[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