NCJ Number
46222
Date Published
1977
Length
37 pages
Annotation
ON THE BASIS OF AN 18-STATE SURVEY, PROBLEMS IN THE IMPLEMENTATION OF FEDERAL REGULATIONS GOVERNING THE PRIVACY AND SECURITY OF CRIMINAL HISTORY RECORDS ARE ANALYZED AND REMEDIAL RECOMMENDATIONS ARE MADE.
Abstract
TWO SETS OF PROBLEMS WERE IDENTIFIED IN THE IMPLEMENTATION OF THESE REGULATIONS. ONE IS EXTERNAL TO THE REGULATIONS AND INDICATES THE ENVIRONMENTS IN WHICH THE IMPLEMENTATION OF REGULATIONS WAS REQUIRED; THE PROBLEMS PERTAIN TO THE POLITICAL ENVIRONMENT, THE FINANCIAL CAPABILITIES, AND THE MECHANISMS FOR INTERAGENCY COORDINATION. THE SECOND SET OF PROBLEMS ARE INTERNAL TO THE REGULATIONS, STEMMING FROM AMBIGUITIES IN LANGUAGE, PARTICULAR STIPULATIONS THAT THE STATES HAVE HAD DIFFICULTY IMPLEMENTING, OR BOTH. AN OVERRIDING PROBLEM IN MOST OF THE STATES SURVEYED HAS BEEN DIFFICULTY IN INTERPRETING BOTH THE MEANING AND INTENT OF THE REGULATIONS BECAUSE OF THE GENERAL LANGUAGE USED IN THEM. THE CONCEPT AND SUBSEQUENT DEVELOPMENT OF THE CENTRAL STATE REPOSITORY (CSR) HAS BEEN MOST AFFECTED BY THIS AMBIGUITY. THE NATURE OF THE RELATIONSHIP AND THE PATTERN OF INTERACTION AMONG STATE AND LOCAL AGENCIES IN IMPLEMENTING REGULATIONS IS A SECOND PROBLEM AREA ATTRIBUTABLE TO LACK OF SPECIFICITY IN THE REGULATIONS. FINALLY, CONSIDERABLE DIFFICULTY IN INTERPRETING WHAT IS CONSIDERED A 'DISSEMINATION' CRIMINAL HISTORY RECORD INFORMATION (CHRI) WAS FOUND AMONG STATES AND AMONG AGENCIES WITHIN STATES. PROBLEMS IN STATE COMPLIANCE WERE ALSO FOUND IN ALL FIVE AREAS OF THE REGULATIONS. MEETING THE COMPLETENESS AND ACCURACY MANDATES HAS BEEN DIFFICULT BECAUSE COMPLIANCE REQUIRES THAT THE STATE REVISE EXISTING SYSTEMS OR DEVELOP NEW SYSTEMS FOR WHICH RESOURCES MAY BE UNAVAILABLE. A LACK OF UNIFORMITY IN PROCEDURES AND PRACTICES AND CONFUSION HAS MADE IT DIFFICULT TO COMPLY WITH ACCESS AND REVIEW PROCEDURES OF CHRI, TO PROMULGATE THIS RIGHT TO ACCESS AND REVIEW BY THE SUBJECT INDIVIDUALS AND TO ESTABLISH APPEAL PROCEDURES. DIFFICULTIES WITH THE REGULATIONS LIMITATION ON DISSEMINATION INCLUDE THOSE PERTAINING TO STATEWIDE UNIFORM POLICIES AND MECHANISMS TO DETERMINE ELIGIBILITY FOR SECURING CHRI'S, THE KEEPING OF DISSEMINATION LOGS, AND ERROR NOTIFICATION PROCEDURES. THE DESIGNATION OF THE AUDITING AGENCY AND THE SCOPE OF THE REQUIRED AUDITS ALSO PRESENT COMPLIANCE PROBLEMS FOR MOST STATES. FINALLY, WHILE SECURITY PROVISIONS ARE GENERALLY MINIMALLY ADEQUATE IN AUTOMATED CHRI SYSTEMS, ENSURING THE SECURITY OF MANUAL SYSTEMS IS DIFFICULT IN THE ABSENCE OF MODEL PROCEDURES FOR SECURITY AND IS STRONGLY LIMITED BY STATE FINANCIAL RESOURCES. IT IS RECOMMENDED THAT THE FEDERAL GOVERNMENT SHOULD DEVELOP AND DISSEMINATE A MODEL LEGISLATIVE PACKAGE AND MODEL GUIDELINES AND PROCEDURES, ESTABLISH GRANTS-IN-AID, AND PROVIDE DIRECT INDIVIDUALIZED TECHNICAL ASSISTANCE TO STATE AND LOCAL AGENCIES. STATES SHOULD ESTABLISH A SPECIAL ASSISTANCE TEAM TO ADAPT AND PROMULGATE MODEL GUIDELINES AND APPOINT A STATEWIDE COORDINATING COMMISSION. FOR VOLUME 1, SEE NCJ-46222. (JAP)