[Federal Register Volume 74, Number 196 (Tuesday, October 13, 2009)]
[Notices]
[Pages 52468-52474]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-24509]


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DEPARTMENT OF DEFENSE

Department of the Navy

[Docket No. USN-2009-0019]


Privacy Act of 1974; System of Records

AGENCY: Department of the Navy, DoD.

ACTION: Notice to amend a system of records.

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

DATES: This proposed action will be effective without further notice on 
November 12, 2009 unless comments are received which result in a 
contrary determination.

ADDRESSES: Send comments to the Department of the Navy, PA/FOIA Policy 
Branch, Head of Naval Operations (DNS-36), 2000 Navy Pentagon, 
Washington, DC 20350-2000.

FOR FURTHER INFORMATION CONTACT: Ms. Miriam Brown-Lam (202) 685-6545.

SUPPLEMENTARY INFORMATION: The Department of the Navy systems of 
records notices 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 specific changes to the record system being amended are set 
forth below followed by the notice, as amended, published in its 
entirety. The proposed amendments 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 a new or altered system report.

    Dated: September 24, 2009.
Patricia L. Toppings,
OSD Federal Register Liaison Officer, Department of Defense.
N05520-4

SYSTEM NAME:
    NCIS Investigative Files System (April 10, 2008, 73 FR 19486).

CHANGES:
* * * * *

CATEGORIES OF RECORDS IN THE SYSTEM:
    Delete entry and replace with ``Official investigative reports 
prepared by NCIS, DON, Department of Defense (DoD), or other Federal, 
State, local, Tribal, or foreign law enforcement or investigative 
bodies.
    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.
    Preliminary Investigation Reports (PIR) document receipt of 
information that at the initial stage indicates an incident occurred 
involving one or more criminal offenses, however it was subsequently 
determined that no criminal offense occurred or that the incident and 
offenses did not fall within NCIS' jurisdiction and or responsibility 
to investigate.
    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'.
    Forensic Laboratory Report Records. Records reporting and 
documenting laboratory analysis of submitted evidence.
    Fingerprint Card Files. Fingerprint card and related correspondence 
obtained by DON designated law enforcement officials and submitted to 
NCIS Headquarters for quality review and forwarding to the Federal 
Bureau of Investigations in support of criminal investigations.
    Personnel Security and Suitability Investigations. Requests for and 
results of investigations or inquiries conducted by U.S. Navy or other 
DoD, Federal, State, or local investigative agency. Record includes: 
Personal history statements; fingerprint cards; personnel security 
questionnaire; medical and/or educational records and waivers for 
release; requests for and National Agency checks; local agency checks; 
military records; birth records; employment records; credit records and 
waivers for release; interviews of education, employment, and credit 
references; interviews of listed and developed character references; 
interviews of neighbors; and other similar records.''
* * * * *

STORAGE:
    Delete entry and replace with ``Maintained on paper records and 
electronic storage media.''
* * * * *
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

[[Page 52469]]

(NCIS) Field Offices (FO), Resident Agencies (RA), and Polygraph sites 
worldwide. Law Enforcement Information Exchange (LInX) secure remote 
computer server sites. Naval Criminal Investigative Service Regional 
Offices retain copies of certain portions of some investigative files 
and related documentation. 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.
    Consolidated Evidence Facilities maintain evidence inventory 
records. Current locations of NCIS decentralized segments may be 
obtained from the Director, Naval Criminal Investigative Service, 
Washington Navy Yard, Building 111, 716 Sicard Street, SE., Washington, 
DC 20388-5380.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Persons in the following categories who require access to 
classified defense information and others who are of criminal, 
counterintelligence, security or general investigative interest to 
NCIS:
    Active, reserve, and inactive members of the naval service; 
civilians, to include applicants for employment with NCIS; both citizen 
and alien employees located in both the U.S. and in overseas areas and 
including temporary, part-time, and advisory personnel employed by the 
Department of the Navy; industrial and contractor personnel; civilian 
personnel being considered for sensitive positions, boards, 
conferences, etc. Civilian personnel who worked or resided overseas, 
e.g., Red Cross personnel. Civilian and military personnel accused, 
suspected, a witness to, or victims of felonious type offenses, or 
lesser offenses impacting on the good order, discipline, morale or 
security of the Department of the Navy; civilian personnel seeking 
access to or seeking to conduct or operate any business or other 
function aboard a Department of the Navy installation, facility or 
ship; civilians and civilian or military personnel who are subjects, 
co-subjects, witnesses, and victims in law enforcement and 
investigative cases in which law enforcement and investigative 
authorities (Federal, State, local, Tribal, and foreign) have requested 
laboratory analysis of submitted evidence for law enforcement purposes; 
civilian or military personnel involved in the loss, compromise, or 
unauthorized disclosure of classified material/information; civilian 
and military personnel who were/are of counterintelligence interest to 
the Department of the Navy. Persons under investigation and parties to 
the communications whose communications have been intercepted during 
wire, electronic or oral surveillance operations conducted by or on 
behalf of NCIS.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Official investigative reports prepared by NCIS, DON, Department of 
Defense (DoD), or other Federal, State, local, Tribal, or foreign law 
enforcement or investigative bodies.
    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.
    Preliminary Investigation Reports (PIR) document receipt of 
information that at the initial stage indicates an incident occurred 
involving one or more criminal offenses, however it was subsequently 
determined that no criminal offense occurred or that the incident and 
offenses did not fall within NCIS' jurisdiction and or responsibility 
to investigate.
    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'.
    Forensic Laboratory Report Records. Records reporting and 
documenting laboratory analysis of submitted evidence.
    Fingerprint Card Files. Fingerprint card and related correspondence 
obtained by DON designated law enforcement officials and submitted to 
NCIS Headquarters for quality review and forwarding to the Federal 
Bureau of Investigations in support of criminal investigations. 
Personnel Security and Suitability Investigations. Requests for and 
results of investigations or inquiries conducted by U.S. Navy or other 
DoD, Federal, State, or local investigative agency. Record includes: 
personal history statements; fingerprint cards; personnel security 
questionnaire; medical and/or educational records and waivers for 
release; requests for and National Agency checks; local agency checks; 
military records; birth records; employment records; credit records and 
waivers for release; interviews of education, employment, and credit 
references; interviews of listed and developed character references; 
interviews of neighbors; and other similar records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    10 U.S.C. 5013, Secretary of the Navy; 18 U.S.C. 2510-2520 and 
3504; 47 U.S.C. 605; DoD Directive 5210.48, Polygraph and Credibility 
Assessment 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 5430.107, Mission and Functions of the Naval Criminal 
Investigative Service; Secretary of the Navy M-5510.30, Department of 
the Navy Personnel Security Program; Secretary of the Navy M-5510.36, 
Department of the Navy Information Security Program; OPNAVINST 5530.14, 
Navy Physical Security and Law Enforcement; MCO 558.2, Law Enforcement 
Manual; E.O. 10450, Security Requirements for Government Employees, in 
particular sections 2, 3, 4, 5, 6, 7, 8, 9, and 14; E.O. 12333, United 
States Intelligence Activities and E.O. 9397 (SSN), as amended.

PURPOSE(S):
    The information in this system is (was) collected to meet the 
investigative, counterintelligence, and security responsibilities of 
the Department of the Navy. This includes personal, personnel security, 
internal security, criminal, and other law enforcement matters all of 
which are essential to the effective operation of the Department of the 
Navy.
    The records in this system are used for the following purposes: 
Suitability for access or continued access to classified information; 
suitability for promotion, employment, or assignment; suitability for 
access to military installations or industrial firms engaged in 
government projects/contracts; suitability for awards or similar 
benefits; use in current law enforcement investigation or program of 
any type including applicants; use in judicial or adjudicative 
proceedings including litigation or in accordance with a court

[[Page 52470]]

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 Index of Investigations (DCII) 
database under system notice V5-02. Wire, Electronic, and Oral 
Interceptions Index is maintained to enable NCIS to quickly locate 
records of intercept activities in response to motions for discovery 
and inquiries.
    Users of the records in this system include NCIS employees who 
require access for operational, administrative, or supervisory 
purposes; DoD criminal investigative and intelligence units; DoD 
components making suitability determinations.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act of 1974, these records may specifically be 
disclosed outside the DoD as a routine use pursuant to 5 U.S.C. 
552a(b)(3) as follows:
    (1) To any criminal, civil, or regulatory law enforcement authority 
(whether Federal, State, local, Tribal, or foreign) where the 
information is relevant to the recipient entity's law enforcement 
responsibilities.
    (2) To a governmental entity lawfully engaged in collecting 
criminal law enforcement, criminal law enforcement intelligence, or 
national security intelligence information for law enforcement or 
intelligence purposes.
    (3) To contractors, grantees, experts, consultants, students, and 
others performing or working on a contract, service, grant, cooperative 
agreement, or other assignment for the Federal Government, when 
necessary to accomplish an agency function related to this system of 
records.
    (4) In an appropriate proceeding before a court, or administrative 
or adjudicative body, when NCIS determines that the records are 
arguably relevant to the proceeding; or in an appropriate proceeding 
before an administrative or adjudicative body when the adjudicator 
determines the records to be relevant to the proceeding.
    (5) To an actual or potential party to litigation or the party's 
authorized representative for the purpose of negotiation or discussion 
of such matters as settlement, plea bargaining, or in informal 
discovery proceedings.
    (6) To a former employee of NCIS for purposes of: responding to an 
official inquiry by a Federal, State, or local government entity or 
professional licensing authority, in accordance with applicable NCIS 
regulations; or facilitating communications with a former employee that 
may be necessary for personnel-related or other official purposes where 
NCIS requires information and/or consultation assistance from the 
former employee regarding a matter within that person's former area of 
responsibility.
    (7) To such recipients and under such circumstances and procedures 
as are mandated by Federal statute or treaty.
    (8) To complainants and/or victims to the extent necessary to 
provide such persons with information and explanations concerning the 
progress and/or results of the investigation or case arising from the 
matters of which they complained and/or of which they were a victim.
    (9) To commercial insurance companies in those instances in which 
they have a legitimate interest in the results of the investigation, 
but only to that extent and provided an unwarranted invasion of privacy 
is not involved.
    (10) 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.
    (11) To any person or entity if deemed by NCIS to be necessary in 
order to elicit information or cooperation from the recipient for use 
by NCIS in the performance of an authorized law enforcement activity.
    (12) To any individual, organization, or governmental entity in 
order to notify them of a serious terrorist threat for the purpose of 
guarding against or responding to such a threat. The DoD Blanket 
Routine Uses that appear at the beginning of the Navy's compilation of 
systems notices also apply to this system.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Maintained on paper records and electronic storage media.

RETRIEVABILITY:
    NCIS closed case paper files are filed by numeric sequential 
number, alphabetic by company and topical title, and geographic 
location; microfilm files are filed by dossier number and location; and 
electronic/optically imaged files by case or control number, name, and 
Social Security Number (SSN).
    In order to locate the file it is necessary to query the Defense 
Clearance Index of Investigations. Open case files may also be 
retrieved from NCIS automated systems by a case number assigned at the 
time the investigation was 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. Wire, Electronic, and Oral Intercept Index records are 
retrieved by a combination of name, address, Social Security Number, 
telephone number/radio call sign, or case designation.

SAFEGUARDS:
    Buildings employ alarms, security guards, and/or rooms with 
security controlled areas accessible only to authorized persons. 
Classified and highly sensitive paper records are maintained in General 
Service Administrative approved security containers. Paper and 
microform records in NCIS records office are stored on open shelves and 
in filing cabinets in security controlled areas accessible only to 
authorized persons. Electronically, digital, 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 hardcopy and master copy of microfilmed files are retired to 
the Washington National Records Center where retrieval is restricted to 
authorized NCIS personnel.

[[Page 52471]]

    NCIS employees authorized to work offsite will safeguard 
government/agency records from unauthorized disclosure or damage by 
transporting only unclassified records in approved locked 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 
NCIS employees at designated offsite locations. When offsite, computers 
may be connected securely to the Navy networks using approved virtual 
private network (VPN) software, and data and documents on government 
computers are protected using encryption. No data is authorized to be 
transferred to or stored on any employee's personal computer. 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:
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; and (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 (PSIs) 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

[[Page 52472]]

all cases on the fiche are cleared from the National Crime Information 
Center.

LABORATORY FINGERPRINT CARD FILES ARE DISPOSED OF AS FOLLOWS:
    (1) One fingerprint card set is forwarded to the Federal Bureau of 
Investigation; the other set is destroyed when 75 years old.
    (2) Fingerprint card indices and related correspondence are 
destroyed when all administrative needs have expired.
    Counterintelligence records on persons not affiliated with DoD must 
be destroyed within 90 days or one year under criteria set forth in DoD 
Directive 5200.27, unless retention is required by law or specifically 
approved by the Secretary of the Navy.
    Files retained in the Naval Criminal Investigative Service Field 
Offices and Naval Criminal Investigative Service Resident Agencies and 
Polygraph sites are temporary and are destroyed after 90 days or one 
year, as appropriate.
    Destruction of records will be by shredding, burning, or pulping 
for paper records; burning for microform records; and magnetic erasing 
for computerized records. Optical digital data and CD ROM records are 
destroyed as specified by NAVSO P-5239-26, ``Remanence Security 
Guidebook'' of September 1993.
    Counterintelligence (CI)/Counterterrorism (CT) Records: CI records 
are retained in the active file until the case is closed, then retired 
to the NCIS records office; then destroyed 25 years after the date of 
last action. Major CI/CT investigations are retired to the NCIS records 
office upon case closure; then transferred to the National Archives 
when 50 years old. Copies may be retained at NCIS Field Offices for one 
year after case closure unless extended retention is authorized.
    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/CT investigative files regarding individuals or 
organizations under investigative jurisdiction of the requesting agency 
are disposed of as prescribed above for CI/CT investigative records; 
except when the request is for CI/CT 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 (PSIs) 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 15 years after case closure.
    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 and criminal sex 
investigations and investigations created on or after January 1, 1988 
and where DoDI 5505.11 requires submission of offender criminal history 
data to the FBI are destroyed 50 years after date of case closure (2) 
files of cases determined to be of historical value are transferred to 
NARA 50 years after the date of the last action, except Grand Jury 
material which is destroyed at the time of transfer. Copies may be 
retained at NCIS Field Offices for one year after case closure unless 
extended retention is authorized.
    Incident Reports (IR) received from Navy Law Enforcement and Marine 
Corps Military Police offices pertaining to categories of 
investigations/reports under the jurisdiction of NCIS and created prior 
to 1 January 1988 are destroyed when 25 years old. Cases created on or 
after 1 January 1988 are destroyed when 50 years old. Cases referred 
but determined not under NCIS jurisdiction are destroyed when no longer 
needed. Copies may be retained at the submitting office for two years 
after case closure unless extended retention is authorized. Criminal 
Initiative 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 records are retired to NCIS records office 
after case closure and destroyed 15 years after the date of last 
action.
    Preliminary Investigation Reports (PIR) records are used to 
document the receipt of information that at the initial stage indicated 
an incident occurred involving one or more criminal offenses, however, 
it was subsequently determined that no criminal offense occurred or 
that the incident and offenses did not fall within NCIS' jurisdiction 
and/or responsibility to investigate. These records are destroyed/
deleted 5 years after case closure.
    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 IRs, as appropriate.
    Polygraph examinations conducted for criminal investigations are 
quality assured and filed in the associated

[[Page 52473]]

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.

FINGERPRINT CARD FILES ARE DISPOSED OF AS FOLLOWS:
    (1) Digital capture of one fingerprint card set is forwarded to the 
Federal Bureau of Investigation; and the card is destroyed when it is 
verified that the digital copy was accurately captured and transferred.
    (2) Second fingerprint card, indices, and related correspondence 
are destroyed when 5 years old.
    Counterintelligence records retained solely for the purpose of 
determining whether the information may be permanently retained on 
persons not affiliated with DoD must be destroyed within 90 days, 
unless retention is required by law or specifically approved by the 
Secretary of the Navy.
    Counterintelligence Security Polygraph packages forwarded to Naval 
Criminal Investigative Service headquarters are destroyed when 35 years 
old. 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 
earlier if no longer needed.
    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 Department of the Navy, Information Assurance 
Remanence Publication 5239-26.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Naval Criminal Investigative Service, Washington Navy 
Yard, Building 111, 716 Sicard Street, SE., Washington, DC 20388-5380.

NOTIFICATION PROCEDURE:
    Individuals seeking to determine whether this system of records 
contains information about themselves should address written inquiries 
to the Director, Naval Criminal Investigative Service, Washington Navy 
Yard, Building 111, Code 00JF, 716 Sicard Street, SE., Washington, DC 
20388-5380.
    Requests must contain the full name of the individual and at least 
one additional personal identifier such as date and place of birth, or 
Social Security Number (SSN). Persons submitting written requests must 
properly establish their identity to the satisfaction of the Naval 
Criminal Investigative Service. In addition, the requester must provide 
a notarized statement or an unsworn declaration in accordance with 28 
U.S.C. 1746, in the following format:
    If executed outside the United States: I declare (or certify, 
verify, or state) under penalty of perjury under the laws of the United 
States of America that the foregoing is true and correct. Executed on 
(date). (Signature).
    If executed within the United States, its territories, possessions, 
or commonwealths: I declare (or certify, verify, or state) under 
penalty of perjury that the foregoing is true and correct. Executed on 
(date). (Signature).
    Attorneys or other persons acting on behalf of an individual must 
provide written authorization from that individual for their 
representative to act on their behalf.

RECORD ACCESS PROCEDURES:
    Individuals seeking access to records about themselves contained in 
this system of records should address written inquiries to the 
Director, Naval Criminal Investigative Service, Washington Navy Yard, 
Building 111, Code 00JF, 716 Sicard Street, SE., Washington, DC 20388-
5380.
    Requests must contain the full name of the individual and at least 
one additional personal identifier such as date and place of birth and 
Social Security Number(SSN). Persons submitting written requests must 
properly establish their identity to the satisfaction of the Naval 
Criminal Investigative Service. In addition, the requester must provide 
a notarized statement or an unsworn declaration in accordance with 28 
U.S.C. 1746, in the following format:
    If executed outside the United States: I declare (or certify, 
verify, or state) under penalty of perjury under the laws of the United 
States of America that the foregoing is true and correct. Executed on 
(date). (Signature).
    If executed within the United States, its territories, possessions, 
or commonwealths: I declare (or certify, verify, or state) under 
penalty of perjury that the foregoing is true and correct. Executed on 
(date). (Signature).
    Attorneys or other persons acting on behalf of an individual must 
provide written authorization from that individual for their 
representative to act on their behalf.

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

RECORD SOURCE CATEGORIES:
    From individual, DoD and Military Department records; Federal 
Agency records; foreign law enforcement agencies, security, 
intelligence, investigatory, or administrative authorities; State, 
county, and municipal records; employment records of public schools, 
colleges, universities, technical and trade schools; hospital records; 
real estate agencies; credit bureaus; financial institutions which 
maintain credit information on individuals such as loan and mortgage 
companies, credit unions, banks, etc.; transportation companies 
(airlines, railroad, etc.); other private records sources deemed 
necessary in order to complete an investigation; miscellaneous records 
such as: telephone directories, city directories; Who's Who in America; 
Who's Who in Commerce and Industry; Who Knows What, a listing of 
experts in various fields; American Medical Directory; Martindale-
Hubbell Law Directory; U.S. Postal Guide; Insurance Directory; Dunn and 
Bradstreet; and the U.S. Navy BIDEX (Biographical Index); any other 
type of miscellaneous records deemed necessary to complete the 
investigation or inquiry; the interview of individuals who have 
knowledge of the subject's background and activities; the interview of 
witnesses, victims, confidential sources, and or other individuals 
deemed necessary to complete the investigation.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Parts of this system may be exempt pursuant to 5 U.S.C. 552a(j)(2), 
since the information is compiled and maintained by the Naval Criminal 
Investigative Command, which performs as its principle function the 
enforcement of criminal laws.

[[Page 52474]]

    Information specifically authorized to be classified under E.O. 
12958, as implemented by DoD 5200.1-R, may be exempt pursuant to 5 
U.S.C. 552a(k)(1).
    Records maintained in connection with providing protective services 
to the President and other individuals under 18 U.S.C. 3506, may be 
exempt pursuant to 5 U.S.C. 552a(k)(3).
    Records maintained solely for statistical research or program 
evaluation purposes and which are not used to make decisions on the 
rights, benefits, or entitlement of an individual except for census 
records which may be disclosed under 13 U.S.C. 8, may be exempt 
pursuant to 5 U.S.C. 552a(k)(4).
    Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, military service, Federal contracts, or access to 
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5), 
but only to the extent that such material would reveal the identity of 
a confidential source.
    Testing or examination material used solely to determine individual 
qualifications for appointment or promotion in the Federal service may 
be exempt pursuant to 5 U.S.C. 552a(k)(6), if the disclosure would 
compromise the objectivity or fairness of the test or examination 
process.
    An exemption rule for this system has been promulgated in 
accordance with requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c) 
and (e) and published in 32 CFR part 701, subpart G. For additional 
information, contact the system manager.

[FR Doc. E9-24509 Filed 10-9-09; 8:45 am]
BILLING CODE 5001-06-P