[Federal Register Volume 66, Number 98 (Monday, May 21, 2001)]
[Rules and Regulations]
[Pages 27861-27863]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-12533]


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NATIONAL CRIME PREVENTION AND PRIVACY COMPACT COUNCIL

28 CFR Chapter IX

[NCPPC 100-F]


Fingerprint Submission Requirements

AGENCY: National Crime Prevention and Privacy Compact Council.

ACTION: Final rule.

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SUMMARY: The Compact Council, established pursuant to the National 
Crime Prevention and Privacy Compact (Compact), is publishing a rule 
interpreting the Compact's fingerprint-submission requirements as they 
relate to the use of the Interstate Identification Index (III) for 
noncriminal justice record checks during an emergency situation when 
the health and safety of a specified group may be endangered. Pursuant 
to the rule, the Compact Council has approved a proposal from a state 
requesting the delayed submission

[[Page 27862]]

of fingerprints in connection with criminal history records searches 
conducted for the purpose of the emergency placement of children with 
temporary custodians. The Council's approval of such a state request is 
being published in the Notice section of today's Federal Register.

EFFECTIVE DATE: This final rule is effective May 21, 2001.

FOR FURTHER INFORMATION CONTACT: Mr. Wilbur Rehmann, Compact Council 
Chairman, Montana Department of Justice, 303 North Roberts, 4th Floor, 
Post Office Box 201406, Helena, Montana 59620-1406, telephone number 
(406) 444-6194.

SUPPLEMENTARY INFORMATION: The National Crime Prevention and Privacy 
Compact, 42 U.S.C. 14611-16, establishes uniform standards and 
processes for the interstate and federal-state exchange of criminal 
history records for noncriminal justice purposes. The Compact was 
signed into law on October 9, 1998, (Pub. L. 105-251) and became 
effective on April 28, 1999 when ratified by the second State.

Background

    The Compact requires that subject's fingerprints or other approved 
forms of positive identification ``shall be submitted with all requests 
for criminal history record checks for noncriminal justice purposes.'' 
See 42 U.S.C. 14616, Article V (a). The Compact Council recognizes the 
extreme reliability of fingerprint-based identifications and believes 
that the above quoted provision requires that, whenever feasible, 
fingerprints should be submitted contemporaneously with search 
requests. However, the Council acknowledges that there are exigent 
circumstances in which time is a critical factor in decision making and 
in which the immediate fingerprinting of the subject is not feasible. 
In such emergency circumstances, the Council believes that the Compact 
permits preliminary name searches of the III System to be conducted for 
noncriminal justice purposes, provided that subject's fingerprints are 
obtained and submitted at the earliest time feasible. This procedure 
allows access to criminal history record information in a timely manner 
in exigent circumstances with follow-up positive identification assured 
by fingerprint submissions.
    The rule published herein authorizes state criminal history record 
repositories and the FBI, upon approval by the Compact Council, to 
grant access to the III System in emergency situations on a delayed 
fingerprint submission basis, predicated upon a statute approved by the 
U.S. Attorney General pursuant to Pub. L. 92-544 and Article III (c) of 
the Compact. Access authorized by the rule shall adhere to both the 
Criminal Justice Information Services Security Policy and applicable 
state security policies. A noncriminal justice agency granted access to 
the III must adhere to applicable federal and state audit protocols. 
Violation and/or misuse of the authorized access granted may result in 
sanctions from the Compact Council, which may include the 
discontinuance of services.
    Proposals to the Compact Council for granting of delayed 
fingerprint submission under the rule should be sent to the Compact 
Council Chairman at the address set out above. Such proposals should 
include information sufficient to fully describe the emergency nature 
of the situation in which delayed submission authority is being sought, 
the risk to the health or safety of the individuals involved, and the 
reasons why the submission of fingerprints contemporaneously with the 
search request is not feasible.
    The rule (Sec. 901.3) provides that once a proposal from any state 
has been approved by the Compact Council, other states may apply for 
delayed submission authority consistent with that approved proposal 
through application to the FBI's Compact Officer. For example, 
applications for such authority dealing with the emergency placement of 
children, a proposal for which has been approved by the Council in a 
notice published separately in today's Federal Register, may be filed 
with the FBI's Compact Officer rather than with the Council Chairman.

Administrative Procedures and Executive Orders

Administrative Procedures Act

    This rule is published by the Compact Council as authorized by the 
National Crime Prevention and Privacy Compact (Compact), an interstate/
federal compact which was approved and enacted into law by Congress 
pursuant to Pub. L. 105-251. The Compact Council is composed of 15 
members (with 11 state and local governmental representatives), and is 
authorized by the Compact to promulgate rules and procedures for the 
effective and proper use of the Interstate Identification Index (III) 
System for noncriminal justice purposes. The Compact specifically 
provides that the Council shall prescribe rules and procedures for the 
effective and proper use of the III System for noncriminal justice 
purposes, and mandates that such rules, procedures, or standards 
established by the Council shall be published in the Federal Register. 
See 42 U.S.C. 14616, Articles II(4) and VI(a)(1), (e). This publication 
complies with those requirements.

Executive Order 12866

    The Compact Council is not an executive department or independent 
regulatory agency as defined in 44 U.S.C. 3502; accordingly, Executive 
Order 12866 is not applicable.

Executive Order 13132

    The Compact Council is not an executive department or independent 
regulatory agency as defined in 44 U.S.C. 3502; accordingly, Executive 
Order 13132 is not applicable. Nonetheless, this Rule fully complies 
with the intent that the national government should be deferential to 
the States when taking action that affects the policymaking discretion 
of the States.

Executive Order 12988

    The Compact Council is not an executive agency or independent 
establishment as defined in 5 U.S.C. 105; accordingly, Executive Order 
12988 is not applicable.

Unfunded Mandates Reform Act

    Approximately 75 percent of the Compact Council members are 
representatives of state and local governments; accordingly, rules 
prescribed by the Compact Council are not Federal mandates. 
Accordingly, no actions are deemed necessary under the provisions of 
the Unfunded Mandates Reform Act of 1995.

Small Business Regulatory Enforcement Fairness Act of 1996

    The Small Business Regulatory Enforcement Fairness Act (Title 5, 
U.S.C. 801-804) is not applicable to the Council's rule because the 
Compact Council is not a ``Federal agency'' as defined by 5 U.S.C. 
804(1). Likewise, the reporting requirement of the Congressional Review 
Act (Subtitle E of the Small Business Regulatory Enforcement Fairness 
Act) does not apply. See 5 U.S.C. 804.

List of Subjects in 28 CFR Part 901

    Crime, Health, Privacy, Safety.

    Accordingly, for the reasons set forth above, and by the authority 
vested in the National Crime Prevention and Privacy Compact, Title 28 
of the Code of Federal Regulations is amended by establishing a new 
chapter IX consisting of Part 901 to read as follows:

[[Page 27863]]

CHAPTER IX--NATIONAL CRIME PREVENTION AND PRIVACY COMPACT COUNCIL

Part

901  Fingerprint Submission Requirements

PART 901--FINGERPRINT SUBMISSION REQUIREMENTS

Sec.
901.1   Purpose and authority.
901.2   Interpretation of fingerprint submission requirements.
901.3   Approval of delayed fingerprint submission request.

    Authority: 42 U.S.C. 14616.

PART 901--FINGERPRINT SUBMISSION REQUIREMENTS


Sec. 901.1  Purpose and authority.

    The Compact Council is established pursuant to the National Crime 
Prevention and Privacy Compact (Compact), Title 42, U.S.C., Chapter 
140, Subchapter II, Section 14616. The purpose of these provisions is 
to interpret the Compact, as it applies to the required submission of 
fingerprints, along with requests for Interstate Identification Index 
(III) records, by agencies authorized to access and receive criminal 
history records under Public Law 92-544, and to establish protocols and 
procedures applicable to the III and its use for noncriminal justice 
purposes.


Sec. 901.2  Interpretation of fingerprint submission requirements.

    (a) Article V of the Compact requires the submission of 
fingerprints or other approved forms of positive identification with 
requests for criminal history record checks for noncriminal justice 
purposes. The Compact Council finds that the requirement for the 
submission of fingerprints may be satisfied in two ways:
    (1) The fingerprints should be submitted contemporaneously with the 
request for criminal history information, or
    (2) For purposes approved by the Compact Council, a delayed 
submission of fingerprints may be permissible under exigent 
circumstances.
    (b) The Compact Council further finds that a preliminary III name 
based check may be made pending the receipt of the delayed submission 
of the fingerprints. The state repository may authorize terminal access 
to authorized agencies designated by the state, to enable them to 
conduct such checks. Such access must be made pursuant to the security 
policy set forth by the state's Control Terminal Agency.


Sec. 901.3  Approval of delayed fingerprint submission request.

    (a) A State may, based upon exigent circumstances, apply for 
delayed submission of fingerprints supporting requests for III records 
by agencies authorized to access and receive criminal history records 
under Public Law 92-544. Such applications must be sent to the Compact 
Council Chairman and include information sufficient to fully describe 
the emergency nature of the situation in which delayed submission 
authority is being sought, the risk to health and safety of the 
individuals involved, and the reasons why the submission of 
fingerprints contemporaneously with the search request is not feasible.
    (b) In evaluating requests for delayed submissions, the Compact 
Council must utilize the following criteria:
    (1) The risk to health and safety; and
    (2) The emergency nature of the request.
    Upon approval of the application by the Compact Council, the 
authorized agency may conduct a III name check pending submission of 
the fingerprints. The fingerprints must be submitted within the time 
frame specified by the Compact Council.
    (c) Once a specific proposal has been approved by the Compact 
Council, another state may apply for delayed fingerprint submission 
consistent with the approved proposal, provided that the state has a 
related Public Law 92-544 approved state statute, by submitting the 
application to the FBI's Compact Officer.

    Dated: May 3, 2001.
Wilbur Rehmann,
Compact Council Chairman.
[FR Doc. 01-12533 Filed 5-18-01; 8:45 am]
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