[Title 28 CFR 23]
[Code of Federal Regulations (annual edition) - July 1, 2009 Edition]
[Title 28 - JUDICIAL ADMINISTRATION]
[Chapter I - DEPARTMENT OF JUSTICE]
[Part 23 - CRIMINAL INTELLIGENCE SYSTEMS OPERATING POLICIES]
[From the U.S. Government Printing Office]
28JUDICIAL ADMINISTRATION12009-07-012009-07-01falseCRIMINAL INTELLIGENCE SYSTEMS OPERATING POLICIES23PART 23JUDICIAL ADMINISTRATIONDEPARTMENT OF JUSTICE
PART 23_CRIMINAL INTELLIGENCE SYSTEMS OPERATING POLICIES--Table of Contents
23.20 Operating principles.
23.30 Funding guidelines.
23.40 Monitoring and auditing of grants for the funding of intelligence
Authority: 42 U.S.C. 3782(a); 42 U.S.C. 3789g(c).
Source: 58 FR 48452, Sept. 16, 1993, unless otherwise noted.
Sec. 23.1 Purpose.
The purpose of this regulation is to assure that all criminal
intelligence systems operating through support under the Omnibus Crime
Control and Safe Streets Act of 1968, 42 U.S.C. 3711, et seq., as
amended (Pub. L. 90-351, as amended by Pub. L. 91-644, Pub. L. 93-83,
Pub. L. 93-415, Pub. L. 94-430, Pub. L. 94-503, Pub. L. 95-115, Pub. L.
96-157, Pub. L. 98-473, Pub. L. 99-570, Pub. L. 100-690, and Pub. L.
101-647), are utilized in conformance with the privacy and
constitutional rights of individuals.
Sec. 23.2 Background.
It is recognized that certain criminal activities including but not
limited to loan sharking, drug trafficking, trafficking in stolen
property, gambling, extortion, smuggling, bribery, and corruption of
public officials often involve some degree of regular coordination and
permanent organization involving a large number of participants over a
broad geographical area. The exposure of such ongoing networks of
criminal activity can be aided by the pooling of information about such
activities. However, because the collection and exchange of intelligence
data necessary to support control of serious criminal activity may
represent potential threats to the privacy of individuals to whom such
data relates, policy guidelines for Federally funded projects are
Sec. 23.3 Applicability.
(a) These policy standards are applicable to all criminal
intelligence systems operating through support under
the Omnibus Crime Control and Safe Streets Act of 1968, 42 U.S.C. 3711,
et seq., as amended (Pub. L. 90-351, as amended by Pub. L. 91-644, Pub.
L. 93-83, Pub. L. 93-415, Pub. L. 94-430, Pub. L. 94-503, Pub. L. 95-
115, Pub. L. 96-157, Pub. L. 98-473, Pub. L. 99-570, Pub. L. 100-690,
and Pub. L. 101-647).
(b) As used in these policies:
(1) Criminal Intelligence System or Intelligence System means the
arrangements, equipment, facilities, and procedures used for the
receipt, storage, interagency exchange or dissemination, and analysis of
criminal intelligence information;
(2) Interjurisdictional Intelligence System means an intelligence
system which involves two or more participating agencies representing
different governmental units or jurisdictions;
(3) Criminal Intelligence Information means data which has been
evaluated to determine that it:
(i) Is relevant to the identification of and the criminal activity
engaged in by an individual who or organization which is reasonably
suspected of involvement in criminal activity, and
(ii) Meets criminal intelligence system submission criteria;
(4) Participating Agency means an agency of local, county, State,
Federal, or other governmental unit which exercises law enforcement or
criminal investigation authority and which is authorized to submit and
receive criminal intelligence information through an interjurisdictional
intelligence system. A participating agency may be a member or a
nonmember of an interjurisdictional intelligence system;
(5) Intelligence Project or Project means the organizational unit
which operates an intelligence system on behalf of and for the benefit
of a single agency or the organization which operates an
interjurisdictional intelligence system on behalf of a group of
participating agencies; and
(6) Validation of Information means the procedures governing the
periodic review of criminal intelligence information to assure its
continuing compliance with system submission criteria established by
regulation or program policy.
Sec. 23.20 Operating principles.
(a) A project shall collect and maintain criminal intelligence
information concerning an individual only if there is reasonable
suspicion that the individual is involved in criminal conduct or
activity and the information is relevant to that criminal conduct or
(b) A project shall not collect or maintain criminal intelligence
information about the political, religious or social views,
associations, or activities of any individual or any group, association,
corporation, business, partnership, or other organization unless such
information directly relates to criminal conduct or activity and there
is reasonable suspicion that the subject of the information is or may be
involved in criminal conduct or activity.
(c) Reasonable Suspicion or Criminal Predicate is established when
information exists which establishes sufficient facts to give a trained
law enforcement or criminal investigative agency officer, investigator,
or employee a basis to believe that there is a reasonable possibility
that an individual or organization is involved in a definable criminal
activity or enterprise. In an interjurisdictional intelligence system,
the project is responsible for establishing the existence of reasonable
suspicion of criminal activity either through examination of supporting
information submitted by a participating agency or by delegation of this
responsibility to a properly trained participating agency which is
subject to routine inspection and audit procedures established by the
(d) A project shall not include in any criminal intelligence system
information which has been obtained in violation of any applicable
Federal, State, or local law or ordinance. In an interjurisdictional
intelligence system, the project is responsible for establishing that no
information is entered in violation of Federal, State, or local laws,
either through examination of supporting information submitted by a
participating agency or by delegation of this responsibility to a
properly trained participating agency which is subject to routine
inspection and audit procedures established by the project.
(e) A project or authorized recipient shall disseminate criminal
intelligence information only where there is a need to know and a right
to know the information in the performance of a law enforcement
(f)(1) Except as noted in paragraph (f)(2) of this section, a
project shall disseminate criminal intelligence information only to law
enforcement authorities who shall agree to follow procedures regarding
information receipt, maintenance, security, and dissemination which are
consistent with these principles.
(2) Paragraph (f)(1) of this section shall not limit the
dissemination of an assessment of criminal intelligence information to a
government official or to any other individual, when necessary, to avoid
imminent danger to life or property.
(g) A project maintaining criminal intelligence information shall
ensure that administrative, technical, and physical safeguards
(including audit trails) are adopted to insure against unauthorized
access and against intentional or unintentional damage. A record
indicating who has been given information, the reason for release of the
information, and the date of each dissemination outside the project
shall be kept. Information shall be labeled to indicate levels of
sensitivity, levels of confidence, and the identity of submitting
agencies and control officials. Each project must establish written
definitions for the need to know and right to know standards for
dissemination to other agencies as provided in paragraph (e) of this
section. The project is responsible for establishing the existence of an
inquirer's need to know and right to know the information being
requested either through inquiry or by delegation of this responsibility
to a properly trained participating agency which is subject to routine
inspection and audit procedures established by the project. Each
intelligence project shall assure that the following security
requirements are implemented:
(1) Where appropriate, projects must adopt effective and
technologically advanced computer software and hardware designs to
prevent unauthorized access to the information contained in the system;
(2) The project must restrict access to its facilities, operating
environment and documentation to organizations and personnel authorized
by the project;
(3) The project must store information in the system in a manner
such that it cannot be modified, destroyed, accessed, or purged without
(4) The project must institute procedures to protect criminal
intelligence information from unauthorized access, theft, sabotage,
fire, flood, or other natural or manmade disaster;
(5) The project must promulgate rules and regulations based on good
cause for implementing its authority to screen, reject for employment,
transfer, or remove personnel authorized to have direct access to the
(6) A project may authorize and utilize remote (off-premises) system
data bases to the extent that they comply with these security
(h) All projects shall adopt procedures to assure that all
information which is retained by a project has relevancy and importance.
Such procedures shall provide for the periodic review of information and
the destruction of any information which is misleading, obsolete or
otherwise unreliable and shall require that any recipient agencies be
advised of such changes which involve errors or corrections. All
information retained as a result of this review must reflect the name of
the reviewer, date of review and explanation of decision to retain.
Information retained in the system must be reviewed and validated for
continuing compliance with system submission criteria before the
expiration of its retention period, which in no event shall be longer
than five (5) years.
(i) If funds awarded under the Act are used to support the operation
of an intelligence system, then:
(1) No project shall make direct remote terminal access to
intelligence information available to system participants, except as
specifically approved by the Office of Justice Programs (OJP) based on a
determination that the system has adequate policies
and procedures in place to insure that it is accessible only to
authorized systems users; and
(2) A project shall undertake no major modifications to system
design without prior grantor agency approval.
(j) A project shall notify the grantor agency prior to initiation of
formal information exchange procedures with any Federal, State,
regional, or other information systems not indicated in the grant
documents as initially approved at time of award.
(k) A project shall make assurances that there will be no purchase
or use in the course of the project of any electronic, mechanical, or
other device for surveillance purposes that is in violation of the
provisions of the Electronic Communications Privacy Act of 1986, Public
Law 99-508, 18 U.S.C. 2510-2520, 2701-2709 and 3121-3125, or any
applicable State statute related to wiretapping and surveillance.
(l) A project shall make assurances that there will be no harassment
or interference with any lawful political activities as part of the
(m) A project shall adopt sanctions for unauthorized access,
utilization, or disclosure of information contained in the system.
(n) A participating agency of an interjurisdictional intelligence
system must maintain in its agency files information which documents
each submission to the system and supports compliance with project entry
criteria. Participating agency files supporting system submissions must
be made available for reasonable audit and inspection by project
representatives. Project representatives will conduct participating
agency inspection and audit in such a manner so as to protect the
confidentiality and sensitivity of participating agency intelligence
(o) The Attorney General or designee may waive, in whole or in part,
the applicability of a particular requirement or requirements contained
in this part with respect to a criminal intelligence system, or for a
class of submitters or users of such system, upon a clear and convincing
showing that such waiver would enhance the collection, maintenance or
dissemination of information in the criminal intelligence system, while
ensuring that such system would not be utilized in violation of the
privacy and constitutional rights of individuals or any applicable state
or federal law.
Sec. 23.30 Funding guidelines.
The following funding guidelines shall apply to all Crime Control
Act funded discretionary assistance awards and Bureau of Justice
Assistance (BJA) formula grant program subgrants, a purpose of which is
to support the operation of an intelligence system. Intelligence systems
shall only be funded where a grantee/subgrantee agrees to adhere to the
principles set forth above and the project meets the following criteria:
(a) The proposed collection and exchange of criminal intelligence
information has been coordinated with and will support ongoing or
proposed investigatory or prosecutorial activities relating to specific
areas of criminal activity.
(b) The areas of criminal activity for which intelligence
information is to be utilized represent a significant and recognized
threat to the population and:
(1) Are either undertaken for the purpose of seeking illegal power
or profits or pose a threat to the life and property of citizens; and
(2) Involve a significant degree of permanent criminal organization;
(3) Are not limited to one jurisdiction.
(c) The head of a government agency or an individual with general
policy making authority who has been expressly delegated such control
and supervision by the head of the agency will retain control and
supervision of information collection and dissemination for the criminal
intelligence system. This official shall certify in writing that he or
she takes full responsibility and will be accountable for the
information maintained by and disseminated from the system and that the
operation of the system will be in compliance with the principles set
forth in Sec. 23.20.
(d)(1) Where the system is an interjurisdictional criminal
intelligence system, the governmental agency
which exercises control and supervision over the operation of the system
shall require that the head of that agency or an individual with general
policymaking authority who has been expressly delegated such control and
supervision by the head of the agency:
(i) Assume official responsibility and accountability for actions
taken in the name of the joint entity, and
(ii) Certify in writing that the official takes full responsibility
and will be accountable for insuring that the information transmitted to
the interjurisdictional system or to participating agencies will be in
compliance with the principles set forth in Sec. 23.20.
(2) The principles set forth in Sec. 23.20 shall be made part of
the by-laws or operating procedures for that system. Each participating
agency, as a condition of participation, must accept in writing those
principles which govern the submission, maintenance and dissemination of
information included as part of the interjurisdictional system.
(e) Intelligence information will be collected, maintained and
disseminated primarily for State and local law enforcement efforts,
including efforts involving Federal participation.
Sec. 23.40 Monitoring and auditing of grants for the funding of
(a) Awards for the funding of intelligence systems will receive
specialized monitoring and audit in accordance with a plan designed to
insure compliance with operating principles as set forth in Sec. 23.20.
The plan shall be approved prior to award of funds.
(b) All such awards shall be subject to a special condition
requiring compliance with the principles set forth in Sec. 23.20.
(c) An annual notice will be published by OJP which will indicate
the existence and the objective of all systems for the continuing
interjurisdictional exchange of criminal intelligence information which
are subject to the 28 CFR part 23 Criminal Intelligence Systems