SECTION .0400 – USE AND ACCESS REQUIREMENTS FOR CRIMINAL
HISTORY RECORD INFORMATION, NICS INFORMATION, AND N-DEX INFORMATION
14B NCAC 18B .0401 DISSEMINATION and Logging OF CHRI and NICS
RECORDS
(a) Criminal history record information (CHRI) obtained
from or through DCIN, NCIC, N-DEx, or Nlets shall not be disseminated to anyone
outside of those agencies eligible under 14B NCAC 18A .0201(a) except as
provided by Rules .0403, .0405, .0406, and .0409 of this Section. Any agency
assigned a limited access ORI shall not obtain CHRI. Any agency requesting CHRI
that has not received an ORI pursuant to 14B NCAC 18A .0201(a) shall be denied
access and referred to the North Carolina CSO.
(b) CHRI is available to eligible agency personnel only on
a "need-to-know" basis as defined in 12 NCAC 04H .0104.
(c) The use or dissemination of CHRI obtained through DCIN
or N-DEx for unauthorized purposes is a violation of this Rule.
(d) CIIS shall maintain an automated log of
CCH/CHRI/National Instant Criminal Background Check System (NICS) inquiries for
a period of not less than one year from the date of inquiry. The automated log
shall contain the following information as supplied by the user on the inquiry
screen and shall be made available on-line to the inquiring agency;
(1) date of inquiry;
(2) name of record subject;
(3) state identification number (SID) or FBI
number of the record subject;
(4) message key used to obtain information;
(5) purpose code;
(6) user's initials;
(7) (Attention field) name of person and agency
requesting information who is the initial user of the record;
(8) (Attention 2 field) name of person and
agency requesting information who is outside of the initial user agency. If there
is not a second individual receiving the information, information indicating
why the information is requested may be placed in this field; and
(9) if applicable, NICS Transaction Number
(NTN) for NICS logs only.
(e) Criminal justice agencies making secondary
disseminations of CCH, CHRI, N-DEx, or NICS information obtained through DCIN
shall maintain a log of the dissemination in a case. This log must identify
the name of the recipient and their agency.
(f) Each criminal justice agency obtaining CHRI through a
DCIN device shall conduct an audit of their automated CCH log as provided by
DCIN once every month for the previous month. The audit shall take place
within 15 business days of the end of the month being reviewed. This audit
shall include a review for unauthorized inquiries and disseminations, improper
use of agency ORI's, agency names, and purpose codes. These logs must be
maintained on file for one year from the date of the inquiry, and may be
maintained electronically by the criminal justice agency. Any violation of CIIS
rules must be reported by an agency representative to CIIS within 20 business
days of the end of the month being reviewed. On those months that do not
contain 20 business days, any violations of CIIS rules must be reported by an
agency representative to CIIS by the first business day of the following month,
at the latest. If an agency does not have a device connected to DCIN that can
receive CHRI, this audit is not required.
(g) Each criminal justice agency obtaining information from
NICS or N-DEx shall conduct the same monthly audit as those for CHRI logs. The
audit shall take place within 15 business days of the end of the month being
reviewed. This audit shall include a review for unauthorized inquiries or
disseminations and improper use of purpose codes. These logs must be maintained
on file for one year from the date of inquiry, and may be maintained
electronically by the criminal justice agency. Any violation of CIIS rules must
be reported by an agency representative to CIIS within 20 business days of the
end of the month being reviewed. On those months that do not contain 20
business days, any violations of CIIS rules must be reported by an agency
representative to CIIS by the first business day of the following month, at the
latest.
(h) DCIN automated CCH logs, automated NICS logs, and any
secondary dissemination logs shall be available for audit or inspection by the
CSO or his designee as provided in 14B NCAC 18B .0801.
(i) Out of state agencies requesting a statewide criminal
record check shall utilize NCIC.
History Note: Authority G.S. 114-10; 114-10.1;
Eff. August 1, 2014;
Transferred and Recodified from 12 NCAC 04I .0401 Eff.
November 1, 2015.