HF 1991

as introduced - 79th Legislature (1995 - 1996) Posted on 12/15/2009 12:00am

  1.1                          A bill for an act 
  1.2             relating to collection and dissemination of data; 
  1.3             enacting the uniform information practices code; 
  1.4             repealing the government data practices act; 
  1.5             prescribing penalties; proposing coding for new law as 
  1.6             Minnesota Statutes, chapter 13C; repealing Minnesota 
  1.7             Statutes 1994, sections 13.01; 13.02; 13.03; 13.04; 
  1.8             13.05; 13.06; 13.07; 13.072; 13.08; 13.09; 13.10; 
  1.9             13.30; 13.31; 13.32; 13.33; 13.34; 13.35; 13.36; 
  1.10            13.37; 13.38; 13.39; 13.40; 13.41; 13.42; 13.43; 
  1.11            13.44; 13.45; 13.46; 13.47; 13.48; 13.49; 13.50; 
  1.12            13.51; 13.511; 13.52; 13.521; 13.528; 13.53; 13.531; 
  1.13            13.54; 13.55; 13.551; 13.552; 13.56; 13.57; 13.59; 
  1.14            13.60; 13.61; 13.62; 13.63; 13.64; 13.642; 13.643; 
  1.15            13.645; 13.65; 13.66; 13.67; 13.671; 13.68; 13.69; 
  1.16            13.691; 13.692; 13.71; 13.72; 13.74; 13.75; 13.76; 
  1.17            13.761; 13.77; 13.771; 13.78; 13.79; 13.791; 13.792; 
  1.18            13.793; 13.794; 13.80; 13.82; 13.83; 13.84; 13.85; 
  1.19            13.86; 13.861; 13.87; 13.88; 13.89; 13.90; and 13.99.  
  1.20  BE IT ENACTED BY THE LEGISLATURE OF THE STATE OF MINNESOTA: 
  1.21                             ARTICLE 1
  1.22                 GENERAL PROVISIONS AND DEFINITIONS
  1.23     Section 1.  [13C.1-101] [SHORT TITLE.] 
  1.24     Sections 13C.1-101 to 13C.6-102 may be cited as the uniform 
  1.25  information practices code. 
  1.26     Sec. 2.  [13C.1-102] [PURPOSES; RULES OF CONSTRUCTION.] 
  1.27     This code shall be applied and construed to promote its 
  1.28  underlying purposes and policies, which are: 
  1.29     (1) to enhance governmental accountability through a 
  1.30  general policy of access to governmental records; 
  1.31     (2) to make government accountable to individuals in the 
  1.32  collection, use, and dissemination of information relating to 
  2.1   them; 
  2.2      (3) to protect individual privacy and related interests 
  2.3   whenever the public interest in disclosure does not outweigh 
  2.4   those interests; and 
  2.5      (4) to make uniform the law with respect to the subject 
  2.6   matter of this code among states enacting it. 
  2.7      Sec. 3.  [13C.1-103] [SEVERABILITY.] 
  2.8      If any provision of this code or its application to any 
  2.9   person or circumstance is held invalid, the invalidity does not 
  2.10  affect other provisions or applications of the code which can be 
  2.11  given effect without the invalid provision or application, and 
  2.12  to this end, the provisions of this code are severable. 
  2.13     Sec. 4.  [13C.1-104] [CONSTRUCTION AGAINST IMPLIED REPEAL.] 
  2.14     This code is a general act intended as a unified coverage 
  2.15  of its subject matter and no provision of it is impliedly 
  2.16  repealed by subsequent legislation if that construction can 
  2.17  reasonably be avoided. 
  2.18     Sec. 5.  [13C.1-105] [GENERAL DEFINITIONS.] 
  2.19     Subject to additional definitions in subsequent articles 
  2.20  which are applicable to specific articles, and unless the 
  2.21  context otherwise requires, in this code: 
  2.22     (1) "Accessible record" means a personal record, except a 
  2.23  research record, that is: 
  2.24     (i) maintained according to an established retrieval scheme 
  2.25  or indexing structure on the basis of the identity of, or so as 
  2.26  to identify, individuals; or 
  2.27     (ii) otherwise retrievable because an agency is able to 
  2.28  locate the record through the use of information provided by a 
  2.29  requester without an unreasonable expenditure of time, effort, 
  2.30  money, or other resources. 
  2.31     (2) "Agency" means a unit of government in this state, any 
  2.32  political subdivision or combination of subdivisions, a 
  2.33  department, institution, board, commission, district, council, 
  2.34  bureau, office, officer, official, governing authority or other 
  2.35  instrumentality of state or local government, or a corporation 
  2.36  or other establishment owned, operated, or managed by or on 
  3.1   behalf of this state or any political subdivision, but does not 
  3.2   include the legislature or the courts of this state. 
  3.3      (3) "Government record" means information maintained by an 
  3.4   agency in written, aural, visual, electronic, or other physical 
  3.5   form. 
  3.6      (4) "Individual" means a natural person. 
  3.7      (5) "Individually identifiable record" means a personal 
  3.8   record that identifies or can readily be associated with the 
  3.9   identity of an individual to whom it pertains. 
  3.10     (6) "Maintain" means hold, possess, preserve, retain, 
  3.11  store, or administratively control. 
  3.12     (7) "Person" means individual, corporation, government or 
  3.13  governmental subdivision or agency, business trust, estate, 
  3.14  trust, partnership, association, or any other legal entity. 
  3.15     (8) "Personal record" means any item or collection of 
  3.16  information in a government record which refers, in fact, to a 
  3.17  particular individual, whether or not the information is 
  3.18  maintained in individually identifiable form. 
  3.19     (9) "Research purpose" means an objective to develop, 
  3.20  study, or report aggregate or anonymous information not intended 
  3.21  to be used in any way in which the identity of an individual is 
  3.22  material to the results. 
  3.23     (10) "Research record" means an individually identifiable 
  3.24  record collected solely for a research purpose and not intended 
  3.25  to be used in individually identifiable form to make any 
  3.26  decision or to take any action directly affecting the individual 
  3.27  to whom the record pertains. 
  3.28     Sec. 6.  [13C.1-106] [REFERENCES.] 
  3.29     When used in articles 1 to 4, the term "code" refers to 
  3.30  articles 1 to 4. 
  3.31                             ARTICLE 2
  3.32                       FREEDOM OF INFORMATION
  3.33     Section 1.  [13C.2-101] [AFFIRMATIVE AGENCY DISCLOSURE 
  3.34  RESPONSIBILITIES.] 
  3.35     Each agency shall make available for public inspection: 
  3.36     (1) rules of procedure, substantive rules of general 
  4.1   applicability, statements of general policy, and interpretations 
  4.2   of general applicability, adopted by the agency; and 
  4.3      (2) final opinions, including concurring and dissenting 
  4.4   opinions, as well as orders, made in the adjudication of cases. 
  4.5      Sec. 2.  [13C.2-102] [DUTIES OF AGENCY.] 
  4.6      (a) Except as provided in section 13C.2-103, each agency 
  4.7   upon request by any person shall make government records 
  4.8   available for inspection and copying during regular business 
  4.9   hours. 
  4.10     (b) Unless the information is readily retrievable by the 
  4.11  agency in the form in which it is requested, an agency is not 
  4.12  required to prepare a compilation or summary of its records. 
  4.13     (c) Each agency shall assure reasonable access to 
  4.14  facilities for duplicating records and for making memoranda or 
  4.15  abstracts from them.  If a government record is not immediately 
  4.16  available or a request for access is denied, the agency shall 
  4.17  inform the requester of the right to make a written request for 
  4.18  access under subsection (d). 
  4.19     (d) Promptly, but no later than seven days after receiving 
  4.20  a written request for access which reasonably identifies or 
  4.21  describes a government record, the agency shall: 
  4.22     (1) make the record available to the requester, including, 
  4.23  if necessary, an explanation of any machine readable code or any 
  4.24  other code or abbreviation; 
  4.25     (2) inform the requester that the record is in use or that 
  4.26  unusual circumstances have delayed or impaired the handling of 
  4.27  the request and specify in writing the earliest time and date, 
  4.28  not later than 21 days after receipt of the request, when the 
  4.29  record will be available; 
  4.30     (3) inform the requester that the agency does not maintain 
  4.31  the requested record, and provide, if known, the name and 
  4.32  location of the agency maintaining the record; or 
  4.33     (4) deny the request. 
  4.34     (e) Unless otherwise provided by law, whenever an agency 
  4.35  provides a copy of a government record, it may charge the 
  4.36  currently prevailing commercial rate for copying.  An agency may 
  5.1   not charge for the services of government personnel in searching 
  5.2   for a record, reviewing its contents, and segregating 
  5.3   disclosable from nondisclosable information or for expenses 
  5.4   incurred in establishing or maintaining the record.  The agency 
  5.5   shall establish a schedule of its charges and make it available 
  5.6   to the public. 
  5.7      (f) If a request for access to a government record is 
  5.8   denied, in whole or in part, the agency in writing shall notify 
  5.9   the requester of the specific reasons for its denial and 
  5.10  identify by name and position or title the individual 
  5.11  responsible for its denial.  In addition, the agency shall 
  5.12  inform the requester that review of a denial of access may be 
  5.13  sought from the head of the agency and that a request for review 
  5.14  must be filed within 90 days after notification of the denial. 
  5.15  The head of the agency, within ten days after a request for 
  5.16  review is filed, shall decide whether the denial of access will 
  5.17  be upheld.  If the decision is to disclose, the agency shall 
  5.18  immediately notify the requester and make the record available. 
  5.19  If the denial of access is upheld, in whole or in part, the head 
  5.20  of the agency in writing shall notify the requester of the 
  5.21  decision, the specific reasons for the decision, and the right 
  5.22  to bring a judicial action under this code. 
  5.23     (g) Each agency may adopt reasonable rules to protect its 
  5.24  records from theft, loss, defacement, alteration, or 
  5.25  deterioration and to prevent undue interference with the 
  5.26  discharge of its functions. 
  5.27     Sec. 3.  [13C.2-103] [INFORMATION NOT SUBJECT TO DUTY OF 
  5.28  DISCLOSURE.] 
  5.29     (a) Sections 13C.2-101 to 13C.2-105 do not require 
  5.30  disclosure of: 
  5.31     (1) information compiled for law enforcement purposes if 
  5.32  disclosure would: 
  5.33     (i) materially impair the effectiveness of an ongoing 
  5.34  investigation, criminal intelligence operation, or law 
  5.35  enforcement proceeding, 
  5.36     (ii) identify a confidential informant, 
  6.1      (iii) reveal confidential investigative techniques or 
  6.2   procedures, including criminal intelligence activity, or 
  6.3      (iv) endanger the life of an individual; 
  6.4      (2) inter-agency or intra-agency advisory, consultative, or 
  6.5   deliberative material (other than factual information) if: 
  6.6      (i) communicated for the purpose of decision making, and 
  6.7      (ii) disclosure would substantially inhibit the flow of 
  6.8   ideas within an agency or impair the agency's decision-making 
  6.9   process; 
  6.10     (3) material prepared in anticipation of litigation which 
  6.11  would not be available to a party in litigation with the agency 
  6.12  under the rules of pretrial discovery for actions in the trial 
  6.13  courts of this state; 
  6.14     (4) materials used to administer a licensing, employment, 
  6.15  or academic examination if disclosure would compromise the 
  6.16  fairness or objectivity of the examination process; 
  6.17     (5) information which, if disclosed, would frustrate 
  6.18  government procurement or give an advantage to any person 
  6.19  proposing to enter into a contract or agreement with an agency; 
  6.20     (6) information identifying real property under 
  6.21  consideration for public acquisition before acquisition of 
  6.22  rights to the property; or information not otherwise available 
  6.23  under the law of this state pertaining to real property under 
  6.24  consideration for public acquisition before making a purchase 
  6.25  agreement; 
  6.26     (7) administrative or technical information, including 
  6.27  software, operating protocols, employee manuals or other 
  6.28  information, the disclosure of which would jeopardize the 
  6.29  security of a record keeping system; 
  6.30     (8) proprietary information, including computer programs 
  6.31  and software and other types of information manufactured or 
  6.32  marketed by persons under exclusive legal right, owned by the 
  6.33  agency or entrusted to it; 
  6.34     (9) trade secrets or confidential commercial and financial 
  6.35  information obtained, upon request, from a person; 
  6.36     (10) library, archival, or museum material contributed by 
  7.1   private persons to the extent of any lawful limitation imposed 
  7.2   on the material; 
  7.3      (11) information that is expressly made nondisclosable 
  7.4   under federal or state law or protected by the rules of 
  7.5   evidence; or 
  7.6      (12) an individually identifiable record not disclosable 
  7.7   under sections 13C.3-101 to 13C.3-116. 
  7.8      (b) If an agency pursuant to section 13C.2-102(a) decides 
  7.9   to grant a request to inspect or copy a government record to 
  7.10  which subsection (a)(8), (10), or (12) may apply, the agency 
  7.11  shall make reasonable efforts to notify the person to whom the 
  7.12  record relates and provide the person an opportunity to object 
  7.13  prior to disclosure of the record. 
  7.14     (c) If a person submits information claimed to be subject 
  7.15  to subsection (a)(9), the agency shall upon such person's 
  7.16  request make reasonable efforts to notify the person making the 
  7.17  claim and provide the person an opportunity to object prior to 
  7.18  disclosure of the record. 
  7.19     (d) If, over objection, the agency decides to grant the 
  7.20  request for access, it shall inform each objector of the 
  7.21  agency's decision and the right to seek review from the head of 
  7.22  the agency.  
  7.23     (e) If the head of the agency decides to grant the request, 
  7.24  the head of the agency shall give reasonable notice to each 
  7.25  objector of the decision to release information.  If the head of 
  7.26  an agency denies a request for access because information is 
  7.27  within subsection (a)(8), (9), (10), or (12) and the agency is 
  7.28  subsequently sued as a result of that denial, it shall make 
  7.29  reasonable efforts to inform each objector of the suit. 
  7.30     (f) The agency shall provide any reasonably segregable 
  7.31  portion of the record to the person requesting it after deleting 
  7.32  the nondisclosable material. 
  7.33     Sec. 4.  [13C.2-104] [JUDICIAL ENFORCEMENT.] 
  7.34     (a) A person aggrieved by a violation of section 13C.2-101 
  7.35  or 13C.2-102 may bring an action against the agency to compel 
  7.36  disclosure.  In an action to compel the agency to disclose a 
  8.1   government record, the court shall hear the matter de novo.  The 
  8.2   court may examine the record at issue in camera to determine 
  8.3   whether it or any part of it may be withheld.  The agency has 
  8.4   the burden of proof to establish the justification for 
  8.5   nondisclosure, unless the record is nondisclosable under 
  8.6   sections 13C.3-101 to 13C.3-116. 
  8.7      (b) If the complainant substantially prevails in an action 
  8.8   brought under this section, the court may assess against the 
  8.9   agency reasonable attorney's fees and all other expenses 
  8.10  reasonably incurred in the litigation. 
  8.11     (c) The district court in the judicial district in which 
  8.12  the requested record is maintained or the agency's headquarters 
  8.13  are located has jurisdiction over an action brought under this 
  8.14  section. 
  8.15     (d) If the agency fails to comply with the time limits of 
  8.16  section 13C.2-102, the requester may bring an action under this 
  8.17  section. 
  8.18     Sec. 5.  [13C.2-105] [DISCIPLINARY ACTION.] 
  8.19     An agency shall take disciplinary action, which may include 
  8.20  suspension or discharge, against any officer or employee of the 
  8.21  agency who knowingly and willingly violates any provision of 
  8.22  sections 13C.2-101 to 13C.2-105.  Any other violation of 
  8.23  sections 13C.2-101 to 13C.2-105 is cause for disciplinary action.
  8.24                             ARTICLE 3
  8.25                   DISCLOSURE OF PERSONAL RECORDS
  8.26     Section 1.  [13C.3-101] [LIMITATIONS ON DISCLOSURE TO 
  8.27  PUBLIC.] 
  8.28     An agency may not disclose or authorize the disclosure of 
  8.29  an individually identifiable record to any person other than the 
  8.30  individual to whom the record pertains unless the disclosure is: 
  8.31     (1) the name, compensation, job title, business address, 
  8.32  business telephone number, job description, education and 
  8.33  training background, previous work experience, or dates of first 
  8.34  and last employment of present or former officers or employees 
  8.35  of the agency; 
  8.36     (2) pursuant to the prior written consent of the individual 
  9.1   to whom the record refers; 
  9.2      (3) of information collected and maintained for the purpose 
  9.3   of making information available to the general public; 
  9.4      (4) of information contained in or compiled from a 
  9.5   transcript, minutes, report, or summary of a proceeding open to 
  9.6   the public; 
  9.7      (5) pursuant to federal law or a statute of this state that 
  9.8   expressly authorizes disclosure; 
  9.9      (6) pursuant to a showing of compelling circumstances 
  9.10  affecting the health or safety of any individual, in which case 
  9.11  the agency shall make reasonable efforts to notify the 
  9.12  individual to whom the record refers; 
  9.13     (7) pursuant to an order of a court in which case the 
  9.14  agency shall notify the individual to whom the record refers by 
  9.15  mailing a copy of the order to the individual's last known 
  9.16  address; 
  9.17     (8) pursuant to a subpoena from either house of the 
  9.18  legislature or any committee or subcommittee, in which case the 
  9.19  agency shall notify the individual to whom the record refers by 
  9.20  mailing a copy of the subpoena to the individual's last known 
  9.21  address; 
  9.22     (9) for a research purpose as provided in sections 
  9.23  13C.3-109 and 13C.3-110; or 
  9.24     (10) in any other case, not a clearly unwarranted invasion 
  9.25  of personal privacy. 
  9.26     Sec. 2.  [13C.3-102] [CLEARLY UNWARRANTED INVASION OF 
  9.27  PERSONAL PRIVACY.] 
  9.28     (a) Disclosure of an individually identifiable record does 
  9.29  not constitute a clearly unwarranted invasion of personal 
  9.30  privacy if the public interest in disclosure outweighs the 
  9.31  privacy interest of the individual. 
  9.32     (b) The following are examples of information in which the 
  9.33  individual has a significant privacy interest: 
  9.34     (1) information relating to medical, psychiatric, or 
  9.35  psychological history, diagnosis, condition, treatment, or 
  9.36  evaluation, other than directory information concerning an 
 10.1   individual's presence at any facility; 
 10.2      (2) information compiled and identifiable as part of an 
 10.3   investigation into a possible violation of criminal law, except 
 10.4   to the extent that disclosure is necessary to prosecute the 
 10.5   violation or to continue the investigation; 
 10.6      (3) information relating to eligibility for social services 
 10.7   or welfare benefits or to the determination of benefit levels; 
 10.8      (4) information in an agency's personnel file, or 
 10.9   applications, nominations, recommendations or proposals for 
 10.10  public employment or appointment to a governmental position; 
 10.11  except information relating to the status of any formal charges 
 10.12  against the employee and disciplinary action taken; 
 10.13     (5) information relating to an individual's nongovernmental 
 10.14  employment history; 
 10.15     (6) information in an income or other tax return measured 
 10.16  by items of income or gathered by an agency for the purpose of 
 10.17  administering the tax; 
 10.18     (7) information describing an individual's finances, 
 10.19  income, assets, liabilities, net worth, bank balances, financial 
 10.20  history or activities, or credit worthiness; 
 10.21     (8) information compiled as part of an inquiry into an 
 10.22  individual's fitness to be granted or to retain a license, 
 10.23  except the record of any proceeding resulting in revocation or 
 10.24  suspension of a license and the grounds for revocation or 
 10.25  suspension; and 
 10.26     (9) information comprising a personal recommendation or 
 10.27  evaluation. 
 10.28     Sec. 3.  [13C.3-103] [DISCLOSURES TO AGENCIES OF 
 10.29  GOVERNMENT.] 
 10.30     (a) In addition to disclosures permitted under section 
 10.31  13C.3-101, an agency may disclose or authorize the disclosure of 
 10.32  an individually identifiable record if made to: 
 10.33     (1) another agency if disclosure is: 
 10.34     (i) certified by the requesting agency as being necessary 
 10.35  to the performance of its duties and functions, and 
 10.36     (ii) compatible with the purpose for which the information 
 11.1   in the record was originally collected or obtained; 
 11.2      (2) the state archives for purposes of historical 
 11.3   preservation, administrative maintenance, or destruction; 
 11.4      (3) another agency, another state, or the federal 
 11.5   government, if disclosure is: 
 11.6      (i) for the purpose of a civil or criminal law enforcement 
 11.7   investigation, 
 11.8      (ii) specifically authorized by statute or compact, and 
 11.9      (iii) pursuant to agreement or written request; 
 11.10     (4) an agency for transmission to courts of this state, 
 11.11  another state or the United States for presentence or 
 11.12  probationary purposes; 
 11.13     (5) a foreign government pursuant to executive agreement, 
 11.14  compact, treaty, or statute; 
 11.15     (6) a criminal law enforcement agency of this state, 
 11.16  another state, or the federal government if the information 
 11.17  requested is limited to an individual's name and other 
 11.18  identifying particulars, including present and past addresses 
 11.19  and present and past places of employment; 
 11.20     (7) authorized officials of the federal government or of an 
 11.21  agency of this state for audit or review purposes if: 
 11.22     (i) the audit or review is expressly authorized by law, and 
 11.23     (ii) disclosure is certified by the requesting agency as 
 11.24  being necessary to the performance of audits or reviews; or 
 11.25     (8) the United States Bureau of the Census for the purpose 
 11.26  of planning or carrying out a census, survey or related activity 
 11.27  under the United States Code, title 13. 
 11.28     (b) An agency receiving information pursuant to subsection 
 11.29  (a) is subject to the same restrictions on disclosure of the 
 11.30  information as the originating agency. 
 11.31     Sec. 4.  [13C.3-104] [PROHIBITIONS ON DISCLOSURES NOT 
 11.32  AFFECTED.] 
 11.33     Nothing in sections 13C.3-101 to 13C.3-103 authorizes the 
 11.34  disclosure of an individually identifiable record if disclosure 
 11.35  is otherwise prohibited by law. 
 11.36     Sec. 5.  [13C.3-105] [ACCESS TO RECORDS BY RECORD SUBJECT.] 
 12.1      Except as provided in section 13C.3-106, an individual or 
 12.2   his duly authorized representative may examine or copy, during 
 12.3   the regular business hours of the agency, any accessible record 
 12.4   that pertains to him.  In implementing the rights under this 
 12.5   section, the agency shall follow the procedures established in 
 12.6   section 13C.2-102, subject to the following additional 
 12.7   requirements: 
 12.8      (1) upon receipt of a written request to examine or copy an 
 12.9   accessible record, the agency shall verify the identity of the 
 12.10  requester; and 
 12.11     (2) the agency, if specifically requested, shall inform the 
 12.12  requester of all disclosures of the record outside the agency as 
 12.13  required in section 13C.3-108(a)(2). 
 12.14     Sec. 6.  [13C.3-106] [LIMITATIONS ON INDIVIDUAL ACCESS.] 
 12.15     (a) An agency is not required by section 13C.3-105 to 
 12.16  disclose: 
 12.17     (1) information that may be withheld pursuant to section 
 12.18  13C.2-103(a)(1) and (3) to (11) except to the extent that the 
 12.19  information sought was submitted by the requester, but under 
 12.20  appropriate safeguards designed to protect the integrity of the 
 12.21  examination process, an individual may examine, but not copy, 
 12.22  his own test questions and answers in any examination used for 
 12.23  licensing or employment; 
 12.24     (2) information collected and used solely to evaluate the 
 12.25  character and fitness of persons, but only to the extent that 
 12.26  disclosure would identify the source of the information; or 
 12.27     (3) information that does not relate directly to the 
 12.28  requester, and, which if disclosed, would constitute a clearly 
 12.29  unwarranted invasion of another individual's personal privacy. 
 12.30     (b) This section does not abridge any statute that 
 12.31  authorizes an agency to withhold information from the parent or 
 12.32  legal guardian of a child. 
 12.33     (c) If an individual requests an accessible record 
 12.34  containing information the agency is not required to disclose 
 12.35  under subsections (a) and (b), the agency shall provide any 
 12.36  reasonably segregable portion of the record to the requester 
 13.1   after deleting the nondisclosable material. 
 13.2      Sec. 7.  [13C.3-107] [CORRECTION AND AMENDMENT OF RECORDS; 
 13.3   PROPAGATION.] 
 13.4      (a) An individual may request an agency to correct or amend 
 13.5   any incomplete or inaccurate information pertaining to that 
 13.6   individual if it is contained in an accessible record and the 
 13.7   record is available under section 13C.3-105. 
 13.8      (b) Not later than seven days after receiving a request 
 13.9   from an individual in writing to correct or amend an accessible 
 13.10  record pertaining to the individual, an agency shall: 
 13.11     (1) make the requested correction or amendment and inform 
 13.12  the requester of the action; 
 13.13     (2) inform the requester that the agency does not maintain 
 13.14  the record and, if it knows, provide the name and location of 
 13.15  the agency maintaining it; or 
 13.16     (3) inform the requester in writing of its refusal to 
 13.17  correct or amend the record as requested, the reason for the 
 13.18  refusal, the agency procedures for review of the refusal by the 
 13.19  head of the agency, and the name and position or title of the 
 13.20  individual responsible for the refusal. 
 13.21     (c) Not later than 30 days after an individual requests 
 13.22  review of an agency's refusal to correct or amend the 
 13.23  individual's record, the agency shall make a final determination.
 13.24     (d) If, after the review provided for by subsection (c) the 
 13.25  agency refuses to correct or amend the record in accordance with 
 13.26  the request, the agency shall: 
 13.27     (1) permit the requester to file with the record a concise 
 13.28  statement of reasons for the requested correction or amendment 
 13.29  and reasons for disagreement with the agency's refusal; and 
 13.30     (2) notify the requester of a right to bring an action 
 13.31  pursuant to section 13C.3-112. 
 13.32     (e) Whenever an agency discloses information to a third 
 13.33  party about which an individual has filed a statement pursuant 
 13.34  to subsection (d), the agency shall: 
 13.35     (1) clearly identify the disputed portion of the 
 13.36  information; 
 14.1      (2) furnish a copy of the individual's statement; and 
 14.2      (3) furnish a concise statement of the agency's current 
 14.3   position with respect to the request for correction or amendment 
 14.4   and transmit a copy of this statement to the last known address 
 14.5   of the individual whose record is disclosed. 
 14.6      (f) Each agency maintaining personal records shall take 
 14.7   reasonable steps to provide statements of disagreement and 
 14.8   corrections or amendments to all persons and agencies that have 
 14.9   provided or received information concerning the disputed 
 14.10  portions of the record within the preceding three years. 
 14.11     Sec. 8.  [13C.3-108] [COLLECTION AND MAINTENANCE OF 
 14.12  INFORMATION.] 
 14.13     (a) Each agency that collects, receives, or maintains 
 14.14  personal records shall: 
 14.15     (1) collect or maintain only information about individuals 
 14.16  necessary to accomplish its purposes as authorized by federal 
 14.17  law or executive order, state statute or executive order, or 
 14.18  local ordinance or resolution; 
 14.19     (2) maintain a record of all disclosures of individually 
 14.20  identifiable records to recipients outside the agency during the 
 14.21  preceding three years, including the identity of each recipient 
 14.22  and the date of each disclosure, but an agency is not required 
 14.23  to maintain an accounting of disclosures made pursuant to 
 14.24  sections 13C.3-101(1) to (4) and 13C.3-103(a)(2), (5), and (7); 
 14.25     (3) collect information, whenever practicable, directly 
 14.26  from the individual to whom the information pertains; 
 14.27     (4) inform each individual from whom information is 
 14.28  requested: 
 14.29     (i) of the principal purposes for which the agency intends 
 14.30  to use the information, 
 14.31     (ii) of the consequences to the individual of not providing 
 14.32  the information, and 
 14.33     (iii) whether the information collected and the identity of 
 14.34  the person providing it will be accessible to the individual to 
 14.35  whom the information pertains; 
 14.36     (5) collect and maintain all records used by the agency 
 15.1   with the accuracy, completeness, timeliness, and relevance 
 15.2   reasonably necessary to assure fairness in agency action 
 15.3   affecting the individual to whom they pertain; and 
 15.4      (6) establish reasonable safeguards to assure the 
 15.5   integrity, confidentiality, and security of individually 
 15.6   identifiable records. 
 15.7      (b) The requirements of subsection (a)(5) do not apply to 
 15.8   an agency or component thereof whose principal function is 
 15.9   criminal law enforcement if the agency clearly identifies 
 15.10  potentially inaccurate, untimely, incomplete, or irrelevant 
 15.11  information to the users and recipients of information. 
 15.12     Sec. 9.  [13C.3-109] [DISCLOSURE OF INDIVIDUALLY 
 15.13  IDENTIFIABLE RECORDS FOR RESEARCH PURPOSES; LIMITATIONS ON 
 15.14  REDISCLOSURE.] 
 15.15     (a) An agency may disclose or authorize disclosure of an 
 15.16  individually identifiable record for research purposes only if 
 15.17  the agency: 
 15.18     (1) determines that the research purpose cannot reasonably 
 15.19  be accomplished without use or disclosure of the information in 
 15.20  individually identifiable form and the additional risk to 
 15.21  individual privacy as a result of the disclosure will be 
 15.22  minimal; 
 15.23     (2) receives adequate assurances that the recipient will 
 15.24  establish the safeguards required by section 13C.3-108(a)(6) and 
 15.25  will remove or destroy the individual identifiers associated 
 15.26  with the records as soon as the purpose of the research project 
 15.27  has been accomplished; 
 15.28     (3) secures from the recipient of the records a written 
 15.29  statement of the recipient's understanding of an agreement to 
 15.30  the conditions of this subsection; and 
 15.31     (4) prohibits any subsequent use or disclosure of the 
 15.32  record in individually identifiable form without express 
 15.33  authorization of the agency or the individual to whom the record 
 15.34  pertains. 
 15.35     (b) A person or agency may use or disclose a research 
 15.36  record only if: 
 16.1      (1) the person or agency reasonably believes that use or 
 16.2   disclosure will prevent or minimize physical injury to an 
 16.3   individual and the disclosure is limited to information 
 16.4   necessary to protect the individual who has been or may be 
 16.5   injured; 
 16.6      (2) the record is disclosed in individually identifiable 
 16.7   form for the purpose of auditing or evaluating a research 
 16.8   program and: 
 16.9      (i) the audit or evaluation is expressly authorized by law, 
 16.10  and 
 16.11     (ii) no subsequent use or disclosure of the record in 
 16.12  individually identifiable form will be made by the auditor or 
 16.13  evaluator except as provided by this section; or 
 16.14     (3) the record is furnished in compliance with a search 
 16.15  warrant or subpoena as provided in section 13C.3-110(a). 
 16.16     Sec. 10.  [13C.3-110] [RESEARCH RECORDS; AMENABILITY TO 
 16.17  COMPULSORY PROCESS; RESEARCHER PRIVILEGE.] 
 16.18     (a) A court may issue a search warrant or subpoena 
 16.19  concerning a research record only if the purpose of the warrant 
 16.20  or subpoena is to assist inquiry into an alleged violation of 
 16.21  law by a person using the record for a research purpose or by a 
 16.22  person or agency maintaining the record. 
 16.23     (b) Any research record obtained pursuant to subsection 
 16.24  (a), as well as any information directly or indirectly derived 
 16.25  from the record, may not be used as evidence in an 
 16.26  administrative, judicial, or legislative proceeding except in a 
 16.27  proceeding against the person using the record for a research 
 16.28  purpose or a person or agency maintaining the record. 
 16.29     Sec. 11.  [13C.3-111] [GOVERNMENT CONTRACTORS AND GRANT 
 16.30  RECIPIENTS.] 
 16.31     (a) Any contractor, grant recipient, or subcontractor of 
 16.32  either, who performs any function of an agency that requires the 
 16.33  contractor or grant recipient to maintain individually 
 16.34  identifiable records is subject to sections 13C.3-101 and 
 16.35  13C.3-102 with respect to those records. 
 16.36     (b) The agency with which the contract or grant is 
 17.1   established is responsible for assuring compliance with the 
 17.2   provisions of this article. 
 17.3      (c) For purposes of the civil remedies of section 
 17.4   13C.3-112, a contractor or grant recipient is a separate agency 
 17.5   and in that capacity is subject to injunctive or other relief, 
 17.6   and is liable for damages, attorney's fees, and all other 
 17.7   expenses reasonably incurred in the litigation. 
 17.8      (d) An official or employee of an agency may not obligate 
 17.9   the agency to indemnify a contractor, grant recipient, or 
 17.10  subcontractor of either, for losses suffered as a result of its 
 17.11  liabilities under section 13C.3-112. 
 17.12     Sec. 12.  [13C.3-112] [CIVIL REMEDIES.] 
 17.13     (a) Any individual aggrieved by a violation of sections 
 17.14  13C.3-101 to 13C.3-111 with respect to his personal records may 
 17.15  bring an action for relief as provided in this section. 
 17.16     (b) In an action brought under this section, the court 
 17.17  shall hear the matter de novo, may order the agency to comply 
 17.18  with sections 13C.3-101 to 13C.3-116 and to cease the unlawful 
 17.19  practice or procedure, and may provide any other appropriate 
 17.20  relief. 
 17.21     (c) In any action brought under this section alleging an 
 17.22  agency's refusal to comply, in whole or in part, with a request 
 17.23  for access under section 13C.3-105, the court shall hear the 
 17.24  matter de novo, may order the agency to disclose the records or 
 17.25  account for the uses and disclosures thereof, and may order the 
 17.26  production of any agency records or other information withheld 
 17.27  from the requester.  The court may examine the contents of any 
 17.28  agency records in camera to determine whether the records or any 
 17.29  portion thereof may be withheld under section 13C.3-106.  The 
 17.30  burden of proof is on the agency to establish the 
 17.31  nondisclosability of a record. 
 17.32     (d) In any action brought under this section in which the 
 17.33  court determines that the agency has violated any provision of 
 17.34  sections 13C.3-101 to 13C.3-111, the claimant is entitled to 
 17.35  recover from the agency damages sustained as a result of the 
 17.36  violation; but the claimant may not recover more than $10,000 
 18.1   exclusive of any pecuniary loss.  An officer or employee of an 
 18.2   agency is not personally liable to the claimant for damages 
 18.3   sustained as a result of a violation of sections 13C.3-101 to 
 18.4   13C.3-116. 
 18.5      (e) An agency is entitled to indemnification from an 
 18.6   employee or officer of the agency who: 
 18.7      (1) willfully discloses or provides a copy of an 
 18.8   individually identifiable record to any person or agency not 
 18.9   entitled to receive it; and 
 18.10     (2) has knowledge that disclosure is prohibited. 
 18.11     (f) If an individual substantially prevails in any action 
 18.12  brought under this section, the court may assess against the 
 18.13  agency reasonable attorney's fees and all other expenses 
 18.14  reasonably incurred in the litigation. 
 18.15     (g) If an agency fails to comply with the time limits of 
 18.16  sections 13C.3-105 and 13C.3-107, the requester may bring an 
 18.17  action pursuant to this section. 
 18.18     Sec. 13.  [13C.3-113] [DISCIPLINARY ACTION.] 
 18.19     Any agency shall take disciplinary action, which may 
 18.20  include suspension or discharge, against any officer or employee 
 18.21  of the agency who knowingly and willfully violates any provision 
 18.22  of sections 13C.3-101 to 13C.3-116.  Any other violation of 
 18.23  sections 13C.3-101 to 13C.3-116 is cause for disciplinary action.
 18.24     Sec. 14.  [13C.3-114] [CRIMINAL PENALTIES.] 
 18.25     (a) An officer or employee of an agency or authorized 
 18.26  recipient of records under section 13C.3-109(a) who willfully 
 18.27  discloses or provides a copy of an individually identifiable 
 18.28  record to any person or agency, with knowledge that disclosure 
 18.29  is prohibited, is guilty of a misdemeanor. 
 18.30     (b) A person who, by false pretenses, bribery or theft, 
 18.31  gains access to or obtains a copy of an individually 
 18.32  identifiable record whose disclosure is prohibited to him is 
 18.33  guilty of a misdemeanor. 
 18.34     Sec. 15.  [13C.3-115] [AGENCY IMPLEMENTATION.] 
 18.35     Each agency shall: 
 18.36     (1) issue instructions and guidelines necessary to 
 19.1   effectuate sections 13C.3-101 to 13C.3-116; and 
 19.2      (2) take steps to assure that all its employees and 
 19.3   officers responsible for the collection, maintenance, use, and 
 19.4   dissemination of personal records are informed of the 
 19.5   requirements of sections 13C.3-101 to 13C.3-116 and the 
 19.6   requirements and procedures adopted by the agency pursuant to 
 19.7   sections 13C.3-101 to 13C.3-116. 
 19.8      Sec. 16.  [13C.3-116] [REPORT OF RECORD KEEPING POLICIES 
 19.9   AND PRACTICES.] 
 19.10     (a) Each agency shall compile a report each year describing 
 19.11  the personal records it maintains.  The report must be made 
 19.12  available to the office of information practices upon request. 
 19.13  The report must include: 
 19.14     (1) the name and location of each set of records; 
 19.15     (2) the authority under which the records are maintained; 
 19.16     (3) the categories of individuals concerning whom records 
 19.17  are maintained; 
 19.18     (4) the categories of information or data maintained in the 
 19.19  records; 
 19.20     (5) the categories of sources of information in the 
 19.21  records; 
 19.22     (6) the categories of uses and disclosures made of the 
 19.23  records; 
 19.24     (7) the agencies and categories of persons outside of the 
 19.25  agency which routinely use the records; 
 19.26     (8) the individually identifiable records routinely used by 
 19.27  the agency which are maintained by: 
 19.28     (i) another agency, or 
 19.29     (ii) a person other than an agency; 
 19.30     (9) the policies and practices of the agency regarding 
 19.31  storage, retrievability, access controls, retention, and 
 19.32  disposal of the information maintained in records; 
 19.33     (10) the title, business address, and business telephone 
 19.34  number of the agency officer responsible for the records; 
 19.35     (11) the agency procedures whereby an individual can 
 19.36  request access to personal records; and 
 20.1      (12) after the first year of operation under sections 
 20.2   13C.3-101 to 13C.3-116, the number of written requests for 
 20.3   access within the preceding year, the number denied, the number 
 20.4   of lawsuits initiated against the agency under sections 
 20.5   13C.3-101 to 13C.3-116, and the number of suits in which access 
 20.6   was granted. 
 20.7      (b) The agency shall make the reports available for public 
 20.8   inspection. 
 20.9                              ARTICLE 4 
 20.10                  OFFICE OF INFORMATION PRACTICES 
 20.11     Section 1.  [13C.4-101] [ORGANIZATION; APPOINTMENT OF 
 20.12  DIRECTOR.] 
 20.13     (a) The office of information practices is created. 
 20.14     (b) The governor shall appoint with the advice and consent 
 20.15  of the senate a director of the office of information practices 
 20.16  who is its chief executive officer. 
 20.17     (c) All powers and duties of the office of information 
 20.18  practices are vested in the director. 
 20.19     (d) The director may delegate any of his powers and duties 
 20.20  to any other officer or employee of the office. 
 20.21     Sec. 2.  [13C.4-102] [POWERS AND DUTIES OF THE OFFICE OF 
 20.22  INFORMATION PRACTICES.] 
 20.23     (a) With respect to sections 13C.2-101 to 13C.2-105, the 
 20.24  office of information practices: 
 20.25     (1) upon request by an agency, shall provide advisory 
 20.26  guidelines, opinions, or other information concerning that 
 20.27  agency's functions and responsibilities; 
 20.28     (2) upon request by any person, may provide advisory 
 20.29  opinions or other information regarding that person's rights and 
 20.30  the functions and responsibilities of agencies; 
 20.31     (3) may conduct inquiries regarding compliance by an agency 
 20.32  and investigate possible violations by any officer or employee 
 20.33  of any agency; 
 20.34     (4) may examine the records of any agency for the purpose 
 20.35  of clause (3) and seek to enforce that power in the courts of 
 20.36  this state; 
 21.1      (5) may recommend disciplinary action to appropriate 
 21.2   officers of an agency; 
 21.3      (6) shall report annually to the governor and the 
 21.4   legislature on the activities and findings of the office, 
 21.5   including recommendations for legislative changes; and 
 21.6      (7) shall receive complaints from and actively solicit the 
 21.7   comments of the public regarding the implementation of sections 
 21.8   13C.2-101 to 13C.2-105. 
 21.9      (b) With respect to sections 13C.3-101 to 13C.3-116, the 
 21.10  office of information practices: 
 21.11     (1) shall review the official acts, records, policies, and 
 21.12  procedures of the officer designated for each agency pursuant to 
 21.13  section 13C.3-116(10); 
 21.14     (2) shall assist agencies in complying; 
 21.15     (3) upon request by an agency, shall provide a binding 
 21.16  ruling concerning any question arising under sections 13C.3-101 
 21.17  to 13C.3-116; 
 21.18     (4) upon request by any person, may provide advisory 
 21.19  opinions or other information regarding that person's rights and 
 21.20  the functions and responsibilities of agencies; 
 21.21     (5) may conduct inquiries regarding agency compliance by an 
 21.22  agency and investigate possible violations by any officer, 
 21.23  employee, contractor, grant recipient, subcontractor, or agent 
 21.24  of any agency; 
 21.25     (6) may examine the records of any agency for the purposes 
 21.26  of clause (5) and seek to enforce that power in the courts of 
 21.27  this state; 
 21.28     (7) may recommend disciplinary action or criminal 
 21.29  prosecution to the appropriate officers of an agency; 
 21.30     (8) shall receive complaints from and actively solicit the 
 21.31  comments of the public regarding the effectuation of sections 
 21.32  13C.3-101 to 13C.3-116; 
 21.33     (9) report annually to the governor and the legislature 
 21.34  summarizing the expressed complaints, comments, and concerns; 
 21.35     (10) may conduct any other investigations and prepare and 
 21.36  publish any other reports and recommendations necessary or 
 22.1   desirable to protect an individual's right of privacy; and 
 22.2      (11) shall inform the public of the following rights of an 
 22.3   individual and the procedures for exercising them: 
 22.4      (i) the right of access to records pertaining to him; 
 22.5      (ii) the right to obtain a copy of records pertaining to 
 22.6   him; 
 22.7      (iii) the right to know the purposes for which records 
 22.8   pertaining to him are kept; 
 22.9      (iv) the right to be informed of the uses and disclosures 
 22.10  of records pertaining to him; 
 22.11     (v) the right to correct or amend records pertaining to 
 22.12  him; and 
 22.13     (vi) the right to place a statement in a record pertaining 
 22.14  to him. 
 22.15     (c) The officer may bring an action against another agency, 
 22.16  other than for damages, to enforce the provisions of this code. 
 22.17                             ARTICLE 5 
 22.18                             EXEMPTIONS 
 22.19     Section 1.  [13C.5-101] [GRANT OF EXEMPTION.] 
 22.20     (a) Pursuant to the administrative rulemaking procedures of 
 22.21  this state, the office of information practices may adopt rules 
 22.22  under which it may exempt an agency from compliance with this 
 22.23  code. 
 22.24     (b) An exemption may be granted to an agency only if the 
 22.25  office of information practices determines that the benefit to 
 22.26  the agency from the exemption outweighs the public interest in 
 22.27  full compliance with this code. 
 22.28     (c) In determining whether to grant an exemption, the 
 22.29  office of information practices shall consider, among other 
 22.30  relevant factors: 
 22.31     (1) the number and type of government records that would be 
 22.32  affected by the exemption; 
 22.33     (2) the probable number of requests for disclosure of 
 22.34  government records to be received in a year by the agency 
 22.35  requesting exemption; and 
 22.36     (3) the likelihood of an abuse of freedom of information or 
 23.1   privacy interests that may result from the grant of the 
 23.2   exemption. 
 23.3      (d) A grant of an exemption will relieve an agency from the 
 23.4   duty to comply with: 
 23.5      (1) section 13C.2-102(c) to the extent that it requires the 
 23.6   agency to provide access to facilities for duplication; 
 23.7      (2) section 13C.2-102(f) but the agency shall notify the 
 23.8   requester in writing the reasons for its determination; and 
 23.9      (3) sections 13C.3-115 and 13C.3-116. 
 23.10     (e) Exemptions granted under this section must be general. 
 23.11  Each exempt classification must be established on reasonable 
 23.12  terms and must reasonably identify the agencies entitled to 
 23.13  exemption.  All agencies falling within a classification 
 23.14  established for exemption are entitled to the exemption. 
 23.15     (f) An exemption must set forth the grounds upon which it 
 23.16  is based. 
 23.17     (g) This section shall be strictly construed and an 
 23.18  exemption may be granted only in a situation in which it is 
 23.19  found impractical to require compliance. 
 23.20                             ARTICLE 6 
 23.21                 DIRECTOR INSTRUCTION AND REPEALER 
 23.22     Section 1.  [INSTRUCTIONS TO DIRECTOR OF THE OFFICE OF 
 23.23  INFORMATION PRACTICES.] 
 23.24     On or before January 1, 1996, the director of the office of 
 23.25  information practices shall present to the chairs of the 
 23.26  committees on the judiciary in the house and senate a report 
 23.27  summarizing statutes inconsistent with the code.  The report 
 23.28  shall be in the form of a bill and identify and amend (a) 
 23.29  cross-references and (b) statutes which require amendment in 
 23.30  order to implement the purpose of the code. 
 23.31     Sec. 2.  [REPEALER.] 
 23.32     Minnesota Statutes 1994, sections 13.01; 13.02; 13.03; 
 23.33  13.04; 13.05; 13.06; 13.07; 13.072; 13.08; 13.09; 13.10; 13.30; 
 23.34  13.31; 13.32; 13.33; 13.34; 13.35; 13.36; 13.37; 13.38; 13.39; 
 23.35  13.40; 13.41; 13.42; 13.43; 13.44; 13.45; 13.46; 13.47; 13.48; 
 23.36  13.49; 13.50; 13.51; 13.511; 13.52; 13.521; 13.528; 13.53; 
 24.1   13.531; 13.54; 13.55; 13.551; 13.552; 13.56; 13.57; 13.59; 
 24.2   13.60; 13.61; 13.62; 13.63; 13.64; 13.642; 13.643; 13.645; 
 24.3   13.65; 13.66; 13.67; 13.671; 13.68; 13.69; 13.691; 13.692; 
 24.4   13.71; 13.72; 13.74; 13.75; 13.76; 13.761; 13.77; 13.771; 13.78; 
 24.5   13.79; 13.791; 13.792; 13.793; 13.794; 13.80; 13.82; 13.83; 
 24.6   13.84; 13.85; 13.86; 13.861; 13.87; 13.88; 13.89; 13.90; and 
 24.7   13.99, are repealed. 
 24.8      Sec. 3.  [EFFECTIVE DATE.] 
 24.9      Article 4 and article 6, section 1, take effect the day 
 24.10  after final enactment.  The other provisions of this act take 
 24.11  effect July 1, 1996.