Privacy Act of 1974; System of Records

Federal RegisterJun 30, 1998

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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: