[Federal Register Volume 64, Number 187 (Tuesday, September 28, 1999)]
[Rules and Regulations]
[Pages 52223-52230]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-24988]


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DEPARTMENT OF JUSTICE

28 CFR Parts 0, 16, 20, and 50

[AG Order No. 2258-99]
RIN 1105-AA63


Federal Bureau of Investigation, Criminal Justice Information 
Services Division Systems and Procedures

AGENCY: Department of Justice.

ACTION: Final rule.

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SUMMARY: The United States Department of Justice (DOJ) is publishing a 
final rule amending DOJ regulations relating to criminal justice 
information systems of the Federal Bureau of Investigation (FBI). The 
regulations are being amended to implement the following programmatic 
and nomenclature changes: To permit access to criminal history record 
information (CHRI) and related information, subject to appropriate 
controls, by a private entity under a specific agreement with an 
authorized governmental agency to perform an administration of criminal 
justice function (privatization); to permit access to CHRI and related 
information, subject to appropriate controls, by a noncriminal justice 
governmental agency that is performing criminal justice dispatching 
functions or data processing/information services for a criminal 
justice agency; to acknowledge access to CHRI and related information 
by the National Instant Criminal Background Check System (NICS) under 
the Brady Handgun Violence Prevention Act of 1993; to add express 
authority for the Director of the FBI from time to time to determine 
and establish revised fee amounts; and to modernize language to ensure 
that the regulations accurately reflect current FBI practices, names of 
systems and programs, and addresses.

DATES: This rule is effective October 28, 1999.

FOR FURTHER INFORMATION CONTACT: Mr. Harold M. Sklar, Attorney-Advisor, 
Federal Bureau of Investigation, CJIS Division, Module E-3, 1000 Custer 
Hollow Road, Clarksburg, West Virginia, 26306, telephone number (304) 
625-2000.

SUPPLEMENTARY INFORMATION: The FBI manages two systems for the exchange 
of criminal justice information: The National Crime Information Center 
(NCIC) and the Fingerprint Identification Records System (FIRS). This 
rule implements changes to regulations relating to CHRI and related 
information maintained in these systems. The changes finalized in this 
rule fall into five categories, discussed below.

1. Access to CHRI and Related Information, Subject to Appropriate 
Controls, by a Private Contractor Pursuant to a Specific Agreement 
With an Authorized Governmental Agency To Perform an Administration 
of Criminal Justice Function (Privatization)

    Section 534 of title 28 of the United States Code authorizes the 
Attorney General to exchange identification, criminal identification, 
crime, and other records for the official use of authorized officials 
of the federal government, the states, cities, and penal and other 
institutions. This statute also provides, however, that such exchanges 
are subject to cancellation if dissemination is made outside the 
receiving departments or related agencies. Agencies authorized access 
to CHRI traditionally have been hesitant to disclose that information, 
even in furtherance of authorized criminal justice functions, to anyone 
other than actual agency employees out of concern that such disclosure 
could be viewed as unauthorized.
    In recent years, however, governmental agencies seeking greater 
efficiency and economy have become increasingly interested in obtaining 
support services for the administration of criminal justice from the 
private sector. With the concurrence of the FBI's Criminal Justice 
Information Services Advisory Policy Board, the DOJ has concluded that 
disclosures to private persons and entities providing support services 
for criminal justice agencies may, when subject to appropriate 
controls, properly be viewed as permissible disclosures for purposes of 
compliance with 28 U.S.C. 534.
    We are therefore revising 28 CFR 20.33(a)(7) to provide express 
authority for such arrangements. This authority is similar to the 
authority that already exists in 28 CFR 20.21(b)(3) for state and local 
CHRI systems. Provision of CHRI under this authority will only be 
permitted pursuant to a specific agreement with an authorized 
governmental agency for the purpose of providing services for the 
administration of criminal justice. The agreement will be required to 
incorporate a security addendum approved by the Director of the FBI 
(acting for the Attorney General). The security addendum will 
specifically authorize access to CHRI, limit the use of the information 
to the specific purposes for which it is being provided, ensure the 
security and confidentiality

[[Page 52224]]

of the information consistent with applicable laws and regulations, 
provide for sanctions, and contain such other provisions as the 
Director of the FBI (acting for the Attorney General) may require. The 
security addendum, buttressed by ongoing audit programs of both the FBI 
and the sponsoring governmental agency, will provide an appropriate 
balance among the benefits of privatization, protection of individual 
privacy interests, and preservation of the security of the FBI's CHRI 
systems.
    The FBI will develop a security addendum to be made available to 
interested governmental agencies. We anticipate that the security 
addendum will include physical and personnel security constraints 
historically required by NCIC security practices and other programmatic 
requirements, together with personal integrity and electronic security 
provisions comparable to those in NCIC User Agreements between the FBI 
and criminal justice agencies, and in existing Management Control 
Agreements between criminal justice agencies and noncriminal justice 
governmental entities. The security addendum will make clear that 
access to CHRI will be limited to those officers and employees of the 
private contractor or its subcontractor who require the information in 
order properly to perform services for the sponsoring governmental 
agency, and that the service provider may not access, modify, use, or 
disseminate such information for inconsistent or unauthorized purposes.

2. Access to CHRI and Related Information, Subject to Appropriate 
Controls, by a Noncriminal Justice Governmental Agency Performing 
Criminal Justice Dispatching Functions or Data Processing/
Information Services for a Criminal Justice Agency

    Noncriminal justice governmental agencies are sometimes tasked to 
perform dispatching functions or data processing/information services 
for criminal justice agencies as part, albeit not a principal part, of 
their responsibilities. Although such delegated tasks involve the 
administration of criminal justice, the performance of those tasks does 
not convert an otherwise noncriminal justice agency into a criminal 
justice agency. This regulation authorizes the delegation of such tasks 
to noncriminal justice agencies if done pursuant to executive order, 
statute, regulation, or inter-agency agreement. In this context, the 
noncriminal justice agency is servicing the criminal justice agency by 
performing an administration of criminal justice function and is 
permitted access to CHRI to accomplish that limited function. 28 CFR 
20.33(a)(6) and the appendix are revised in order to confirm the 
authority of these noncriminal justice governmental agencies to receive 
CHRI and related information when approved by the FBI, subject to 
appropriate controls that may be imposed by the FBI.

3. Access to CHRI and Related Information by the National Instant 
Criminal Background Check System (NICS)

    The Brady Handgun Violence Prevention Act of 1993, Public Law 103-
159, provides for the establishment of a National Instant Criminal 
Background Check System (NICS). Prior to transferring a firearm to a 
non-licensee, a federal firearm licensee must check the NICS (via a 
criminal justice agency) to see if the prospective transferee is 
prohibited under federal or state law from possessing a firearm. 
Because CHRI may contain information relevant to determining if 
possession of a firearm by a person is prohibited, the NICS will 
execute an NCIC check as part of each NICS query. Follow-up access to 
the FIRS may also be necessary to resolve questions of identity. 28 CFR 
20.33(a)(5) is revised to confirm authority for the dissemination of 
CHRI and related information to criminal justice agencies for the 
conduct of background checks under the NICS.

4. Authority for the Director of the FBI Periodically To Revise Fee 
Amounts

    Part 16, subpart C of title 28 of the Code of Federal Regulations 
establishes procedures by which an individual may obtain a copy of his 
or her identification record to review and may request a change, 
correction, or update to that record. Under 28 CFR 16.33, an individual 
requesting production of his or her identification record pays a fee of 
$18 for each such request. The authority for this fee is the 
Independent Offices Appropriation Act (31 U.S.C. 9701), as implemented 
by guidelines issued by the DOJ, User Fee Program (Supplement, 
Department of Justice Budget Formulation and Execution Calls), and 
Office of Management and Budget (OMB) Circular Number A-25, Revised 
(July 8, 1993). These authorities generally require that a benefit or 
service provided to or for any person by a federal agency be self-
sustaining to the fullest extent possible, that charges be fair and 
equitable, and that fee amounts be periodically reassessed and adjusted 
as warranted.
    28 CFR 16.33 is revised by adding express authority for the 
Director of the FBI from time to time to determine and establish a 
revised fee amount. The exercise of this authority by the Director of 
the FBI will be subject to all applicable laws, regulations, or 
directions of the Attorney General of the United States, and the 
Director of the FBI will publish in the Federal Register appropriate 
notice of revised fee amounts.

5. Update of Nomenclature and Addresses

    Throughout the parts of title 28 affected by this rule, the 
language is modernized to reflect accurately current FBI practices, the 
current names of systems and programs, and the name and address of the 
new FBI facility in West Virginia where the systems are located. The 
broader term ``fingerprints'' has been substituted for ``fingerprint 
cards'' to encompass both ``hard copy'' fingerprint cards as well as 
the electronic submission of fingerprint data. The term 
``fingerprints'' is further intended to encompass not only all 
depictions of physical fingerprints (for example, inked images, 
electronic images, and electronic encoding) but also all related 
biographical or other information typically appearing on a fingerprint 
card. The terms ``computerized criminal history'' and ``CCH'' are 
changed to ``Interstate Identification Index'' and ``III.'' The FBI 
``Identification Division'' is changed to ``Criminal Justice 
Information Services Division'' or ``CJIS.'' ``NCIC Advisory Policy 
Board'' is changed to ``CJIS Advisory Policy Board.'' Minor 
modifications are made to the definitions in 28 CFR part 20, subpart A; 
definitions are added for the terms ``Control Terminal Agency,'' 
``criminal history records repository,'' ``Federal Service 
Coordinator,'' ``Fingerprint Identification Records System'' (FIRS), 
``Interstate Identification Index System'' (III System), ``National 
Crime Information Center'' (NCIC), ``National Fingerprint File'' (NFF), 
and ``National Identification Index'' (NII); the definition of 
``Department of Justice criminal history record information system'' is 
eliminated; and the definitions are placed in alphabetical order.
    In addition to the foregoing changes, the Department of Justice is 
currently reviewing additional changes to these regulations to be 
promulgated in future rulemaking. We note that 28 CFR part 20, subpart 
B, which also contains dated nomenclature and addresses, will not be 
directly changed by this rule. The Department of Justice may consider 
possible changes to 28 CFR part 20, subpart B at some later time.

[[Page 52225]]

Summary of Comments on the Proposed Rule

    On May 10, 1999, the Department of Justice published in the Federal 
Register (64 FR 24972) a proposed rule that would amend the DOJ 
regulations to implement the changes discussed above. The period for 
submitting comments on the proposed rule expired on June 9, 1999.
    The Department received three comment letters in response to the 
publication of the proposed rule. Two of these letters, one from a 
criminal justice consultant (formerly a police officer and police 
records manager) and the other from a national criminal justice 
consortium, endorsed the proposed revisions. One of these letters also 
suggested that future revisions to the regulations may be appropriate 
under the provisions of the National Crime Prevention and Privacy 
Compact Act of 1998 (``Compact Act''). Secs. 211-17, Pub. L. 105-251, 
112 Stat. 1874-84. To the extent that the Compact Act, which addresses 
the sharing of criminal history record information for noncriminal 
justice purposes, is determined to be relevant to these regulations, 
the Department may consider appropriate changes at a later time.
    The third letter, from a State Attorney General's office, asked 
whether direct terminal access to state and local criminal history 
record information systems is permitted by noncriminal justice agencies 
(public or private) under subpart B of part 20 of the regulation, given 
the proposed change to subpart C, Sec. 20.33(a)(7). Subparts B and C 
address different criminal history record information systems--subpart 
B governs certain state and local systems, whereas subpart C governs 
FBI and interstate systems. As a result, changes to subpart C do not 
affect subpart B and the systems governed by that subpart. To the 
extent that the question is seeking advice on the proper interpretation 
of subpart B, the FBI is addressing the issue outside of the current 
rulemaking. The Department of Justice may consider possible changes to 
subpart B at some later time.
    The third letter also asked whether the proposed regulation would 
permit a state governmental agency to outsource centralized 
recordkeeping functions for criminal history records and services. The 
proposed regulation permits the dissemination of criminal history 
record information to private contractors, pursuant to a specific 
agreement, with appropriate controls, for the purpose of providing 
services for the administration of criminal justice. The administration 
of criminal justice includes criminal identification activities and the 
collection, storage, and dissemination of criminal history record 
information. (See the definition of ``administration of criminal 
justice'' in Sec. 20.3(b).) Therefore, pursuant to the proposed 
regulation, a state criminal history record repository may contract 
with a private entity to maintain criminal history records and provide 
related services to authorized users for the state criminal history 
record repository under a specific agreement that incorporates the 
controls required by this final rule (Sec. 20.33(a)(7)).

Applicable Administrative Procedures and Executive Orders; 
Regulatory Flexibility Act

    The Attorney General, in accordance with the Regulatory Flexibility 
Act (5 U.S.C. 605(b)), has reviewed this final rule and, by approving 
it, certifies that this regulation will not have a significant economic 
impact on a substantial number of small entities. Most of the matters 
addressed by this final rule relate to nomenclature changes and to 
intra- and intergovernmental authorities not involving the private 
sector, or to governmental interaction with individuals in non-business 
contexts. The one change that relates to the private sector provides 
expanded authority for the dissemination of criminal justice 
information to private entities with which authorized governmental 
agencies have contracted for criminal justice support services. Far 
from having any adverse effect on small entities, this change will, if 
anything, result in expanded opportunities for the private sector to 
conduct business with criminal justice agencies.

Executive Order 12866

    This final rule has been drafted and reviewed in accordance with 
Executive Order 12866, section (1)(b), Principles of Regulation. The 
Department of Justice has determined that this final rule is not a 
significant regulatory action under Executive Order 12866, section 
3(f), and accordingly this final rule has not been reviewed by the 
Office of Management and Budget.

Executive Order 12612

    This final rule will not have substantial, direct effects on the 
states, on the relationship between the national government and the 
states, or on the distribution of power and responsibilities among the 
various levels of government. Therefore, in accordance with Executive 
Order 12612, it is determined that this final rule does not have 
sufficient federalism implications to warrant the preparation of a 
Federalism Assessment.

Unfunded Mandates Reform Act of 1995

    This final rule will not result in the expenditure by state, local, 
and tribal governments, in the aggregate, or by the private sector, of 
$100 million or more in any one year, and it will not significantly or 
uniquely affect small governments. Therefore, no actions were deemed 
necessary under the provisions of the Unfunded Mandates Reform Act of 
1995.

Small Business Regulatory Enforcement Fairness Act of 1996

    This final rule is not a major rule as defined by the Small 
Business Regulatory Enforcement Fairness Act of 1996. 5 U.S.C. 804. 
This rule will not result in an annual effect on the economy of $100 
million or more; a major increase in costs or prices; or significant 
adverse effects on competition, employment, investment, productivity, 
innovation, or on the ability of United States-based companies to 
compete with foreign-based companies in domestic and export markets.

Paperwork Reduction Act of 1995

    This final rule does not contain collection of information 
requirements. Therefore, clearance by the Office of Management and 
Budget under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq., is 
not required.

Executive Order 12988: Civil Justice Reform

    This final rule meets the applicable standards set forth in 
sections 3(a) and 3(b)(2) of Executive Order 12988.

List of Subjects

28 CFR Part 0

    Authority delegations (Government agencies), Government employees, 
Organization and functions (Governmental agencies), Whistleblowing.

28 CFR Part 16

    Administrative practice and procedure, Courts, Freedom of 
Information, Privacy, Sunshine Act.

28 CFR Part 20

    Classified information, Crime, Intergovernmental relations, 
Investigations, Law enforcement, Privacy.

28 CFR Part 50

    Administrative practice and procedure.


[[Page 52226]]


    Accordingly, Title 28 of the Code of Federal Regulations is amended 
as follows:

PART 0--ORGANIZATION OF THE DEPARTMENT OF JUSTICE

    1. The authority citation for part 0 continues to read as follows:

    Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510, 515-519.

    2. Amend Sec. 0.85 as follows:
    a. Remove the two references in paragraph (b) to ``fingerprint 
cards'' and add in their place the term ``fingerprints'';
    b. Revise paragraph (j) to read as follows:


Sec. 0.85  General functions.

* * * * *
    (j) Exercise the power and authority vested in the Attorney General 
to approve and conduct the exchanges of identification records 
enumerated at Sec. 50.12(a) of this chapter.
* * * * *

PART 16--PRODUCTION OR DISCLOSURE OF MATERIAL OR INFORMATION

    3. The authority citation for part 16 is revised to read as 
follows:

    Authority: 5 U.S.C. 301, 552, 552a, 552b(g), 553; 18 U.S.C. 
4203(a)(1); 28 U.S.C. 509, 510, 534; 31 U.S.C. 3717, 9701.

    4. Section 16.30 is revised to read as follows:


Sec. 16.30  Purpose and scope.

    This subpart contains the regulations of the Federal Bureau of 
Investigation (FBI) concerning procedures to be followed when the 
subject of an identification record requests production of that record 
to review it or to obtain a change, correction, or updating of that 
record.
    5. Section 16.31 is revised to read as follows:


Sec. 16.31  Definition of identification record.

    An FBI identification record, often referred to as a ``rap sheet,'' 
is a listing of certain information taken from fingerprint submissions 
retained by the FBI in connection with arrests and, in some instances, 
includes information taken from fingerprints submitted in connection 
with federal employment, naturalization, or military service. The 
identification record includes the name of the agency or institution 
that submitted the fingerprints to the FBI. If the fingerprints concern 
a criminal offense, the identification record includes the date of 
arrest or the date the individual was received by the agency submitting 
the fingerprints, the arrest charge, and the disposition of the arrest 
if known to the FBI. All arrest data included in an identification 
record are obtained from fingerprint submissions, disposition reports, 
and other reports submitted by agencies having criminal justice 
responsibilities. Therefore, the FBI Criminal Justice Information 
Services Division is not the source of the arrest data reflected on an 
identification record.
    6. Section 16.32 is amended by revising the first sentence to read 
as follows:


Sec. 16.32  Procedure to obtain an identification record.

    The subject of an identification record may obtain a copy thereof 
by submitting a written request via the U.S. mails directly to the FBI, 
Criminal Justice Information Services (CJIS) Division, ATTN: SCU, Mod. 
D-2, 1000 Custer Hollow Road, Clarksburg, WV
26306. * * *
    7. Section 16.33 is amended by adding two sentences at the end of 
this section to read as follows:


Sec. 16.33  Fee for production of identification record.

    * * * Subject to applicable laws, regulations, and directions of 
the Attorney General of the United States, the Director of the FBI may 
from time to time determine and establish a revised fee amount to be 
assessed under this authority. Notice relating to revised fee amounts 
shall be published in the Federal Register.


Sec. 16.34  [Amended]

    8. Section 16.34 is amended as follows:
    a. Remove the reference to the former address, from ``Assistant 
Director'' through zip code ``20537-9700,'' and add in its place the 
following new address: ``FBI, Criminal Justice Information Services 
(CJIS) Division, ATTN: SCU, Mod. D-2, 1000 Custer Hollow Road, 
Clarksburg, WV 26306'';
    b. Remove the remaining reference to ``FBI Identification 
Division'' and add in its place ``FBI CJIS Division.''

PART 20--CRIMINAL JUSTICE INFORMATION SYSTEMS

    9. The authority citation for Part 20 continues to read as follows:

    Authority: 28 U.S.C. 534; Pub. L. 92-544, 86 Stat. 1115; 42 
U.S.C. 3711, et seq., Pub. L. 99-169, 99 Stat. 1002, 1008-1011, as 
amended by Pub. L. 99-569, 100 Stat. 3190, 3196.

    10-11. Section 20.1 is revised to read as follows:


Sec. 20.1  Purpose.

    It is the purpose of these regulations to assure that criminal 
history record information wherever it appears is collected, stored, 
and disseminated in a manner to ensure the accuracy, completeness, 
currency, integrity, and security of such information and to protect 
individual privacy.
    12. Section 20.3 is revised to read as follows:


Sec. 20.3  Definitions.

    As used in these regulations:
    (a) Act means the Omnibus Crime Control and Safe Streets Act, 42 
U.S.C. 3701, et seq., as amended.
    (b) Administration of criminal justice means performance of any of 
the following activities: Detection, apprehension, detention, pretrial 
release, post-trial release, prosecution, adjudication, correctional 
supervision, or rehabilitation of accused persons or criminal 
offenders. The administration of criminal justice shall include 
criminal identification activities and the collection, storage, and 
dissemination of criminal history record information.
    (c) Control Terminal Agency means a duly authorized state, foreign, 
or international criminal justice agency with direct access to the 
National Crime Information Center telecommunications network providing 
statewide (or equivalent) service to its criminal justice users with 
respect to the various systems managed by the FBI CJIS Division.
    (d) Criminal history record information means information collected 
by criminal justice agencies on individuals consisting of identifiable 
descriptions and notations of arrests, detentions, indictments, 
informations, or other formal criminal charges, and any disposition 
arising therefrom, including acquittal, sentencing, correctional 
supervision, and release. The term does not include identification 
information such as fingerprint records if such information does not 
indicate the individual's involvement with the criminal justice system.
    (e) Criminal history record information system means a system 
including the equipment, facilities, procedures, agreements, and 
organizations thereof, for the collection, processing, preservation, or 
dissemination of criminal history record information.
    (f) Criminal history record repository means the state agency 
designated by the governor or other appropriate executive official or 
the legislature to perform centralized recordkeeping functions for 
criminal history records and services in the state.

[[Page 52227]]

    (g) Criminal justice agency means:
    (1) Courts; and
    (2) A governmental agency or any subunit thereof that performs the 
administration of criminal justice pursuant to a statute or executive 
order, and that allocates a substantial part of its annual budget to 
the administration of criminal justice. State and federal Inspector 
General Offices are included.
    (h) Direct access means having the authority to access systems 
managed by the FBI CJIS Division, whether by manual or automated 
methods, not requiring the assistance of or intervention by any other 
party or agency.
    (i) Disposition means information disclosing that criminal 
proceedings have been concluded and the nature of the termination, 
including information disclosing that the police have elected not to 
refer a matter to a prosecutor or that a prosecutor has elected not to 
commence criminal proceedings; or disclosing that proceedings have been 
indefinitely postponed and the reason for such postponement. 
Dispositions shall include, but shall not be limited to, acquittal, 
acquittal by reason of insanity, acquittal by reason of mental 
incompetence, case continued without finding, charge dismissed, charge 
dismissed due to insanity, charge dismissed due to mental incompetency, 
charge still pending due to insanity, charge still pending due to 
mental incompetence, guilty plea, nolle prosequi, no paper, nolo 
contendere plea, convicted, youthful offender determination, deceased, 
deferred disposition, dismissed-civil action, found insane, found 
mentally incompetent, pardoned, probation before conviction, sentence 
commuted, adjudication withheld, mistrial-defendant discharged, 
executive clemency, placed on probation, paroled, or released from 
correctional supervision.
    (j) Executive order means an order of the President of the United 
States or the Chief Executive of a state that has the force of law and 
that is published in a manner permitting regular public access.
    (k) Federal Service Coordinator means a non-Control Terminal Agency 
that has a direct telecommunications line to the National Crime 
Information Center network.
    (l) Fingerprint Identification Records System or ``FIRS'' means the 
following FBI records: Criminal fingerprints and/or related criminal 
justice information submitted by authorized agencies having criminal 
justice responsibilities; civil fingerprints submitted by federal 
agencies and civil fingerprints submitted by persons desiring to have 
their fingerprints placed on record for personal identification 
purposes; identification records, sometimes referred to as ``rap 
sheets,'' which are compilations of criminal history record information 
pertaining to individuals who have criminal fingerprints maintained in 
the FIRS; and a name index pertaining to all individuals whose 
fingerprints are maintained in the FIRS. See the FIRS Privacy Act 
System Notice periodically published in the Federal Register for 
further details.
    (m) Interstate Identification Index System or ``III System'' means 
the cooperative federal-state system for the exchange of criminal 
history records, and includes the National Identification Index, the 
National Fingerprint File, and, to the extent of their participation in 
such system, the criminal history record repositories of the states and 
the FBI.
    (n) National Crime Information Center or ``NCIC'' means the 
computerized information system, which includes telecommunications 
lines and any message switching facilities that are authorized by law, 
regulation, or policy approved by the Attorney General of the United 
States to link local, state, tribal, federal, foreign, and 
international criminal justice agencies for the purpose of exchanging 
NCIC related information. The NCIC includes, but is not limited to, 
information in the III System. See the NCIC Privacy Act System Notice 
periodically published in the Federal Register for further details.
    (o) National Fingerprint File or ``NFF'' means a database of 
fingerprints, or other uniquely personal identifying information, 
relating to an arrested or charged individual maintained by the FBI to 
provide positive identification of record subjects indexed in the III 
System.
    (p) National Identification Index or ``NII'' means an index 
maintained by the FBI consisting of names, identifying numbers, and 
other descriptive information relating to record subjects about whom 
there are criminal history records in the III System.
    (q) Nonconviction data means arrest information without disposition 
if an interval of one year has elapsed from the date of arrest and no 
active prosecution of the charge is pending; information disclosing 
that the police have elected not to refer a matter to a prosecutor, 
that a prosecutor has elected not to commence criminal proceedings, or 
that proceedings have been indefinitely postponed; and information that 
there has been an acquittal or a dismissal.
    (r) State means any state of the United States, the District of 
Columbia, the Commonwealth of Puerto Rico, and any territory or 
possession of the United States.
    (s) Statute means an Act of Congress or of a state legislature or a 
provision of the Constitution of the United States or of a state.
    13. Subpart C is revised to read as follows:

Subpart C--Federal Systems and Exchange of Criminal History Record 
Information

Sec.
20.30  Applicability.
20.31  Responsibilities.
20.32  Includable offenses.
20.33  Dissemination of criminal history record information.
20.34  Individual's right to access criminal history record 
information.
20.35  Criminal Justice Information Services Advisory Policy Board.
20.36  Participation in the Interstate Identification Index System.
20.37  Responsibility for accuracy, completeness, currency, and 
integrity.
20.38  Sanction for noncompliance.

Subpart C--Federal Systems and Exchange of Criminal History Record 
Information


Sec. 20.30  Applicability.

    The provisions of this subpart of the regulations apply to the III 
System and the FIRS, and to duly authorized local, state, tribal, 
federal, foreign, and international criminal justice agencies to the 
extent that they utilize the services of the III System or the FIRS. 
This subpart is applicable to both manual and automated criminal 
history records.


Sec. 20.31  Responsibilities.

    (a) The Federal Bureau of Investigation (FBI) shall manage the 
NCIC.
    (b) The FBI shall manage the FIRS to support identification and 
criminal history record information functions for local, state, tribal, 
and federal criminal justice agencies, and for noncriminal justice 
agencies and other entities where authorized by federal statute, state 
statute pursuant to Public Law 92-544, 86 Stat. 1115, Presidential 
executive order, or regulation or order of the Attorney General of the 
United States.
    (c) The FBI CJIS Division may manage or utilize additional 
telecommunication facilities for the exchange of fingerprints, criminal 
history record related information, and other criminal justice 
information.
    (d) The FBI CJIS Division shall maintain the master fingerprint 
files on all offenders included in the III System and the FIRS for the 
purposes of determining first offender status; to identify those 
offenders who are

[[Page 52228]]

unknown in states where they become criminally active but are known in 
other states through prior criminal history records; and to provide 
identification assistance in disasters and for other humanitarian 
purposes.


Sec. 20.32  Includable offenses.

    (a) Criminal history record information maintained in the III 
System and the FIRS shall include serious and/or significant adult and 
juvenile offenses.
    (b) The FIRS excludes arrests and court actions concerning 
nonserious offenses, e.g., drunkenness, vagrancy, disturbing the peace, 
curfew violation, loitering, false fire alarm, non-specific charges of 
suspicion or investigation, and traffic violations (except data will be 
included on arrests for vehicular manslaughter, driving under the 
influence of drugs or liquor, and hit and run), when unaccompanied by a 
Sec. 20.32(a) offense. These exclusions may not be applicable to 
criminal history records maintained in state criminal history record 
repositories, including those states participating in the NFF.
    (c) The exclusions enumerated above shall not apply to federal 
manual criminal history record information collected, maintained, and 
compiled by the FBI prior to the effective date of this subpart.


Sec. 20.33  Dissemination of criminal history record information.

    (a) Criminal history record information contained in the III System 
and the FIRS may be made available:
    (1) To criminal justice agencies for criminal justice purposes, 
which purposes include the screening of employees or applicants for 
employment hired by criminal justice agencies;
    (2) To federal agencies authorized to receive it pursuant to 
federal statute or Executive order;
    (3) For use in connection with licensing or employment, pursuant to 
Public Law 92-544, 86 Stat. 1115, or other federal legislation, and for 
other uses for which dissemination is authorized by federal law. Refer 
to Sec. 50.12 of this chapter for dissemination guidelines relating to 
requests processed under this paragraph;
    (4) For issuance of press releases and publicity designed to effect 
the apprehension of wanted persons in connection with serious or 
significant offenses;
    (5) To criminal justice agencies for the conduct of background 
checks under the National Instant Criminal Background Check System 
(NICS);
    (6) To noncriminal justice governmental agencies performing 
criminal justice dispatching functions or data processing/ information 
services for criminal justice agencies; and
    (7) To private contractors pursuant to a specific agreement with an 
agency identified in paragraphs (a)(1) or (a)(6) of this section and 
for the purpose of providing services for the administration of 
criminal justice pursuant to that agreement. The agreement must 
incorporate a security addendum approved by the Attorney General of the 
United States, which shall specifically authorize access to criminal 
history record information, limit the use of the information to the 
purposes for which it is provided, ensure the security and 
confidentiality of the information consistent with these regulations, 
provide for sanctions, and contain such other provisions as the 
Attorney General may require. The power and authority of the Attorney 
General hereunder shall be exercised by the FBI Director (or the 
Director's designee).
    (b) The exchange of criminal history record information authorized 
by paragraph (a) of this section is subject to cancellation if 
dissemination is made outside the receiving departments, related 
agencies, or service providers identified in paragraphs (a)(6) and 
(a)(7) of this section.
    (c) Nothing in these regulations prevents a criminal justice agency 
from disclosing to the public factual information concerning the status 
of an investigation, the apprehension, arrest, release, or prosecution 
of an individual, the adjudication of charges, or the correctional 
status of an individual, which is reasonably contemporaneous with the 
event to which the information relates.
    (d) Criminal history records received from the III System or the 
FIRS shall be used only for the purpose requested and a current record 
should be requested when needed for a subsequent authorized use.


Sec. 20.34  Individual's right to access criminal history record 
information.

    The procedures by which an individual may obtain a copy of his or 
her identification record from the FBI to review and request any 
change, correction, or update are set forth in Secs. 16.30-16.34 of 
this chapter. The procedures by which an individual may obtain a copy 
of his or her identification record from a state or local criminal 
justice agency are set forth in Sec. 20.34 of the appendix to this 
part.


Sec. 20.35  Criminal Justice Information Services Advisory Policy 
Board.

    (a) There is established a CJIS Advisory Policy Board, the purpose 
of which is to recommend to the FBI Director general policy with 
respect to the philosophy, concept, and operational principles of 
various criminal justice information systems managed by the FBI's CJIS 
Division.
    (b) The Board includes representatives from state and local 
criminal justice agencies; members of the judicial, prosecutorial, and 
correctional segments of the criminal justice community; a 
representative of federal agencies participating in the CJIS systems; 
and representatives of criminal justice professional associations.
    (c) All members of the Board will be appointed by the FBI Director.
    (d) The Board functions solely as an advisory body in compliance 
with the provisions of the Federal Advisory Committee Act. Title 5, 
United States Code, Appendix 2.


Sec. 20.36  Participation in the Interstate Identification Index 
System.

    (a) In order to acquire and retain direct access to the III System, 
each Control Terminal Agency and Federal Service Coordinator shall 
execute a CJIS User Agreement (or its functional equivalent) with the 
Assistant Director in Charge of the CJIS Division, FBI, to abide by all 
present rules, policies, and procedures of the NCIC, as well as any 
rules, policies, and procedures hereinafter recommended by the CJIS 
Advisory Policy Board and adopted by the FBI Director.
    (b) Entry or updating of criminal history record information in the 
III System will be accepted only from state or federal agencies 
authorized by the FBI. Terminal devices in other agencies will be 
limited to inquiries.


Sec. 20.37  Responsibility for accuracy, completeness, currency, and 
integrity.

    It shall be the responsibility of each criminal justice agency 
contributing data to the III System and the FIRS to assure that 
information on individuals is kept complete, accurate, and current so 
that all such records shall contain to the maximum extent feasible 
dispositions for all arrest data included therein. Dispositions should 
be submitted by criminal justice agencies within 120 days after the 
disposition has occurred.


Sec. 20.38  Sanction for noncompliance.

    Access to systems managed or maintained by the FBI is subject to 
cancellation in regard to any agency or entity that fails to comply 
with the provisions of subpart C of this part.

[[Page 52229]]

    14. The appendix to part 20 is amended by revising the commentary 
for subparts A and C to read as follows:

Appendix to Part 20--Commentary on Selected Sections of the Regulations 
on Criminal History Record Information Systems

    Subpart A-Sec. 20.3(d). The definition of criminal history 
record information is intended to include the basic offender-based 
transaction statistics/III System (OBTS/III) data elements. If 
notations of an arrest, disposition, or other formal criminal 
justice transaction occurs in records other than the traditional 
``rap sheet,'' such as arrest reports, any criminal history record 
information contained in such reports comes under the definition of 
this subsection.
    The definition, however, does not extend to other information 
contained in criminal justice agency reports. Intelligence or 
investigative information (e.g., suspected criminal activity, 
associates, hangouts, financial information, and ownership of 
property and vehicles) is not included in the definition of criminal 
history information.
    Sec. 20.3(g). The definitions of criminal justice agency and 
administration of criminal justice in Sec. 20.3(b) of this part must 
be considered together. Included as criminal justice agencies would 
be traditional police, courts, and corrections agencies, as well as 
subunits of noncriminal justice agencies that perform the 
administration of criminal justice pursuant to a federal or state 
statute or executive order and allocate a substantial portion of 
their budgets to the administration of criminal justice. The above 
subunits of noncriminal justice agencies would include, for example, 
the Office of Investigation of the Food and Drug Administration, 
which has as its principal function the detection and apprehension 
of persons violating criminal provisions of the Federal Food, Drug 
and Cosmetic Act. Also included under the definition of criminal 
justice agency are umbrella-type administrative agencies supplying 
criminal history information services, such as New York's Division 
of Criminal Justice Services.
    Sec. 20.3(i). Disposition is a key concept in section 524(b) of 
the Act and in Secs. 20.21(a)(1) and 20.21(b) of this part. It 
therefore is defined in some detail. The specific dispositions 
listed in this subsection are examples only and are not to be 
construed as excluding other, unspecified transactions concluding 
criminal proceedings within a particular agency.
    Sec. 20.3(q). The different kinds of acquittals and dismissals 
delineated in Sec. 20.3(i) are all considered examples of 
nonconviction data.
* * * * *
    Subpart C-Sec. 20.31. This section defines the criminal history 
record information system managed by the Federal Bureau of 
Investigation. Each state having a record in the III System must 
have fingerprints on file in the FBI CJIS Division to support the 
III System record concerning the individual.
    Paragraph (b) is not intended to limit the identification 
services presently performed by the FBI for local, state, tribal, 
and federal agencies.
    Sec. 20.32. The grandfather clause contained in paragraph (c) of 
this section is designed, from a practical standpoint, to eliminate 
the necessity of deleting from the FBI's massive files the non-
includable offenses that were stored prior to February, 1973. In the 
event a person is charged in court with a serious or significant 
offense arising out of an arrest involving a non-includable offense, 
the non-includable offense will also appear in the arrest segment of 
the III System record.
    Sec. 20.33(a)(3). This paragraph incorporates provisions cited 
in 28 CFR 50.12 regarding dissemination of identification records 
outside the federal government for noncriminal justice purposes.
    Sec. 20.33(a)(6). Noncriminal justice governmental agencies are 
sometimes tasked to perform criminal justice dispatching functions 
or data processing/information services for criminal justice 
agencies as part, albeit not a principal part, of their 
responsibilities. Although such inter-governmental delegated tasks 
involve the administration of criminal justice, performance of those 
tasks does not convert an otherwise non-criminal justice agency to a 
criminal justice agency. This regulation authorizes this type of 
delegation if it is effected pursuant to executive order, statute, 
regulation, or interagency agreement. In this context, the 
noncriminal justice agency is servicing the criminal justice agency 
by performing an administration of criminal justice function and is 
permitted access to criminal history record information to 
accomplish that limited function. An example of such delegation 
would be the Pennsylvania Department of Administration's Bureau of 
Consolidated Computer Services, which performs data processing for 
several state agencies, including the Pennsylvania State Police. 
Privatization of the data processing/information services or 
dispatching function by the noncriminal justice governmental agency 
can be accomplished pursuant to Sec. 20.33(a)(7) of this part.
    Sec. 20.34. The procedures by which an individual may obtain a 
copy of his manual identification record are set forth in 28 CFR 
16.30-16.34.
    The procedures by which an individual may obtain a copy of his 
III System record are as follows: If an individual has a criminal 
record supported by fingerprints and that record has been entered in 
the III System, it is available to that individual for review, upon 
presentation of appropriate identification, and in accordance with 
applicable state and federal administrative and statutory 
regulations. Appropriate identification includes being fingerprinted 
for the purpose of insuring that he is the individual that he 
purports to be. The record on file will then be verified as his 
through comparison of fingerprints.
    Procedure. 1. All requests for review must be made by the 
subject of the record through a law enforcement agency which has 
access to the III System. That agency within statutory or regulatory 
limits can require additional identification to assist in securing a 
positive identification.
    2. If the cooperating law enforcement agency can make an 
identification with fingerprints previously taken which are on file 
locally and if the FBI identification number of the individual's 
record is available to that agency, it can make an on-line inquiry 
through NCIC to obtain his III System record or, if it does not have 
suitable equipment to obtain an on-line response, obtain the record 
from Clarksburg, West Virginia, by mail. The individual will then be 
afforded the opportunity to see that record.
    3. Should the cooperating law enforcement agency not have the 
individual's fingerprints on file locally, it is necessary for that 
agency to relate his prints to an existing record by having his 
identification prints compared with those already on file in the 
FBI, or, possibly, in the state's central identification agency.
    4. The subject of the requested record shall request the 
appropriate arresting agency, court, or correctional agency to 
initiate action necessary to correct any stated inaccuracy in his 
record or provide the information needed to make the record 
complete.
    Sec. 20.36. This section refers to the requirements for 
obtaining direct access to the III System.
    Sec. 20.37. The 120-day requirement in this section allows 30 
days more than the similar provision in subpart B in order to allow 
for processing time that may be needed by the states before 
forwarding the disposition to the FBI.

PART 50--STATEMENTS OF POLICY

    15. The authority citation for part 50 continues to read as 
follows:

    Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510; and 42 U.S.C. 1921 
et seq., 1973c.

    16. Section 50.12 is revised to read as follows:


Sec. 50.12  Exchange of FBI identification records.

    (a) The Federal Bureau of Investigation, hereinafter referred to as 
the FBI, is authorized to expend funds for the exchange of 
identification records with officials of federally chartered or insured 
banking institutions to promote or maintain the security of those 
institutions and, if authorized by state statute and approved by the 
Director of the FBI, acting on behalf of the Attorney General, with 
officials of state and local governments for purposes of employment and 
licensing, pursuant to section 201 of Public Law 92-544, 86 Stat. 1115. 
Also, pursuant to 15 U.S.C. 78q, 7 U.S.C. 21 (b)(4)(E), and 42 U.S.C. 
2169, respectively, such records can be exchanged with certain segments 
of the securities industry, with registered futures associations, and 
with nuclear power plants. The records also may be exchanged in other 
instances as authorized by federal law.
    (b) The FBI Director is authorized by 28 CFR 0.85(j) to approve 
procedures relating to the exchange of identification

[[Page 52230]]

records. Under this authority, effective September 6, 1990, the FBI 
Criminal Justice Information Services (CJIS) Division has made all data 
on identification records available for such purposes. Records obtained 
under this authority may be used solely for the purpose requested and 
cannot be disseminated outside the receiving departments, related 
agencies, or other authorized entities. Officials at the governmental 
institutions and other entities authorized to submit fingerprints and 
receive FBI identification records under this authority must notify the 
individuals fingerprinted that the fingerprints will be used to check 
the criminal history records of the FBI. The officials making the 
determination of suitability for licensing or employment shall provide 
the applicants the opportunity to complete, or challenge the accuracy 
of, the information contained in the FBI identification record. These 
officials also must advise the applicants that procedures for obtaining 
a change, correction, or updating of an FBI identification record are 
set forth in 28 CFR 16.34. Officials making such determinations should 
not deny the license or employment based on information in the record 
until the applicant has been afforded a reasonable time to correct or 
complete the record, or has declined to do so. A statement 
incorporating these use-and-challenge requirements will be placed on 
all records disseminated under this program. This policy is intended to 
ensure that all relevant criminal record information is made available 
to provide for the public safety and, further, to protect the interests 
of the prospective employee/licensee who may be affected by the 
information or lack of information in an identification record.

    Dated: September 16, 1999.
Janet Reno,
Attorney General.
[FR Doc. 99-24988 Filed 9-27-99; 8:45 am]
BILLING CODE 4410-02-p