[Federal Register Volume 63, Number 125 (Tuesday, June 30, 1998)]
[Notices]
[Pages 35575-35582]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-17316]



[[Page 35575]]

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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: Altering a record system.

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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 July 27, 1998, 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 20350-2000.
FOR FURTHER INFORMATION CONTACT: Mrs. Doris Lama at (202) 685-6545 or 
DSN 325-6545.
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 June 17, 1998, 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. A-130, 
`Federal Agency Responsibilities for Maintaining Records About 
Individuals,' dated February 8, 1996, (61 FR 6427, February 20, 1996).
    Dated: June 25, 1998.

L. M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
N05520-4

System name:
    NCIS Investigative Files System (February 22, 1993, 58 FR 10762).

Changes:
* * * * *

Categories of individuals covered by the system:
    Delete entry and replace with `Persons in the following categories 
who require access to classified defense information and others who are 
of criminal, counterintelligence, security or general investigative 
interest to NCIS:
    Active, reserve, and inactive members of the naval service; 
civilians, to include applicants for employment with NCIS; both citizen 
and alien employees located in both the U.S. and in overseas areas and 
including temporary, part-time, and advisory personnel employed by the 
Department of the Navy; industrial and contractor personnel; civilian 
personnel being considered for sensitive positions, boards, 
conferences, etc. Civilian personnel who worked or resided overseas, 
e.g., Red Cross personnel. Civilian and military personnel accused, 
suspected, a witness to, or victims of felonious type offenses, or 
lesser offenses impacting on the good order, discipline, morale or 
security of the Department of the Navy; civilian personnel seeking 
access to or seeking to conduct or operate any business or other 
function aboard a Department of the Navy installation, facility or 
ship; civilians and civilian or military personnel who are subjects, 
co-subjects, witnesses, and victims in law enforcement and 
investigative cases in which law enforcement and investigative 
authorities (Federal, state, and local) have requested laboratory 
analysis of submitted evidence for law enforcement purposes; civilians 
and civilian, contract and military personnel upon whom evidence is 
stored at a Consolidated Evidence Facility; civilian, contract, or 
military personnel involved in the loss, compromise, or unauthorized 
disclosure of classified material/information; civilians, contract, and 
civilian and military personnel who were/are of counterintelligence 
interest to the Department of the Navy. Persons under investigation and 
parties to the conversation whose conversations have been intercepted 
during wire, electronic and oral surveillance operations conducted by 
or on behalf of NCIS.'

Categories of records in the system:
    Delete entry and replace with `Official investigative reports 
prepared by NCIS or other Federal, state, local or foreign law 
enforcement or investigative body. NCIS information reports (NIRs) and 
their predecessor NCIS operations reports (NORs) and their predecessor 
NCIS Reports of Investigations (ROI). NCIS NIRS, ROIs, and other 
similar documents and NIRs document information received by NCIS which 
is of interest to the naval services or other law enforcement or 
investigative bodies. The Counterintelligence Directorate still uses 
the ROI format to document its investigative activities. Requests for, 
documentation pertaining to, results of wire, electronic and oral 
intercepts; polygraph examinations and summaries; physical 
surveillances; mail cover or search; and other law enforcement and 
counterintelligence investigative methods. Also may contain biographic 
data, intelligence/counterintelligence debriefing reports, information 
concerning U.S. personnel who are missing, captured, or detained by a 
hostile entity. The information may be of criminal, 
counterintelligence, or general investigative interest.
    Action Lead Sheets, investigative summaries, memoranda for the 
files and correspondence relating to specific cases and contained in 
the individual dossier.
    Polygraph Data. A listing of persons who submitted to polygraph 
examination by NCIS examiners. The data includes the examinee's name, 
location and results of the examination and the identity of the 
examiner. Also, copies of examination records created in support of 
criminal investigations. This data includes statistical and technical 
data sheets, questions sheets, charts, numerical evaluation forms, 
subject statements, consent forms, medical waivers, interview logs, 
personal data sheets, and related documents.
    Case Control and Management documents which serve as the basis for 
recording, conducting, controlling, and guiding the investigative 
activity. Records identifying confidential sources and contacts with 
them. Index to persons reported by `Name Only'.
    Regional Laboratory Report Records. Records reporting and 
documenting laboratory analysis of submitted evidence.
    Consolidated Evidence Inventory Records. Reporting and documenting 
evidence analyzed, stowed, transferred, or destroyed.Wire, Electronic, 
and Oral Interceptions Index Records. Listing of persons who were 
subjects of wire, electronic, or oral communications intercept 
operations. The data includes the name of the person who is the subject 
of the surveillance and citizenship; Social Security Number; and date/
place of birth, if known; to the extent known names of each 
identifiable person whose communications were intercepted; telephone 
numbers or radio call signs involved; case number; address of location 
of each interception; activity maintaining the case file; and date or 
dates of the interceptions.
    Case Control and Narcotics Data Records. Automated records used 
only for statistical purposes in accounting for productivity, manhour 
expenditures; various statistical data concerning narcotics usage and 
used solely for statistical purposes.
    Screening Board Reports. These reports set forth the results of 
oral

[[Page 35576]]

examination of applicants for a position as a Special Agent with NCIS.
    Personnel Security Investigations. Requests for and results of 
investigations or inquiries conducted by U.S. Navy or other Department 
of Defense, Federal, state, or local investigative agency. Record 
includes: personal history statements; fingerprint cards; personnel 
security questionnaire; medical and/or educational records and waivers 
for release; requests for and National Agency checks; local agency 
checks; military records; birth records; employment records; credit 
records and waivers for release; interviews of education, employment, 
and credit references; interviews of listed and developed character 
references; interviews of neighbors; etc.'

Authority for maintenance of the system:
    Delete entry and replace with `5 U.S.C. 301, Departmental 
Regulations; 10 U.S.C. 5013, Secretary of the Navy; 18 U.S.C. 2510-2520 
and 3504; 44 U.S.C. 3101; 47 U.S.C. 605; Executive Memorandum of June 
26, 1939, Investigations of Espionage, Counterespionage and Sabotage 
Matters; DoD Regulation 5200.2-R, Personnel Security Program 
Regulation; DoD Directive 5200.26, Defense Investigative Program; DoD 
Directive 5200.27, Acquisition of Information Concerning Persons and 
Organizations Not Affiliated with the Department of Defense; DoD 
Directive 5210.48, DoD Polygraph Program; DoD Regulation 5240.1-R, 
Procedures Governing the Activities of DoD Intelligence Components that 
Affect United States Persons; DoD Directive 5505.9, Interception of 
Wire, Electronic, and Oral Communications for Law Enforcement; 
Secretary of the Navy Instruction 3820.2D, Investigative and 
Counterintelligence Collection and Retention Guidelines Pertaining to 
the Department of the Navy; Secretary of the Navy Instruction 5520.3B, 
Criminal and Security Investigations and Related Activities Within the 
Department of the Navy; Secretary of the Navy Instruction 5520.4B, 
Department of the Navy Polygraph Program; OPNAV Instruction 5510.1H, 
Department of the Navy Information and Personnel Security Program 
Regulation; 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; and E.O. 12333, United States Intelligence Activities.'

Purpose(s):
    Delete entry and replace with `The information in this system is 
(was) collected to meet the investigative, counterintelligence, and 
security responsibilities of the Department of the Navy. This includes 
personal, personnel security, internal security, criminal, and other 
law enforcement matters all of which are essential to the effective 
operation of the Department of the Navy.
    The records in this system are used for the following purposes: 
Suitability for access or continued access to classified information; 
suitability for promotion, employment, or assignment; suitability for 
access to military installations or industrial firms engaged in 
government projects/contracts; suitability for awards or similar 
benefits; use in current law enforcement investigation or program of 
any type including applicants; use in judicial or adjudicative 
proceedings including litigation or in accordance with a court order; 
to assist Federal, state and local agencies that perform law 
enforcement or quasi-law enforcement functions; to assist Federal, 
state and local agencies that perform victim/witness assistance 
services, child protection services or family support or sailor 
services; insurance claims including workmen's compensation; provide 
protective operations under the DoD Distinguished Visitor Protection 
Program and to assist the U.S. Secret Service in meeting its 
responsibilities; assist local law enforcement agencies in meeting 
their responsibilities for complying with Congressionally mandated 
records checks such as Brady Handgun Violence Prevention Act checks; 
used for public affairs or publicity purposes such as wanted persons 
announcements, etc; referral of matters under their cognizance to 
federal, state or local law enforcement authorities including criminal 
prosecution, civil court action or regulatory order; advising higher 
authorities and naval commands of the important developments impacting 
on security, good order or discipline; reporting of statistical data to 
naval commands and higher authority; input into the Defense Security 
Service managed Defense Clearance and Investigations Index (DCII) 
database under system notice V5-02. Wire, Electronic, and Oral 
Interceptions Index is maintained to enable NCIS to quickly locate 
records of intercept activities in response to motions for discovery 
and inquiries.
    Users of the records in this system include NCIS employees who 
require access for operational, administrative, or supervisory 
purposes; DoD criminal investigative and intelligence units; DoD 
components making suitability determinations.'

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Delete paragraphs one, three, and five, and add the following three 
paragraphs `To the Immigration and Naturalization Service, Department 
of Justice, for use in alien admission and naturalization inquiries 
conducted under Section 105 of the Immigration and Naturalization Act 
of 1952, as amended.
    To the Department of Veterans Affairs for use in benefit 
determinations.
    To the White House for the purpose of personnel actions requiring 
approval of the President of the United States as provided for in DoD 
Instruction 1320.4.'
* * * * *

Retrievability:
    Delete entry and replace with `NCIS closed case paper files are 
filed by numeric sequential number, alphabetic by topical title, and 
geographic location; microfilm files are filed by dossier number; and 
electronic/optically imaged files by case control and Social Security 
Number. In order to locate the file it is necessary to query the 
Defense Clearance and Investigations Index using the name of the 
subject and at least one other personal identifier such as date of 
birth, place of birth, or Social Security Number. Polygraph electronic 
systems also use the polygraph approval number. Open case files may 
also be retrieved from NCIS automated systems by a control number 
assigned at the time the investigation is initiated.
    Copies of the files in the Naval Criminal Investigative Service 
Field Offices, Naval Criminal Investigative Service Resident Agencies, 
and Polygraph sites are retrieved by name. Polygraph sites can also 
retrieve copies of the file by polygraph approval number.
    Consolidated Evidence Facility and Regional Forensic Lab 
information is retrieved by name, case control number, submitting 
agency log number, log numbers, or lab numbers. Wire, Electronic, and 
Oral Intercept Index records are retrieved by a combination of name, 
address, Social Security Number, telephone number/radio call sign, or 
case designation.'

Safeguards:
    Delete entry and replace with `Buildings employ alarms, security 
guards, and or rooms with security controlled areas accessible only to 
authorized persons. Classified and highly sensitive paper records are 
maintained in General Service Administrative approved security 
containers. Paper and microform records in NCIS records office are 
stored

[[Page 35577]]

in open shelves and filing cabinets in security controlled areas 
accessible only to authorized persons. 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. Noncurrent and master copy of microfilmed files are retired to 
the Washington National Records Center where retrieval is restricted to 
NCIS authorized personnel.'

Retention and disposal:
    Delete entry and replace with `Counterintelligence (CI) Records:
    CI records are retained in the active file until the case is 
closed; then destroyed 25 years after the date of last action. Major CI 
investigations are retired to the NCIS records office upon case 
closure; then transferred to the National Archives and Records 
Administration (NARA) when 25 years old.
    Source records are retained in the active file until the operation 
is complete; then destroyed 75 years after the date of the last action.
    Reciprocal CI investigative files regarding individuals or 
organizations under investigative jurisdiction of the requesting agency 
are disposed of as prescribed above for CI investigative records; 
except when the request is for CI personnel security matters; then the 
file is destroyed after one year.
    CI defensive briefings are retained until case closure, retired to 
the NCIS records office; then destroyed after 15 years.Foreign national 
marriage and visa applicant investigations are retired to the NCIS 
records office upon case closure; then destroyed after one year except 
when the investigation surfaces significant derogatory material. These 
files are destroyed after five years.
    Records pertaining to CI polygraph examinations conducted in 
support of CI activities are filed with the case file and disposed of 
in accordance with the guidance for the associated file. CI Security 
Polygraph Program (CSP) records are maintained in the active file until 
no longer needed; then disposed of after the final quality control 
review as follows: (1) CSP cases favorably resolved are destroyed after 
the final quality assurance review, except at NCIS Polygraph Units 
which retain the CSP investigative reports only; destroying it when no 
longer needed or after one year (2) CSP cases other than favorably 
resolved are destroyed 25 years after completion of the final quality 
assurance review, except when an existing criminal investigation 
exists. In such cases the CSP Package is incorporated into the 
investigative file and disposed of in accordance with the disposition 
guidance for the dossier (3) audio tape recordings of routine CSP 
examinations with no significant responses are erased when no longer 
needed or after 90 days. Recordings referred for further investigation 
are incorporated into the investigative case file and disposed of in 
accordance with the disposition guidance for the dossier.
    Personnel investigations:
    Completed NCIS investigative files on Personnel Security 
Investigations (PSI's) are destroyed after 15 years unless significant 
incidents or adverse information is developed, in which case they are 
destroyed after 25 years. PSI files on persons considered for 
affiliation with DoD will be destroyed within one year if the 
affiliation is not consummated.
    Special Agent applicant records are retained for one year if the 
applicant declines offer of employment and five years if the applicant 
is rejected for employment. Non-DoD-affiliated applicant records are 
destroyed when no longer needed or after 90 days. Records for 
applicants who are accepted are retired to NCIS records office upon 
case closure; then destroyed 10 years after release, separation, 
transfer, retirement, or resignation.
    Internal personnel inquiries records are retired to NCIS records 
office after case closure; then destroyed 25 years after the date of 
last action or 10 years after termination of employment, whichever is 
later.
    Limited inquiries records are retired to NCIS records office at 
inquiry closure; then destroyed after 5 years.
    Support applicant records are retired to NCIS records office at 
case closure; then destroyed after 15 years.
    Law Enforcement Records:
    Criminal investigative files are destroyed after 25 years, except 
(1) controlled death investigations which are destroyed 75 years after 
date of case closure (2) files of cases determined to be of historical 
value are transferred to NARA 25 years after the date of the last 
action, except Grand Jury material which is destroyed at the time of 
transfer.
    Incident Complaint Reports (ICR) received from Navy Shore Patrol 
and Marine Corps military police offices pertaining to categories of 
investigations/reports under the jurisdiction of NCIS are destroyed 
when 25 years old. Cases referred but determined not under NCIS 
jurisdiction are destroyed when no longer needed.
    Criminal intelligence operations files are retired to NCIS records 
office upon closure; then destroyed 15 years after closure for Group 1 
records and five years for Group 2.
    Protective operations files involving protective details of 
distinguished persons are destroyed when five years old, except records 
where a threat or attempted threat materialized are destroyed when 25 
years old.
    Law enforcement source (also called `cooperating witness') records 
are retired to NCIS records office after case closure and destroyed 15 
years after the date of last action.
    Information reports consisting of incidental information impacting 
on the security or discipline of commands or of interest to other law 
enforcement elements are destroyed when 25 years old.
    Reciprocal investigative files regarding requests for investigative 
assistance from other Federal, state and local law enforcement agencies 
are disposed of as prescribed for the criminal investigative reports 
and ICRs, as appropriate.
    Polygraph examinations conducted for criminal investigations are 
quality assured and filed in the associated criminal investigation. 
Disposition is in accordance with the guidance for the investigative 
case file.
    Wire, Electronic, Oral Interception Index computer entries are 
deleted upon destruction or transfer to NARA of the case file 
containing intercept information. Disposition of the case files is 
governed by the NARA approved retention period applied to the case 
dossier. Hardcopy records used to create the index are destroyed upon 
verification that the indexing information has been fully and 
accurately entered into the automated index.
    National Crime Information Center (NCIC) records that support 
Department of the Navy entries into the FBI's National Crime 
Information Center are destroyed after the related entry is deleted 
from the National Crime Information Center computer. Microfiche copies 
are destroyed when all cases on the fiche are cleared from the National 
Crime Information Center.
    Laboratory fingerprint card files are disposed of as follows:
    (1) one fingerprint card set is forwarded to the Federal Bureau of 
Investigation; the other set is destroyed when 75 years old
    (2) fingerprint card indices and related correspondence are 
destroyed when all administrative needs have expired.
    Counterintelligence records on persons not affiliated with DoD must 
be destroyed within 90 days or one year

[[Page 35578]]

under criteria set forth in DoD Directive 5200.27, unless retention is 
required by law or specifically approved by the Secretary of the Navy.
    Files retained in the Naval Criminal Investigative Service Field 
Offices and Naval Criminal Investigative Service Resident Agencies and 
Polygraph sites are temporary and are destroyed after 90 days or one 
year, as appropriate.
    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 specified by NAVSO P-5239-26, `Remanence Security 
Guidebook' of September 1993.'
* * * * *

Record source categories:
    Delete entry and replace with `From individual, DoD and Military 
Department records; Federal Agency records; foreign law enforcement 
agencies, security, intelligence, investigatory, or administrative 
authorities; state, county, and municipal records; employment records 
of public schools, colleges, universities, technical and trade schools; 
hospital records; real estate agencies; credit bureaus; financial 
institutions which maintain credit information on individuals such as 
loan and mortgage companies, credit unions, banks, etc.; transportation 
companies (airlines, railroad, etc.); other private records sources 
deemed necessary in order to complete an investigation; miscellaneous 
records such as: telephone directories, city directories; Who's Who in 
America; Who's Who in Commerce and Industry; Who Knows What, a listing 
of experts in various fields; American Medical Directory; Martindale-
Hubbell Law Directory; U.S. Postal Guide; Insurance Directory; Dunn and 
Bradstreet; and the U.S. Navy BIDEX (Biographical Index); any other 
type of miscellaneous records deemed necessary to complete the 
investigation or inquiry; the interview of individuals who have 
knowledge of the subject's background and activities; the interview of 
witnesses, victims, confidential sources, and or other individuals 
deemed necessary to complete the investigation.'
* * * * *
N05520-4

System name:
    NCIS Investigative Files System.

System location:
    Primary System: Director, Naval Criminal Investigative Service, 
Washington Navy Yard, Building 111, 716 Sicard Street, SE, Washington, 
DC 20388-5380.
    Decentralized Segments - Located at the Naval Criminal 
Investigative Service (NCIS) Field Offices (FO), Resident Agencies 
(RA), and Polygraph sites worldwide. Naval Criminal Investigative 
Service Regional Offices retain copies of certain portions of some 
investigative files and related documentation for up to one year. The 
number and location of these Naval Criminal Investigative Service Field 
Offices, Naval Criminal Investigative Service Resident Agencies, and 
Polygraph sites are subject to change in order to meet the requirements 
of the Department of the Navy.
    Naval Criminal Investigative Service Regional Forensic Laboratories 
retain records of lab analysis of evidence submitted for law 
enforcement purposes.
    Consolidated Evidence Facilities maintain evidence inventory 
records.
    Current locations of NCIS decentralized segments may be obtained 
from the Director, Naval Criminal Investigative Service, Washington 
Navy Yard, Building 111, 716 Sicard Street, SE, Washington, DC 20388-
5380.

Categories of individuals covered by the system:
    Persons in the following categories who require access to 
classified defense information and others who are of criminal, 
counterintelligence, security or general investigative interest to 
NCIS:
    Active, reserve, and inactive members of the naval service; 
civilians, to include applicants for employment with NCIS; both citizen 
and alien employees located in both the U.S. and in overseas areas and 
including temporary, part-time, and advisory personnel employed by the 
Department of the Navy; industrial and contractor personnel; civilian 
personnel being considered for sensitive positions, boards, 
conferences, etc. Civilian personnel who worked or resided overseas, 
e.g., Red Cross personnel. Civilian and military personnel accused, 
suspected, a witness to, or victims of felonious type offenses, or 
lesser offenses impacting on the good order, discipline, morale or 
security of the Department of the Navy; civilian personnel seeking 
access to or seeking to conduct or operate any business or other 
function aboard a Department of the Navy installation, facility or 
ship; civilians and civilian or military personnel who are subjects, 
co-subjects, witnesses, and victims in law enforcement and 
investigative cases in which law enforcement and investigative 
authorities (Federal, state, and local) have requested laboratory 
analysis of submitted evidence for law enforcement purposes; civilians 
and civilian, contract and military personnel upon whom evidence is 
stored at a Consolidated Evidence Facility; civilian, contract, or 
military personnel involved in the loss, compromise, or unauthorized 
disclosure of classified material/information; civilians, contract, and 
civilian and military personnel who were/are of counterintelligence 
interest to the Department of the Navy. Persons under investigation and 
parties to the conversation whose conversations have been intercepted 
during wire, electronic and oral surveillance operations conducted by 
or on behalf of NCIS.

Categories of records in the system:
    Official investigative reports prepared by NCIS or other Federal, 
state, local or foreign law enforcement or investigative body. NCIS 
information reports (NIRs) and their predecessor NCIS operations 
reports (NORs) and their predecessor NCIS Reports of Investigations 
(ROI). NCIS NIRS, ROIs, and other similar documents and NIRs document 
information received by NCIS which is of interest to the naval services 
or other law enforcement or investigative bodies. The 
Counterintelligence Directorate still uses the ROI format to document 
its investigative activities. Requests for, documentation pertaining 
to, results of wire, electronic and oral intercepts; polygraph 
examinations and summaries; physical surveillances; mail cover or 
search; and other law enforcement and counterintelligence investigative 
methods. Also may contain biographic data, intelligence/
counterintelligence debriefing reports, information concerning U.S. 
personnel who are missing, captured, or detained by a hostile entity. 
The information may be of criminal, counterintelligence, or general 
investigative interest.
    Action Lead Sheets, investigative summaries, memoranda for the 
files and correspondence relating to specific cases and contained in 
the individual dossier.
    Polygraph Data. A listing of persons who submitted to polygraph 
examination by NCIS examiners. The data includes the examinee's name, 
location and results of the examination and the identity of the 
examiner. Also, copies of examination records created in support of 
criminal investigations. This data includes statistical and technical 
data sheets, questions sheets, charts, numerical evaluation forms, 
subject statements, consent forms, medical waivers, interview logs, 
personal data sheets, and related documents.

[[Page 35579]]

    Case Control and Management documents which serve as the basis for 
recording, conducting, controlling, and guiding the investigative 
activity. Records identifying confidential sources and contacts with 
them. Index to persons reported by `Name Only'.
    Regional Laboratory Report Records. Records reporting and 
documenting laboratory analysis of submitted evidence.
    Consolidated Evidence Inventory Records. Reporting and documenting 
evidence analyzed, stowed, transferred, or destroyed.Wire, Electronic, 
and Oral Interceptions Index Records. Listing of persons who were 
subjects of wire, electronic, or oral communications intercept 
operations. The data includes the name of the person who is the subject 
of the surveillance and citizenship; Social Security Number; and date/
place of birth, if known; to the extent known names of each 
identifiable person whose communications were intercepted; telephone 
numbers or radio call signs involved; case number; address of location 
of each interception; activity maintaining the case file; and date or 
dates of the interceptions.
    Case Control and Narcotics Data Records. Automated records used 
only for statistical purposes in accounting for productivity, manhour 
expenditures; various statistical data concerning narcotics usage and 
used solely for statistical purposes.
    Screening Board Reports. These reports set forth the results of 
oral examination of applicants for a position as a Special Agent with 
NCIS.
    Personnel Security Investigations.  Requests for and results of 
investigations or inquiries conducted by U.S. Navy or other Department 
of Defense (DoD), Federal, state, or local investigative agency. Record 
includes: personal history statements; fingerprint cards; personnel 
security questionnaire; medical and/or educational records and waivers 
for release; requests for and National Agency checks; local agency 
checks; military records; birth records; employment records; credit 
records and waivers for release; interviews of education, employment, 
and credit references; interviews of listed and developed character 
references; interviews of neighbors; etc.

Authority for maintenance of the system:
    5 U.S.C. 301, Departmental Regulations; 10 U.S.C. 5013, Secretary 
of the Navy; 18 U.S.C. 2510-2520 and 3504; 44 U.S.C. 3101; 47 U.S.C. 
605; Executive Memorandum of June 26, 1939, Investigations of 
Espionage, Counterespionage and Sabotage Matters; DoD Regulation 
5200.2-R, Personnel Security Program Regulation; DoD Directive 5200.26, 
Defense Investigative Program; DoD Directive 5200.27, Acquisition of 
Information Concerning Persons and Organizations Not Affiliated with 
the Department of Defense; DoD Directive 5210.48, DoD Polygraph 
Program; DoD Regulation 5240.1-R, Procedures Governing the Activities 
of DoD Intelligence Components that Affect United States Persons; DoD 
Directive 5505.9, Interception of Wire, Electronic, and Oral 
Communications for Law Enforcement; Secretary of the Navy Instruction 
3820.2D, Investigative and Counterintelligence Collection and Retention 
Guidelines Pertaining to the Department of the Navy; Secretary of the 
Navy Instruction 5520.3B, Criminal and Security Investigations and 
Related Activities Within the Department of the Navy; Secretary of the 
Navy Instruction 5520.4B, Department of the Navy Polygraph Program; 
OPNAV Instruction 5510.1H, Department of the Navy Information and 
Personnel Security Program Regulation; 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; and E.O. 12333, United States 
Intelligence Activities.

Purpose(s):
    The information in this system is (was) collected to meet the 
investigative, counterintelligence, and security responsibilities of 
the Department of the Navy. This includes personal, personnel security, 
internal security, criminal, and other law enforcement matters all of 
which are essential to the effective operation of the Department of the 
Navy.
    The records in this system are used for the following purposes: 
Suitability for access or continued access to classified information; 
suitability for promotion, employment, or assignment; suitability for 
access to military installations or industrial firms engaged in 
government projects/contracts; suitability for awards or similar 
benefits; use in current law enforcement investigation or program of 
any type including applicants; use in judicial or adjudicative 
proceedings including litigation or in accordance with a court order; 
to assist Federal, state and local agencies that perform law 
enforcement or quasi-law enforcement functions; to assist Federal, 
state and local agencies that perform victim/witness assistance 
services, child protection services or family support or sailor 
services; insurance claims including workmen's compensation; provide 
protective operations under the DoD Distinguished Visitor Protection 
Program and to assist the U.S. Secret Service in meeting its 
responsibilities; assist local law enforcement agencies in meeting 
their responsibilities for complying with Congressionally mandated 
records checks such as Brady Handgun Violence Prevention Act checks; 
used for public affairs or publicity purposes such as wanted persons 
announcements, etc; referral of matters under their cognizance to 
federal, state or local law enforcement authorities including criminal 
prosecution, civil court action or regulatory order; advising higher 
authorities and naval commands of the important developments impacting 
on security, good order or discipline; reporting of statistical data to 
naval commands and higher authority; input into the Defense Security 
Service managed Defense Clearance and Investigations Index (DCII) 
database under system notice V5-02. Wire, Electronic, and Oral 
Interceptions Index is maintained to enable NCIS to quickly locate 
records of intercept activities in response to motions for discovery 
and inquiries.
    Users of the records in this system include NCIS employees who 
require access for operational, administrative, or supervisory 
purposes; DoD criminal investigative and intelligence units; DoD 
components making suitability determinations.

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 federal intelligence agencies for matters under their purview.
    To other investigative units (federal, state, or local) for whom 
the investigation was conducted, or who are engaged in regulatory, 
criminal investigative and intelligence activities; to defense counsel 
in the course of acquiring information.
    To commercial insurance companies in those instances in which they 
have a legitimate interest in the results of the investigation, but 
only to that extent and provided an unwarranted invasion of privacy is 
not involved.
    To victims of crimes to the extent necessary to pursue civil and 
criminal remedies.
    To the Immigration and Naturalization Service, Department of 
Justice, for use in alien admission and naturalization inquiries 
conducted

[[Page 35580]]

under Section 105 of the Immigration and Naturalization Act of 1952, as 
amended.
    To the Department of Veterans Affairs for use in benefit 
determinations.
    To the White House for the purpose of personnel actions requiring 
approval of the President of the United States as provided for in DoD 
Instruction 1320.4.
    The `Blanket Routine Uses' that appear at the beginning of the 
Navy's compilation of systems notices also apply to this system.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records:
Storage:
    Maintained on paper records in file folders, audio and audiovisual 
tapes, microimaging, electronic systems, magnetic tape, optical digital 
data disks, CD ROM, and computer output products. Some laboratory 
documents are stored in loose-leaf notebooks or bound record books.

Retrievability:
    NCIS closed case paper files are filed by numeric sequential 
number, alphabetic by topical title, and geographic location; microfilm 
files are filed by dossier number; and electronic/optically imaged 
files by case control and Social Security Number. In order to locate 
the file it is necessary to query the Defense Clearance and 
Investigations Index using the name of the subject and at least one 
other personal identifier such as date of birth, place of birth, or 
Social Security Number. Polygraph electronic systems also use the 
polygraph approval number. Open case files may also be retrieved from 
NCIS automated systems by a control number assigned at the time the 
investigation is initiated.
    Copies of the files in the Naval Criminal Investigative Service 
Field Offices, Naval Criminal Investigative Service Resident Agencies, 
and Polygraph sites are retrieved by name. Polygraph sites can also 
retrieve copies of the file by polygraph approval number. Consolidated 
Evidence Facility and Regional Forensic Lab information is retrieved by 
name, case control number, submitting agency log number, log numbers, 
or lab numbers. Wire, Electronic, and Oral Intercept Index records are 
retrieved by a combination of name, address, Social Security Number, 
telephone number/radio call sign, or case designation.

Safeguards:
    Buildings employ alarms, security guards, and or rooms with 
security controlled areas accessible only to authorized persons. 
Classified and highly sensitive paper records are maintained in General 
Service Administrative approved security containers. Paper and 
microform records in NCIS records office are stored in open shelves and 
filing cabinets in security controlled areas accessible only to 
authorized persons. 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. Noncurrent and 
master copy of microfilmed files are retired to the Washington National 
Records Center where retrieval is restricted to NCIS authorized 
personnel.

Retention and disposal:
    Counterintelligence (CI) Records:
    CI records are retained in the active file until the case is 
closed; then destroyed 25 years after the date of last action. Major CI 
investigations are retired to the NCIS records office upon case 
closure; then transferred to the National Archives and Records 
Administration (NARA) when 25 years old.
    Source records are retained in the active file until the operation 
is complete; then destroyed 75 years after the date of the last action.
    Reciprocal CI investigative files regarding individuals or 
organizations under investigative jurisdiction of the requesting agency 
are disposed of as prescribed above for CI investigative records; 
except when the request is for CI personnel security matters; then the 
file is destroyed after one year.
    CI defensive briefings are retained until case closure, retired to 
the NCIS records office; then destroyed after 15 years.Foreign national 
marriage and visa applicant investigations are retired to the NCIS 
records office upon case closure; then destroyed after one year except 
when the investigation surfaces significant derogatory material. These 
files are destroyed after five years.
    Records pertaining to CI polygraph examinations conducted in 
support of CI activities are filed with the case file and disposed of 
in accordance with the guidance for the associated file. CI Security 
Polygraph Program (CSP) records are maintained in the active file until 
no longer needed; then disposed of after the final quality control 
review as follows: (1) CSP cases favorably resolved are destroyed after 
the final quality assurance review, except at NCIS Polygraph Units 
which retain the CSP investigative reports only; destroying it when no 
longer needed or after one year (2) CSP cases other than favorably 
resolved are destroyed 25 years after completion of the final quality 
assurance review, except when an existing criminal investigation 
exists. In such cases the CSP Package is incorporated into the 
investigative file and disposed of in accordance with the disposition 
guidance for the dossier (3) audio tape recordings of routine CSP 
examinations with no significant responses are erased when no longer 
needed or after 90 days. Recordings referred for further investigation 
are incorporated into the investigative case file and disposed of in 
accordance with the disposition guidance for the dossier.
    Personnel investigations:
    Completed NCIS investigative files on Personnel Security 
Investigations (PSI's) are destroyed after 15 years unless significant 
incidents or adverse information is developed, in which case they are 
destroyed after 25 years. PSI files on persons considered for 
affiliation with DoD will be destroyed within one year if the 
affiliation is not consummated.
    Special Agent applicant records are retained for one year if the 
applicant declines offer of employment and five years if the applicant 
is rejected for employment. Non-DoD-affiliated applicant records are 
destroyed when no longer needed or after 90 days. Records for 
applicants who are accepted are retired to NCIS records office upon 
case closure; then destroyed 10 years after release, separation, 
transfer, retirement, or resignation.
    Internal personnel inquiries records are retired to NCIS records 
office after case closure; then destroyed 25 years after the date of 
last action or 10 years after termination of employment, whichever is 
later.
    Limited inquiries records are retired to NCIS records office at 
inquiry closure; then destroyed after 5 years.
    Support applicant records are retired to NCIS records office at 
case closure; then destroyed after 15 years.
    Law Enforcement Records:
    Criminal investigative files are destroyed after 25 years, except 
(1) controlled death investigations which are destroyed 75 years after 
date of case closure (2) files of cases determined to be of historical 
value are transferred to NARA 25 years after the date of the last 
action, except Grand Jury material which is destroyed at the time of 
transfer.
    Incident Complaint Reports (ICR) received from Navy Shore Patrol 
and Marine Corps military police offices pertaining to categories of 
investigations/reports under the jurisdiction of NCIS are destroyed 
when

[[Page 35581]]

25 years old. Cases referred but determined not under NCIS jurisdiction 
are destroyed when no longer needed.
    Criminal intelligence operations files are retired to NCIS records 
office upon closure; then destroyed 15 years after closure for Group 1 
records and five years for Group 2.
    Protective operations files involving protective details of 
distinguished persons are destroyed when five years old, except records 
where a threat or attempted threat materialized are destroyed when 25 
years old.
    Law enforcement source (also called `cooperating witness') records 
are retired to NCIS records office after case closure and destroyed 15 
years after the date of last action.
    Information reports consisting of incidental information impacting 
on the security or discipline of commands or of interest to other law 
enforcement elements are destroyed when 25 years old.
    Reciprocal investigative files regarding requests for investigative 
assistance from other Federal, state and local law enforcement agencies 
are disposed of as prescribed for the criminal investigative reports 
and ICRs, as appropriate.
    Polygraph examinations conducted for criminal investigations are 
quality assured and filed in the associated criminal investigation. 
Disposition is in accordance with the guidance for the investigative 
case file.
    Wire, Electronic, Oral Interception Index computer entries are 
deleted upon destruction or transfer to NARA of the case file 
containing intercept information. Disposition of the case files is 
governed by the NARA approved retention period applied to the case 
dossier. Hardcopy records used to create the index are destroyed upon 
verification that the indexing information has been fully and 
accurately entered into the automated index.
    National Crime Information Center (NCIC) records that support 
Department of the Navy entries into the FBI's National Crime 
Information Center are destroyed after the related entry is deleted 
from the National Crime Information Center computer. Microfiche copies 
are destroyed when all cases on the fiche are cleared from the National 
Crime Information Center.
    Laboratory fingerprint card files are disposed of as follows:
    (1) one fingerprint card set is forwarded to the Federal Bureau of 
Investigation; the other set is destroyed when 75 years old
    (2) fingerprint card indices and related correspondence are 
destroyed when all administrative needs have expired.
    Counterintelligence records on persons not affiliated with DoD must 
be destroyed within 90 days or one year under criteria set forth in DoD 
Directive 5200.27, unless retention is required by law or specifically 
approved by the Secretary of the Navy.
    Files retained in the Naval Criminal Investigative Service Field 
Offices and Naval Criminal Investigative Service Resident Agencies and 
Polygraph sites are temporary and are destroyed after 90 days or one 
year, as appropriate.
    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 specified by NAVSO P-5239-26, `Remanence Security 
Guidebook' of September 1993.

System manager(s) and address:
    Director, Naval Criminal Investigative Service, Washington Navy 
Yard, Building 111, 716 Sicard Street, SE, Washington, DC 20388-5380.

Notification procedure:
    Individuals seeking to determine whether this system of records 
contains information about themselves should address written inquiries 
to the Director, Naval Criminal Investigative Service, Washington Navy 
Yard, Building 111, Code 00JF, 716 Sicard Street, SE, Washington, DC 
20388-5380.
    Requests must contain the full name of the individual and at least 
one additional personal identifier such as date and place of birth, or 
Social Security Number. Persons submitting written requests must 
properly establish their identity to the satisfaction of the Naval 
Criminal Investigative Service. This can be accomplished by providing 
an unsworn declaration that states `I declare under perjury or penalty 
under the laws of the United States of America that the foregoing is 
true and correct.'
    Attorneys or other persons acting on behalf of an individual must 
provide written authorization from that individual for their 
representative to act on their behalf.

Record access procedures:
    Individuals seeking access to records about themselves contained in 
this system of records should address written inquiries to the 
Director, Naval Criminal Investigative Service, Washington Navy Yard, 
Building 111, Code 00JF, 716 Sicard Street, SE, Washington, DC 20388-
5380.
    Requests must contain the full name of the individual and at least 
one additional personal identifier such as date and place of birth and 
Social Security Number. Persons submitting written requests must 
properly establish their identity to the satisfaction of the Naval 
Criminal Investigative Service. This can be accomplished by providing 
an unsworn declaration that states `I declare under perjury or penalty 
under the laws of the United States of America that the foregoing is 
true and correct.'
    Attorneys or other persons acting on behalf of an individual must 
provide 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 Instruction 5211.5; 32 CFR part 701; or may be obtained 
from the system manager.

Record source categories:
    From individual, DoD and Military Department records; Federal 
Agency records; foreign law enforcement agencies, security, 
intelligence, investigatory, or administrative authorities; state, 
county, and municipal records; employment records of public schools, 
colleges, universities, technical and trade schools; hospital records; 
real estate agencies; credit bureaus; financial institutions which 
maintain credit information on individuals such as loan and mortgage 
companies, credit unions, banks, etc.; transportation companies 
(airlines, railroad, etc.); other private records sources deemed 
necessary in order to complete an investigation; miscellaneous records 
such as: telephone directories, city directories; Who's Who in America; 
Who's Who in Commerce and Industry; Who Knows What, a listing of 
experts in various fields; American Medical Directory; Martindale-
Hubbell Law Directory; U.S. Postal Guide; Insurance Directory; Dunn and 
Bradstreet; and the U.S. Navy BIDEX (Biographical Index); any other 
type of miscellaneous records deemed necessary to complete the 
investigation or inquiry; the interview of individuals who have 
knowledge of the subject's background and activities; the interview of 
witnesses, victims, confidential sources, and or other individuals 
deemed necessary to complete the investigation.

Exemptions claimed for the system:
    Parts of this system may be exempt pursuant to 5 U.S.C. 552a(j)(2), 
since the information is compiled and maintained by the Naval Criminal 
Investigative

[[Page 35582]]

Command, which performs as its principle function the enforcement of 
criminal laws.
    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).
    Records maintained in connection with providing protective services 
to the President and other individuals under 18 U.S.C. 3506, may be 
exempt pursuant to 5 U.S.C. 552a(k)(3).
    Records maintained solely for statistical research or program 
evaluation purposes and which are not used to make decisions on the 
rights, benefits, or entitlement of an individual except for census 
records which may be disclosed under 13 U.S.C. 8, may be exempt 
pursuant to 5 U.S.C. 552a(k)(4).
    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.
    Testing or examination material used solely to determine individual 
qualifications for appointment or promotion in the Federal service may 
be exempt pursuant to 5 U.S.C. 552a(k)(6), if the disclosure would 
compromise the objectivity or fairness of the test or examination 
process.
    An exemption rule for this system has been promulgated in 
accordance with 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. 98-17316 Filed 6-29-98; 8:45 am]
BILLING CODE 5000-04-F