64 FR 52343, 52347 / 09-28-99
JUSTICE/FBI-009
System Name: Fingerprint Identification Records System (FIRS)
System Location: Federal Bureau of Investigation, Criminal Justice Information Services (CJIS) Division, 1000 Custer Hollow Road, Clarksburg, WV 26306.
Categories of Individuals Covered by the System:
A) Individuals fingerprinted as a result of arrest or incarceration.
B) Persons fingerprinted as a result of federal employment application or military service. In addition, there are a limited number of persons fingerprinted for alien registration and naturalization purposes and a limited number of individuals desiring to have their fingerprints placed on record with the FBI for personal identification purposes.
Categories of Records in the System:
A) Criminal fingerprints and/or related criminal justice information submitted by authorized agencies having criminal justice responsibilities.
B) Civil fingerprints submitted by federal agencies and civil fingerprints submitted by persons desiring to have their fingerprints placed on record for personal identification purposes.
C) Identification records sometimes referred to as "rap sheets," which are compilations of criminal history record information pertaining to individuals who have criminal fingerprints maintained in the system.
D) A name index pertaining to all individuals whose fingerprints are maintained in the system.
Authority for Maintenance of the System: The system is established and maintained under authority granted by 28 U.S.C. 534, Pub. L. 92-544 (86 Stat. 1115), and codified in 28 CFR 0.85 (b) and (j) and part 20. Additional authority is also listed below under Routine Uses.
Purposes: The purpose for maintaining the Fingerprint Identification Records System is to perform identification and criminal history record information functions and maintain resultant records for local, state, tribal, federal, foreign, and international criminal justice agencies, as well as for noncriminal justice agencies and other entities where authorized by federal statute, state statute pursuant to Pub. L. 92-544, Presidential executive order or regulation of the Attorney General of the United States. In addition, identification assistance is provided in disasters and for other humanitarian purposes.
Routine Uses of Records Maintained in the System, Including Categories of Users and the Purposes of Such Uses: Identification and criminal history record information within this system of records may be disclosed as follows:
1) To a local, state, tribal, or federal law enforcement agency, or agency/organization directly engaged in criminal justice activity (including the police, prosecution, penal, probation/parole, and the judiciary), and/or to an authorized foreign or international agency/ organization, where such disclosure may assist the recipient in the performance of a law enforcement function, and/or for the purposes of eliciting information that may assist the FBI in performing a law enforcement function; or to a local, state, tribal, federal, foreign, or international agency/organization for a compatible civil law enforcement function; or where such disclosure may promote, assist, or otherwise serve the mutual law enforcement efforts of the law enforcement community.
2) To a federal, state, tribal, or local criminal or noncriminal justice agency/organization; or to other entities where specifically authorized by federal statute, state statute pursuant to Pub. L. 92- 544, Presidential executive order, or regulation of the Attorney General of the United States for use in making decisions affecting employment, security, contracting, licensing, revocation, or other suitability determinations. Examples of these disclosures may include the release of information as follows:
a) To the Department of Defense, Department of State, Office of Personnel Management, or Central Intelligence Agency, when requested for the purpose of determining the eligibility of a person for access to classified information or assignment to or retention in sensitive national security duties. 5 U.S.C. 9101 (1990);
b) To federal agencies for use in investigating the background of present and prospective federal employees and contractors (Executive Order 10450), including those providing child-care services to children under age 18 at each federal agency and at any facility operated or under contract by the federal government. 42 U.S.C. 13041 (1991);
c) To state and local government officials for purposes of investigating the background of applicants for noncriminal justice employment or licensing purposes if such investigation is authorized by a state statute that has been approved by the Attorney General of the United States. (The Attorney General has delegated to the FBI the responsibility for approving such state statutes.) Examples of applicants about whom FIRS information may be disclosed include: Providers of services/ care for children, the elderly, or disabled persons; teachers/school bus drivers; adoptive/foster parents; security guards/private detectives; state bar applicants; doctors; and explosive dealers/purchasers. Pub. L. 92-544, 86 Stat. 1115;
d) To officials of state racing commissions for use in investigating the background of an applicant for a state license to participate in parimutuel wagering. Officials of state racing commissions in states with a state statute that has been approved under Pub. L. 92-544 may submit fingerprints of the applicant to the FBI through the Association of State Racing Commissioners International, Inc. Results of a criminal record check are returned to each state racing commission designated on the fingerprint card. Pub. L. 100-413, 102 Stat. 1101;
e) To officials of Indian tribal governments for use in investigating the background of an applicant for employment by such tribes in a position involving regular contact with, or control over, Indian children. Officials may submit fingerprints to the FBI through the Bureau of Indian Affairs and the results of the criminal record check are returned to the Bureau of Indian Affairs for transmittal to the appropriate tribal government. Pub. L. 101-630; 25 U.S.C. 3205; 25 U.S.C. 3207;
f) To a designated point of contact at a criminal justice agency for the conduct of background checks under the National Instant Criminal Background Check System (NICS).
g) To criminal justice officials for the conduct of firearms related background checks when required to issue firearms or explosive related licenses or permits according to a state statute or local ordinance. Fingerprints submitted for this noncriminal justice purpose, as well as other firearms related permits, are processed pursuant to Pub. L. 92-544 as set out under 2.c. above. Pub. L. 103-159; 18 U.S.C. 922;
h) To officials of federally chartered or insured banking institutions for use in investigating the background of applicants for employment or to otherwise promote or maintain the security of those institutions. Pub. L. 92-544; 86 Stat. 1115;
i) To officials of the Securities and Exchange Commission (SEC) and to self-regulatory organizations (SRO) designated by the SEC for use in investigating all partners, directors, officers, and employees involved in the transfers/handling of securities at every member of a national securities exchange, broker, dealer, registered transfer agent, and registered clearing agency. (The SROs are: American Stock Exchange, Boston Stock Exchange, Chicago Board Options Exchange, Midwest Stock Exchange, New York Stock Exchange, Pacific Stock Exchange, Philadelphia Stock Exchange, and the National Association of Securities Dealers.) 15 U.S.C. 78q(f)(2) (1990);
j) To officials of the Commodity Futures Trading Commission (CFTC) and the National Futures Association for use in investigating the background of applicants for registration with the CFTC as commodity dealers/members of futures associations. Such applicants include futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators, floor brokers, and associated persons. 7 U.S.C. 12a (1992); 7 U.S.C. 21(b)(4)(E);
k) To officials of the Nuclear Regulatory Commission (NRC) for use in investigating the background of each individual who is permitted unescorted access to a nuclear utilization facility (nuclear power plant) and/or who is permitted access to information relating to the safeguarding of such facilities. 42 U.S.C. 2169 (1992).
3) To noncriminal justice governmental agencies performing criminal justice dispatching functions or data processing/information services for criminal justice agencies.
4) To private contractors pursuant to a specific agreement with a criminal justice agency or a noncriminal justice governmental agency performing criminal justice dispatching functions or data processing/ information services for criminal justice agencies to provide services for the administration of criminal justice pursuant to that agreement. The agreement must incorporate a security addendum approved by the Attorney General of the United States, which shall specifically authorize access to criminal history record information, limit the use of the information to the purposes for which it is provided, ensure the security and confidentiality of the information, provide for sanctions, and contain such other provisions as the Attorney General may require. The power and authority of the Attorney General hereunder shall be exercised by the FBI Director (or the Director's designee).
5) To the news media and general public where there exists a relevant and legitimate public interest (unless it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy) and where disclosure will serve a relevant and legitimate law enforcement function, e.g., to assist in locating federal fugitives, and to provide notification of arrests. This would include disclosure of information in accordance with 23 CFR 20.33 (a)(4) and (c), and 50.2. In addition, where relevant and necessary to protect the general public or any member of the public from imminent threat to life, bodily injury, or property, such information may be disclosed.
6) To a Member of Congress or staff acting on the Member's behalf when the Member or staff requests the information on behalf of and at the request of the individual who is the subject of the record.
7) To the National Archives and Records Administration and the General Services Administration for records management inspections and such other purposes conducted under the authority of 44 U.S.C. 2904 and 2906, to the extent that such legislation requires or authorizes the disclosure.
Policies and Practices for Storing, Retrieving, Accessing, Retaining, and Disposing of Records in the System:
Storage:
A) The criminal fingerprints and related criminal justice information are stored in both automated and manual formats. The manual records are in file cabinets in their original state or on microfilm.
B) The civil fingerprints are stored in an entirely manual format.
C) The identification records or "rap sheets" are mostly automated but a significant portion of older records are manual.
D) The criminal name index is either automated or on microfilm while the civil name index is entirely manual.
Retreivability:
A) Information in the system is retrievable by technical fingerprint classification and positive identification is effected only by comparison of unique identifying characteristics appearing in fingerprint impressions submitted for search against the fingerprints maintained within the system.
B) An auxiliary means of retrieval is through name indices which contain names of the individuals, their birth data, other physical descriptors, and the individuals' technical fingerprint classification and FBI numbers, if such have been assigned.
Safeguards: Information in the system is unclassified. Disclosure of information from the system is made only to authorized recipients upon authentication and verification of the right to access the system by such persons and agencies. The physical security and maintenance of information within the system is provided by FBI rules, regulations and procedures.
Retention and Disposal:
A) The Archivist of the United States has approved the destruction of records maintained in the criminal file when the records indicate individuals have reached 99 years of age, and the destruction of records maintained in the civil file when the records indicate individuals have reached 99 years of age. (Job. No. N1-65-95-03)
B) Fingerprints and related arrest data in the system are destroyed seven years following notification of the death of an individual whose record is maintained in the system (Job No. N1-65-95-03)
C) The Archivist has determined that automated FBI criminal identification records (rap sheets) are to be permanently retained. Thus, at the time when paper identification records would have been eligible for destruction, automated FBI criminal identification records are transferred via magnetic tape to NARA.
D) Fingerprints submitted by state and local criminal justice agencies are removed from the system and destroyed upon the request of the submitting agencies. The destruction of fingerprints under this procedure results in the deletion from the system of all arrest information related to those fingerprints.
E) Fingerprints and related arrest data are removed from the Fingerprint Identification Records System upon receipt of federal court orders for expunction when accompanied by necessary identifying information. Recognizing lack of jurisdiction of local and state courts over an entity of the federal government, the Fingerprint Identification Records System, as a matter of comity, destroys fingerprints and related arrest data submitted by local and state criminal justice agencies upon receipt of orders of expunction directed to such agencies by local and state courts when accompanied by necessary identifying information.
System Manager(s) and Address: Director, Federal Bureau of Investigation, J. Edgar Hoover Building, 935 Pennsylvania Avenue, NW, Washington, DC 20535-0001.
Notification Procedure: This system has been exempted from subsections (d) and (e)(4)(G) pursuant to subsections (j)(2), (k)(2), and (k)(5) of the Privacy Act.
Record Access Procedures: This system of records has been exempted from subsections (d) and (e)(4)(H) pursuant to subsections (j)(2), (k)(2), and (k)(5) of the Privacy Act. However, procedures are set forth at 28 CFR 16.30-34 and 20.24 for an individual to obtain a copy of his identification record maintained in the Fingerprint Identification Records System to review or to obtain a change, correction, or updating of the record.
Contesting Record Procedures: Same as above.
Record Source Categories: Federal, state, local, tribal, foreign, and international agencies. See Categories of Individuals.
Exemptions Claimed for the System: The Attorney General has exempted this system from subsections (c)(3) and (4); (d); (e)(1), (2), (3), (4)(G) and (H), (5) and (8); and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). In addition, the Attorney General has exempted this system from (c)(3), (d), (e)(1), and (e)(4)(G) and (H), pursuant to (k)(2) and (k)(5). Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553(b), (c), and (e) and have been published in the Federal Register.
Dated: July 27, 1999
