Federal Register / Vol. 63, No. 125 /Tuesday, June 30, 1998 / Notices 35575

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.

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, parttime, 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
35576 Federal Register / Vol. 63, No. 125 /Tuesday, June 30, 1998 / Notices

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
Federal Register / Vol. 63, No. 125 /Tuesday, June 30, 1998 / Notices 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
35578 Federal Register / Vol. 63, No. 125 /Tuesday, June 30, 1998 / Notices

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:

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, parttime, 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:

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.
Federal Register / Vol. 63, No. 125 /Tuesday, June 30, 1998 / Notices 35579

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

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 (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; etc.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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):

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:

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 federal intelligence agencies for

matters under their purview.

To other investigative units (federal,

state, or local) for whom the

investigation was conducted, or who are

engaged in regulatory, criminal

investigative and intelligence activities;

to defense counsel in the course of

acquiring information.

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.

To victims of crimes to the extent

necessary to pursue civil and criminal

remedies.

To the Immigration and

Naturalization Service, Department of

Justice, for use in alien admission and

naturalization inquiries conducted
35580 Federal Register / Vol. 63, No. 125 /Tuesday, June 30, 1998 / Notices

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.

The ‘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:

STORAGE:

Maintained on paper records in file

folders, audio and audiovisual tapes,

microimaging, electronic systems,

magnetic tape, optical digital data disks,

CD ROM, and computer output

products. Some laboratory documents

are stored in loose-leaf notebooks or

bound record books.

RETRIEVABILITY:

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:

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

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:

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
Federal Register / Vol. 63, No. 125 /Tuesday, June 30, 1998 / Notices 35581

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

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.

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. Persons submitting

written requests must properly establish

their identity to the satisfaction of the

Naval Criminal Investigative Service.

This can be accomplished by providing

an unsworn declaration that states ‘I

declare under perjury or penalty under

the laws of the United States of America

that the foregoing is true and correct.’

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. Persons submitting

written requests must properly establish

their identity to the satisfaction of the

Naval Criminal Investigative Service.

This can be accomplished by providing

an unsworn declaration that states ‘I

declare under perjury or penalty under

the laws of the United States of America

that the foregoing is true and correct.’

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
35582 Federal Register / Vol. 63, No. 125 /Tuesday, June 30, 1998 / Notices

Command, which performs as its

principle function the enforcement of

criminal laws.

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. 98–17316 Filed 6–29–98; 8:45 am]

BILLING CODE 5000–04–F

DEPARTMENT OF ENERGY

Energy Information Administration

Agency Information Collection

Activities: Proposed Collection;

Comment Request

AGENCY: Energy Information

Administration, DOE.

ACTION: Agency information collection

activities: proposed collection; comment

request.

SUMMARY: The Energy Information

Administration (EIA) is soliciting

comments concerning the proposed

modifications and extensions of the

following Electric Power Forms:

EIA–411, ‘‘Coordinated Bulk Power

Supply Program Report;’’

EIA–412, ‘‘Annual Report of Public

Electric Utilities;’’

EIA–417R, ‘‘Electric Power Systems

Emergency Report;’’

EIA–759, ‘‘Monthly Power Plant

Report;’’

EIA–767, ‘‘Steam-Electric Plant

Operation and Design Report;’’

EIA–826, ‘‘ Monthly Electric Utility

Sales and Revenue Report with State

Distributions;’’

EIA–860, ‘‘Annual Electric Generator

Report;’’

EIA–861, ‘‘Annual Electric Utility

Report;’’

EIA–867, ‘‘Annual Nonutility Power

Producer Report;’’ and

EIA–900, ‘‘Monthly Nonutility Sales for

Resale Report.’’

DATES: Written comments must be

submitted on or before August 31, 1998.

If you anticipate that you will be

submitting comments, but find it

difficult to do so within the period of

time allowed by this notice, you should

advise the DOE contact listed below of

your intention to do so as soon as

possible.

ADDRESSES: Send comments to John G.

Colligan, Energy Information

Administration, Electric Power

Division, EI–53, U.S. Department of

Energy, 1000 Independence Avenue,

SW, Washington, DC 20585–0650;

telephone (202) 426–1174; e-mail

jcolliga@eia.doe.gov; and FAX (202)

426–1311.

FOR FURTHER INFORMATION CONTACT:

Requests for additional information or

copies of forms and instruction sets

should be directed to John Colligan at

the address listed above.

SUPPLEMENTARY INFORMATION:

I. Background

II. Current Actions

III. Request for Comments

I. Background

In order to fulfill its responsibilities

under the Federal Energy

Administration Act of 1974 (Pub. L. 93–

275) and the Department of Energy

Organization Act (Pub. L. 95–91), the

EIA is obliged to carry out a central,

comprehensive, and unified energy data

and information program. As part of this

program, EIA collects, evaluates,

assembles, analyzes, and disseminates

data and information related to energy

resource reserves, production, demand,

and technology, and related economic

and statistical information relevant to

the adequacy of energy resources to

meet demands in the near and longer

term future for the Nation’s economic

and social needs.

The EIA, as part of its continuing

effort to reduce paperwork and

respondent burden (required by the

Paperwork Reduction Act of 1995 (Pub.

L. 104–13)), conducts a presurvey

consultation program to provide the

general public and other Federal

agencies with an opportunity to

comment on proposed and/or

continuing reporting forms. This

program helps to ensure that requested

data can be provided in the desired

format, reporting burden is minimized,

reporting forms are clearly understood,

and the impact of collection

requirements on respondents can be

properly assessed. Also, EIA will later

seek approval by the Office of

Management and Budget (OMB) for the

collections under Section 3507(h) of the

Paperwork Reduction Act of 1995 (Pub.

L. 104–13, Title 44, U.S.C. Chapter 35).

Confidentiality Notice

The issue of the confidential

treatment of data collected on any of the

forms listed above is being addressed

and will be resolved as a separate matter

under other Federal Register notices.

Whatever final confidentiality

procedures are implemented will be

applied to each of the EIA survey forms

above as appropriate.

II. Current Actions

The EIA will request (a) a 3-year

extension, through December 31, 2001,

for all forms listed, and (b)

modifications to the specific forms as

described below. The proposed changes

the EIA is requesting through this action

reflect the current state of the electric

power industry.

Additional changes may be required,

prior to the new expiration date, in

order to be up-to-date with the rapidly

changing industry.

Form EIA–411, ‘‘Coordinated Bulk

Power Supply Program,’’ Propose

changing planning projections period

(Items 1, 2, and 4) from 10 years to 5

years. The form and instructions will be

modified to show this changes.

Form EIA–412, ‘‘Annual Report of

Public Electric Utilities,’’ Propose

changing the reporting threshold from

120,000 MWh to 150,000 MWh. The

instructions will be modified to show

this change.

Form EIA–417R, ‘‘Annual Summary

of Emergency Occurrences,’’ no change.

Form EIA–759, ‘‘Monthly Power Plant

Report,’’ no change.

Form EIA–767, ‘‘Steam-Electric Plant

Operation and Design Report,’’ no

change.

Form EIA–826, ‘‘Monthly Electric

Utility Sales and Revenue Report with

State Distributions.’’ Propose adding