[Federal Register Volume 62, Number 73 (Wednesday, April 16, 1997)]
[Notices]
[Pages 18590-18594]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-9736]


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DEPARTMENT OF DEFENSE

Department of the Navy


Privacy Act of 1974; System of Records

AGENCY: Department of the Navy, DOD.
ACTION: Amend record systems.

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SUMMARY: The Department of the Navy proposes to alter a system of 
records notice in its inventory of record systems subject to the 
Privacy Act of 1974 (5 U.S.C. 552a), as amended.
DATES: The alteration will be effective on May 16, 1997, unless 
comments are received that would result in a contrary determination.
ADDRESSES: Send comments to the Department of the Navy, PA/FOIA Policy 
Branch, Chief of Naval Operations (N09B30), 2000 Navy Pentagon, 
Washington, DC 20350092000.
FOR FURTHER INFORMATION CONTACT: Mrs. Doris Lama at (202) 685096545 or 
DSN 325096545.
SUPPLEMENTARY INFORMATION: The Department of the Navy's record system 
notices for records systems subject to the Privacy Act of 1974 (5 
U.S.C. 552a), as amended, have been published in the Federal Register 
and are available from the address above.
    The proposed altered system report, as required by 5 U.S.C. 552a(r) 
of the Privacy Act was submitted on April 3, 1997, to the House 
Committee on Government Reform and Oversight, the Senate Committee on 
Governmental Affairs, and the Office of Management and Budget (OMB) 
pursuant to paragraph 4c of Appendix I to OMB Circular No. A09130, 
`Federal Agency Responsibilities for Maintaining Records About 
Individuals,' dated February 8, 1996, (61 FR 6427, February 20, 1996).
    Dated: April 10, 1997.

L. M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
N05520095

System name:
    Navy Joint Adjudication and Clearance System (NJACS) (February 22, 
1993, 58 FR 10764).

Changes:
* * * * *

System name:
    Delete entry and replace with `Personnel Security Program 
Management Records System.'

System location:
    Delete entry and replace with `Department of the Navy Central 
Adjudication Facility, Washington Navy Yard, Building 176, Room 308, 
Washington, DC 20388-5389.
    System computer facility: Defense Investigative Service, Personnel 
Investigations Center, 911 Eldridge Landing Road, Linthicum, MD 
21090092902.
    Record documentation: Naval Criminal Investigative Service (NCIS), 
Washington Navy Yard, Building 111, Records Management Division, 901 M 
Street, SE, Washington, DC 20388-5380.
    Decentralized segments: The security office of command to which the 
individual is assigned; Headquarters, Naval Security Group Command, 
9800 Savage Road, Fort George G. Meade, MD 20755-6585; Office of Naval 
Intelligence, National Maritime Intelligence Center, ATTN: ONI-OCB3, 
4251 Suitland Road, Washington, DC 20395095720; and, Headquarters, 
Naval Criminal Investigative Service, Washington Navy Yard, Building 
111, 901 M Street, SE, Washington, DC 20388-5380.
    Additionally, duplicate portions of records may be held by the 
Chief of Naval Personnel (Pers-81), Washington, DC 20370-5000, Office 
of Civilian Personnel Management, 800 N. Quincy Street, Arlington, VA 
22203-1998; Naval Reserve Personnel Center, New Orleans, LA 
70149097800; Headquarters, U.S. Marine Corps (Code MIF), 2 Navy Annex, 
Washington, DC 20380-0001; and, the security office at the local 
activity to which the individual is assigned. Official mailing 
addresses are published as an appendix to the Navy's compilation of 
system of record notices.'

Categories of individuals covered by the system:
    Delete entry and replace with `All Department of the Navy military 
personnel and civilian employees and certain `affiliated employees' 
whose duties require a DON security clearance or assignment to 
sensitive positions and aliens being processed for access to National 
Security information. Also included are DON adjudicative actions for 
all U.S. Coast Guard (USCG) military personnel whose duties require a 
USCG security clearance and those USCG

[[Page 18591]]

civilian employees having access to sensitive compartmented information 
only. Individuals adjudicated as a result of interservice and 
interagency support agreements. `Affiliated employees' include 
contractors, consultants, nonappropriated fund employees, USO personnel 
and Red-Cross volunteers and staff.'

Categories of records in the system:
    Delete entry and replace with `Navy Joint Adjudicative and 
Clearance System (NJACS), the automated portion of this system, 
contains records that include an individual's name, Social Security 
Number, date and place of birth, citizenship status and the unit 
identification code (UIC) of the individual's assignment. Other data 
elements track the individual's status in the clearance adjudication 
process and records the final determination. Data files may also 
include duty-assignment designations and sensitivity levels, as well as 
specific access such as cryptographic information access or 
participation in the Personnel Reliability Program.
    The documentation system includes information pertaining to the 
investigation, inquiry, or its adjudication by clearance authority to 
include: (1) chronology of the investigation, inquiry, and/or 
adjudication; (2) all recommendations regarding future status of 
subject; (3) decisions of security/loyalty review boards and Defense 
Office of Hearings and Appeals (DOHA); (4) final actions/determinations 
made regarding subject; and (5) security clearance, access 
authorizations, or security determination; index tracings that contain 
aliases and names of subject as reflected in Defense Clearance and 
Investigations Index (DCII) under system notice V5-02; security 
termination; notification of denial, suspension, or revocation of 
clearance or access; classified nondisclosure agreements created from 
1987 to early 1992 and managed by DON CAF; and other documentation 
related to the adjudication decision.
    At local command security offices information includes tickler 
copies of requests for clearance and access; records of access, reports 
of disqualifying/derogatory information; records of clearance of 
individual personnel as well as accreditation of personnel for access 
to classified information requiring special access authorizations; 
nondisclosure agreements, associated briefings and debriefing 
statements; and other related records supporting the Personnel Security 
Program.'

Authority for maintenance of the system:
    Delete entry and replace with `5 U.S.C. 301, Departmental 
Regulations; 5 U.S.C. 7311; 10 U.S.C. 5013; and E.O. 9397 (SSN); E.O. 
10450, Security Requirements for Government Employees, in particular 
sections 2, 3, 4, 5, 6, 7, 8, 9, and 14; 12958, Classified National 
Security Information; 12968, Access to Classified Information; DoD 
Regulation 5200.2-R, Personnel Security Program Regulation; and OPNAV 
Instruction 5510.1H, Department of Navy Information and Personnel 
Security Program Regulation.'

Purpose(s):
    Delete entry and replace with `To provide a comprehensive system to 
manage information required to adjudicate and document the eligibility 
of DON military, civilian, and certain affiliated employees for access 
to classified information and assignment to sensitive positions. These 
records are also used to make determinations of suitability for 
promotion, employment, or assignments.'

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Add to the entry `To the White House to obtain approval of the 
President of the United States regarding certain military personnel 
officer actions as provided for in DoD Instruction 1320.4.
    To the Immigration and Naturalization Service for use in alien 
admission and naturalization inquiries for purposes of determining 
access to National Security information.'
* * * * *

Storage:
    Delete entry and replace with `Maintained on paper records in file 
folders, audio or audiovisual tapes, micro-imaging; CD-ROM; optical 
digital data disk; computers; magnetic tapes, disks, and drums; and 
computer output products.'
* * * * *

Safeguards:
    Delete entry and replace with `Buildings employ alarms, security 
guards, and/or rooms are security controlled areas accessible only to 
authorized persons. DON CAF primary system paper and microfilm records 
are maintained in General Service Administration approved security 
containers and/or are stored in security controlled areas accessible 
only to authorized persons. Locally generated paper security records 
and/or copies of investigative reports are stored in a vault, safe, or 
steel file cabinet having at least a lock bar and approved three-
position, dial type combination padlock, or in similarly protected 
containers or area. Electronically and optically stored records are 
maintained in 'fail-safe' system software with password protected 
access. Records are accessible only to authorized persons with a need-
to-know who are properly screened, cleared, and trained.
    Files transferred to NCIS Records Management Division for storage 
are monitored and stored on open shelves and filing cabinets located in 
secure areas accessible to only authorized personnel.'

Retention and disposal:
    Delete entry and replace with `Investigative/adjudicative records 
on non-DoD persons who are considered for affiliation with DoD are 
destroyed after 1 year if affiliation is not completed.
    Investigative/DON CAF adjudicative records of a routine nature are 
retained in the active file until final adjudicative decision is made; 
then retired to NCIS Records Management Division and retained for 15 
years after last action reflected in the file, except that files that 
contain significant derogatory information and/or resulted in adverse 
action(s) against the individual are destroyed after 25 years. 
Administrative papers not included in the case file are destroyed 1 
year after closure or when no longer needed, whichever is later. 
Records determined to be of historical value, of wide spread value or 
Congressional interest are permanent. They will be retained for 25 
years after the date of last action reflected in the file and then 
permanently transferred to the National Archives. Classified 
nondisclosure agreements if maintained separately from the individual's 
official personnel folder will be destroyed when 70 years old. If 
maintained in the individual's personnel folder, the disposition for 
the official personnel file applies. Locally stored case file paper or 
automated access records are destroyed when employee/service member is 
separated or departs the command, except for access determinations not 
recorded in official personnel folders. They are destroyed 2 years 
after the person departs the command. However, once affiliation is 
terminated, acquiring and adding material to the file is prohibited 
unless affiliation is renewed. The automated NJACS maintains records on 
persons as long as they continue to be employed by or affiliated with 
the DON. NJACS computer data records are purged two years after an 
individual terminates DON employment or affiliation. General and flag 
officer

[[Page 18592]]

data records are maintained until the individual's death. Destruction 
of records will be by shredding, burning, or pulping for paper records; 
burning for microform records and magnetic erasing for computerized 
records. Optical digital data and CD-ROM records are destroyed as 
required by NAVSO P0952390926, `Remanence Security Guidebook' of 
September 1993.'
* * * * *

Record source categories:
    Delete entry and replace with `Information in this system is 
generated by the cognizant security manager or other officials 
sponsoring the security clearance/sensitive assignment determination 
for the subject and from information provided by other sources, e.g., 
personnel security investigations, personal financial records, military 
service records and the subject.'
* * * * *
N05520095

System name:
    Personnel Security Program Management Records System.

System location:
    Department of the Navy Central Adjudication Facility, Washington 
Navy Yard, Building 176, Room 308, Washington, DC 20388-5389.
    System computer facility: Defense Investigative Service (DIS), 
Personnel Investigations Center, 911 Eldridge Landing Road, Linthicum, 
MD 21090-2902.
    Record documentation: Naval Criminal Investigative Service (NCIS), 
Washington Navy Yard, Building 111, Records Management Division, 901 M 
Street, SE, Washington, DC 20388-5380.
    Decentralized segments: The security office of command to which the 
individual is assigned; Headquarters, Naval Security Group Command, 
9800 Savage Road, Fort George G. Meade, MD 20755-6585; Office of Naval 
Intelligence, National Maritime Intelligence Center, ATTN: ONI-OCB3, 
4251 Suitland Road, Washington, DC 20395-5720; and, Headquarters, Naval 
Criminal Investigative Service, Washington Navy Yard, Building 111, 901 
M Street, SE, Washington, DC 20388-5380.
    Additionally, duplicate portions of records may be held by the 
Chief of Naval Personnel (Pers-81), Washington, DC 20370-5000, Office 
of Civilian Personnel Management, 800 N. Quincy Street, Arlington, VA 
22203-1998; Naval Reserve Personnel Center, New Orleans, LA 70149-7800; 
Headquarters, U.S. Marine Corps (Code MIF), 2 Navy Annex, Washington, 
DC 20380-0001; and, the security office at the local activity to which 
the individual is assigned. Official mailing addresses are published as 
an appendix to the Navy's compilation of system of record notices.

Categories of individuals covered by the system:
    All Department of the Navy military personnel and civilian 
employees and certain `affiliated employees' whose duties require a DON 
security clearance or assignment to sensitive positions and aliens 
being processed for access to National Security information. Also 
included are DON adjudicative actions for all U.S. Coast Guard (USCG) 
military personnel whose duties require a USCG security clearance and 
those USCG civilian employees having access to sensitive compartmented 
information only. Individuals adjudicated as a result of interservice 
and interagency support agreements. `Affiliated employees' include 
contractors, consultants, nonappropriated fund employees, USO personnel 
and Red-Cross volunteers and staff.

Categories of records in the system:
    Navy Joint Adjudicative and Clearance System (NJACS), the automated 
portion of this system, contains records that include an individual's 
name, Social Security Number, date and place of birth, citizenship 
status and the unit identification code (UIC) of the individual's 
assignment. Other data elements track the individual's status in the 
clearance adjudication process and records the final determination. 
Data files may also include duty-assignment designations and 
sensitivity levels, as well as specific access such as cryptographic 
information access or participation in the Personnel Reliability 
Program.
    The documentation system includes information pertaining to the 
investigation, inquiry, or its adjudication by clearance authority to 
include: (1) chronology of the investigation, inquiry, and/or 
adjudication; (2) all recommendations regarding future status of 
subject; (3) decisions of security/loyalty review boards and Defense 
Office of Hearings and Appeals (DOHA); (4) final actions/determinations 
made regarding subject; and (5) security clearance, access 
authorizations, or security determination; index tracings that contain 
aliases and names of subject as reflected in Defense Clearance and 
Investigations Index (DCII) under system notice V5-02; security 
termination; notification of denial, suspension, or revocation of 
clearance or access; classified nondisclosure agreements created from 
1987 to early 1992 and managed by DON CAF; and other documentation 
related to the adjudication decision.
    At local command security offices information includes tickler 
copies of requests for clearance and access; records of access, reports 
of disqualifying/derogatory information; records of clearance of 
individual personnel as well as accreditation of personnel for access 
to classified information requiring special access authorizations; 
nondisclosure agreements, associated briefings and debriefing 
statements; and other related records supporting the Personnel Security 
Program.

Authority for maintenance of the system:
    5 U.S.C. 301, Departmental Regulations; 5 U.S.C. 7311; 10 U.S.C. 
5013; and E.O. 9397 (SSN); E.O. 10450, Security Requirements for 
Government Employees, in particular sections 2, 3, 4, 5, 6, 7, 8, 9, 
and 14; 12958, Classified National Security Information; 12968, Access 
to Classified Information; DoD Regulation 5200.2-R, Personnel Security 
Program Regulation; and OPNAV Instruction 5510.1H, Department of Navy 
Information and Personnel Security Program Regulation.

Purpose(s):
    To provide a comprehensive system to manage information required to 
adjudicate and document the eligibility of DON military, civilian, and 
certain affiliated employees for access to classified information and 
assignment to sensitive positions. These records are also used to make 
determinations of suitability for promotion, employment, or 
assignments.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, these records or information contained 
therein may specifically be disclosed outside the DoD as a routine use 
pursuant to 5 U.S.C. 552a(b)(3) as follows:
    To the White House to obtain approval of the President of the 
United States regarding certain military personnel officer actions as 
provided for in DoD Instruction 1320.4.
    To the Immigration and Naturalization Service for use in alien 
admission and naturalization inquiries for purposes of determining 
access to National Security information.
    The `Blanket Routine Uses' that appear at the beginning of the 
Navy's

[[Page 18593]]

compilation of systems notices apply to this system.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Maintained on paper records in file folders, audio or audiovisual 
tapes, micro-imaging; CD-ROM; optical digital data disk; computers; 
magnetic tapes, disks, and drums; and computer output products.

Retrievability:
    By name, dossier number, Social Security Number, and date and place 
of birth.

Safeguards:
    Buildings employ alarms, security guards, and/or rooms are security 
controlled areas accessible only to authorized persons. DON CAF primary 
system paper and microfilm records are maintained in General Service 
Administration approved security containers and/or are stored in 
security controlled areas accessible only to authorized persons. 
Locally generated paper security records and/or copies of investigative 
reports are stored in a vault, safe, or steel file cabinet having at 
least a lock bar and approved three-position, dial type combination 
padlock, or in similarly protected containers or area. Electronically 
and optically stored records are maintained in 'fail-safe' system 
software with password protected access. Records are accessible only to 
authorized persons with a need-to-know who are properly screened, 
cleared, and trained.
    Files transferred to NCIS Records Management Division for storage 
are monitored and stored on open shelves and filing cabinets located in 
secure areas accessible to only authorized personnel.

Retention and disposal:
    Investigative/adjudicative records on non-DoD persons who are 
considered for affiliation with DoD are destroyed after 1 year if 
affiliation is not completed.
    Investigative/DON CAF adjudicative records of a routine nature are 
retained in the active file until final adjudicative decision is made; 
then retired to NCIS Records Management Division and retained for 15 
years after last action reflected in the file, except that files that 
contain significant derogatory information and/or resulted in adverse 
action(s) against the individual are destroyed after 25 years. 
Administrative papers not included in the case file are destroyed 1 
year after closure or when no longer needed, whichever is later. 
Records determined to be of historical value, of wide spread value or 
Congressional interest are permanent. They will be retained for 25 
years after the date of last action reflected in the file and then 
permanently transferred to the National Archives. Classified 
nondisclosure agreements if maintained separately from the individual's 
official personnel folder will be destroyed when 70 years old. If 
maintained in the individual's personnel folder, the disposition for 
the official personnel file applies. Locally stored case file paper or 
automated access records are destroyed when employee/service member is 
separated or departs the command, except for access determinations not 
recorded in official personnel folders. They are destroyed 2 years 
after the person departs the command. However, once affiliation is 
terminated, acquiring and adding material to the file is prohibited 
unless affiliation is renewed. The automated NJACS maintains records on 
persons as long as they continue to be employed by or affiliated with 
the DON. NJACS computer data records are purged two years after an 
individual terminates DON employment or affiliation. General and flag 
officer data records are maintained until the individual's death. 
Destruction of records will be by shredding, burning, or pulping for 
paper records; burning for microform records and magnetic erasing for 
computerized records. Optical digital data and CD-ROM records are 
destroyed as required by NAVSO P0952390926, `Remanence Security 
Guidebook' of September 1993.

System manager(s) and address:
    Director, Department of the Navy Central Adjudication Facility, 
Washington Navy Yard, Building 176, Room 308, Washington, DC 20388-
5089.

Notification procedure:
    Individuals seeking to determine whether this system of records 
contains information about themselves should address written inquiries 
to the Director, Department of the Navy Central Adjudication Facility, 
Washington Navy Yard, Building 176, Room 308, Washington, DC 20388-5389 
or to the Commanding Officer/Director of the activity in question. 
Official mailing addresses are published as an appendix to the Navy's 
compilation of systems of records notices.
    Individuals requesting personal records must properly establish 
their identity to the satisfaction of the Director, Navy Central 
Adjudication Facility or the Commanding Officer/Director of the local 
command, as appropriate. This can be accomplished by providing an 
unsworn declaration subscribed to be true that states `I declare under 
penalty of perjury under the laws of the United States of America that 
the foregoing is true and correct'. Individual should also provide 
their full name, aliases, date and place of birth, Social Security 
Number, or other information verifiable from the records in the written 
request.
    Individuals should mark the letter and envelope containing the 
request `Privacy Act Request'.
    Proposed amendments to the information must be directed to the 
agency which conducted the investigation.

Record access procedures:
    Individuals seeking access to records about themselves contained in 
this system of records should address written inquiries to the 
Director, Department of the Navy Central Adjudication Facility, 
Washington Navy Yard, Building 176, Room 308, Washington, DC 20388-5389 
or the Commanding Officer/Director of the activity in question. 
Official mailing addresses are published as an appendix to the Navy's 
compilation of systems of records notices.
    Individuals requesting personal records must properly establish 
their identity to the satisfaction of the Director, Navy Central 
Adjudication Facility or the Commanding Officer/Director of the local 
command, as appropriate. This can be accomplished by providing an 
unsworn declaration subscribed to be true that states `I declare under 
penalty of perjury under the laws of the United States of America that 
the foregoing is true and correct'. Individual should also provide 
their full name, aliases, date and place of birth, Social Security 
Number, or other information verifiable from the records in the written 
request.
    Individuals should mark the letter and envelope containing the 
request `Privacy Act Request'.
    Proposed amendments to the information must be directed to the 
agency which conducted the investigation.
    Attorneys or other persons acting on behalf of an individual must 
provide a written authorization from that individual for their 
representative to act on their behalf.

Contesting record procedures:
    The Navy's rules for accessing records, and for contesting contents 
and appealing initial agency determinations are published in Secretary 
of the Navy

[[Page 18594]]

Instruction 5211.5; 32 CFR part 701; or may be obtained from the system 
manager.

Record source categories:
    Information in this system comes from the cognizant security 
manager or other official sponsoring the security clearance/ 
determination for the subject and from information provided by other 
sources, e,g., personnel security investigations, personal financial 
records, military service records and the subject.

Exemptions claimed for the system:
    Information specifically authorized to be classified under E.O. 
12958, as implemented by DoD 5200.1-R, may be exempt pursuant to 5 
U.S.C. 552a(k)(1).
    Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5), 
but only to the extent that such material would reveal the identity of 
a confidential source.
    An exemption rule for this system has been promulgated in 
accordance with the requirements of 5 U.S.C. 553(b)(1), (2) and (3), 
(c) and (e) and published in 32 CFR part 701, subpart G. For additional 
information, contact the system manager.
[FR Doc. 97-9736 Filed 4-15-97; 8:45 am]
BILLING CODE 5000-40-F