42 U.S.C. 14616.
70 FR 36027, June 22, 2005, unless otherwise noted.
The Compact Council is established pursuant to the National Crime Preventionand Privacy Compact (Compact), title 42, U.S.C., chapter 140, subchapter II,section 14616. The purpose of these provisions is to interpret the Compact, asit applies to the required submission of fingerprints, along with requests forInterstate Identification Index (III) records, by agencies authorized to accessand receive criminal history records under Public Law 92-544, and toestablish protocols and procedures applicable to the III and its use fornoncriminal justice purposes.
(a) Article V of the Compact requires the submission of fingerprints or otherapproved forms of positive identification with requests for criminal historyrecord checks for noncriminal justice purposes. The requirement for thesubmission of fingerprints may be satisfied in two ways:
(1) The fingerprints should be submitted contemporaneously with the requestfor criminal history information, or
(2) For purposes approved by the Compact Council, a delayed submission offingerprints may be permissible under exigent circumstances.
(b) A preliminary III name based check may be made pending the receipt of thedelayed submission of the fingerprints. The state repository may authorizeterminal access to authorized agencies designated by the state, to enable themto conduct such checks. Such access must be made pursuant to the security policyset forth by the state's Criminal Justice Information Services (CJIS) SystemsAgency (formerly known as the Control Terminal Agency).
(a) A state may, based upon exigent circumstances, apply for delayedsubmission of fingerprints supporting requests for III records by agenciesauthorized to access and receive criminal history records under Public Law92-544. Such applications must be sent to the Compact Council Chairman andinclude information sufficient to fully describe the emergency nature of thesituation in which delayed submission authority is being sought, the risk tohealth and safety of the individuals involved, and the reasons why thesubmission of fingerprints contemporaneously with the search request is notfeasible.
(b) In evaluating requests for delayed submissions, the Compact Council mustutilize the following criteria:
(1) The risk to health and safety; and
(2) The emergency nature of the request.
(c) Upon approval of the application by the Compact Council, the authorizedagency may conduct a III name check pending submission of the fingerprints. Thefingerprints must be submitted within the time frame specified by the CompactCouncil. For the purposes of this part, “time frame” means thenumber of days that elapse between the date on which the name search wasconducted and the date on which the state repository either positivelyidentifies the fingerprint subject or forwards the fingerprints to the FBI orthe date a Federal agency forwards the fingerprints to the FBI.
(d) Once a specific proposal has been approved by the Compact Council,another state may apply for delayed fingerprint submission consistent with theapproved proposal, provided that the state has a related Public Law 92-544approved state statute, by submitting the application to the FBI CompactOfficer, 1000 Custer Hollow Road, Module C-3, Clarksburg, WV26306-0001.
(e) Part 901 is also applicable to any federal agency authorized to accesscriminal history records pursuant to
(a) Audits of authorized State agencies that access the III System shall beconducted by the State's Compact Officer or, in the absence of a CompactOfficer, the chief administrator for the criminal history record repository. Theresponsible Federal CJIS Systems Officer shall ensure that similar audits areconducted of authorized Federal agencies. Such audits shall be conducted toverify adherence to the provisions of part 901 and the FBI's CJIS SecurityPolicy.
(b) Authorized agencies shall cause to be collected an appropriate record ofeach instance of III System access through a manual or electronic log. The logshall be maintained for a minimum one-year period to facilitate the audits andcompliance reviews. Such records shall be maintained in accordance with the CJISSecurity Policy. (For information on this security policy, contact your CJISSystems Officer.)
(c) The audit and compliance reviews must include mechanisms to determinewhether fingerprints were submitted within the time frame specified by theCompact Council.
(d) In addition to the audits as stated above, the FBI CJIS Audit staff shallalso conduct routine systematic compliance reviews of State repositories,Federal agencies, and as necessary other authorized III System user agencies.
42 U.S.C. 14616.
68 FR 66341, Nov. 26, 2003, unless otherwise noted.
The purpose of Part 902 is to establish protocols and procedures for theadjudication of disputes by the Compact Council. The Compact Council isestablished pursuant to the National Crime Prevention and Privacy Compact(Compact), Title 42, U.S.C., Chapter 140, Subchapter II, Section 14616.
(a) Cognizable disputes may be based upon:
(1) A claim that the Council has misinterpreted the Compact or one of theCouncil's rules or standards established under Article VI of the Compact;
(2) A claim that the Council has exceeded its authority under the Compact;
(3) A claim that in establishing a rule or standard or in taking otheraction, the Council has failed to comply with its bylaws or other applicableprocedures established by the Council; or the rule, standard or action is nototherwise in accordance with applicable law; or
(4) A claim by a Compact Party that another Compact Party has failed tocomply with a provision of the Compact or with any rule or standard establishedby the Council.
(b) Only a Party State, the FBI, or a person, organization, or governmententity directly aggrieved by the Council's interpretation of the Compact or anyrule or standard established by the Council pursuant to the Compact, or inconnection with a matter covered under Section 902.2(a)(4), may raise acognizable dispute. Such disputants may request a hearing on a dispute bycontacting the Compact Council Chairman in writing at the Compact CouncilOffice, Module C3, 1000 Custer Hollow Road, Clarksburg, West Virginia 26306.
(c) The Chairman may ask the requester for more particulars, supportingdocumentation or materials as the circumstances warrant.
(d) A dispute may not be based solely upon a disagreement with the merits(substantive wisdom or advisability) of a rule or standard validly establishedby the Council within the scope of its authority under the Compact. However,nothing in this rule prohibits further discussion of the merits of a rule
(a) The five person Dispute Resolution Committee membership shall bedetermined according to Compact Article VI (g). Should a dispute arise with anapparent conflict of interest between the disputant and a Committee member, theCommittee member shall recuse himself/herself and the Compact Council Chairmanshall determine an appropriate substitute for that particular dispute. In thecase when the Compact Council Chairman is the committee member with theconflict, the Chairman shall take appropriate steps to appoint a replacementthat resolves the conflict.
(b) The Compact Council Chairman shall refer the dispute, together with allsupporting documents and materials, to the Council's Dispute ResolutionCommittee.
(c) The Dispute Resolution Committee shall recommend hearings to alldisputants who raise issues that are not clearly frivolous or without merit. Ifthe Committee recommends denying a hearing, it must articulate its reason orreasons for doing so in writing.
(d) The Dispute Resolution Committee shall consider the matter and:
(1) Refer it to the Council for a hearing;
(2) Recommend that the Council deny a hearing if the Committee concludes thatthe matter does not constitute a cognizable dispute under § 902.2(a);or
(3) Request more information from the person or organization raising thedispute or from other persons or organizations.
(a) The Chairman shall communicate the decision of the Dispute ResolutionCommittee to the person or organization that raised the dispute.
(b) If a hearing is not granted, the disputant may appeal this decision tothe Attorney General. If the Attorney General believes the disputant has raisedan issue that is not frivolous or without merit, the Attorney General may orderthe Compact Council Chairman to grant a hearing.
(c) If a hearing is granted, the Chairman shall:
(1) Include the dispute on the agenda of a scheduled meeting of the Councilor, at the Chairman's discretion, schedule a special Council meeting;
(2) Notify the person or organization raising the dispute as to the date ofthe hearing and the rights of disputants under § 902.5 (HearingProcedures); and
(3) Include the matter of the dispute in the prior public notice of theCouncil meeting required by Article VI (d)(1) of the Compact.
(a) The hearing shall be open to the public pursuant to Article VI (d)(1) ofthe Compact.
(b) The Council Chairman or his/her designee shall preside over the hearingand may limit the number of, and the length of time allowed to, presenters orwitnesses.
(c) The person or organization raising the dispute or a Compact Party chargedunder the provisions of § 902.2(a)(4) shall be entitled to:
(1) File additional written materials with the Council at least ten daysprior to the hearing;
(2) Appear at the hearing, in person and/or by counsel;
(3) Make an oral presentation; and
(4) Call and cross-examine witnesses.
(d) Subject to the discretion of the Chairman, other persons andorganizations may be permitted to appear and make oral presentations at thehearing or provide written materials to the Council concerning the dispute.
(e) All Council members, including a member or members who raised the disputethat is the subject of the hearing shall be entitled to participate fully in thehearing and vote on the final Council decision concerning the dispute.
(f) The Council shall, if necessary, continue the hearing to a subsequentCouncil meeting.
(g) Summary minutes of the hearing shall be made and transcribed and shall beavailable for inspection by any person at the Council office within the FederalBureau of Investigation.
(h) The proceedings of the hearing shall be recorded and, as necessary,transcribed. A transcript of the hearing
(i) The Council's decision on the dispute shall be based upon a majority voteof Council members or their proxies present (as per Compact Article VI andCouncil Bylaws) and voting at the hearing. The Council's decision on the disputeshall be published in the
(j) The Council Chairman shall advise Council members and hearingparticipants of the right of appeal provided by Section (c) of Article XI of theCompact.
(a) The Federal Bureau of Investigation or a Compact Party State may appealthe decision of the Council to the U.S. Attorney General pursuant to Section (c)of Article XI of the Compact.
(b) Appeals shall be filed and conducted pursuant to rules and proceduresthat may be established by the Attorney General.
(c) Appropriate notice of an appeal shall be communicated to the CouncilChairman by the appealing party.
Pursuant to Section (c) of Article XI of the Compact, a decision by theAttorney General on an appeal under § 902.6 may be appealed by filinga suit seeking to have the decision reversed in the appropriate district courtof the United States.
42 U.S.C. 14616.
70 FR 36028, June 22, 2005, unless otherwise noted.
Pursuant to the National Crime Prevention and Privacy Compact (Compact),title 42, U.S.C., chapter 140, subchapter II, section 14616, Article IV (c), theCompact Council hereby establishes record screening standards for criminalhistory record information received by means of the III System for noncriminaljustice purposes.
Compact Article IV(c) provides that “Any record obtained under thisCompact may be used only for the official purposes for which the record wasrequested.” Further, Article III(b)(1)(C) requires that each Party Stateappoint a Compact officer who shall “regulate the in-State use of recordsreceived by means of the III System from the FBI or from other PartyStates.” To ensure compliance with this requirement, Compact Officersreceiving records from the FBI or other Party States are specifically requiredto “ensure that record entries that may not legally be used for aparticular noncriminal justice purpose are deleted from the response and, if noinformation authorized for release remains, an appropriate ‘no record'response is communicated to the requesting official.” Compact ArticleIV(c)(3).
The following record screening standards relate to criminal history recordinformation received for noncriminal justice purposes as a result of a nationalsearch subject to the Compact utilizing the III System.
(a) The State Criminal History Record Repository or an authorized agency inthe receiving state will complete the record screening required under§ 904.2 for all noncriminal justice purposes.
(b) Authorized officials performing record screening under§ 904.3(a) shall screen the record to determine what information maylegally be disseminated for the authorized purpose for which the record wasrequested. Such record screening will be conducted pursuant
(c) If the state receiving the record has no law, regulation, executiveorder, state attorney general directive, or other legal authority providingguidance on the screening of criminal history record information received fromthe FBI or another state as a result of a national search, then the recordscreening under § 904.3(a) shall be performed in the same manner inwhich the state screens its own records for noncriminal justice purposes.
42 U.S.C. 14616.
70 FR 73587, Dec. 13, 2005, unless otherwise noted.
“National Fingerprint File” means a database of fingerprints, orother uniquely personal identifying information, relating to an arrested orcharged individual maintained by the FBI to provide positive identification ofrecord subjects indexed in the III System.
The purpose of this part 905 is to require each National Fingerprint File(NFF) participant to meet the standards set forth in the NFF QualificationRequirements as established by the Compact Council (Council). The Council isestablished pursuant to the National Crime Prevention and Privacy Compact Act(Compact), title 42, U.S.C., § 14616.
Each NFF Program participant shall meet the standards set forth in the NFFQualification Requirements as established by the Council and endorsed by theFBI's Criminal Justice Information Services Advisory Policy Board; however, suchstandards shall not interfere or conflict with the FBI's administration of theIII, including the NFF, for criminal justice purposes. Each participant'sperformance will be audited and measured by criteria designed to assesscompliance with those requirements. Measurements by which to determinecompliance to the NFF Qualification Requirements are outlined in the FBI andState Sampling Standards. (For a copy of the standards, contact the FBI CompactOfficer, 1000 Custer Hollow Road, Module C-3, Clarksburg, WV26306-0001.)
42 U.S.C. 14616.
69 FR 75245, Dec. 16, 2004, unless otherwise noted.
The purpose of this part 906 is to establish rules and procedures for thirdparties to perform noncriminal justice administrative functions involving accessto Interstate Identification Index (III) information. The Compact Council isestablishing this rule pursuant to the National Crime Prevention and PrivacyCompact (Compact), title 42, U.S.C., chapter 140, subchapter II, section 14616.The scope of this rule is limited to noncriminal justice background checks in sofar as they are governed by the provisions of the Compact as set forth in 42U.S.C. 14614 and 14616.
(a) Except as prohibited in paragraph (b) of this section, criminal historyrecord information obtained from the III System for noncriminal justice purposesmay be made available:
(1) To a governmental agency pursuant to a contract or agreement under whichthe agency performs activities or functions for another governmental
(2) To a private contractor, or other nongovernmental entity or organization,pursuant to a contractual agreement under which the entity or organizationperforms activities or functions for a governmental agency authorized to obtaincriminal history record information as identified in paragraph (a)(1) of thissection or for a nongovernmental entity authorized to obtain such information byfederal statute or executive order.
(b) Criminal history record information provided in response to fingerprint-based III System record requests initiated by authorized governmental agenciesor nongovernmental entities for noncriminal justice purposes may be madeavailable to contracting agencies or organizations manually or electronicallyfor such authorized purposes. Such contractors, agencies, or organizations shallnot be permitted to have direct access to the III System by computer terminal orother automated means which would enable them to initiate record requests,provided however, the foregoing restriction shall not apply with respect to: (1)Persons, agencies, or organizations that may enter into contracts with the FBIor State criminal history record repositories for the performance of authorizedfunctions requiring direct access to criminal history record information; and(2) any direct access to records covered by 42 U.S.C. 14614(b).
(c) The contracts or agreements authorized by paragraphs (a)(1) and (a)(2) ofthis section shall specifically describe the purposes for which criminal historyrecord information may be made available to the contractor and shall incorporateby reference a security and management control outsourcing standard approved bythe Compact Council after consultation with the United States Attorney General.The security and management control outsourcing standard shall specificallyauthorize access to criminal history record information; limit the use of theinformation to the purposes for which it is provided; prohibit retention and/ordissemination of the information except as specifically authorized in thesecurity and management control outsourcing standard; ensure the security andconfidentiality of the information; provide for audits and sanctions; provideconditions for termination of the contractual agreement; and contain such otherprovisions as the Compact Council, after consultation with the United StatesAttorney General, may require.
(d) The exchange of criminal history record information with an authorizedgovernmental or nongovernmental entity or contractor pursuant to this part issubject to cancellation for use, retention or dissemination of the informationin violation of federal statute, regulation or executive order, or rule,procedure or standard established by the Compact Council in consultation withthe United States Attorney General.
42 U.S.C. 14616.
70 FR 69898, Nov. 18, 2005, unless otherwise noted.
Part 907 establishes policies and procedures to ensure that use of the IIISystem for noncriminal justice purposes complies with the National CrimePrevention and Privacy Compact (Compact) and with rules, standards, andprocedures established by the Compact Council regarding application and responseprocedures, record dissemination and use, response times,
This rule applies to III System access for noncriminal justice purposes ascovered by the Compact,
(a) The FBI CJIS Division staff regularly conducts systematic compliancereviews of state repositories. These reviews may include, as necessary, reviewsof III System user agencies, including governmental and nongovernmentalnoncriminal justice entities that submit fingerprints to the State repositoriesand criminal justice and noncriminal justice agencies with direct access to theIII System. These reviews may include, as necessary, the governmental andnongovernmental noncriminal justice entities authorized to submit fingerprintsdirectly to the FBI. The reviews may consist of systematic analyses andevaluations, including on-site investigations, and shall be as comprehensive asnecessary to adequately ensure compliance with the Compact and Compact Councilrules. Violations may also be reported or detected independently of a review.
(b) The FBI CJIS Division staff or the audit team established to review theFBI's noncriminal justice use of the III System shall prepare a draft reportdescribing the nature and results of each review and set out all findings ofcompliance and noncompliance, including any reasons for noncompliance and thecircumstances surrounding the noncompliance. If the agency under review is theFBI or another Federal agency, the draft report shall be forwarded to the FBICompact Officer. If the agency under review is a State or local agency in aParty State, the draft report shall be forwarded to the State Compact Officer.If the agency under review is a State or local agency in a Nonparty State, thedraft report shall be forwarded to the chief administrator of the Staterepository.
(c) The Compact Officer of the FBI or a Party State or the chiefadministrator of the State repository in a Nonparty State shall be afforded theopportunity to forward comments and supporting materials to the FBI CJISDivision staff or to the audit team.
(d) The FBI CJIS Division staff or the audit team shall review any commentsand materials received and shall incorporate applicable revisions into a finalreport. The final report shall be provided to the Compact Officer of the FBI ora Party State or the chief administrator of the State repository in a NonpartyState to whom the draft report was sent. If the agency under review is a Stateor local agency, a copy of the report shall be provided to the FBI CompactOfficer. If the agency under review is being reviewed for the first time, theletter transmitting the report shall provide that sanctions will not be imposedregarding any deficiencies set out in the report. The letter shall also advise,however, that the deficiencies must be remedied and failure to do so before theagency is reviewed again will result in the initiation of remedial actionpursuant to § 907.4.
(a) Subsequent to each compliance review that is not a first-time agencyreview, the final report shall be forwarded to the Compact Council SanctionsCommittee (Sanctions Committee). The Sanctions Committee shall review the reportand if it concludes that no violations occurred or no violations occurred thatare serious enough to require further action, it shall forward its conclusionsand recommendations to the Compact Council Chairman. If the Compact CouncilChairman approves the Sanctions Committee's recommendations, the Compact CouncilChairman shall send a letter to this effect to the FBI or Party State CompactOfficer or the chief administrator of the state repository in a Nonparty Statethat has executed a Memorandum of Understanding. For all remaining states, theCompact Council Chairman shall forward the recommendations to the FBI Directoror Designee who, upon approval of the recommendations, shall send a letter tothis effect to the chief administrator of the state repository. If the agencyunder review is a state or local agency, a copy of the Compact CouncilChairman's or FBI Director's or Designee's letter shall be provided to the FBICompact Officer.
(b) Should the Sanctions Committee conclude that a violation has occurredthat is serious enough to require redress, the Sanctions Committee shallrecommend to the Compact Council a course of action necessary to bring theoffending agency into compliance and require the offending agency to provideassurances that subsequent violations will not occur. In making itsrecommendation, the Sanctions Committee shall consider the minimal actionnecessary to ensure compliance or shall explain why corrective action is notrequired. This may include, but not be limited to, requiring a plan of action bythe offending agency to achieve compliance, with benchmarks and performancemeasures, and/or requiring the agency to seek technical assistance to identifysources of the problem and proposed resolutions. If the Compact Council or, whenapplicable, the FBI Director or Designee approves the Sanctions Committee'srecommendations, progressive actions shall be initiated as set forth below. Theletters referred to in this paragraph (907.4(b)) shall be from the CompactCouncil Chairman when the offending agency is the FBI or another federal agency,a state or local agency in a Party State, or a state or local agency in aNonparty State that has executed a Memorandum of Understanding. Thedocumentation and written responses from the aforementioned agencies to suchletters shall be sent to the Compact Council Chairman. For all remaining states,the Compact Council Chairman shall forward the Compact Council's recommendationsto the FBI Director or Designee who, upon approval of the recommendations, shallsend the letters; accordingly, all documentation and written responses relatingto the FBI Director's or Designee's letters shall be sent to the FBI Director orDesignee who shall make such letters available to the Compact Council Chairman.If the offending agency is an agency other than the FBI or a state repository,any response letters from the offending agency shall be sent to the CompactOfficer of the FBI or Party State or the chief administrator of the staterepository in a Nonparty State and shall outline the course of action theoffending agency will undertake to correct the deficiencies and provideassurances that subsequent violations will not recur.
(1) As noted above, a letter shall be sent to the Compact Officer of the FBIor Party State or the chief administrator of the state repository in a NonpartyState identifying the violations and setting out the actions necessary to comeinto compliance. The letter shall provide that if compliance is not achieved andassurances provided that minimize the probability that subsequent violationswill occur, and non-compliance is not excused, the Compact Council may authorizethe FBI to refuse to process requests for criminal history record checks fornoncriminal justice purposes from the offending agency and, if the offendingagency is a criminal justice agency, may request the Director of the FBI to
(2) If the Sanctions Committee deems the response letter under paragraph(b)(1) of this section to be insufficient, or if no response is received withinthe allotted time, the Sanctions Committee shall report its finding to theCompact Council. If the Compact Council agrees with the Sanctions Committee'sfinding, a letter shall be sent to the Director of the FBI (if the offendingagency is the FBI or another federal agency) or to the head of the state agencyin which the state repository resides (if the offending agency is a state orlocal agency), requesting assistance in correcting the deficiencies. The lettershall provide that the offending agency is being placed on probationary status.A copy of the letter shall be sent to the Compact Officer of the FBI or PartyState or the chief administrator of the state repository in a Nonparty State. Ifthe offending agency is a state or local agency, a copy of the Compact CouncilChairman's or FBI Director's or Designee's letter shall be provided to the FBICompact Officer. A written response to the letter shall be required within 20calendar days from the date of the letter unless a more expeditious response isrequired. The Compact Council Chairman shall refer the response letter to theSanctions Committee for appropriate action.
(3) If the Sanctions Committee deems the response letter under paragraph(b)(2) of this section to be insufficient, or if no response is received withinthe allotted time, the Sanctions Committee shall report its finding to theCompact Council. If the Compact Council agrees with the Sanctions Committee'sfinding, a letter shall be sent to the U. S. Attorney General (if the offendingagency is the FBI or another federal agency) or to the elected/appointed stateofficial who has oversight of the department in which the state repositoryresides (if the offending agency is a state or local agency), requestingassistance in correcting the deficiencies. If the state official is not theGovernor, a copy of the letter shall be sent to the Governor. A copy of theletter shall also be sent to the FBI Compact Officer and (if the offendingagency is a state or local agency) to the State Compact Officer or the chiefadministrator of the state repository in a Nonparty State. The letter shallprovide that a written response is required within 20 calendar days of the dateof the letter, and that if a sufficient response is not received within thattime, sanctions may be imposed that could result in suspension of the offendingagency's access to the III System for noncriminal justice purposes. The CompactCouncil Chairman shall refer the response letter to the Sanctions Committee forappropriate action.
(4) If no response letter is received under paragraph (b)(3) of this sectionwithin the allotted time, or if the Sanctions Committee deems the response to beinsufficient, the Sanctions Committee shall report its finding to the CompactCouncil. If the Compact Council agrees with the Sanctions Committee's finding,the Compact Council Chairman or the FBI Director or Designee shall direct theFBI Compact Officer to take appropriate action to suspend noncriminal justiceaccess to the III System by the offending agency. If the offending agency is acriminal justice agency, the Compact Council Chairman shall request the Directorof the FBI to take appropriate action to suspend noncriminal justice access tothe III System by the offending agency.
(5) Reinstatement of full service by the FBI shall occur after the CompactOfficer of the FBI or a Party State or the chief administrator of the staterepository in a Nonparty State provides
(c) For good cause, the Compact Council Chairman and the FBI Director orDesignee shall be authorized to extend the number of days allowed for theresponse letters required by paragraphs (b)(1) through (3) of this section.
(a) A Compact Officer of the FBI or a Party State or the chief administratorof the state repository in a Nonparty State may dispute a sanction under thisPart by asking the Compact Council Chairman for an opportunity to address theCompact Council.
(b) Unresolved disputes based on the Compact Council's issuance of sanctionsunder this Part may be referred to the Compact Council Dispute AdjudicationCommittee when pertaining to disputes described under ARTICLE XI(a) of theCompact.
(c) Nothing prohibits the Compact Council from requesting the FBI to exerciseimmediate and necessary action to preserve the integrity of the III Systempursuant to Article XI(b) of the Compact.