as de- applicable law and subject to the availability of appro- fined in section 552(e) 1 of this title; priations; (2) the term ‘‘individual’’ means a citizen of (ii) shall not be construed to impair or otherwise af- the United States or an alien lawfully admit- fect the functions of the OMB Director relating to ted for permanent residence; budget, legislative, or administrative proposals; and (iii) is intended only to improve the internal manage- ment of the executive branch and is not intended to, 1 See References in Text note below. Page 45 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 552a

(3) the term ‘‘maintain’’ includes maintain, Revenue Code of 1986, (II) for purposes of collect, use, or disseminate; tax administration as defined in section (4) the term ‘‘record’’ means any item, col- 6103(b)(4) of such Code, (III) for the purpose lection, or grouping of information about an of intercepting a tax refund due an individ- individual that is maintained by an agency, ual under authority granted by section including, but not limited to, his education, fi- 404(e), 464, or 1137 of the Social Security nancial transactions, medical history, and Act; or (IV) for the purpose of intercepting criminal or employment history and that con- a tax refund due an individual under any tains his name, or the identifying number, other tax refund intercept program au- symbol, or other identifying particular as- thorized by statute which has been deter- signed to the individual, such as a finger or mined by the Director of the Office of voice print or a photograph; Management and Budget to contain ver- (5) the term ‘‘system of records’’ means a ification, notice, and hearing requirements group of any records under the control of any that are substantially similar to the pro- agency from which information is retrieved by cedures in section 1137 of the Social Secu- the name of the individual or by some identi- rity Act; fying number, symbol, or other identifying (v) matches— particular assigned to the individual; (I) using records predominantly relat- (6) the term ‘‘statistical record’’ means a ing to Federal personnel, that are per- record in a system of records maintained for formed for routine administrative pur- statistical research or reporting purposes only poses (subject to guidance provided by and not used in whole or in part in making the Director of the Office of Management any determination about an identifiable indi- and Budget pursuant to subsection (v)); vidual, except as provided by section 8 of title or 13; (II) conducted by an agency using only (7) the term ‘‘routine use’’ means, with re- records from systems of records main- spect to the disclosure of a record, the use of tained by that agency; such record for a purpose which is compatible if the purpose of the match is not to take with the purpose for which it was collected; any adverse financial, personnel, discipli- (8) the term ‘‘matching program’’— nary, or other adverse action against Fed- (A) means any computerized comparison eral personnel; of— (vi) matches performed for foreign (i) two or more automated systems of counterintelligence purposes or to produce records or a system of records with non- background checks for security clearances Federal records for the purpose of— of Federal personnel or Federal contractor (I) establishing or verifying the eligi- personnel; bility of, or continuing compliance with (vii) matches performed incident to a statutory and regulatory requirements levy described in section 6103(k)(8) of the by, applicants for, recipients or bene- Internal Revenue Code of 1986; ficiaries of, participants in, or providers (viii) matches performed pursuant to of services with respect to, cash or in- section 202(x)(3) or 1611(e)(1) of the Social kind assistance or payments under Fed- Security Act (42 U.S.C. 402(x)(3), 1382(e)(1)); eral benefit programs, or or (II) recouping payments or delinquent (ix) matches performed by the Secretary debts under such Federal benefit pro- of Health and Human Services or the In- grams, or spector General of the Department of (ii) two or more automated Federal per- Health and Human Services with respect sonnel or payroll systems of records or a to potential fraud, waste, and abuse, in- system of Federal personnel or payroll cluding matches of a system of records records with non-Federal records, with non-Federal records; (B) but does not include— (9) the term ‘‘recipient agency’’ means any (i) matches performed to produce aggre- agency, or contractor thereof, receiving gate statistical data without any personal records contained in a system of records from identifiers; a source agency for use in a matching pro- (ii) matches performed to support any gram; research or statistical project, the specific (10) the term ‘‘non-Federal agency’’ means data of which may not be used to make de- any State or local government, or agency cisions concerning the rights, benefits, or thereof, which receives records contained in a privileges of specific individuals; system of records from a source agency for use (iii) matches performed, by an agency (or in a matching program; component thereof) which performs as its (11) the term ‘‘source agency’’ means any principal function any activity pertaining agency which discloses records contained in a to the enforcement of criminal laws, sub- system of records to be used in a matching sequent to the initiation of a specific program, or any State or local government, or criminal or civil law enforcement inves- agency thereof, which discloses records to be tigation of a named person or persons for used in a matching program; the purpose of gathering evidence against (12) the term ‘‘Federal benefit program’’ such person or persons; means any program administered or funded by (iv) matches of tax information (I) pur- the Federal Government, or by any agent or suant to section 6103(d) of the Internal State on behalf of the Federal Government, § 552a TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES Page 46

providing cash or in-kind assistance in the (12) to a consumer reporting agency in ac- form of payments, grants, loans, or loan guar- cordance with section 3711(e) of title 31. antees to individuals; and (c) ACCOUNTING OF CERTAIN DISCLOSURES.— (13) the term ‘‘Federal personnel’’ means of- ficers and employees of the Government of the Each agency, with respect to each system of United States, members of the uniformed serv- records under its control, shall— ices (including members of the Reserve Com- (1) except for disclosures made under sub- ponents), individuals entitled to receive imme- sections (b)(1) or (b)(2) of this section, keep an diate or deferred retirement benefits under accurate accounting of— any retirement program of the Government of (A) the date, nature, and purpose of each the United States (including survivor bene- disclosure of a record to any person or to an- fits). other agency made under subsection (b) of this section; and (b) CONDITIONS OF DISCLOSURE.—No agency (B) the name and address of the person or shall disclose any record which is contained in a agency to whom the disclosure is made; system of records by any means of communica- tion to any person, or to another agency, except (2) retain the accounting made under para- pursuant to a written request by, or with the graph (1) of this subsection for at least five prior written consent of, the individual to whom years or the life of the record, whichever is the record pertains, unless disclosure of the longer, after the disclosure for which the ac- record would be— counting is made; (1) to those officers and employees of the (3) except for disclosures made under sub- agency which maintains the record who have a section (b)(7) of this section, make the ac- need for the record in the performance of their counting made under paragraph (1) of this sub- duties; section available to the individual named in (2) required under section 552 of this title; the record at his request; and (3) for a routine use as defined in subsection (4) inform any person or other agency about (a)(7) of this section and described under sub- any correction or notation of dispute made by section (e)(4)(D) of this section; the agency in accordance with subsection (d) (4) to the Bureau of the Census for purposes of this section of any record that has been dis- of planning or carrying out a census or survey closed to the person or agency if an account- or related activity pursuant to the provisions ing of the disclosure was made. of title 13; (5) to a recipient who has provided the agen- (d) ACCESS TO RECORDS.—Each agency that cy with advance adequate written assurance maintains a system of records shall— that the record will be used solely as a statis- (1) upon request by any individual to gain tical research or reporting record, and the access to his record or to any information per- record is to be transferred in a form that is taining to him which is contained in the sys- not individually identifiable; tem, permit him and upon his request, a per- (6) to the National Archives and Records Ad- son of his own choosing to accompany him, to ministration as a record which has sufficient review the record and have a copy made of all historical or other value to warrant its con- or any portion thereof in a form comprehen- tinued preservation by the United States Gov- sible to him, except that the agency may re- ernment, or for evaluation by the Archivist of quire the individual to furnish a written state- the United States or the designee of the Archi- ment authorizing discussion of that individ- vist to determine whether the record has such ual’s record in the accompanying person’s value; presence; (7) to another agency or to an instrumental- (2) permit the individual to request amend- ity of any governmental jurisdiction within or ment of a record pertaining to him and— under the control of the United States for a (A) not later than 10 days (excluding Sat- civil or criminal law enforcement activity if urdays, Sundays, and legal public holidays) the activity is authorized by law, and if the after the date of receipt of such request, ac- head of the agency or instrumentality has knowledge in writing such receipt; and made a written request to the agency which (B) promptly, either— maintains the record specifying the particular (i) make any correction of any portion portion desired and the law enforcement activ- thereof which the individual believes is ity for which the record is sought; not accurate, relevant, timely, or com- (8) to a person pursuant to a showing of com- plete; or pelling circumstances affecting the health or (ii) inform the individual of its refusal to safety of an individual if upon such disclosure amend the record in accordance with his notification is transmitted to the last known request, the reason for the refusal, the pro- address of such individual; cedures established by the agency for the (9) to either House of Congress, or, to the ex- individual to request a review of that re- tent of matter within its jurisdiction, any fusal by the head of the agency or an offi- committee or subcommittee thereof, any joint cer designated by the head of the agency, committee of Congress or subcommittee of and the name and business address of that any such joint committee; official; (10) to the Comptroller General, or any of his authorized representatives, in the course of (3) permit the individual who disagrees with the performance of the duties of the Govern- the refusal of the agency to amend his record ment Accountability Office; to request a review of such refusal, and not (11) pursuant to the order of a court of com- later than 30 days (excluding Saturdays, Sun- petent jurisdiction; or days, and legal public holidays) from the date Page 47 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 552a

on which the individual requests such review, (D) each routine use of the records con- complete such review and make a final deter- tained in the system, including the cat- mination unless, for good cause shown, the egories of users and the purpose of such use; head of the agency extends such 30-day period; (E) the policies and practices of the agency and if, after his review, the reviewing official regarding storage, retrievability, access con- also refuses to amend the record in accordance trols, retention, and disposal of the records; with the request, permit the individual to file (F) the title and business address of the with the agency a concise statement setting agency official who is responsible for the forth the reasons for his disagreement with system of records; the refusal of the agency, and notify the indi- (G) the agency procedures whereby an in- vidual of the provisions for judicial review of dividual can be notified at his request if the the reviewing official’s determination under system of records contains a record pertain- ing to him; subsection (g)(1)(A) of this section; (H) the agency procedures whereby an in- (4) in any disclosure, containing information dividual can be notified at his request how about which the individual has filed a state- he can gain access to any record pertaining ment of disagreement, occurring after the fil- to him contained in the system of records, ing of the statement under paragraph (3) of and how he can contest its content; and this subsection, clearly note any portion of (I) the categories of sources of records in the record which is disputed and provide cop- the system; ies of the statement and, if the agency deems it appropriate, copies of a concise statement of (5) maintain all records which are used by the reasons of the agency for not making the the agency in making any determination amendments requested, to persons or other about any individual with such accuracy, rel- agencies to whom the disputed record has been evance, timeliness, and completeness as is rea- disclosed; and sonably necessary to assure fairness to the in- (5) nothing in this section shall allow an in- dividual in the determination; dividual access to any information compiled in (6) prior to disseminating any record about reasonable anticipation of a civil action or an individual to any person other than an proceeding. agency, unless the dissemination is made pur- suant to subsection (b)(2) of this section, make (e) AGENCY REQUIREMENTS.—Each agency that reasonable efforts to assure that such records maintains a system of records shall— are accurate, complete, timely, and relevant (1) maintain in its records only such infor- for agency purposes; mation about an individual as is relevant and (7) maintain no record describing how any necessary to accomplish a purpose of the agen- individual exercises rights guaranteed by the cy required to be accomplished by statute or First Amendment unless expressly authorized by executive order of the President; by statute or by the individual about whom (2) collect information to the greatest extent the record is maintained or unless pertinent to practicable directly from the subject individ- and within the scope of an authorized law en- ual when the information may result in ad- forcement activity; verse determinations about an individual’s (8) make reasonable efforts to serve notice rights, benefits, and privileges under Federal on an individual when any record on such indi- programs; vidual is made available to any person under (3) inform each individual whom it asks to compulsory legal process when such process supply information, on the form which it uses becomes a matter of public record; to collect the information or on a separate (9) establish rules of conduct for persons in- form that can be retained by the individual— volved in the design, development, operation, (A) the authority (whether granted by or maintenance of any system of records, or in statute, or by executive order of the Presi- maintaining any record, and instruct each dent) which authorizes the solicitation of such person with respect to such rules and the the information and whether disclosure of requirements of this section, including any such information is mandatory or voluntary; other rules and procedures adopted pursuant (B) the principal purpose or purposes for to this section and the penalties for non- which the information is intended to be compliance; used; (10) establish appropriate administrative, (C) the routine uses which may be made of technical, and physical safeguards to insure the information, as published pursuant to the security and confidentiality of records and paragraph (4)(D) of this subsection; and to protect against any anticipated threats or (D) the effects on him, if any, of not pro- hazards to their security or integrity which viding all or any part of the requested infor- could result in substantial harm, embarrass- mation; ment, inconvenience, or unfairness to any in- dividual on whom information is maintained; (4) subject to the provisions of paragraph (11) (11) at least 30 days prior to publication of of this subsection, publish in the Federal Reg- information under paragraph (4)(D) of this ister upon establishment or revision a notice subsection, publish in the Federal Register no- of the existence and character of the system of tice of any new use or intended use of the in- records, which notice shall include— formation in the system, and provide an op- (A) the name and location of the system; portunity for interested persons to submit (B) the categories of individuals on whom written data, views, or arguments to the agen- records are maintained in the system; cy; and (C) the categories of records maintained in (12) if such agency is a recipient agency or a the system; source agency in a matching program with a § 552a TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES Page 48

non-Federal agency, with respect to any estab- States shall have jurisdiction in the matters lishment or revision of a matching program, under the provisions of this subsection. at least 30 days prior to conducting such pro- (2)(A) In any suit brought under the provisions gram, publish in the Federal Register notice of of subsection (g)(1)(A) of this section, the court such establishment or revision. may order the agency to amend the individual’s record in accordance with his request or in such (f) AGENCY RULES.—In order to carry out the other way as the court may direct. In such a provisions of this section, each agency that case the court shall determine the matter de maintains a system of records shall promulgate novo. rules, in accordance with the requirements (in- (B) The court may assess against the United cluding general notice) of section 553 of this States reasonable attorney fees and other litiga- title, which shall— tion costs reasonably incurred in any case under (1) establish procedures whereby an individ- this paragraph in which the complainant has ual can be notified in response to his request substantially prevailed. if any system of records named by the individ- (3)(A) In any suit brought under the provisions ual contains a record pertaining to him; of subsection (g)(1)(B) of this section, the court (2) define reasonable times, places, and re- may enjoin the agency from withholding the quirements for identifying an individual who records and order the production to the com- requests his record or information pertaining plainant of any agency records improperly with- to him before the agency shall make the held from him. In such a case the court shall de- record or information available to the individ- termine the matter de novo, and may examine ual; the contents of any agency records in camera to (3) establish procedures for the disclosure to determine whether the records or any portion an individual upon his request of his record or thereof may be withheld under any of the ex- information pertaining to him, including spe- emptions set forth in subsection (k) of this sec- cial procedure, if deemed necessary, for the tion, and the burden is on the agency to sustain disclosure to an individual of medical records, its action. including psychological records, pertaining to (B) The court may assess against the United him; States reasonable attorney fees and other litiga- (4) establish procedures for reviewing a re- tion costs reasonably incurred in any case under quest from an individual concerning the this paragraph in which the complainant has amendment of any record or information per- substantially prevailed. taining to the individual, for making a deter- (4) In any suit brought under the provisions of mination on the request, for an appeal within subsection (g)(1)(C) or (D) of this section in the agency of an initial adverse agency deter- which the court determines that the agency mination, and for whatever additional means acted in a manner which was intentional or will- may be necessary for each individual to be ful, the United States shall be liable to the indi- able to exercise fully his rights under this sec- vidual in an amount equal to the sum of— tion; and (A) actual damages sustained by the individ- (5) establish fees to be charged, if any, to ual as a result of the refusal or failure, but in any individual for making copies of his record, no case shall a person entitled to recovery re- excluding the cost of any search for and re- ceive less than the sum of $1,000; and view of the record. (B) the costs of the action together with rea- The Office of the Federal Register shall bienni- sonable attorney fees as determined by the ally compile and publish the rules promulgated court. under this subsection and agency notices pub- (5) An action to enforce any liability created lished under subsection (e)(4) of this section in a under this section may be brought in the dis- form available to the public at low cost. trict court of the United States in the district in (g)(1) CIVIL REMEDIES.—Whenever any agency which the complainant resides, or has his prin- (A) makes a determination under subsection cipal place of business, or in which the agency (d)(3) of this section not to amend an individ- records are situated, or in the District of Colum- ual’s record in accordance with his request, or bia, without regard to the amount in con- fails to make such review in conformity with troversy, within two years from the date on that subsection; which the cause of action arises, except that (B) refuses to comply with an individual re- where an agency has materially and willfully quest under subsection (d)(1) of this section; misrepresented any information required under (C) fails to maintain any record concerning this section to be disclosed to an individual and any individual with such accuracy, relevance, the information so misrepresented is material to timeliness, and completeness as is necessary establishment of the liability of the agency to to assure fairness in any determination relat- the individual under this section, the action ing to the qualifications, character, rights, or may be brought at any time within two years opportunities of, or benefits to the individual after discovery by the individual of the mis- that may be made on the basis of such record, representation. Nothing in this section shall be and consequently a determination is made construed to authorize any civil action by rea- which is adverse to the individual; or son of any injury sustained as the result of a dis- (D) fails to comply with any other provision closure of a record prior to September 27, 1975. of this section, or any rule promulgated there- (h) RIGHTS OF LEGAL GUARDIANS.—For the pur- under, in such a way as to have an adverse ef- poses of this section, the parent of any minor, or fect on an individual, the legal guardian of any individual who has the individual may bring a civil action against been declared to be incompetent due to physical the agency, and the district courts of the United or mental incapacity or age by a court of com- Page 49 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 552a petent jurisdiction, may act on behalf of the in- (1) subject to the provisions of section dividual. 552(b)(1) of this title; (i)(1) CRIMINAL PENALTIES.—Any officer or em- (2) investigatory material compiled for law ployee of an agency, who by virtue of his em- enforcement purposes, other than material ployment or official position, has possession of, within the scope of subsection (j)(2) of this sec- or access to, agency records which contain indi- tion: Provided, however, That if any individual vidually identifiable information the disclosure is denied any right, privilege, or benefit that of which is prohibited by this section or by rules he would otherwise be entitled by Federal law, or regulations established thereunder, and who or for which he would otherwise be eligible, as knowing that disclosure of the specific material a result of the maintenance of such material, is so prohibited, willfully discloses the material such material shall be provided to such indi- in any manner to any person or agency not enti- vidual, except to the extent that the disclo- tled to receive it, shall be guilty of a mis- sure of such material would reveal the iden- demeanor and fined not more than $5,000. tity of a source who furnished information to (2) Any officer or employee of any agency who the Government under an express promise that willfully maintains a system of records without the identity of the source would be held in meeting the notice requirements of subsection confidence, or, prior to the effective date of (e)(4) of this section shall be guilty of a mis- this section, under an implied promise that demeanor and fined not more than $5,000. the identity of the source would be held in (3) Any person who knowingly and willfully re- confidence; quests or obtains any record concerning an indi- (3) maintained in connection with providing vidual from an agency under false pretenses protective services to the President of the shall be guilty of a misdemeanor and fined not United States or other individuals pursuant to more than $5,000. section 3056 of title 18; (j) GENERAL EXEMPTIONS.—The head of any (4) required by statute to be maintained and agency may promulgate rules, in accordance used solely as statistical records; with the requirements (including general notice) (5) investigatory material compiled solely of sections 553(b)(1), (2), and (3), (c), and (e) of for the purpose of determining suitability, eli- this title, to exempt any system of records with- gibility, or qualifications for Federal civilian in the agency from any part of this section ex- employment, military service, Federal con- cept subsections (b), (c)(1) and (2), (e)(4)(A) tracts, or access to classified information, but through (F), (e)(6), (7), (9), (10), and (11), and (i) only to the extent that the disclosure of such if the system of records is— material would reveal the identity of a source (1) maintained by the Central Intelligence who furnished information to the Government Agency; or under an express promise that the identity of (2) maintained by an agency or component the source would be held in confidence, or, thereof which performs as its principal func- prior to the effective date of this section, tion any activity pertaining to the enforce- under an implied promise that the identity of ment of criminal laws, including police efforts the source would be held in confidence; to prevent, control, or reduce crime or to ap- (6) testing or examination material used prehend criminals, and the activities of pros- solely to determine individual qualifications ecutors, courts, correctional, probation, par- for appointment or promotion in the Federal don, or parole authorities, and which consists service the disclosure of which would com- of (A) information compiled for the purpose of promise the objectivity or fairness of the test- identifying individual criminal offenders and ing or examination process; or alleged offenders and consisting only of identi- (7) evaluation material used to determine fying data and notations of arrests, the nature potential for promotion in the armed services, and disposition of criminal charges, sentenc- but only to the extent that the disclosure of ing, confinement, release, and parole and pro- such material would reveal the identity of a bation status; (B) information compiled for source who furnished information to the Gov- the purpose of a criminal investigation, in- ernment under an express promise that the cluding reports of informants and investiga- identity of the source would be held in con- tors, and associated with an identifiable indi- fidence, or, prior to the effective date of this vidual; or (C) reports identifiable to an indi- section, under an implied promise that the vidual compiled at any stage of the process of identity of the source would be held in con- enforcement of the criminal laws from arrest fidence. or indictment through release from super- At the time rules are adopted under this sub- vision. section, the agency shall include in the state- At the time rules are adopted under this sub- ment required under section 553(c) of this title, section, the agency shall include in the state- the reasons why the system of records is to be ment required under section 553(c) of this title, exempted from a provision of this section. the reasons why the system of records is to be (l)(1) ARCHIVAL RECORDS.—Each agency record exempted from a provision of this section. which is accepted by the Archivist of the United (k) SPECIFIC EXEMPTIONS.—The head of any States for storage, processing, and servicing in agency may promulgate rules, in accordance accordance with section 3103 of title 44 shall, for with the requirements (including general notice) the purposes of this section, be considered to be of sections 553(b)(1), (2), and (3), (c), and (e) of maintained by the agency which deposited the this title, to exempt any system of records with- record and shall be subject to the provisions of in the agency from subsections (c)(3), (d), (e)(1), this section. The Archivist of the United States (e)(4)(G), (H), and (I) and (f) of this section if the shall not disclose the record except to the agen- system of records is— cy which maintains the record, or under rules § 552a TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES Page 50 established by that agency which are not incon- periodically thereafter as directed by the Data sistent with the provisions of this section. Integrity Board of such agency (subject to (2) Each agency record pertaining to an identi- guidance provided by the Director of the Office fiable individual which was transferred to the of Management and Budget pursuant to sub- National Archives of the United States as a section (v)), to— record which has sufficient historical or other (i) applicants for and recipients of finan- value to warrant its continued preservation by cial assistance or payments under Federal the United States Government, prior to the ef- benefit programs, and fective date of this section, shall, for the pur- (ii) applicants for and holders of positions poses of this section, be considered to be main- as Federal personnel, tained by the National Archives and shall not be that any information provided by such appli- subject to the provisions of this section, except cants, recipients, holders, and individuals may that a statement generally describing such be subject to verification through matching records (modeled after the requirements relating programs; to records subject to subsections (e)(4)(A) (E) procedures for verifying information pro- through (G) of this section) shall be published in duced in such matching program as required the Federal Register. by subsection (p); (3) Each agency record pertaining to an identi- (F) procedures for the retention and timely fiable individual which is transferred to the Na- destruction of identifiable records created by a tional Archives of the United States as a record recipient agency or non-Federal agency in which has sufficient historical or other value to such matching program; warrant its continued preservation by the (G) procedures for ensuring the administra- United States Government, on or after the effec- tive, technical, and physical security of the tive date of this section, shall, for the purposes records matched and the results of such pro- of this section, be considered to be maintained grams; by the National Archives and shall be exempt (H) prohibitions on duplication and redis- from the requirements of this section except closure of records provided by the source agen- subsections (e)(4)(A) through (G) and (e)(9) of cy within or outside the recipient agency or this section. the non-Federal agency, except where required (m)(1) GOVERNMENT CONTRACTORS.—When an by law or essential to the conduct of the agency provides by a contract for the operation matching program; by or on behalf of the agency of a system of (I) procedures governing the use by a recipi- records to accomplish an agency function, the ent agency or non-Federal agency of records agency shall, consistent with its authority, provided in a matching program by a source cause the requirements of this section to be ap- agency, including procedures governing return plied to such system. For purposes of subsection of the records to the source agency or destruc- (i) of this section any such contractor and any tion of records used in such program; employee of such contractor, if such contract is (J) information on assessments that have agreed to on or after the effective date of this been made on the accuracy of the records that section, shall be considered to be an employee of will be used in such matching program; and (K) that the Comptroller General may have an agency. (2) A consumer reporting agency to which a access to all records of a recipient agency or a record is disclosed under section 3711(e) of title non-Federal agency that the Comptroller Gen- 31 shall not be considered a contractor for the eral deems necessary in order to monitor or purposes of this section. verify compliance with the agreement. (n) MAILING LISTS.—An individual’s name and (2)(A) A copy of each agreement entered into address may not be sold or rented by an agency pursuant to paragraph (1) shall— unless such action is specifically authorized by (i) be transmitted to the Committee on Gov- law. This provision shall not be construed to re- ernmental Affairs of the Senate and the Com- quire the withholding of names and addresses mittee on Government Operations of the otherwise permitted to be made public. House of Representatives; and (o) MATCHING AGREEMENTS.—(1) No record (ii) be available upon request to the public. which is contained in a system of records may (B) No such agreement shall be effective until be disclosed to a recipient agency or non-Fed- 30 days after the date on which such a copy is eral agency for use in a computer matching pro- transmitted pursuant to subparagraph (A)(i). gram except pursuant to a written agreement (C) Such an agreement shall remain in effect between the source agency and the recipient only for such period, not to exceed 18 months, as agency or non-Federal agency specifying— the Data Integrity Board of the agency deter- (A) the purpose and legal authority for con- mines is appropriate in light of the purposes, ducting the program; and length of time necessary for the conduct, of (B) the justification for the program and the the matching program. anticipated results, including a specific esti- (D) Within 3 months prior to the expiration of mate of any savings; such an agreement pursuant to subparagraph (C) a description of the records that will be (C), the Data Integrity Board of the agency may, matched, including each data element that without additional review, renew the matching will be used, the approximate number of agreement for a current, ongoing matching pro- records that will be matched, and the pro- gram for not more than one additional year if— jected starting and completion dates of the (i) such program will be conducted without matching program; any change; and (D) procedures for providing individualized (ii) each party to the agreement certifies to notice at the time of application, and notice the Board in writing that the program has Page 51 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 552a

been conducted in compliance with the agree- both, are not being met by such recipient agen- ment. cy. (2) No source agency may renew a matching (p) VERIFICATION AND OPPORTUNITY TO CONTEST agreement unless— FINDINGS.—(1) In order to protect any individual (A) the recipient agency or non-Federal whose records are used in a matching program, agency has certified that it has complied with no recipient agency, non-Federal agency, or the provisions of that agreement; and source agency may suspend, terminate, reduce, (B) the source agency has no reason to be- or make a final denial of any financial assist- lieve that the certification is inaccurate. ance or payment under a Federal benefit pro- gram to such individual, or take other adverse (r) REPORT ON NEW SYSTEMS AND MATCHING action against such individual, as a result of in- PROGRAMS.—Each agency that proposes to estab- formation produced by such matching program, lish or make a significant change in a system of until— records or a matching program shall provide (A)(i) the agency has independently verified adequate advance notice of any such proposal the information; or (in duplicate) to the Committee on Government (ii) the Data Integrity Board of the agency, Operations of the House of Representatives, the or in the case of a non-Federal agency the Committee on Governmental Affairs of the Sen- Data Integrity Board of the source agency, de- ate, and the Office of Management and Budget termines in accordance with guidance issued in order to permit an evaluation of the probable by the Director of the Office of Management or potential effect of such proposal on the pri- and Budget that— vacy or other rights of individuals. (I) the information is limited to identifica- (s) BIENNIAL REPORT.—The President shall bi- tion and amount of benefits paid by the ennially submit to the Speaker of the House of source agency under a Federal benefit pro- Representatives and the President pro tempore gram; and of the Senate a report— (II) there is a high degree of confidence (1) describing the actions of the Director of that the information provided to the recipi- the Office of Management and Budget pursu- ent agency is accurate; ant to section 6 of the Privacy Act of 1974 dur- (B) the individual receives a notice from the ing the preceding 2 years; (2) describing the exercise of individual agency containing a statement of its findings rights of access and amendment under this and informing the individual of the oppor- section during such years; tunity to contest such findings; and (3) identifying changes in or additions to (C)(i) the expiration of any time period es- systems of records; tablished for the program by statute or regula- (4) containing such other information con- tion for the individual to respond to that no- cerning administration of this section as may tice; or be necessary or useful to the Congress in re- (ii) in the case of a program for which no viewing the effectiveness of this section in such period is established, the end of the 30- carrying out the purposes of the Privacy Act day period beginning on the date on which no- of 1974. tice under subparagraph (B) is mailed or otherwise provided to the individual. (t)(1) EFFECT OF OTHER LAWS.—No agency shall rely on any exemption contained in section (2) Independent verification referred to in 552 of this title to withhold from an individual paragraph (1) requires investigation and con- any record which is otherwise accessible to such firmation of specific information relating to an individual under the provisions of this section. individual that is used as a basis for an adverse (2) No agency shall rely on any exemption in action against the individual, including where this section to withhold from an individual any applicable investigation and confirmation of— record which is otherwise accessible to such in- (A) the amount of any asset or income in- dividual under the provisions of section 552 of volved; this title. (B) whether such individual actually has or (u) DATA INTEGRITY BOARDS.—(1) Every agency had access to such asset or income for such in- conducting or participating in a matching pro- dividual’s own use; and gram shall establish a Data Integrity Board to (C) the period or periods when the individual oversee and coordinate among the various com- actually had such asset or income. ponents of such agency the agency’s implemen- (3) Notwithstanding paragraph (1), an agency tation of this section. may take any appropriate action otherwise pro- (2) Each Data Integrity Board shall consist of hibited by such paragraph if the agency deter- senior officials designated by the head of the mines that the public health or public safety agency, and shall include any senior official des- may be adversely affected or significantly ignated by the head of the agency as responsible threatened during any notice period required by for implementation of this section, and the in- such paragraph. spector general of the agency, if any. The in- (q) SANCTIONS.—(1) Notwithstanding any other spector general shall not serve as chairman of provision of law, no source agency may disclose the Data Integrity Board. any record which is contained in a system of (3) Each Data Integrity Board— records to a recipient agency or non-Federal (A) shall review, approve, and maintain all agency for a matching program if such source written agreements for receipt or disclosure of agency has reason to believe that the require- agency records for matching programs to en- ments of subsection (p), or any matching agree- sure compliance with subsection (o), and all ment entered into pursuant to subsection (o), or relevant statutes, regulations, and guidelines; § 552a TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES Page 52

(B) shall review all matching programs in tial approval of a written agreement for a which the agency has participated during the matching program that is specifically required year, either as a source agency or recipient by statute. Any subsequent written agreement agency, determine compliance with applicable for such a program shall not be approved by the laws, regulations, guidelines, and agency Data Integrity Board unless the agency has sub- agreements, and assess the costs and benefits mitted a cost-benefit analysis of the program as of such programs; conducted under the preceding approval of such (C) shall review all recurring matching pro- agreement. grams in which the agency has participated (5)(A) If a matching agreement is disapproved during the year, either as a source agency or by a Data Integrity Board, any party to such recipient agency, for continued justification agreement may appeal the disapproval to the for such disclosures; Director of the Office of Management and Budg- (D) shall compile an annual report, which et. Timely notice of the filing of such an appeal shall be submitted to the head of the agency shall be provided by the Director of the Office of and the Office of Management and Budget and Management and Budget to the Committee on made available to the public on request, de- Governmental Affairs of the Senate and the scribing the matching activities of the agency, Committee on Government Operations of the including— House of Representatives. (i) matching programs in which the agency (B) The Director of the Office of Management has participated as a source agency or recip- and Budget may approve a matching agreement ient agency; notwithstanding the disapproval of a Data In- (ii) matching agreements proposed under tegrity Board if the Director determines that— subsection (o) that were disapproved by the (i) the matching program will be consistent Board; with all applicable legal, regulatory, and pol- (iii) any changes in membership or struc- icy requirements; ture of the Board in the preceding year; (ii) there is adequate evidence that the (iv) the reasons for any waiver of the re- matching agreement will be cost-effective; and quirement in paragraph (4) of this section (iii) the matching program is in the public for completion and submission of a cost-ben- interest. efit analysis prior to the approval of a (C) The decision of the Director to approve a matching program; matching agreement shall not take effect until (v) any violations of matching agreements 30 days after it is reported to committees de- that have been alleged or identified and any scribed in subparagraph (A). corrective action taken; and (D) If the Data Integrity Board and the Direc- (vi) any other information required by the tor of the Office of Management and Budget dis- Director of the Office of Management and approve a matching program proposed by the in- Budget to be included in such report; spector general of an agency, the inspector gen- (E) shall serve as a clearinghouse for receiv- eral may report the disapproval to the head of ing and providing information on the accu- the agency and to the Congress. racy, completeness, and reliability of records (6) In the reports required by paragraph (3)(D), used in matching programs; agency matching activities that are not match- (F) shall provide interpretation and guid- ing programs may be reported on an aggregate ance to agency components and personnel on basis, if and to the extent necessary to protect the requirements of this section for matching ongoing law enforcement or counterintelligence programs; investigations. (G) shall review agency recordkeeping and (v) OFFICE OF MANAGEMENT AND BUDGET RE- disposal policies and practices for matching SPONSIBILITIES.—The Director of the Office of programs to assure compliance with this sec- Management and Budget shall— tion; and (1) develop and, after notice and opportunity (H) may review and report on any agency for public comment, prescribe guidelines and matching activities that are not matching regulations for the use of agencies in imple- programs. menting the provisions of this section; and (4)(A) Except as provided in subparagraphs (B) (2) provide continuing assistance to and and (C), a Data Integrity Board shall not ap- oversight of the implementation of this sec- prove any written agreement for a matching tion by agencies. program unless the agency has completed and (w) APPLICABILITY TO BUREAU OF CONSUMER FI- submitted to such Board a cost-benefit analysis NANCIAL PROTECTION.—Except as provided in the of the proposed program and such analysis dem- Consumer Financial Protection Act of 2010, this onstrates that the program is likely to be cost section shall apply with respect to the Bureau of effective.2 Consumer Financial Protection. (B) The Board may waive the requirements of (Added Pub. L. 93–579, § 3, Dec. 31, 1974, 88 Stat. subparagraph (A) of this paragraph if it deter- 1897; amended Pub. L. 94–183, § 2(2), Dec. 31, 1975, mines in writing, in accordance with guidelines 89 Stat. 1057; Pub. L. 97–365, § 2, Oct. 25, 1982, 96 prescribed by the Director of the Office of Man- Stat. 1749; Pub. L. 97–375, title II, § 201(a), (b), agement and Budget, that a cost-benefit analy- Dec. 21, 1982, 96 Stat. 1821; Pub. L. 97–452, sis is not required. § 2(a)(1), Jan. 12, 1983, 96 Stat. 2478; Pub. L. (C) A cost-benefit analysis shall not be re- 98–477, § 2(c), Oct. 15, 1984, 98 Stat. 2211; Pub. L. quired under subparagraph (A) prior to the ini- 98–497, title I, § 107(g), Oct. 19, 1984, 98 Stat. 2292; Pub. L. 100–503, §§ 2–6(a), 7, 8, Oct. 18, 1988, 102 2 So in original. Probably should be ‘‘cost-effective.’’ Stat. 2507–2514; Pub. L. 101–508, title VII, Page 53 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 552a

§ 7201(b)(1), Nov. 5, 1990, 104 Stat. 1388–334; Pub. L. Subsec. (a)(8)(B)(v) to (vii). Pub. L. 104–226 inserted 103–66, title XIII, § 13581(c), Aug. 10, 1993, 107 ‘‘or’’ at end of cl. (v), struck out ‘‘or’’ at end of cl. (vi), Stat. 611; Pub. L. 104–193, title I, § 110(w), Aug. 22, and struck out cl. (vii) which read as follows: ‘‘matches 1996, 110 Stat. 2175; Pub. L. 104–226, § 1(b)(3), Oct. performed pursuant to section 6103(l)(12) of the Internal Revenue Code of 1986 and section 1144 of the Social Se- 2, 1996, 110 Stat. 3033; Pub. L. 104–316, title I, curity Act;’’. § 115(g)(2)(B), Oct. 19, 1996, 110 Stat. 3835; Pub. L. Subsecs. (b)(12), (m)(2). Pub. L. 104–316 substituted 105–34, title X, § 1026(b)(2), Aug. 5, 1997, 111 Stat. ‘‘3711(e)’’ for ‘‘3711(f)’’. 925; Pub. L. 105–362, title XIII, § 1301(d), Nov. 10, 1993—Subsec. (a)(8)(B)(vii). Pub. L. 103–66 added cl. 1998, 112 Stat. 3293; Pub. L. 106–170, title IV, (vii). § 402(a)(2), Dec. 17, 1999, 113 Stat. 1908; Pub. L. 1990—Subsec. (p). Pub. L. 101–508 amended subsec. (p) 108–271, § 8(b), July 7, 2004, 118 Stat. 814; Pub. L. generally, restating former pars. (1) and (3) as par. (1), adding provisions relating to Data Integrity Boards, 111–148, title VI, § 6402(b)(2), Mar. 23, 2010, 124 and restating former pars. (2) and (4) as (2) and (3), re- Stat. 756; Pub. L. 111–203, title X, § 1082, July 21, spectively. 2010, 124 Stat. 2080.) 1988—Subsec. (a)(8) to (13). Pub. L. 100–503, § 5, added pars. (8) to (13). REFERENCES IN TEXT Subsec. (e)(12). Pub. L. 100–503, § 3(a), added par. (12). Section 552(e) of this title, referred to in subsec. Subsec. (f). Pub. L. 100–503, § 7, substituted ‘‘bienni- (a)(1), was redesignated section 552(f) of this title by ally’’ for ‘‘annually’’ in last sentence. section 1802(b) of Pub. L. 99–570. Subsecs. (o) to (q). Pub. L. 100–503, § 2(2), added sub- Section 6103 of the Internal Revenue Code of 1986, re- secs. (o) to (q). Former subsecs. (o) to (q) redesignated ferred to in subsec. (a)(8)(B)(iv), (vii), is classified to (r) to (t), respectively. section 6103 of Title 26, Internal Revenue Code. Subsec. (r). Pub. L. 100–503, § 3(b), inserted ‘‘and Sections 404, 464, and 1137 of the Social Security Act, matching programs’’ in heading and amended text gen- referred to in subsec. (a)(8)(B)(iv), are classified to sec- erally. Prior to amendment, text read as follows: ‘‘Each tions 604, 664, and 1320b–7, respectively, of Title 42, The agency shall provide adequate advance notice to Con- Public Health and Welfare. gress and the Office of Management and Budget of any For effective date of this section, referred to in sub- proposal to establish or alter any system of records in secs. (k)(2), (5), (7), (l)(2), (3), and (m), see Effective Date order to permit an evaluation of the probable or poten- note below. tial effect of such proposal on the privacy and other Section 6 of the Privacy Act of 1974, referred to in personal or property rights of individuals or the disclo- subsec. (s)(1), is section 6 of Pub. L. 93–579, which was sure of information relating to such individuals, and its set out below and was repealed by section 6(c) of Pub. effect on the preservation of the constitutional prin- L. 100–503. ciples of federalism and separation of powers.’’ For classification of the Privacy Act of 1974, referred Pub. L. 100–503, § 2(1), redesignated former subsec. (o) to in subsec. (s)(4), see Short Title note below. as (r). The Consumer Financial Protection Act of 2010, re- Subsec. (s). Pub. L. 100–503, § 8, substituted ‘‘Biennial’’ ferred to in subsec. (w), is title X of Pub. L. 111–203, for ‘‘Annual’’ in heading, ‘‘biennially submit’’ for ‘‘an- July 21, 2010, 124 Stat. 1955, which enacted subchapter V nually submit’’ in introductory provisions, ‘‘preceding (§ 5481 et seq.) of chapter 53 of Title 12, Banks and Bank- 2 years’’ for ‘‘preceding year’’ in par. (1), and ‘‘such ing, and enacted and amended numerous other sections years’’ for ‘‘such year’’ in par. (2). and notes in the Code. For complete classification of Pub. L. 100–503, § 2(1), redesignated former subsec. (p) this Act to the Code, see Short Title note set out under as (s). section 5301 of Title 12 and Tables. Subsec. (t). Pub. L. 100–503, § 2(1), redesignated former subsec. (q) as (t). CODIFICATION Subsec. (u). Pub. L. 100–503, § 4, added subsec. (u). Section 552a of former Title 5, Executive Depart- Subsec. (v). Pub. L. 100–503, § 6(a), added subsec. (v). ments and Government Officers and Employees, was 1984—Subsec. (b)(6). Pub. L. 98–497, § 107(g)(1), sub- transferred to section 2244 of Title 7, Agriculture. stituted ‘‘National Archives and Records Administra- tion’’ for ‘‘National Archives of the United States’’, and AMENDMENTS ‘‘Archivist of the United States or the designee of the 2010—Subsec. (a)(8)(B)(ix). Pub. L. 111–148 added cl. Archivist’’ for ‘‘Administrator of General Services or (ix). his designee’’. Subsec. (w). Pub. L. 111–203 added subsec. (w). Subsec. (l)(1). Pub. L. 98–497, § 107(g)(2), substituted 2004—Subsec. (b)(10). Pub. L. 108–271 substituted ‘‘Archivist of the United States’’ for ‘‘Administrator of ‘‘Government Accountability Office’’ for ‘‘General Ac- General Services’’ in two places. counting Office’’. Subsec. (q). Pub. L. 98–477 designated existing provi- 1999—Subsec. (a)(8)(B)(viii). Pub. L. 106–170 added cl. sions as par. (1) and added par. (2). (viii). 1983—Subsec. (b)(12). Pub. L. 97–452 substituted ‘‘sec- 1998—Subsec. (u)(6), (7). Pub. L. 105–362 redesignated tion 3711(f) of title 31’’ for ‘‘section 3(d) of the Federal par. (7) as (6), substituted ‘‘paragraph (3)(D)’’ for ‘‘para- Claims Collection Act of 1966 (31 U.S.C. 952(d))’’. graphs (3)(D) and (6)’’, and struck out former par. (6) Subsec. (m)(2). Pub. L. 97–452 substituted ‘‘section which read as follows: ‘‘The Director of the Office of 3711(f) of title 31’’ for ‘‘section 3(d) of the Federal Management and Budget shall, annually during the Claims Collection Act of 1966 (31 U.S.C. 952(d))’’. first 3 years after the date of enactment of this sub- 1982—Subsec. (b)(12). Pub. L. 97–365, § 2(a), added par. section and biennially thereafter, consolidate in a re- (12). port to the Congress the information contained in the Subsec. (e)(4). Pub. L. 97–375, § 201(a), substituted reports from the various Data Integrity Boards under ‘‘upon establishment or revision’’ for ‘‘at least annu- paragraph (3)(D). Such report shall include detailed in- ally’’ after ‘‘Federal Register’’. formation about costs and benefits of matching pro- Subsec. (m). Pub. L. 97–365, § 2(b), designated existing grams that are conducted during the period covered by provisions as par. (1) and added par. (2). such consolidated report, and shall identify each waiver Subsec. (p). Pub. L. 97–375, § 201(b), substituted provi- granted by a Data Integrity Board of the requirement sions requiring annual submission of a report by the for completion and submission of a cost-benefit analy- President to the Speaker of the House and President sis and the reasons for granting the waiver.’’ pro tempore of the Senate relating to the Director of 1997—Subsec. (a)(8)(B)(vii). Pub. L. 105–34 added cl. the Office of Management and Budget, individual rights (vii). of access, changes or additions to systems of records, 1996—Subsec. (a)(8)(B)(iv)(III). Pub. L. 104–193 sub- and other necessary or useful information, for provi- stituted ‘‘section 404(e), 464,’’ for ‘‘section 464’’. sions which had directed the President to submit to the § 552a TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES Page 54

Speaker of the House and the President of the Senate, set out as an Effective Date note under section 601 of by June 30 of each calendar year, a consolidated report, Title 42, The Public Health and Welfare. separately listing for each Federal agency the number of records contained in any system of records which EFFECTIVE DATE OF 1993 AMENDMENT were exempted from the application of this section Amendment by Pub. L. 103–66 effective Jan. 1, 1994, under the provisions of subsections (j) and (k) of this see section 13581(d) of Pub. L. 103–66, set out as a note section during the preceding calendar year, and the under section 1395y of Title 42, The Public Health and reasons for the exemptions, and such other information Welfare. as indicate efforts to administer fully this section. 1975—Subsec. (g)(5). Pub. L. 94–183 substituted ‘‘to EFFECTIVE DATE OF 1988 AMENDMENT September 27, 1975’’ for ‘‘to the effective date of this Pub. L. 100–503, § 10, Oct. 18, 1988, 102 Stat. 2514, as section’’. amended by Pub. L. 101–56, § 2, July 19, 1989, 103 Stat. CHANGE OF NAME 149, provided that: ‘‘(a) IN GENERAL.—Except as provided in subsections Committee on Governmental Affairs of Senate (b) and (c), the amendments made by this Act [amend- changed to Committee on Homeland Security and Gov- ing this section and repealing provisions set out as a ernmental Affairs of Senate, effective Jan. 4, 2005, by note below] shall take effect 9 months after the date of Senate Resolution No. 445, One Hundred Eighth Con- enactment of this Act [Oct. 18, 1988]. gress, Oct. 9, 2004. ‘‘(b) EXCEPTIONS.—The amendment made by sections Committee on Government Operations of House of 3(b), 6, 7, and 8 of this Act [amending this section and Representatives treated as referring to Committee on repealing provisions set out as a note below] shall take Government Reform and Oversight of House of Rep- effect upon enactment. resentatives by section 1(a) of Pub. L. 104–14, set out as ‘‘(c) EFFECTIVE DATE DELAYED FOR EXISTING PRO- a note under section 21 of Title 2, The Congress. Com- GRAMS.—In the case of any matching program (as de- mittee on Government Reform and Oversight of House fined in section 552a(a)(8) of title 5, United States Code, of Representatives changed to Committee on Govern- as added by section 5 of this Act) in operation before ment Reform of House of Representatives by House June 1, 1989, the amendments made by this Act (other Resolution No. 5, One Hundred Sixth Congress, Jan. 6, than the amendments described in subsection (b)) shall 1999. Committee on Government Reform of House of take effect January 1, 1990, if— Representatives changed to Committee on Oversight ‘‘(1) such matching program is identified by an and Government Reform of House of Representatives agency as being in operation before June 1, 1989; and by House Resolution No. 6, One Hundred Tenth Con- ‘‘(2) such identification is— gress, Jan. 5, 2007. ‘‘(A) submitted by the agency to the Committee EFFECTIVE DATE OF 2010 AMENDMENT on Governmental Affairs of the Senate, the Com- mittee on Government Operations of the House of Pub. L. 111–203, title X, § 1082, July 21, 2010, 124 Stat. Representatives, and the Office of Management and 2080, provided that the amendment made by section Budget before August 1, 1989, in a report which con- 1082 is effective on July 21, 2010. tains a schedule showing the dates on which the Pub. L. 111–203, title X, § 1100H, July 21, 2010, 124 Stat. agency expects to have such matching program in 2113, provided that: ‘‘Except as otherwise provided in compliance with the amendments made by this Act, this subtitle [subtitle H (§§ 1081–1100H) of title X of Pub. and L. 111–203, see Tables for classification] and the amend- ‘‘(B) published by the Office of Management and ments made by this subtitle, this subtitle and the Budget in the Federal Register, before September amendments made by this subtitle, other than sections 15, 1989.’’ 1081 [amending section 8G of Pub. L. 95–452, set out in the Appendix to this title, and enacting provisions set EFFECTIVE DATE OF 1984 AMENDMENT out as a note under section 8G of Pub. L. 95–452] and Amendment by Pub. L. 98–497 effective Apr. 1, 1985, 1082 [amending this section and enacting provisions set see section 301 of Pub. L. 98–497, set out as a note under out as a note under this section], shall become effective section 2102 of Title 44, Public Printing and Documents. on the designated transfer date.’’ [The term ‘‘designated transfer date’’ is defined in EFFECTIVE DATE section 5481(9) of Title 12, Banks and Banking, as the date established under section 5582 of Title 12, which is Pub. L. 93–579, § 8, Dec. 31, 1974, 88 Stat. 1910, provided July 21, 2011.] that: ‘‘The provisions of this Act [enacting this section and provisions set out as notes under this section] shall EFFECTIVE DATE OF 1999 AMENDMENT be effective on and after the date of enactment [Dec. 31, 1974], except that the amendments made by sections 3 Amendment by Pub. L. 106–170 applicable to individ- and 4 [enacting this section and amending analysis pre- uals whose period of confinement in an institution ceding section 500 of this title] shall become effective commences on or after the first day of the fourth 270 days following the day on which this Act is en- month beginning after December 1999, see section acted.’’ 402(a)(4) of Pub. L. 106–170, set out as a note under sec- tion 402 of Title 42, The Public Health and Welfare. SHORT TITLE OF 1990 AMENDMENT EFFECTIVE DATE OF 1997 AMENDMENT Pub. L. 101–508, title VII, § 7201(a), Nov. 5, 1990, 104 Amendment by Pub. L. 105–34 applicable to levies is- Stat. 1388–334, provided that: ‘‘This section [amending sued after Aug. 5, 1997, see section 1026(c) of Pub. L. this section and enacting provisions set out as notes 105–34, set out as a note under section 6103 of Title 26, below] may be cited as the ‘Computer Matching and Internal Revenue Code. Privacy Protection Amendments of 1990’.’’

EFFECTIVE DATE OF 1996 AMENDMENT SHORT TITLE OF 1989 AMENDMENT Amendment by Pub. L. 104–193 effective July 1, 1997, Pub. L. 101–56, § 1, July 19, 1989, 103 Stat. 149, provided with transition rules relating to State options to accel- that: ‘‘This Act [amending section 10 of Pub. L. 100–503, erate such date, rules relating to claims, actions, and set out as a note above] may be cited as the ‘Computer proceedings commenced before such date, rules relating Matching and Privacy Protection Act Amendments of to closing out of accounts for terminated or substan- 1989’.’’ tially modified programs and continuance in office of SHORT TITLE OF 1988 AMENDMENT Assistant Secretary for Family Support, and provisions relating to termination of entitlement under AFDC Pub. L. 100–503, § 1, Oct. 18, 1988, 102 Stat. 2507, pro- program, see section 116 of Pub. L. 104–193, as amended, vided that: ‘‘This Act [amending this section, enacting Page 55 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 552a provisions set out as notes above and below, and repeal- 552a(v) of title 5, United States Code, develop guidelines ing provisions set out as a note below] may be cited as and regulations for the use of agencies in implementing the ‘Computer Matching and Privacy Protection Act of the amendments made by this Act [amending this sec- 1988’.’’ tion and repealing provisions set out as a note below] not later than 8 months after the date of enactment of SHORT TITLE OF 1974 AMENDMENT this Act [Oct. 18, 1988].’’ Pub. L. 93–579, § 1, Dec. 31, 1974, 88 Stat. 1896, provided: ‘‘That this Act [enacting this section and provisions set CONSTRUCTION OF 1988 AMENDMENTS out as notes under this section] may be cited as the Pub. L. 100–503, § 9, Oct. 18, 1988, 102 Stat. 2514, pro- ‘Privacy Act of 1974’.’’ vided that: ‘‘Nothing in the amendments made by this SHORT TITLE Act [amending this section and repealing provisions set out as a note below] shall be construed to authorize— This section is popularly known as the ‘‘Privacy ‘‘(1) the establishment or maintenance by any agen- Act’’. cy of a national data bank that combines, merges, or TERMINATION OF REPORTING REQUIREMENTS links information on individuals maintained in sys- tems of records by other Federal agencies; For termination, effective May 15, 2000, of reporting ‘‘(2) the direct linking of computerized systems of provisions in subsec. (s) of this section, see section 3003 records maintained by Federal agencies; of Pub. L. 104–66, as amended, set out as a note under ‘‘(3) the computer matching of records not other- section 1113 of Title 31, Money and Finance, and page 31 wise authorized by law; or of House Document No. 103–7. ‘‘(4) the disclosure of records for computer match- DELEGATION OF FUNCTIONS ing except to a Federal, State, or local agency.’’ Functions of Director of Office of Management and CONGRESSIONAL FINDINGS AND STATEMENT OF PURPOSE Budget under this section delegated to Administrator Pub. L. 93–579, § 2, Dec. 31, 1974, 88 Stat. 1896, provided for Office of Information and Regulatory Affairs by sec- that: tion 3 of Pub. L. 96–511, Dec. 11, 1980, 94 Stat. 2825, set ‘‘(a) The Congress finds that— out as a note under section 3503 of Title 44, Public ‘‘(1) the privacy of an individual is directly affected Printing and Documents. by the collection, maintenance, use, and dissemina- PUBLICATION OF GUIDANCE UNDER SUBSECTION tion of personal information by Federal agencies; (p)(1)(A)(ii) ‘‘(2) the increasing use of computers and sophisti- cated information technology, while essential to the Pub. L. 101–508, title VII, § 7201(b)(2), Nov. 5, 1990, 104 efficient operations of the Government, has greatly Stat. 1388–334, provided that: ‘‘Not later than 90 days magnified the harm to individual privacy that can after the date of the enactment of this Act [Nov. 5, occur from any collection, maintenance, use, or dis- 1990], the Director of the Office of Management and semination of personal information; Budget shall publish guidance under subsection ‘‘(3) the opportunities for an individual to secure (p)(1)(A)(ii) of section 552a of title 5, United States employment, insurance, and credit, and his right to Code, as amended by this Act.’’ due process, and other legal protections are endan- LIMITATION ON APPLICATION OF VERIFICATION gered by the misuse of certain information systems; REQUIREMENT ‘‘(4) the right to privacy is a personal and fun- damental right protected by the Constitution of the Pub. L. 101–508, title VII, § 7201(c), Nov. 5, 1990, 104 United States; and Stat. 1388–335, provided that: ‘‘Section ‘‘(5) in order to protect the privacy of individuals 552a(p)(1)(A)(ii)(II) of title 5, United States Code, as identified in information systems maintained by Fed- amended by section 2 [probably means section 7201(b)(1) eral agencies, it is necessary and proper for the Con- of Pub. L. 101–508], shall not apply to a program re- gress to regulate the collection, maintenance, use, ferred to in paragraph (1), (2), or (4) of section 1137(b) of and dissemination of information by such agencies. the Social Security Act (42 U.S.C. 1320b–7), until the ‘‘(b) The purpose of this Act [enacting this section earlier of— ‘‘(1) the date on which the Data Integrity Board of and provisions set out as notes under this section] is to the Federal agency which administers that program provide certain safeguards for an individual against an determines that there is not a high degree of con- invasion of personal privacy by requiring Federal agen- fidence that information provided by that agency cies, except as otherwise provided by law, to— under Federal matching programs is accurate; or ‘‘(1) permit an individual to determine what records ‘‘(2) 30 days after the date of publication of guid- pertaining to him are collected, maintained, used, or ance under section 2(b) [probably means section disseminated by such agencies; 7201(b)(2) of Pub. L. 101–508, set out as a note above].’’ ‘‘(2) permit an individual to prevent records per- taining to him obtained by such agencies for a par- EFFECTIVE DATE DELAYED FOR CERTAIN EDUCATION ticular purpose from being used or made available for BENEFITS COMPUTER MATCHING PROGRAMS another purpose without his consent; Pub. L. 101–366, title II, § 206(d), Aug. 15, 1990, 104 Stat. ‘‘(3) permit an individual to gain access to informa- 442, provided that: tion pertaining to him in Federal agency records, to ‘‘(1) In the case of computer matching programs be- have a copy made of all or any portion thereof, and tween the Department of Veterans Affairs and the De- to correct or amend such records; partment of Defense in the administration of education ‘‘(4) collect, maintain, use, or disseminate any benefits programs under chapters 30 and 32 of title 38 record of identifiable personal information in a man- and chapter 106 of title 10, United States Code, the ner that assures that such action is for a necessary amendments made to section 552a of title 5, United and lawful purpose, that the information is current States Code, by the Computer Matching and Privacy and accurate for its intended use, and that adequate Protection Act of 1988 [Pub. L. 100–503] (other than the safeguards are provided to prevent misuse of such in- amendments made by section 10(b) of that Act) [see Ef- formation; fective Date of 1988 Amendment note above] shall take ‘‘(5) permit exemptions from the requirements with effect on October 1, 1990. respect to records provided in this Act only in those ‘‘(2) For purposes of this subsection, the term ‘match- cases where there is an important public policy need ing program’ has the same meaning provided in section for such exemption as has been determined by spe- 552a(a)(8) of title 5, United States Code.’’ cific statutory authority; and ‘‘(6) be subject to civil suit for any damages which IMPLEMENTATION GUIDANCE FOR 1988 AMENDMENTS occur as a result of willful or intentional action Pub. L. 100–503, § 6(b), Oct. 18, 1988, 102 Stat. 2513, pro- which violates any individual’s rights under this vided that: ‘‘The Director shall, pursuant to section Act.’’ § 552b TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES Page 56

PRIVACY PROTECTION STUDY COMMISSION ment move towards the use of a single, unduplicated numerical identification system of accounts and avoid Pub. L. 93–579, § 5, Dec. 31, 1974, 88 Stat. 1905, as the unnecessary establishment of additional systems: amended by Pub. L. 95–38, June 1, 1977, 91 Stat. 179, NOW, THEREFORE, by virtue of the authority vested which established the Privacy Protection Study Com- in me as President of the United States, it is hereby or- mission and provided that the Commission study data dered as follows: banks, automated data processing programs and infor- 1. Hereafter any Federal department, establishment, mation systems of governmental, regional and private or agency may, whenever the head thereof finds it ad- organizations to determine standards and procedures in visable to establish a new system of permanent account force for protection of personal information, that the numbers pertaining to individual persons, utilize the Commission report to the President and Congress the Social Security Act account numbers assigned pursu- extent to which requirements and principles of section ant to title 20, section 422.103 of the Code of Federal 552a of title 5 should be applied to the information Regulations and pursuant to paragraph 2 of this order. practices of those organizations, and that it make 2. The Social Security Administration shall provide other legislative recommendations to protect the pri- for the assignment of an account number to each per- vacy of individuals while meeting the legitimate infor- son who is required by any Federal agency to have such mational needs of government and society, ceased to a number but who has not previously been assigned exist on September 30, 1977, pursuant to section 5(g) of such number by the Administration. The Administra- Pub. L. 93–579. tion may accomplish this purpose by (a) assigning such GUIDELINES AND REGULATIONS FOR MAINTENANCE OF numbers to individual persons, (b) assigning blocks of PRIVACY AND PROTECTION OF RECORDS OF INDIVIDUALS numbers to Federal agencies for reassignment to indi- vidual persons, or (c) making such other arrangements Pub. L. 93–579, § 6, Dec. 31, 1974, 88 Stat. 1909, which for the assignment of numbers as it may deem appro- provided that the Office of Management and Budget priate. shall develop guidelines and regulations for use of 3. The Social Security Administration shall furnish, agencies in implementing provisions of this section and upon request of any Federal agency utilizing the nu- provide continuing assistance to and oversight of the merical identification system of accounts provided for implementation of the provisions of such section by in this order, the account number pertaining to any agencies, was repealed by Pub. L. 100–503, § 6(c), Oct. 18, person with whom such agency has an account or the 1988, 102 Stat. 2513. name and other identifying data pertaining to any ac- DISCLOSURE OF SOCIAL SECURITY NUMBER count number of any such person. 4. The Social Security Administration and each Fed- Pub. L. 93–579, § 7, Dec. 31, 1974, 88 Stat. 1909, provided eral agency shall maintain the confidential character that: of information relating to individual persons obtained ‘‘(a)(1) It shall be unlawful for any Federal, State or pursuant to the provisions of this order. local government agency to deny to any individual any 5. There shall be transferred to the Social Security right, benefit, or privilege provided by law because of Administration, from time to time, such amounts as such individual’s refusal to disclose his social security the Director of the Office of Management and Budget account number. shall determine to be required for reimbursement by ‘‘(2) the [The] provisions of paragraph (1) of this sub- any Federal agency for the services rendered by the Ad- section shall not apply with respect to— ministration pursuant to the provisions of this order. ‘‘(A) any disclosure which is required by Federal 6. This order shall be implemented in accordance with statute, or applicable law and subject to the availability of appro- ‘‘(B) the disclosure of a social security number to priations. any Federal, State, or local agency maintaining a 7. This order is not intended to, and does not, create system of records in existence and operating before any right or benefit, substantive or procedural, enforce- January 1, 1975, if such disclosure was required under able at law or in equity, by any party against the statute or regulation adopted prior to such date to United States, its departments, agencies, instrumental- verify the identity of an individual. ‘‘(b) Any Federal, State, or local government agency ities, or entities, its officers, employees, or agents, or which requests an individual to disclose his social secu- any other person. rity account number shall inform that individual 8. This order shall be published in the Federal Reg- whether that disclosure is mandatory or voluntary, by ister. what statutory or other authority such number is solic- CLASSIFIED NATIONAL SECURITY INFORMATION ited, and what uses will be made of it.’’ For provisions relating to a response to a request for AUTHORIZATION OF APPROPRIATIONS TO PRIVACY information under this section when the fact of its ex- PROTECTION STUDY COMMISSION istence or nonexistence is itself classified or when it Pub. L. 93–579, § 9, Dec. 31, 1974, 88 Stat. 1910, as was originally classified by another agency, see Ex. amended by Pub. L. 94–394, Sept. 3, 1976, 90 Stat. 1198, Ord. No. 13526, § 3.6, Dec. 29, 2009, 75 F.R. 718, set out as authorized appropriations for the period beginning July a note under section 435 of Title 50, War and National 1, 1975, and ending on September 30, 1977. Defense.

EX. ORD. NO. 9397. NUMBERING SYSTEM FOR FEDERAL § 552b. Open meetings ACCOUNTS RELATING TO INDIVIDUAL PERSONS (a) For purposes of this section— Ex. Ord. No. 9397, Nov. 22, 1943, 8 F.R. 16095, as amend- (1) the term ‘‘agency’’ means any agency, as ed by Ex. Ord. No. 13478, § 2, Nov. 18, 2008, 73 F.R. 70239, defined in section 552(e) 1 of this title, headed provided: by a collegial body composed of two or more WHEREAS certain Federal agencies from time to time require in the administration of their activities a individual members, a majority of whom are system of numerical identification of accounts of indi- appointed to such position by the President vidual persons; and with the advice and consent of the Senate, and WHEREAS some seventy million persons have here- any subdivision thereof authorized to act on tofore been assigned account numbers pursuant to the behalf of the agency; Social Security Act; and (2) the term ‘‘meeting’’ means the delibera- WHEREAS a large percentage of Federal employees tions of at least the number of individual have already been assigned account numbers pursuant to the Social Security Act; and agency members required to take action on WHEREAS it is desirable in the interest of economy and orderly administration that the Federal Govern- 1 See References in Text note below.