[Federal Register Volume 68, Number 90 (Friday, May 9, 2003)]
[Notices]
[Pages 24974-24978]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-11581]


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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: Notice to amend a records system.

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[[Page 24975]]

SUMMARY: The Department of the Navy proposes to amend a system of 
records notices in its inventory of record systems subject to the 
Privacy Act of 1974 (5 U.S.C. 552a), as amended.

DATES: The amendments will be effective on June 9, 2003 unless comments 
are received that would result in a contrary determination.

ADDRESSES: Send comments to Department of the Navy, PA/FOIA Policy 
Branch, Chief of Naval Operations, N09B10, 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 Department of the Navy proposes to amend 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. The amendments to the system of 
records are not within the purview of subsection (r) of the Privacy Act 
of 1974 (5 U.S.C. 552a), as amended, which requires the submission of 
new or altered system report. The records system being amended is set 
forth below, as amended, published in its entirety.

    Dated: May 2, 2003.
Patricia L. Toppings,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
N05520-5

System name:
    Personnel Security Program Management Records System (January 23, 
1998, 63 FR 3546).

Changes:
* * * * *

Categories of records in the system:
    Delete the first paragraph and replace with ``Individual''s name 
(both current, former, and alternate names), Social Security Number, 
date and place of birth, citizenship status and the unit identification 
code (UIC) of the individual's assignment. Other data elements track 
the individual's status in the clearance adjudication process and 
records the final determination. Data files may also include duty-
assignment designations and sensitivity levels, as well as specific 
access such as cryptographic information access or participation in the 
Personnel Reliability Program.''
* * * * *

Safeguards:
    Delete entry and replace with ``Buildings are security-controlled 
areas accessible only to authorized persons. Department of the Navy 
Central Adjudications Facility (DON CAF) primary system paper, 
microfilm and electronic/optical imaged records are maintained in 
General Service Administration (GSA) approved security containers and/
or are stored in security controlled areas accessible only to 
authorized persons. If classified, locally generated paper security 
records and/or copies of investigative reports are stored in a vault, 
safe, or steel file cabinet having at least a lock bar and approved 
three-position, dial type lock combination padlock, or in similarly 
protected containers. Sensitive but unclassified records are stored on 
open shelves and filing cabinets located in secure areas accessible 
only to authorized personnel. Electronically and optically stored 
records are maintained in a ``fail-safe'' system software with password 
protected access. Records are accessible only to authorized persons 
with a need-to-know who are properly screened, cleared, and trained.
    Files transferred to the NCIS Records Management Division for 
storage are in an alarmed area approved for open storage, monitored and 
stored on open shelves, in GSA approved security containers and filing 
cabinets located in secure areas accessible only to authorized 
personnel.
    DON CAF employees authorized to work offsite will safeguard 
government/agency records from unauthorized disclosure or damage by 
transporting only unclassified records in secured briefcases, satchels 
or boxes. When not in use by the offsite employee, all records or case-
related material is stored in a locked file cabinet or desk in the 
areas designated that is accessible only to authorized persons. Some 
documents will be prepared on government computers by DON CAF employees 
at designated offsite locations. When offsite, computers are not 
authorized to be connected to any network, and no data is authorized to 
be stored to any employee's personal computer storage device. Documents 
prepared at designated offsite locations and or temporarily held for 
the purposes of offsite work will not be printed at any unauthorized 
offsite location.''

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

[[Page 24976]]

or affiliation. General and flag officer data records are maintained 
until the individual's death. Destruction of records will be by 
shredding, burning, or pulping for paper records; burning for microform 
records and magnetic erasing for computerized records. Optical digital 
data and CD-ROM records are destroyed as required by Information 
Assurance Remanence Security Publication 5239-26 of May 2000.
* * * * *

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

Exemptions claimed for the system:
    Delete the first paragraph.
* * * * *
N05520-5

System name:
    Personnel Security Program Management Records System.

System location:
    Department of the Navy Central Adjudication Facility, Building 176, 
716 Sicard Street SE., Suite 2000, Washington Navy Yard, DC 20388-5389 
with some portions of the record created and temporarily held at 
designated off-site locations.

System computer facility:
    Defense Security Service, Personnel Investigations Center, 88 
Eldridge Landing Road, Linthicum, MD 21090-2902.

Record documentation:
    Naval Criminal Investigative Service, 716 Sicard Street SE., Suite 
2000, Washington Navy Yard, DC 20388-5380.

Decentralized segments:
    The security office of command to which the individual is assigned; 
Naval Security Group, 9800 Savage Road, Fort Meade, MD 20755-6585; 
Office of Naval Intelligence (OCB3), 4251 Suitland Road, Washington, DC 
20395-5720; and, Headquarters, Naval Criminal Investigative Service, 
716 Sicard Street SE., Suite 2000, Washington Navy Yard, DC 20388-5380.
    Additionally, duplicate portions of records may be held by the Navy 
Personnel Command (Pers-83), 5720 Integrity Drive, Millington, TN 
38055-0600; servicing Human Resource Offices; Naval Reserve Personnel 
Center, 4400 Dauphine Boulevard, New Orleans, LA 70149-7800; 
Headquarters, U.S. Marine Corps (Code MIF), James Wesley Marsh Center, 
3280 Russell Road, Quantico, VA 22143-5103; and, the security office at 
the local activity to which the individual is assigned. Official 
mailing addresses are published as an appendix to the Navy's 
compilation of system of record notices.

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

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

Authority for maintenance of the system:
    5 U.S.C. 301, Departmental Regulations; 5 U.S.C. 7311; 10 U.S.C. 
5013; and E.O. 9397 (SSN); E.O. 10450, Security Requirements for 
Government Employees, in particular sections 2-9, and 14; E.O. 12958, 
Classified National Security Information; E.O. 12968, Access to 
Classified Information; DoD Regulation 5200.2-R, Personnel Security 
Program Regulation; and OPNAV Instruction 5510.30A, Department of Navy 
Personnel Security Program.

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

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, these records or information contained 
therein may specifically be disclosed outside the DoD as a routine use 
pursuant to 5 U.S.C. 552a(b)(3) as follows:
    To the White House to obtain approval of the President of the 
United States regarding certain military personnel officer actions as 
provided for in DoD Instruction 1320.4, Military Officer Actions 
Requiring Approval of

[[Page 24977]]

the Secretary of Defense or the President, or Confirmation by the 
Senate.
    To the Immigration and Naturalization Service for use in alien 
admission and naturalization inquiries for purposes of determining 
access to National Security information.
    The DoD ``Blanket Routine Uses'' that appear at the beginning of 
the Navy's compilation of systems notices apply to this system.

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

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

Safeguards:
    Buildings are security-controlled areas accessible only to 
authorized persons. Department of the Navy Central Adjudications 
Facility (DON CAF) primary system paper, microfilm and electronic/
optical imaged records are maintained in General Service Administration 
(GSA) approved security containers and/or are stored in security 
controlled areas accessible only to authorized persons. If classified, 
locally generated paper security records and/or copies of investigative 
reports are stored in a vault, safe, or steel file cabinet having at 
least a lock bar and approved three-position, dial type lock 
combination padlock, or in similarly protected containers. Sensitive 
but unclassified records are stored on open shelves and filing cabinets 
located in secure areas accessible only to authorized personnel. 
Electronically and optically stored records are maintained in a ``fail-
safe'' system software with password protected access. Records are 
accessible only to authorized persons with a need-to-know who are 
properly screened, cleared, and trained.
    Files transferred to the NCIS Records Management Division for 
storage are in an alarmed area approved for open storage, monitored and 
stored on open shelves, in GSA approved security containers and filing 
cabinets located in secure areas accessible only to authorized 
personnel.
    DON CAF employees authorized to work offsite will safeguard 
government/agency records from unauthorized disclosure or damage by 
transporting only unclassified records in secured briefcases, satchels 
or boxes. When not in use by the offsite employee, all records or case-
related material is stored in a locked file cabinet or desk in the 
areas designated that is accessible only to authorized persons. Some 
documents will be prepared on government computers by DON CAF employees 
at designated offsite locations. When offsite, computers are not 
authorized to be connected to any network, and no data is authorized to 
be stored to any employee's personal computer storage device. Documents 
prepared at designated offsite locations and or temporarily held for 
the purposes of offsite work will not be printed at any unauthorized 
offsite location.

Retention and disposal:
    Investigative/adjudicative records on non-DoD-affiliated persons 
who are considered for affiliation with DoD are destroyed after 1 year 
if affiliation is not completed.
    Adjudication decisions that are entered into electronic systems 
such as JPAS and NJACS, to include decisions by DON CAF employees based 
on contractor case review records containing recommendations on the 
suitability of individuals for security clearance and reviews with no 
or minor issues that do not require the creation of a dossier, are 
destroyed/deleted 1 year after affiliation is terminated. Reviews with 
issues are filed for 15 or 25 years as cited below. Contractor case 
review records are destroyed one year after verification that the case 
review record information is accurately entered into the electronic 
system.
    Investigative/DON CAF adjudicative records of a routine nature are 
retained in the active file until final adjudicative decision is made; 
then retired to NCIS Records Management Division and retained for 15 
years after last action reflected in the file, except that files that 
contain significant derogatory information and/or resulted in adverse 
action(s) against the individual are destroyed after 25 years. 
Administrative papers not included in the case file are destroyed 1 
year after closure or when no longer needed, whichever is later. 
Records determined to be of historical value, of wide spread value or 
Congressional interest are permanent. They will be retained for 25 
years after the date of last action reflected in the file and then 
permanently transferred to the National Archives. Classified 
nondisclosure agreements if maintained separately from the individual's 
official personnel folder will be destroyed when 70 years old. If 
maintained in the individual's personnel folder, the disposition for 
the official personnel file applies. Locally stored case file paper or 
automated access records are destroyed when employee/service member is 
separated or departs the command, except for access determinations not 
recorded in official personnel folders. They are destroyed 2 years 
after the person departs the command. However, once affiliation is 
terminated, acquiring and adding material to the file is prohibited 
unless affiliation is renewed. The automated NJACS maintains records on 
persons as long as they continue to be employed by or affiliated with 
the DON. NJACS computer data records are purged two years after an 
individual terminates DON employment or affiliation. General and flag 
officer data records are maintained until the individual's death. 
Destruction of records will be by shredding, burning, or pulping for 
paper records; burning for microform records and magnetic erasing for 
computerized records. Optical digital data and CD-ROM records are 
destroyed as required by Information Assurance Remanence Security 
Publication 5239-26 of May 2000.

System manager(s) and address:
    Director, Department of the Navy Central Adjudication Facility, 
Building 176, 716 Sicard Street SE, Suite 2000, Washington Navy Yard, 
DC 20388-5389.

Notification procedure:
    Individuals seeking to determine whether this system of records 
contains information about themselves should address written inquiries 
to the Director, Department of the Navy Central Adjudication Facility, 
Building 176, 716 Sicard Street SE., Suite 2000, Washington Navy Yard, 
DC 20388-5389 or to the Commanding Officer/Director of the activity in 
question. Official mailing addresses are published as an appendix to 
the Navy's compilation of systems of records notices.
    Individuals requesting personal records must properly establish 
their identity to the satisfaction of the Director, Navy Central 
Adjudication Facility or the Commanding Officer/Director of the local 
command, as appropriate. This can be accomplished by providing an 
unsworn declaration subscribed to be true that states ``I declare under 
penalty of perjury under the laws of the United States of America that 
the foregoing is true and correct''. Individual should also provide 
their full name, aliases, date and place of birth, Social Security 
Number, or other

[[Page 24978]]

information verifiable from the records in the written request.
    Individuals should mark the letter and envelope containing the 
request ``Privacy Act Request''.
    Proposed amendments to the information must be directed to the 
agency which conducted the investigation.

Record access procedures:
    Individuals seeking access to records about themselves contained in 
this system of records should address written inquiries to the 
Director, Department of the Navy Central Adjudication Facility, 
Building 176, 716 Sicard Street SE., Suite 2000, Washington Navy Yard, 
DC 20388-5389 or to the Commanding Officer/Director of the activity in 
question. Official mailing addresses are published as an appendix to 
the Navy's compilation of systems of records notices.
    Individuals requesting personal records must properly establish 
their identity to the satisfaction of the Director, Navy Central 
Adjudication Facility or the Commanding Officer/Director of the local 
command, as appropriate. This can be accomplished by providing an 
unsworn declaration subscribed to be true that states ``I declare under 
penalty of perjury under the laws of the United States of America that 
the foregoing is true and correct''. Individual should also provide 
their full name, aliases, date and place of birth, Social Security 
Number, or other information verifiable from the records in the written 
request.
    Individuals should mark the letter and envelope containing the 
request with ``Privacy Act Request''.
    Proposed amendments to the information must be directed to the 
agency which conducted the investigation.
    Attorneys or other persons acting on behalf of an individual must 
provide a written authorization from that individual for their 
representative to act on their behalf.

Contesting record procedures:
    The Navy's rules for accessing records, and for contesting contents 
and appealing initial agency determinations are published in Secretary 
of the Navy Instruction 5211.5; 32 CFR part 701; or may be obtained 
from the system manager.

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

Exemptions claimed for the system:
    Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5), 
but only to the extent that such material would reveal the identity of 
a confidential source.
    An exemption rule for this system has been promulgated in 
accordance with the requirements of 5 U.S.C. 553(b)(1), (2) and (3), 
(c) and (e) and published in 32 CFR part 701, subpart G. For additional 
information, contact the system manager.

[FR Doc. 03-11581 Filed 5-8-03; 8:45 am]
BILLING CODE 5001-08-P