Compact Council Procedures for Compliant Conduct and Responsible Use of the Interstate Identification Index (III) System for Noncriminal Justice Purposes, 69897-69900 [05-22850]
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Federal Register / Vol. 70, No. 222 / Friday, November 18, 2005 / Rules and Regulations
69897
DEPARTMENT OF TRANSPORTATION
DEPARTMENT OF TRANSPORTATION
NATIONAL CRIME PREVENTION AND
PRIVACY COMPACT COUNCIL
Federal Aviation Administration
Federal Aviation Administration
14 CFR Part 71
14 CFR Part 71
[NCPPC 112]
[Docket No. FAA–2005–22006; Airspace
Docket No. 05–ACE–30]
[Docket No. FAA–2005–22005; Airspace
Docket No. 05–ACE–29]
Modification of Class E Airspace;
Sheldon Municipal Airport, IA
Modification of Class E Airspace;
Wellington Municipal Airport, KS
Compact Council Procedures for
Compliant Conduct and Responsible
Use of the Interstate Identification
Index (III) System for Noncriminal
Justice Purposes
AGENCY:
Federal Aviation
Administration (FAA), DOT.
AGENCY:
ACTION:
Direct final rule; confirmation of
effective date.
ACTION:
SUMMARY: This document confirms the
effective date of the direct final rule
which revises Class E airspace at
Sheldon Municipal Airport, IA.
SUMMARY: This document confirms the
effective date of the direct final rule
which revises Class E airspace at
Wellington Municipal Airport, KS.
28 CFR Part 907
EFFECTIVE DATE:
National Crime Prevention and
Privacy Compact Council.
ACTION: Final rule.
AGENCY:
Federal Aviation
Administration (FAA), DOT.
0901 UTC, December
Direct final rule; confirmation of
effective date.
EFFECTIVE DATE:
0901 UTC, December
22, 2005.
22, 2005.
FOR FURTHER INFORMATION CONTACT:
FOR FURTHER INFORMATION CONTACT:
Brenda Mumper, Air Traffic Division,
Airspace Branch, ACE–502A, DOT
Regional Headquarters Building, Federal
Aviation Administration, 901 Locust,
Kansas City, MO 64106; telephone:
(816) 329–2524.
Brenda Mumper, Air Traffic Division,
Airspace Branch, ACE–520A, DOT
Regional Headquarters Building, Federal
Aviation Administration, 901 Locust,
Kansas City, MO 64296; telephone:
(816) 329–2524.
The FAA
published this direct final rule with a
request for comments in the Federal
Register on October 3, 2005 (70 FR
57497). The FAA uses the direct final
rulemaking procedure for a noncontroversial rule where the FAA
believes that there will be no adverse
public comment. This direct final rule
advised the public that no adverse
comments were anticipated, and that
unless a written adverse comment, or a
written notice of intent to submit such
an adverse comment, were received
within the comment period, the
regulation would become effective on
December 22, 2005. No adverse
comments were received, and thus this
notice confirms that this direct final rule
will become effective on that date.
SUPPLEMENTARY INFORMATION:
Issued in Kansas City, MO on November 2,
2005.
Elizabeth S. Wallis,
Acting Area Director, Western Flight Services
Operations.
[FR Doc. 05–22915 Filed 11–17–05; 8:45am]
Issued in Kansas City, MO on November 2,
2005.
Elizabeth S. Wallis,
Acting Area Director, Western Flight Services
Operations.
[FR Doc. 05–22916 Filed 11–17–05; 8:45 am]
BILLING CODE 4929–13–M
BILLING CODE 4929–13–M
SUPPLEMENTARY INFORMATION:
VerDate Aug<31>2005
14:27 Nov 17, 2005
Jkt 208001
The FAA
published this direct final rule with a
request for comments in the Federal
Register on October 3, 2005 (70 FR
57498). The FAA uses the direct final
rulemaking procedure for a noncontroversial rule where the FAA
believes that there will be no adverse
public comment. This direct final rule
advised the public that no adverse
comments were anticipated, and that
unless a written adverse comment, or a
written notice of intent to submit such
an adverse comment, were received
within the comment period, the
regulation would become effective on
December 22, 2005. No adverse
comments were received, and thus this
notice confirms that this direct final rule
will become effective on that date.
PO 00000
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SUMMARY: The Compact Council,
established pursuant to the National
Crime Prevention and Privacy Compact
(Compact), is publishing a rule that
establishes procedures for ensuring
compliant conduct and responsible use
of the Interstate Identification Index (III)
System for noncriminal justice purposes
as authorized by Article VI of the
Compact.
EFFECTIVE DATE: This rule is effective on
December 19, 2005.
FOR FURTHER INFORMATION CONTACT: Ms.
Donna M. Uzzell, Compact Council
Chairman, Florida Department of Law
Enforcement, 2331 Philips Road,
Tallahassee, Florida 32308–5333,
telephone number (850) 410–7100.
SUPPLEMENTARY INFORMATION: This
document finalizes the Compact
Council rule proposed in the Federal
Register on February 17, 2005 (70 FR
8050). The Compact Council requested
that comments on the proposed rule be
provided by March 21, 2005. Comments
were not submitted; however, the
Council made editorial changes.
Administrative Procedures and
Executive Orders
Administrative Procedure Act
This rule is published by the Compact
Council as authorized by the National
Crime Prevention and Privacy Compact
(Compact), an interstate and FederalState compact which was approved and
enacted into legislation by Congress
pursuant to Pub. L. 105–251. The
Compact Council is composed of 15
members (with 11 state and local
governmental representatives).
The Compact Council is not a federal
agency as defined in the Administrative
Procedure Act. Accordingly, rulemaking
by the Compact Council pursuant to the
Compact is not subject to the Act.
However, the Compact specifically
provides that the Compact Council shall
prescribe rules and procedures for the
effective and proper use of the Interstate
Identification Index (III) System for
noncriminal justice purposes, and
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69898
Federal Register / Vol. 70, No. 222 / Friday, November 18, 2005 / Rules and Regulations
mandates that such rules, procedures, or
standards established by the Compact
Council be published in the Federal
Register. See 42 U.S.C. 14616, Articles
II(4), VI(a)(1), and VI(e). This
publication complies with those
requirements.
Executive Order 12866
The Compact Council is not an
executive department or independent
regulatory agency as defined in 44
U.S.C. 3502; accordingly, Executive
Order 12866 is not applicable.
§ 907.1
The Compact Council is not an
executive department or independent
regulatory agency as defined in 44
U.S.C. 3502; accordingly, Executive
Order 13132 is not applicable.
Nonetheless, this rule fully complies
with the intent that the national
government should be deferential to the
States when taking action that affects
the policymaking discretion of the
States.
Executive Order 12988
The Compact Council is not an
executive agency or independent
establishment as defined in 5 U.S.C.
105; accordingly, Executive Order 12988
is not applicable.
Unfunded Mandates Reform Act
Approximately 75 percent of the
Compact Council members are
representatives of state and local
governments; accordingly, rules
prescribed by the Compact Council are
not Federal mandates. No actions are
deemed necessary under the provisions
of the Unfunded Mandates Reform Act
of 1995.
Small Business Regulatory Enforcement
Fairness Act of 1996
The Small Business Regulatory
Enforcement Fairness Act (Title 5,
U.S.C. 801–804) is not applicable to the
Compact Council’s rule because the
Compact Council is not a ‘‘Federal
agency’’ as defined by 5 U.S.C. 804(1).
Likewise, the reporting requirement of
the Congressional Review Act (Subtitle
E of the Small Business Regulatory
Enforcement Fairness Act) does not
apply. See 5 U.S.C. 804.
List of Subjects in 28 CFR Part 907
Privacy, Accounting, Auditing.
The National Crime Prevention and
Privacy Compact Council is adding part
907 to chapter IX of title 28 Code of
Federal Regulations to read as follows:
I
14:27 Nov 17, 2005
Sec.
907.1 Purpose and authority.
907.2 Applicability.
907.3 Assessing compliance.
907.4 Methodology for resolving
noncompliance.
907.5 Sanction adjudication.
Authority: 42 U.S.C. 14616.
Executive Order 13132
VerDate Aug<31>2005
PART 907—COMPACT COUNCIL
PROCEDURES FOR COMPLIANT
CONDUCT AND RESPONSIBLE USE
OF THE INTERSTATE IDENTIFICATION
INDEX (III) SYSTEM FOR
NONCRIMINAL JUSTICE PURPOSES
Jkt 208001
Purpose and authority.
Part 907 establishes policies and
procedures to ensure that use of the III
System for noncriminal justice purposes
complies with the National Crime
Prevention and Privacy Compact
(Compact) and with rules, standards,
and procedures established by the
Compact Council regarding application
and response procedures, record
dissemination and use, response times,
data quality, system security, accuracy,
privacy protection, and other aspects of
III System operation for noncriminal
justice purposes. The rule is established
pursuant to Article VI of the Compact,
which authorizes the Compact Council
to promulgate rules, procedures, and
standards governing the use of the III
System for noncriminal justice
purposes. The rule requires responsible
authorized access to the System and
proper use of records that are obtained
from the System. The rule provides
comprehensive procedures for a
coordinated compliance effort among
the Compact Council, the FBI, and local,
State and Federal government agencies,
and encourages the cooperation of all
affected parties.
§ 907.2
Applicability.
This rule applies to III System access
for noncriminal justice purposes as
covered by the Compact, see 42 U.S.C.
14614 and 14616, and use of
information obtained by means of the
System for such purposes. The rule
establishes procedures for ensuring that
the FBI’s and Compact Party States’
criminal history record repositories
carry out their responsibilities under the
Compact, as set out in the National
Fingerprint File (NFF) Qualification
Requirements, and that local, State and
Federal government agencies using the
III System for noncriminal justice
purposes comply with the Compact and
with applicable Compact Council rules.
§ 907.3
Assessing compliance.
(a) The FBI CJIS Division staff
regularly conducts systematic
compliance reviews of state repositories.
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These reviews may include, as
necessary, reviews of III System user
agencies, including governmental and
nongovernmental noncriminal justice
entities that submit fingerprints to the
State repositories and criminal justice
and noncriminal justice agencies with
direct access to the III System. These
reviews may include, as necessary, the
governmental and nongovernmental
noncriminal justice entities authorized
to submit fingerprints directly to the
FBI. The reviews may consist of
systematic analyses and evaluations,
including on-site investigations, and
shall be as comprehensive as necessary
to adequately ensure compliance with
the Compact and Compact Council
rules. Violations may also be reported or
detected independently of a review.
(b) The FBI CJIS Division staff or the
audit team established to review the
FBI’s noncriminal justice use of the III
System shall prepare a draft report
describing the nature and results of each
review and set out all findings of
compliance and noncompliance,
including any reasons for
noncompliance and the circumstances
surrounding the noncompliance. If the
agency under review is the FBI or
another Federal agency, the draft report
shall be forwarded to the FBI Compact
Officer. If the agency under review is a
State or local agency in a Party 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, the draft report
shall be forwarded to the chief
administrator of the State repository.
(c) The Compact Officer of the FBI or
a Party State or the chief administrator
of the State repository in a Nonparty
State shall be afforded the opportunity
to forward comments and supporting
materials to the FBI CJIS Division staff
or to the audit team.
(d) The FBI CJIS Division staff or the
audit team shall review any comments
and materials received and shall
incorporate applicable revisions into a
final report. The final report shall be
provided to the Compact Officer of the
FBI or a Party State or the chief
administrator of the State repository in
a Nonparty State to whom the draft
report was sent. If the agency under
review is a State or local agency, a copy
of the report shall be provided to the
FBI Compact Officer. If the agency
under review is being reviewed for the
first time, the letter transmitting the
report shall provide that sanctions will
not be imposed regarding 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 the agency is
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Federal Register / Vol. 70, No. 222 / Friday, November 18, 2005 / Rules and Regulations
reviewed again will result in the
initiation of remedial action pursuant to
§ 907.4.
§ 907.4 Methodology for resolving
noncompliance.
(a) Subsequent to each compliance
review that is not a first-time agency
review, the final report shall be
forwarded to the Compact Council
Sanctions Committee (Sanctions
Committee). The Sanctions Committee
shall review the report and if it
concludes that no violations occurred or
no violations occurred that are serious
enough to require further action, it shall
forward its conclusions and
recommendations to the Compact
Council Chairman. If the Compact
Council Chairman approves the
Sanctions Committee’s
recommendations, the Compact Council
Chairman shall send a letter to this
effect to the FBI or Party State Compact
Officer or the chief administrator of the
state repository in a Nonparty State that
has executed a Memorandum of
Understanding. For all remaining states,
the Compact Council Chairman shall
forward the recommendations to the FBI
Director or Designee who, upon
approval of the recommendations, shall
send a letter to this effect to the chief
administrator of the state repository. If
the agency under review is a state or
local agency, a copy of the Compact
Council Chairman’s or FBI Director’s or
Designee’s letter shall be provided to the
FBI Compact Officer.
(b) Should the Sanctions Committee
conclude that a violation has occurred
that is serious enough to require redress,
the Sanctions Committee shall
recommend to the Compact Council a
course of action necessary to bring the
offending agency into compliance and
require the offending agency to provide
assurances that subsequent violations
will not occur. In making its
recommendation, the Sanctions
Committee shall consider the minimal
action necessary to ensure compliance
or shall explain why corrective action is
not required. This may include, but not
be limited to, requiring a plan of action
by the offending agency to achieve
compliance, with benchmarks and
performance measures, and/or requiring
the agency to seek technical assistance
to identify sources of the problem and
proposed resolutions. If the Compact
Council or, when applicable, the FBI
Director or Designee approves the
Sanctions Committee’s
recommendations, progressive actions
shall be initiated as set forth below. The
letters referred to in this paragraph
(907.4(b)) shall be from the Compact
Council Chairman when the offending
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14:27 Nov 17, 2005
Jkt 208001
agency is the FBI or another federal
agency, a state or local agency in a Party
State, or a state or local agency in a
Nonparty State that has executed a
Memorandum of Understanding. The
documentation and written responses
from the aforementioned agencies to
such letters shall be sent to the Compact
Council Chairman. For all remaining
states, the Compact Council Chairman
shall forward the Compact Council’s
recommendations to the FBI Director or
Designee who, upon approval of the
recommendations, shall send the letters;
accordingly, all documentation and
written responses relating to the FBI
Director’s or Designee’s letters shall be
sent to the FBI Director or Designee 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 Compact
Officer of the FBI or Party State or the
chief administrator of the state
repository in a Nonparty State and shall
outline the course of action the
offending agency will undertake to
correct the deficiencies and provide
assurances that subsequent violations
will not recur.
(1) As noted above, a letter shall be
sent to the Compact Officer of the FBI
or Party State or the chief administrator
of the state repository in a Nonparty
State identifying the violations and
setting out the actions necessary to
come into compliance. The letter shall
provide that if compliance is not
achieved and assurances provided that
minimize the probability that
subsequent violations will occur, and
non-compliance is not excused, the
Compact Council may authorize the FBI
to refuse to process requests for criminal
history record checks for noncriminal
justice purposes from the offending
agency and, if the offending agency is a
criminal justice agency, may request the
Director of the FBI to take appropriate
action against the offending agency
consistent with the recommendations of
the Compact Council. The letter shall
direct the Compact Officer of the FBI or
Party State or the chief administrator of
the state repository in a Nonparty State
to submit a written response within 30
calendar days from the date of the letter,
unless a more expeditious response is
required. If the offending agency is a
state or local agency, a copy of the
Compact Council Chairman’s or FBI
Director’s or Designee’s letter shall be
provided to the FBI Compact Officer.
The Compact Council Chairman shall
refer the response letter to the Sanctions
Committee for appropriate action.
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69899
(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 within the
allotted time, the Sanctions Committee
shall report its finding to the Compact
Council. If the Compact Council agrees
with the Sanctions Committee’s finding,
a letter shall be sent to the Director of
the FBI (if the offending agency is the
FBI or another federal agency) or to the
head of the state agency in which the
state repository resides (if the offending
agency is a state or local agency),
requesting assistance in correcting the
deficiencies. The letter shall 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 Party State or the
chief administrator of the state
repository in a Nonparty State. If the
offending agency is a state or local
agency, a copy of the Compact Council
Chairman’s or FBI Director’s or
Designee’s letter shall be provided to the
FBI Compact Officer. A written response
to the letter shall be required within 20
calendar days from the date of the letter
unless a more expeditious response is
required. The Compact Council
Chairman shall refer the response letter
to the Sanctions 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 within the
allotted time, the Sanctions Committee
shall report its finding to the Compact
Council. If the Compact Council agrees
with the Sanctions Committee’s finding,
a letter shall be sent to the U. S.
Attorney General (if the offending
agency is the FBI or another federal
agency) or to the elected/appointed state
official who has oversight of the
department in which the state
repository resides (if the offending
agency is a state or local agency),
requesting assistance in correcting the
deficiencies. If the state official is not
the Governor, a copy of the letter shall
be sent to the Governor. A copy of the
letter shall also be sent to the FBI
Compact Officer and (if the offending
agency is a state or local agency) to the
State Compact Officer or the chief
administrator of the state repository in
a Nonparty State. The letter shall
provide that a written response is
required within 20 calendar days of the
date of the letter, and that if a sufficient
response is not received within that
time, sanctions may be imposed that
could result in suspension of the
offending agency’s access to the III
System for noncriminal justice
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Federal Register / Vol. 70, No. 222 / Friday, November 18, 2005 / Rules and Regulations
purposes. The Compact Council
Chairman shall refer the response letter
to the Sanctions Committee for
appropriate action.
(4) If no response letter is received
under paragraph (b)(3) of this section
within the allotted time, or if the
Sanctions Committee deems the
response to be insufficient, the
Sanctions Committee shall report its
finding to the Compact Council. If the
Compact Council agrees with the
Sanctions Committee’s finding, the
Compact Council Chairman or the FBI
Director or Designee shall direct the FBI
Compact Officer to take appropriate
action to suspend noncriminal justice
access to the III System by the offending
agency. If the offending agency is a
criminal justice agency, the Compact
Council Chairman shall request the
Director of the FBI to take appropriate
action to suspend noncriminal justice
access to the III System by the offending
agency.
(5) Reinstatement of full service by
the FBI shall occur after the Compact
Officer of the FBI or a Party State or the
chief administrator of the state
repository in a Nonparty State provides
satisfactory documentation that the
deficiencies have been corrected or a
process has been initiated to correct the
deficiencies. Upon approval of the
documentation by the Sanctions
Committee in consultation with the
Compact Council Chairman, the
Compact Council Chairman or the FBI
Director or Designee shall request the
FBI Compact Officer to take appropriate
action to reinstate full service. Letters to
this effect shall be sent to all persons
who have previously received letters
relating to the deficiencies and resulting
suspension of service. The decision to
reinstate full service shall be considered
for ratification by the Compact Council
at its next regularly scheduled meeting.
(c) For good cause, the Compact
Council Chairman and the FBI Director
or Designee shall be authorized to
extend the number of days allowed for
the response letters required by
paragraphs (b)(1) through (3) of this
section.
§ 907.5
Sanction adjudication.
(a) A Compact Officer of the FBI or a
Party State or the chief administrator of
the state repository in a Nonparty State
may dispute a sanction under this Part
by asking the Compact Council
Chairman for an opportunity to address
the Compact Council.
(b) Unresolved disputes based on the
Compact Council’s issuance of sanctions
under this Part may be referred to the
Compact Council Dispute Adjudication
Committee when pertaining to disputes
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14:27 Nov 17, 2005
Jkt 208001
described under ARTICLE XI(a) of the
Compact.
(c) Nothing prohibits the Compact
Council from requesting the FBI to
exercise immediate and necessary
action to preserve the integrity of the III
System pursuant to Article XI(b) of the
Compact.
Dated: November 1, 2005.
Donna M. Uzzell,
Compact Council Chairman.
[FR Doc. 05–22850 Filed 11–17–05; 8:45 am]
BILLING CODE 4410–02–P
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Part 271
[FRL–7998–8]
Massachusetts: Extension of Interim
Authorization of State Hazardous
Waste Management Program Revision
Environmental Protection
Agency (EPA).
ACTION: Immediate final rule.
AGENCY:
SUMMARY: The EPA is extending the
expiration date from January 1, 2006 to
January 1, 2011 for the interim
authorization under the Resource
Conservation and Recovery Act, of the
Massachusetts program for regulating
Cathode Ray Tubes (‘‘CRTs’’).
Massachusetts was granted interim
authorization to assume the
responsibility under the Toxicity
Characteristics Rule (‘‘TC Rule’’) for
regulating CRTs, on November 15, 2000
with an expiration date of January 1,
2003. This expiration date was
subsequently extended until January 1,
2006. As this interim authorization is
soon due to expire, an extension is
needed for the reasons explained below.
EPA is publishing this rule to authorize
the extension without a prior proposal
because we believe this action is not
controversial and do not expect
comments that oppose it. Unless we get
written comments which oppose this
extension during the comment period,
the decision to extend the interim
authorization will take effect. If we get
comments that oppose this action, we
will publish a document in the Federal
Register withdrawing this rule before it
takes effect and the separate document
in the proposed rules section of this
Federal Register will serve as the
proposal to authorize the changes.
DATES: This extension of the interim
authorization will become effective on
January 17, 2006 and remain in effect
until January 1, 2011 unless EPA
receives adverse written comment by
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December 19, 2005. If EPA receives such
comment, it will publish a timely
withdrawal of this immediate final rule
in the Federal Register and inform the
public that this extended authorization
will not take immediate effect.
ADDRESSES: Submit your comments by
one of the following methods:
1. Federal eRulemaking Portal: https://
www.regulations.gov. Follow the on-line
instructions for submitting comments.
2. E-mail: Robin Biscaia,
biscaia.robin@epa.gov.
3. Mail: Robin Biscaia, Hazardous
Waste Unit (CHW), EPA New England,
One Congress Street, Suite 1100 (CHW),
Boston, MA 02114–2023;
4. Hand Delivery or Courier. Deliver
your comments to Robin Biscaia,
Hazardous Waste Unit, EPA New
England, One Congress Street, Suite
1100 (CHW), Boston, MA 02114–2023;
Instructions: We must receive your
comments by December 19, 2005. Do
not submit information that you
consider to be CBI or otherwise
protected through regulations.gov, or email. The Federal regulations.gov Web
site is an ‘‘anonymous access’’ system,
which means EPA will not know your
identity or contact information unless
you provide it in the body of your
comment. If you send an e-mail
comment directly to EPA without going
through regulations.gov, your e-mail
address will be automatically captured
and included as part of the comment
that is placed in the public docket and
made available on the Internet. If you
submit an electronic comment, EPA
recommends that you include your
name and other contact information in
the body of your comment and with any
disk or CD–ROM you submit. If EPA
cannot read your comment due to
technical difficulties and cannot contact
you for clarification, EPA may not be
able to consider your comment.
Electronic files should avoid the use of
special characters, any form of
encryption, and be free of any defects or
viruses.
Dockets containing copies of the
Commonwealth of Massachusetts’
revision application, the materials
which the EPA used in evaluating the
revision, and materials relating to the
State-specific and site-specific Federal
regulation changes, have been
established at the following two
locations: (i) Massachusetts Department
of Environmental Protection, Business
Compliance Division, One Winter
Street—8th Floor, Boston, MA 02108,
business hours Monday through Friday
9 a.m. to 5 p.m., tel: (617) 556–1096;
and (ii) EPA Region I Library, One
E:\FR\FM\18NOR1.SGM
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]]>Agencies
[Federal Register Volume 70, Number 222 (Friday, November 18, 2005)]
[Rules and Regulations]
[Pages 69897-69900]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-22850]
=======================================================================
-----------------------------------------------------------------------
NATIONAL CRIME PREVENTION AND PRIVACY COMPACT COUNCIL
28 CFR Part 907
[NCPPC 112]
Compact Council Procedures for Compliant Conduct and Responsible
Use of the Interstate Identification Index (III) System for Noncriminal
Justice Purposes
AGENCY: National Crime Prevention and Privacy Compact Council.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Compact Council, established pursuant to the National
Crime Prevention and Privacy Compact (Compact), is publishing a rule
that establishes procedures for ensuring compliant conduct and
responsible use of the Interstate Identification Index (III) System for
noncriminal justice purposes as authorized by Article VI of the
Compact.
EFFECTIVE DATE: This rule is effective on December 19, 2005.
FOR FURTHER INFORMATION CONTACT: Ms. Donna M. Uzzell, Compact Council
Chairman, Florida Department of Law Enforcement, 2331 Philips Road,
Tallahassee, Florida 32308-5333, telephone number (850) 410-7100.
SUPPLEMENTARY INFORMATION: This document finalizes the Compact Council
rule proposed in the Federal Register on February 17, 2005 (70 FR
8050). The Compact Council requested that comments on the proposed rule
be provided by March 21, 2005. Comments were not submitted; however,
the Council made editorial changes.
Administrative Procedures and Executive Orders
Administrative Procedure Act
This rule is published by the Compact Council as authorized by the
National Crime Prevention and Privacy Compact (Compact), an interstate
and Federal-State compact which was approved and enacted into
legislation by Congress pursuant to Pub. L. 105-251. The Compact
Council is composed of 15 members (with 11 state and local governmental
representatives).
The Compact Council is not a federal agency as defined in the
Administrative Procedure Act. Accordingly, rulemaking by the Compact
Council pursuant to the Compact is not subject to the Act. However, the
Compact specifically provides that the Compact Council shall prescribe
rules and procedures for the effective and proper use of the Interstate
Identification Index (III) System for noncriminal justice purposes, and
[[Page 69898]]
mandates that such rules, procedures, or standards established by the
Compact Council be published in the Federal Register. See 42 U.S.C.
14616, Articles II(4), VI(a)(1), and VI(e). This publication complies
with those requirements.
Executive Order 12866
The Compact Council is not an executive department or independent
regulatory agency as defined in 44 U.S.C. 3502; accordingly, Executive
Order 12866 is not applicable.
Executive Order 13132
The Compact Council is not an executive department or independent
regulatory agency as defined in 44 U.S.C. 3502; accordingly, Executive
Order 13132 is not applicable. Nonetheless, this rule fully complies
with the intent that the national government should be deferential to
the States when taking action that affects the policymaking discretion
of the States.
Executive Order 12988
The Compact Council is not an executive agency or independent
establishment as defined in 5 U.S.C. 105; accordingly, Executive Order
12988 is not applicable.
Unfunded Mandates Reform Act
Approximately 75 percent of the Compact Council members are
representatives of state and local governments; accordingly, rules
prescribed by the Compact Council are not Federal mandates. No actions
are deemed necessary under the provisions of the Unfunded Mandates
Reform Act of 1995.
Small Business Regulatory Enforcement Fairness Act of 1996
The Small Business Regulatory Enforcement Fairness Act (Title 5,
U.S.C. 801-804) is not applicable to the Compact Council's rule because
the Compact Council is not a ``Federal agency'' as defined by 5 U.S.C.
804(1). Likewise, the reporting requirement of the Congressional Review
Act (Subtitle E of the Small Business Regulatory Enforcement Fairness
Act) does not apply. See 5 U.S.C. 804.
List of Subjects in 28 CFR Part 907
Privacy, Accounting, Auditing.
0
The National Crime Prevention and Privacy Compact Council is adding
part 907 to chapter IX of title 28 Code of Federal Regulations to read
as follows:
PART 907--COMPACT COUNCIL PROCEDURES FOR COMPLIANT CONDUCT AND
RESPONSIBLE USE OF THE INTERSTATE IDENTIFICATION INDEX (III) SYSTEM
FOR NONCRIMINAL JUSTICE PURPOSES
Sec.
907.1 Purpose and authority.
907.2 Applicability.
907.3 Assessing compliance.
907.4 Methodology for resolving noncompliance.
907.5 Sanction adjudication.
Authority: 42 U.S.C. 14616.
Sec. 907.1 Purpose and authority.
Part 907 establishes policies and procedures to ensure that use of
the III System for noncriminal justice purposes complies with the
National Crime Prevention and Privacy Compact (Compact) and with rules,
standards, and procedures established by the Compact Council regarding
application and response procedures, record dissemination and use,
response times, data quality, system security, accuracy, privacy
protection, and other aspects of III System operation for noncriminal
justice purposes. The rule is established pursuant to Article VI of the
Compact, which authorizes the Compact Council to promulgate rules,
procedures, and standards governing the use of the III System for
noncriminal justice purposes. The rule requires responsible authorized
access to the System and proper use of records that are obtained from
the System. The rule provides comprehensive procedures for a
coordinated compliance effort among the Compact Council, the FBI, and
local, State and Federal government agencies, and encourages the
cooperation of all affected parties.
Sec. 907.2 Applicability.
This rule applies to III System access for noncriminal justice
purposes as covered by the Compact, see 42 U.S.C. 14614 and 14616, and
use of information obtained by means of the System for such purposes.
The rule establishes procedures for ensuring that the FBI's and Compact
Party States' criminal history record repositories carry out their
responsibilities under the Compact, as set out in the National
Fingerprint File (NFF) Qualification Requirements, and that local,
State and Federal government agencies using the III System for
noncriminal justice purposes comply with the Compact and with
applicable Compact Council rules.
Sec. 907.3 Assessing compliance.
(a) The FBI CJIS Division staff regularly conducts systematic
compliance reviews of state repositories. These reviews may include, as
necessary, reviews of III System user agencies, including governmental
and nongovernmental noncriminal justice entities that submit
fingerprints to the State repositories and criminal justice and
noncriminal justice agencies with direct access to the III System.
These reviews may include, as necessary, the governmental and
nongovernmental noncriminal justice entities authorized to submit
fingerprints directly to the FBI. The reviews may consist of systematic
analyses and evaluations, including on-site investigations, and shall
be as comprehensive as necessary to adequately ensure compliance with
the Compact and Compact Council rules. Violations may also be reported
or detected independently of a review.
(b) The FBI CJIS Division staff or the audit team established to
review the FBI's noncriminal justice use of the III System shall
prepare a draft report describing the nature and results of each review
and set out all findings of compliance and noncompliance, including any
reasons for noncompliance and the circumstances surrounding the
noncompliance. If the agency under review is the FBI or another Federal
agency, the draft report shall be forwarded to the FBI Compact Officer.
If the agency under review is a State or local agency in a Party 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,
the draft report shall be forwarded to the chief administrator of the
State repository.
(c) The Compact Officer of the FBI or a Party State or the chief
administrator of the State repository in a Nonparty State shall be
afforded the opportunity to forward comments and supporting materials
to the FBI CJIS Division staff or to the audit team.
(d) The FBI CJIS Division staff or the audit team shall review any
comments and materials received and shall incorporate applicable
revisions into a final report. The final report shall be provided to
the Compact Officer of the FBI or a Party State or the chief
administrator of the State repository in a Nonparty State to whom the
draft report was sent. If the agency under review is a State or local
agency, a copy of the report shall be provided to the FBI Compact
Officer. If the agency under review is being reviewed for the first
time, the letter transmitting the report shall provide that sanctions
will not be imposed regarding 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 the agency is
[[Page 69899]]
reviewed again will result in the initiation of remedial action
pursuant to Sec. 907.4.
Sec. 907.4 Methodology for resolving noncompliance.
(a) Subsequent to each compliance review that is not a first-time
agency review, the final report shall be forwarded to the Compact
Council Sanctions Committee (Sanctions Committee). The Sanctions
Committee shall review the report and if it concludes that no
violations occurred or no violations occurred that are serious enough
to require further action, it shall forward its conclusions and
recommendations to the Compact Council Chairman. If the Compact Council
Chairman approves the Sanctions Committee's recommendations, the
Compact Council Chairman shall send a letter to this effect to the FBI
or Party State Compact Officer or the chief administrator of the state
repository in a Nonparty State that has executed a Memorandum of
Understanding. For all remaining states, the Compact Council Chairman
shall forward the recommendations to the FBI Director or Designee who,
upon approval of the recommendations, shall send a letter to this
effect to the chief administrator of the state repository. If the
agency under review is a state or local agency, a copy of the Compact
Council Chairman's or FBI Director's or Designee's letter shall be
provided to the FBI Compact Officer.
(b) Should the Sanctions Committee conclude that a violation has
occurred that is serious enough to require redress, the Sanctions
Committee shall recommend to the Compact Council a course of action
necessary to bring the offending agency into compliance and require the
offending agency to provide assurances that subsequent violations will
not occur. In making its recommendation, the Sanctions Committee shall
consider the minimal action necessary to ensure compliance or shall
explain why corrective action is not required. This may include, but
not be limited to, requiring a plan of action by the offending agency
to achieve compliance, with benchmarks and performance measures, and/or
requiring the agency to seek technical assistance to identify sources
of the problem and proposed resolutions. If the Compact Council or,
when applicable, the FBI Director or Designee approves the Sanctions
Committee's recommendations, progressive actions shall be initiated as
set forth below. The letters referred to in this paragraph (907.4(b))
shall be from the Compact Council 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 a Nonparty State that has executed
a Memorandum of Understanding. The documentation and written responses
from the aforementioned agencies to such letters shall be sent to the
Compact Council Chairman. For all remaining states, the Compact Council
Chairman shall forward the Compact Council's recommendations to the FBI
Director or Designee who, upon approval of the recommendations, shall
send the letters; accordingly, all documentation and written responses
relating to the FBI Director's or Designee's letters shall be sent to
the FBI Director or Designee 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 Compact Officer of the FBI or
Party State or the chief administrator of the state repository in a
Nonparty State and shall outline the course of action the offending
agency will undertake to correct the deficiencies and provide
assurances that subsequent violations will not recur.
(1) As noted above, a letter shall be sent to the Compact Officer
of the FBI or Party State or the chief administrator of the state
repository in a Nonparty State identifying the violations and setting
out the actions necessary to come into compliance. The letter shall
provide that if compliance is not achieved and assurances provided that
minimize the probability that subsequent violations will occur, and
non-compliance is not excused, the Compact Council may authorize the
FBI to refuse to process requests for criminal history record checks
for noncriminal justice purposes from the offending agency and, if the
offending agency is a criminal justice agency, may request the Director
of the FBI to take appropriate action against the offending agency
consistent with the recommendations of the Compact Council. The letter
shall direct the Compact Officer of the FBI or Party State or the chief
administrator of the state repository in a Nonparty State to submit a
written response within 30 calendar days from the date of the letter,
unless a more expeditious response is required. If the offending agency
is a state or local agency, a copy of the Compact Council Chairman's or
FBI Director's or Designee's letter shall be provided to the FBI
Compact Officer. The Compact Council Chairman shall refer the response
letter to the Sanctions Committee for appropriate action.
(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 within the allotted time, the Sanctions Committee shall
report its finding to the Compact Council. If the Compact Council
agrees with the Sanctions Committee's finding, a letter shall be sent
to the Director of the FBI (if the offending agency is the FBI or
another federal agency) or to the head of the state agency in which the
state repository resides (if the offending agency is a state or local
agency), requesting assistance in correcting the deficiencies. The
letter shall 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 Party State or the chief administrator of the
state repository in a Nonparty State. If the offending agency is a
state or local agency, a copy of the Compact Council Chairman's or FBI
Director's or Designee's letter shall be provided to the FBI Compact
Officer. A written response to the letter shall be required within 20
calendar days from the date of the letter unless a more expeditious
response is required. The Compact Council Chairman shall refer the
response letter to the Sanctions 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 within the allotted time, the Sanctions Committee shall
report its finding to the Compact Council. If the Compact Council
agrees with the Sanctions Committee's finding, a letter shall be sent
to the U. S. Attorney General (if the offending agency is the FBI or
another federal agency) or to the elected/appointed state official who
has oversight of the department in which the state repository resides
(if the offending agency is a state or local agency), requesting
assistance in correcting the deficiencies. If the state official is not
the Governor, a copy of the letter shall be sent to the Governor. A
copy of the letter shall also be sent to the FBI Compact Officer and
(if the offending agency is a state or local agency) to the State
Compact Officer or the chief administrator of the state repository in a
Nonparty State. The letter shall provide that a written response is
required within 20 calendar days of the date of the letter, and that if
a sufficient response is not received within that time, sanctions may
be imposed that could result in suspension of the offending agency's
access to the III System for noncriminal justice
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purposes. The Compact Council Chairman shall refer the response letter
to the Sanctions Committee for appropriate action.
(4) If no response letter is received under paragraph (b)(3) of
this section within the allotted time, or if the Sanctions Committee
deems the response to be insufficient, the Sanctions Committee shall
report its finding to the Compact Council. If the Compact Council
agrees with the Sanctions Committee's finding, the Compact Council
Chairman or the FBI Director or Designee shall direct the FBI Compact
Officer to take appropriate action to suspend noncriminal justice
access to the III System by the offending agency. If the offending
agency is a criminal justice agency, the Compact Council Chairman shall
request the Director of the FBI to take appropriate action to suspend
noncriminal justice access to the III System by the offending agency.
(5) Reinstatement of full service by the FBI shall occur after the
Compact Officer of the FBI or a Party State or the chief administrator
of the state repository in a Nonparty State provides satisfactory
documentation that the deficiencies have been corrected or a process
has been initiated to correct the deficiencies. Upon approval of the
documentation by the Sanctions Committee in consultation with the
Compact Council Chairman, the Compact Council Chairman or the FBI
Director or Designee shall request the FBI Compact Officer to take
appropriate action to reinstate full service. Letters to this effect
shall be sent to all persons who have previously received letters
relating to the deficiencies and resulting suspension of service. The
decision to reinstate full service shall be considered for ratification
by the Compact Council at its next regularly scheduled meeting.
(c) For good cause, the Compact Council Chairman and the FBI
Director or Designee shall be authorized to extend the number of days
allowed for the response letters required by paragraphs (b)(1) through
(3) of this section.
Sec. 907.5 Sanction adjudication.
(a) A Compact Officer of the FBI or a Party State or the chief
administrator of the state repository in a Nonparty State may dispute a
sanction under this Part by asking the Compact Council Chairman for an
opportunity to address the Compact Council.
(b) Unresolved disputes based on the Compact Council's issuance of
sanctions under this Part may be referred to the Compact Council
Dispute Adjudication Committee when pertaining to disputes described
under ARTICLE XI(a) of the Compact.
(c) Nothing prohibits the Compact Council from requesting the FBI
to exercise immediate and necessary action to preserve the integrity of
the III System pursuant to Article XI(b) of the Compact.
Dated: November 1, 2005.
Donna M. Uzzell,
Compact Council Chairman.
[FR Doc. 05-22850 Filed 11-17-05; 8:45 am]
BILLING CODE 4410-02-P
