[Federal Register Volume 66, Number 241 (Friday, December 14, 2001)]
[Notices]
[Pages 64811-64814]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-30849]


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DEPARTMENT OF DEFENSE

Department of the Army


Privacy Act of 1974; System of Records

AGENCY: Department of the Army, DOD.

ACTION: Notice to alter a system of records.

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SUMMARY: The Department of the Army is altering 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. The alteration adds a 
routine use and expands the purposes for collecting the information.

DATES: This proposed action will be effective without further notice on 
January 14, 2002 unless comments are received which result in a 
contrary determination.

ADDRESSES: Records Management Division, U.S. Army Records Management 
and Declassification Agency, ATTN: TAPC-PDD-RP, Stop 5603, 6000 6th 
Street, Ft. Belvoir, VA 22060-5603.

FOR FURTHER INFORMATION CONTACT: Ms. Janice Thornton at (703) 806-4390 
or DSN 656-4390 or Ms. Christie King at (703) 806-3711 or DSN 656-3711.

SUPPLEMENTARY INFORMATION: The Department of the Army 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 proposed system report, as required by 5 U.S.C. 552a(r) of the 
Privacy Act of 1974, as amended, was submitted on November 29, 2001, to 
the House Committee on Government Reform, 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 (February 20, 1996, 61 FR 6427).

    Dated: December 7, 2001.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
A0381-20b DAMI

System name:
    Counterintelligence/Security Files (October 4, 1995, 60 FR 51990).

Changes:
* * * * *

System name:
    Delete entry and replace with `Counterintelligence/Information 
Operations/Security Files'.

Categories of individuals covered by the system:
    Add to the entry `individuals identified in foreign intelligence or 
counterintelligence reports and supportive material, including 
individuals involved in matters of foreign intelligence interest'', 
`terrorism, narcotics trafficking, or activities that are a direct 
threat to national security, conduct of military operations'', and `or 
those individuals suspected or involved in criminal and intelligence 
activities directed against or involving DoD Information Systems.''

Categories of records in the system:
    Add to entry `intelligence requirements, analysis, and reporting; 
operational records; articles, open source data, and other published 
information on individuals and events of interest to INSCOM; actual or 
purported correspondence;'.
    Delete `requests for and National Agency checks' and (Defense 
Clearance and Investigations Index) (System Notice V5-02)'.

Authority for maintenance of the system:
    Add to entry `10 U.S.C. 3013, Secretary of the Army; 18 U.S.C. 
2511, Interception and Disclosure of Electronic Communications 
Prohibited; DoD Directive 5240.1, DoD Intelligence Activities; Army 
Regulation 381-10, U.S. Army Intelligence Activities'.

Purpose(s):
    Add a new paragraph `To maintain records on information operations, 
foreign intelligence, counterintelligence, counter-terrorism, counter-
narcotics,

[[Page 64812]]

and matters relating to the protection of the national security, DoD 
personnel, facilities and equipment, including but not limited to, 
information systems. This information is shared with other DoD 
components for the purpose of collaborating on production of 
intelligence product and countering terrorist acts.''

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Add to entry `To the Department of State, Department of Treasury, 
Department of Justice, Federal Bureau of Investigation, Drug 
Enforcement Administration, U.S. Customs Service, the Bureau of 
Alcohol, Tobacco and Firearms, and the Central Intelligence Agency for 
the purpose of collaborating on production of intelligence product and 
countering terrorist acts.''
* * * * *

Retrievability:
    Delete entry and replace with `Records are retrieved by name, 
aliases, or title in combination with Social Security Number or regular 
dossier number; date and/or place of birth. For those subjects who have 
no identifying data other than the name, the name only index is 
searched'.
* * * * *

Record source categories:
    Delete entry and replace with `From individuals; DoD records; U.S. 
agencies and organizations; media, including periodicals, newspapers, 
broadcast transcripts; intelligence source documents/reports; other 
relevant Army documents and reports; informants; various Federal, state 
and local investigative and law enforcement agencies; foreign 
governments; and other individuals or agencies/organizations that may 
supply pertinent information.''
* * * * *
A0381-20b DAMI

System name:
    Counterintelligence/Information Operations/Security Files.

System location:
    U.S. Army Intelligence and Security Command, 8825 Beulah Street, 
Fort Belvoir, VA 22060-5246.
    Decentralized segments are located at U.S. Army Intelligence 
brigades, groups, battalions, companies, detachments, field offices and 
resident offices worldwide. Official mailing addresses are published as 
an appendix to the Army's compilation of systems of records notices.

Categories of individuals covered by the system:
    Military personnel of the U.S. Army, including active duty, 
National Guard, reservists and retirees; civilian employees of the 
Department of the Army (DA), including contract, temporary, part-time, 
and advisory, citizen and alien employees located both in the U.S. and 
in overseas areas; individuals identified in foreign intelligence or 
counterintelligence reports and supportive material, including 
individuals involved in matters of foreign intelligence interest; 
industrial or contractor personnel working in private industry which 
have contracts involving classified Department of Defense (DoD) 
information; aliens granted limited access authorization to U.S. 
Defense information; alien personnel investigated for visa purposes; 
certain non-DoD affiliated persons whose activities involve them with 
the DoD, namely, activities involving requests for admission to DoD 
facilities or requests for certain information regarding DoD personnel, 
activities, or facilities; persons formerly affiliated with the DoD; 
persons who applied for or are/were being considered for employment 
with or access to DoD such as applicants for military service, pre 
inductees and prospective contractors; individuals residing on, having 
authorized official access to, or conducting or operating any business 
or other function at any DoD installation and facility; and U.S. Army 
Intelligence sources; and U.S. persons who have been declared missing, 
prisoners of war (POW), civilian persons who are being detained or held 
hostage or personnel recovered from hostile control; individuals about 
whom there is a reasonable basis to believe that they are engaged in, 
or plan to engage in, activities such as (1) sabotage, (2) possible 
compromise of classified defense information by unauthorized disclosure 
or by espionage, treason or spying, terrorism, narcotics trafficking, 
or activities that are a direct threat to national security, conduct of 
military operations, (3) subversion of loyalty, discipline or morale of 
DA military or civilian personnel by actively encouraging violation of 
lawful orders and regulations or disruption of military activities, and 
(4) activities that are a direct threat to the conduct of military 
operations or DoD personnel, facilities and material or classified 
Defense contractor facilities or those individuals suspected or 
involved in criminal and intelligence activities directed against or 
involving DOD Information Systems.

Categories of records in the system:
    Requests for and results of investigations or inquiries conducted 
by U.S. Army Intelligence 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; local agency checks; 
military records; birth records; employment records; education records; 
credit records and waivers for release; interviews of education, 
employment, and credit references; interviews of listed and developed 
character references; interviews of neighbors; requests for, 
documentation pertaining to, results of electronic surveillance, 
intelligence polygraph examinations and technical documents, physical 
surveillance, and mail cover and or search; polygraph examination 
summaries; documents which succinctly summarize information in 
subject's investigative file; case summaries prepared by both 
investigative control offices and requesters of investigative 
interrogation reports; temporary documents concerning security, 
suitability, and criminal incidents lawfully collected by U.S. Army 
counterintelligence units in the performance of the counterintelligence 
mission; intelligence requirements, analysis, and reporting; 
operational records; articles, open source data, and other published 
information on individuals and events of interest to INSCOM; actual or 
purported correspondence; correspondence pertaining to the 
investigation, inquiry, or its adjudication by clearance or 
investigative authority to include; (1) the chronology of the 
investigation, inquiry, and adjudication; (2) all recommendations 
regarding the future status of the subject; (3) actions of security/
loyalty review boards (4) final actions/determinations made regarding 
the subject; and (5) security clearance, limited access authorization, 
or security determination; index tracing reference which contains 
aliases and the names of the subject and names of co-subjects; security 
termination and inadvertent disclosure statements; notification of 
denial, suspension, or revocation of clearance; and reports of 
casualty, biographic data and intelligence/counterintelligence 
debriefing reports concerning U.S. personnel who are missing, captured, 
or detained by a hostile entity. Case control and management documents 
that serve as the basis for conducting the investigation such as 
documents

[[Page 64813]]

requesting the investigation and documents used in case management and 
control such as lead sheets, other field tasking documents, and 
transfer forms. Administrative records required by the U.S. Army 
Investigative Records Repository for records management purposes such 
as form transmitting investigative or operational material to the U.S. 
Army Investigative Records Repository and providing instructions for 
indexing the record in the Defense Central Index of Investigations and 
release of material contained therein, form indicating dossier has been 
reviewed and all material therein conforms to DoD policy regarding 
retention criteria, form pertaining to the release of information 
pertaining to controlled records, form to indicate material has been 
removed and forwarded to other authorized Federal agencies such as the 
Defense Investigative Service, cross reference sheet to indicate the 
removal of investigative documents requiring limited access, form 
identifying material that has been segregated and or is exempt from 
release, and records accounting for the disclosure of intelligence, 
counterintelligence and security information made outside of the DoD.
    Paper and automated indices of personnel investigations/operations 
which are under controlled access within the U.S. Army Investigative 
Records Repository, such as key USAINSCOM personnel, general officers, 
file procurement officers and their agencies, and sensitive spying, 
treason, espionage, sabotage, sedition, and subversion investigations 
and/or counterintelligence operations. Microform and automated indices 
and catalogue files, which constitute an index to all U.S. Army 
Investigative Records Repository holdings contained in microfilmed 
investigative and operational records.
    Automated record indices maintained by the U.S. Army Investigative 
Records Repository to keep a record of all original dossiers charged 
out of the U.S. Army Investigative Records Repository on loan to user 
agencies or permanently transferred to National Archives and Records 
Administration.
    Paper, card file, microform and computerized case and incident 
indices containing name, date/place of birth, address, case or incident 
title and number, and brief summary of case or incident of current 
interest to investigative activities.

Authority for maintenance of the system:
    10 U.S.C. 3013, Secretary of the Army; E.O. 10450, Security 
Requirements for Government Employees; E.O. 12333, United States 
Intelligence Activities; the National Security Act of 1947, as amended; 
the Defense Authorization Act for FY 1988 and 1989; the Foreign 
Intelligence Surveillance Act of 1978 (50 U.S.C. 401); 18 U.S.C. 2511, 
Interception and Disclosure of Electronic Communications Prohibited; 
DoD 5240-R, DoD Intelligence Activities; Army Regulation 381-10, U.S. 
Army Intelligence Activities; and E.O. 9397 (SSN).

Purpose(s):
    To provide information to assess an individual's acceptability for 
assignment to or retention in sensitive positions consistent with the 
interest of national security; to document U.S. intelligence, 
counterintelligence and security investigations and operations 
pertaining to the U.S. Army's responsibilities for counterintelligence, 
and to detect, identify, and neutralize foreign intelligence and 
international terrorist threats to the DoD; and to temporarily document 
security, suitability, and criminal incident information not within 
U.S. Army counterintelligence jurisdiction to investigate, which is 
lawfully provided to U.S. Army counterintelligence units by cooperating 
sources of information collected incidental to the counterintelligence 
mission.
    To maintain records on information operations, foreign 
intelligence, counterintelligence, counter-terrorism, counter-
narcotics, and matters relating to the protection of the national 
security, DoD personnel, facilities and equipment, including but not 
limited to, information systems. This information is shared with other 
DoD components for the purpose of collaborating on production of 
intelligence product and countering terrorist acts.

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 routine uses 
pursuant to 5 U.S.C. 552a(b)(3) as follows:
    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 the purpose of using the 
information in benefit determinations.
    To the Department of State, the Department of Treasury, the 
Department of Justice, the Federal Bureau of Investigation, the Drug 
Enforcement Administration, U.S. Customs Service, the Bureau of 
Alcohol, Tobacco and Firearms, and the Central Intelligence Agency for 
the purpose of collaborating on production of intelligence product and 
countering terrorist acts. The distribution of investigative 
information is based on the Army's evaluation of the requesting 
agency's needs and the relevance of the information to the use for 
which it is provided. Information collected for one purpose is not 
automatically used for other purposes or by the other users indicated 
in this description.
    The DoD `Blanket Routine Uses' published at the beginning of the 
Army's compilation of systems of records notices also apply to this 
system.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records in file folders and on electronic storage media.

Retrievability:
    Records are retrieved by name, aliases, or title in combination 
with Social Security Number or regular dossier number; date and/or 
place of birth. For those subjects who have no identifying data other 
than the name, the name only index is searched.

Safeguards:
    Buildings employ alarms, security guards, and or rooms are 
security-controlled areas accessible only to authorized persons. Paper 
and microform records are maintained in General Service Administration 
approved security containers. Paper and microform records in the U.S. 
Army Investigative Records Repository are stored 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.

Retention and disposal:
    Personnel security/adjudicative records on non-DoD persons who are 
considered for affiliation with DoD are destroyed after 1 year if 
affiliation is not completed.
    Personnel security investigations and adjudicative records of a 
routine nature

[[Page 64814]]

are retained in the active file until no longer needed; retired to the 
U.S. Army Investigative Records Repository and retained for 15 years 
after last action reflected in the file, except that files which 
contain significant derogatory information and or resulted in adverse 
action(s) against the individual are destroyed after 25 years. However, 
once affiliation is terminated, acquiring and adding material to the 
file is prohibited unless affiliation is renewed. Records determined to 
be of historical value, of wide spread value, or Congressional interest 
and investigations of treason, spying, espionage, sabotage, sedition, 
and subversion or other major investigations or operations of a 
counterintelligence or security nature are permanent. They will be 
retained in the U.S. Army Investigative Records Repository for 25 years 
after the date of the last action reflected in the file and then 
permanently transferred to the National Archives.
    Records pertaining to U.S. persons declared POW, missing, or 
detainees will be maintained in the active file until no longer needed, 
retired to the U.S. Army Investigative Records Repository and retained 
for 50 years after the date of the last action reflected in the file or 
the subject is declared Killed in Action or dead and then permanently 
transferred to the National Archives.
    Records pertaining to counterintelligence polygraph technical files 
will be maintained in the active file until no longer needed and then 
disposed of after the final quality control review as follows: (1) For 
counterintelligence scope cases, 90 days for favorably resolved cases 
or 15 years for other than favorably resolved cases, (2) for 
counterintelligence investigative cases, 15 years, and (3) for 
offensive counterintelligence operations and Human Intelligence cases, 
material is transferred to the U.S. Army Investigative Records 
Repository, incorporated into an operational dossier, and disposed of 
25 years from the date of last action.
    Security, suitability, and criminal incident information that is 
collected in the performance of the counterintelligence mission and 
which is not within the U.S. Army counterintelligence jurisdiction to 
investigate is retained at the location only so long as necessary to 
transmit it to the appropriate law enforcement or investigative agency 
having jurisdiction for this incident.
    Summarized records pertaining to local intelligence, 
counterintelligence or incidents of interest to the local military 
intelligence activity are reviewed annually and destroyed when 
determined to be of no further operational value. Destruction of 
records will be by shredding, burning, or pulping for paper records; 
magnetic erasing for computerized records. Optical digital data records 
should not be destroyed pending the development of a satisfactory 
destruction method.

System manager(s) and address:
    Deputy Chief of Staff for Intelligence, Headquarters, Department of 
the Army, 1001 Army Pentagon, Washington, DC 20310-1001.

Notification procedure:
    Individuals seeking to determine whether information about 
themselves is contained in this system should address written inquiries 
to the U.S. Army Intelligence and Security Command, Freedom of 
Information/Privacy Office, 8825 Beulah Street, Fort Belvoir, VA 22060-
5246.
    Individual should provide their full name, aliases, date and place 
of birth, Social Security Number, service number(s), or other 
information verifiable from the records in written request.

RECORD ACCESS PROCEDURES:
    Individuals seeking to determine whether information about 
themselves is contained in this system should address written inquiries 
to the U.S. Army Intelligence and Security Command, Freedom of 
Information/Privacy Office, 8825 Beulah Street, Fort Belvoir, VA 22060-
5246
    Individual should provide their full name, aliases, date and place 
of birth, Social Security Number, service number(s), current address, 
and telephone number in written request.

CONTESTING RECORD PROCEDURES:
    The Army's rules for accessing records, and for contesting contents 
and appealing initial agency determinations are contained in Army 
Regulation 340-21; 32 CFR part 505; or may be obtained from the system 
manager.

RECORD SOURCE CATEGORIES:
    From individuals; DoD records; U.S. agencies and organizations; 
media, including periodicals, newspapers, broadcast transcripts; 
intelligence source documents/reports; other relevant Army documents 
and reports; informants; various Federal, state and local investigative 
and law enforcement agencies; foreign governments; and other 
individuals or agencies/organizations that may supply pertinent 
information.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    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).
    Investigatory material compiled for law enforcement purposes, other 
than material within the scope of subsection 5 U.S.C. 552a(j)(2), may 
be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if an individual is 
denied any right, privilege, or benefit for which he would otherwise be 
entitled by Federal law or for which he would otherwise be eligible, as 
a result of the maintenance of the information, the individual will be 
provided access to the information exempt to the extent that disclosure 
would reveal the identify of a confidential source. NOTE: When claimed, 
this exemption allows limited protection of investigative reports 
maintained in a system of records used in personnel or administrative 
actions.
    Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5), 
but only to the extent that such material would reveal the identity of 
a confidential source.
    An exemption rule for this system has been promulgated in 
accordance with requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c), 
and (e) and published in 32 CFR part 505. For additional information 
contact the system manager.

[FR Doc. 01-30849 Filed 12-13-01; 8:45 am]
BILLING CODE 5001-08-P