HomeMy WebLinkAboutPR 24996: EXECUTION OF THE TEXAS DEPT. OF PUBLIC SAFETY NATIONAL DATA ECHANGE • \
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INTEROFFICE MEMORANDUM
Date: June 4,2026
To: The Honorable Mayor and City Council
Through: Ronald Burton, City Manager �/�'
1' q'From: Timothy W. Duriso, Chief of Police h''�,,>0tk
RE: PR 24996—Resolution Authorizing Execution of the Texas Department of
Public Safety National Data Exchange(N-DEx)Agency Coordinator
Agreement
Introduction:
The intent of this agenda item is to obtain City Council authorization for the City Manager to
authorize execution of the Texas Department of Public Safety National Data Exchange (N-
DEx)Agency Coordinator Agreement. The Texas Department of Public Safety(DPS)
administers the National Data Exchange (N-DEx) system,which provides criminal justice
' agencies with a secure information-sharing platform for searching, linking, and analyzing
criminal justice information. Participation in the system requires each agency to designate a
National Data Exchange Agency Coordinator(NAC)who serves as the primary point of
contact and oversees compliance with N-DEx policies and procedures.
+ Background:
The Port Arthur Police Department currently participates in the N-DEx system and has been
requested by the Texas Department of Public Safety to update its records and execute a new
National Data Exchange Agency Coordinator Agreement. The agreement allows the Chief of
Police or his designee to serve as the agency's National Data Exchange Agency Coordinator.
The NAC is responsible for ensuring compliance with all applicable N-DEx requirements,
including user authorization, security awareness training, access management,reporting
security incidents, and maintaining adherence to federal and state policies governing access to
criminal justice information.
"Remember,we are here to serve the Citizens of Port Arthur"
P.O.Box 1089 X Port Arthur,Texas 77641-1089 X 409.983.8101 X FAX 409.982.6743
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Execution of the agreement will allow the Port Arthur Police Department to maintain
continued access to the N-DEx system and preserve the department's ability to share and ,
obtain criminal justice information with agencies nationwide.
Budget Impact:
There is no fiscal impact associated with approval of this resolution.
Recommendation:
It is recommended that the City Council approve the attached resolution authorizing the City
Manager to execute the Texas Department of Public Safety National Data Exchange(N-DEx)
Agency Coordinator agreement as attached hereto as Exhibit"A".
•
"Remember,we are here to serve the Citizens of Port Arthur"
P.O.Box 1089 X Port Arthur,Texas 77641-1089 X 409.983.8101 X FAX 409.982.6743
P.R.No. 24996
06/04/2026 JLH
RESOLUTION NO.
A RESOLUTION AUTHORIZING THE CITY MANAGER
TO EXECUTE THE TEXAS DEPARTMENT OF PUBLIC
SAFETY NATIONAL DATA EXCHANGE(N-DEx)AGENCY
COORDINATOR AGREEMENT AND ANY RELATED
DOCUMENTS NECESSARY TO MAINTAIN THE PORT
ARTHUR POLICE DEPARTMENT'S PARTICIPATION IN
THE NATIONAL DATA EXCHANGE SYSTEM.
WHEREAS, the Texas Department of Public Safety ("DPS") administers the National
Data Exchange ("N-DEx") system, a secure information-sharing platform that facilitates the
exchange of criminal justice information among authorized law enforcement and criminal justice
agencies throughout the United States; and
WHEREAS,the N-DEx system provides participating agencies with the ability to search,
analyze, link, and share criminal justice information across jurisdictional boundaries, thereby
enhancing investigative capabilities and public safety efforts; and
WHEREAS, the Port Arthur Police Department currently participates in the N-DEx
system and is required by DPS to designate an N-DEx Agency Coordinator responsible for
ensuring compliance with applicable federal, state, and program requirements governing access to
and use of the system; and
WHEREAS,DPS has requested that the Port Arthur Police Department update its agency
records and execute the N-DEx Agency Coordinator Agreement attached hereto as Exhibit "A";
and
WHEREAS, the City Council finds that continued participation in the N-DEx system
serves a valid public purpose by supporting law enforcement operations and promoting
interagency cooperation in criminal investigations.
NOW THEREFORE,BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF PORT ARTHUR, TEXAS:
Section 1. That the facts and opinions in the preamble are true and correct.
Section 2. The City Manager and the Chief of Police are hereby authorized to execute the
Texas Department of Public Safety National Data Exchange (N-DEx) Agency Coordinator
Agreement, attached hereto as Exhibit "A," together with any non-substantive modifications and
any related documents required by DPS to maintain the Port Arthur Police Department's
participation in the N-DEx system.
Section 3. That a copy of the caption of this resolution shall be spread upon the Minutes
of the City Council.
P.R.No. 24996
06/04/2026 JLH
READ,ADOPTED AND APPROVED on this day of June,A.D.,2026, at a Regular
Meeting of the City Council of the City of Port Arthur,Texas,by the following vote: AYES:
Mayor:
Councilmembers:
NOES:
Charlotte M. Moses,Mayor
ATTEST:
Christe Whitley Ned, TRMC, City Secretary
P.R.No. 24996
06/04/2026 JLH
APPROVED AS TO FORM:
Roxann ais otroneo
City Attorney
APPROVE I I R ADMINISTRATION:
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Ronald Burton ' 'M Timot W. Duriso
City Maria - Chief f Police
P.R.No. 24996
06/04/2026 JLH
EXHIBIT 46A,,
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Texas Department of Public Safety
NATIONAL DATA EXCHANGE AGENCY COORDINATOR (NAC) AGREEMENT
Agency Name ORI
Agency's Physical Address
The NAC should be knowledgeable of the N-DEx System and oversee the agency's compliance with the N-DEx
Policies.
The participating agency agrees to name a NAC responsible for,but not limited to:
1. Acting as the single point of contact for all N-DEx matters.
2. Ensure compliance with N-DEx agreements, policies,CJIS Security Policy and all applicable state&federal
laws.
3. Verifies that users meet all state and federal access requirements,such as fingerprint-based background
checks and completion of security awareness training.
4. Manages user accounts and ensures proper authorization before granting access to N-DEx.
5. Authorizing your agency's approved users/access to participate in the N-DEx system.
6. All approved N-DEx users are trained and informed of all N-DEx policies and procedures to include:
a. Advanced permission
b. Verification requirements
c. Proper purpose code
d. Detailed search reason
7. Suspending user access to the system when they leave your agency or otherwise become ineligible for
access.
8. Reporting security incidents to the Texas Department of Public Safety GIS ISO,as required by the N-DEx
Policy.
If your N-DEx Agency Coordinator changes,the agency MUST immediately notify the N-DEx System State
Administrator in writing. IBR.Compliance@dps.texas.gov
Refer to the N-DEx Policy and Operating Manual for further details.
In accordance with the N-DEx Policy and Operating Manual,the following individual is appointed as the NAC:
Date NAC's Position at Agency
NAC's Phone Number NAC's Email Address
NAC's Name(Print) NAC's Signature
Agency Administrator's Name (Print) Agency Administrator's Signature
Revised 02.25.2026
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The N-DEx system provides criminal justice agencies with an online tool for sharing,searching,linking,and analyzing information across
jurisdictional boundaries.A national repository of criminal justice records submitted by agencies from around the nation,N-DEx enables
users to"connect the dots"between data on people,places,and things that may seem unrelated in order to link investigations and
Investigators.
Overview
The N-DEx system is an unclassified national information sharing system that enables criminal justice agencies to search,link,analyze,
and share local,state,tribal,and federal records.N-DEx is also a strategic investigative information sharing system that fills
informational gaps and provides situational awareness.
• No fee
•Available 24/7
• Easy web-based access
• N-DEx contains Incident,arrest,and booking reports;pretrial investigations;supervised released reports;calls for service;photos;and
field contact/identification records.
Why the N-DEx System?
The N-DEx system complements other well-known FBI systems,such as the National Crime Information Center(NCIC),Interstate
Identification Index(III),and Next Generation Identification(NGI)that provide critical information to the criminal justice community.The
information that would not be contained in those systems,i.e.,incident and case reports,full Department of Justice(DOJ)case files,and
corrections data,is available in N-DEx.And the N-DEx system has been endorsed by a number of major criminal justice associations,
including the following:International Chiefs of Police,National Sheriffs'Association,Association of State Correctional Administrators,
National Institute of Corrections,American Probation and Parole Administrators,Corrections Technology Association,Major Cities Chiefs
Association,and Major County Sheriffs'Association.
N-DEx Policy and Operating Manual
The N-DEx Policy and Operating Manual supersedes all pre-existing policy documentation and is the sole source for policy matters for
the N-DEx system.
Benefits
The N-DEx system,a national database of criminal justice records,benefits professionals throughout the criminal justice community,
including:
•Analysts
• Corrections personnel
• Detectives
• Patrol officers
• Pre-trial,parole,and probation officers
• Regional dispatchers
Analysts:Connecting the Dots
An analyst looks for With the N-DEx system,analysts have access to the criminal justice records of thousands of agencies
patterns on a piece of fabric. across the nation to link investigative information and quickly obtain more detailed reports.Additionally,N-
DEx provides visualization tools to graphically depict associations between people,places,things,and
events either on a link-analysis chart or on a map.For ongoing investigations,the subscription and
notification feature automatically notifies analysts if other users are searching for the same criteria or if a
new record concerning their investigation is added to the system.N-DEx allows analysts to work with other
analysts across the nation in a collaborative environment that instantly and securely shares pertinent
information,including images,videos,charts,graphs,notes,and case reports,via any type or size of file.
Corrections Personnel:Improving Management and Supervision Efforts
The N-DEx system provides many benefits to institutional and community corrections agencies,such as
improved case/inmate management,enhanced supervision efforts,supplementary visitor screening,and expedited apprehension of
absconders,fugitives,and escapees.
Detectives:Linking Investigations
The N-DEx system provides detectives with immediate access to criminal justice records from thousands of agencies across the nation.
Users can view Incident reports,arrest reports,booking and incarceration reports,pre-trial investigations,and probation and parole records.
The N-DEx collaboration tool,which allows users to invite authorized members from other agencies to view and share information in a safe
and secure online environment,enables users to team up with other investigators to quickly and securely share pertinent information,
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Criminal Justice Information Services Division ,0''
Criminal Justice Information Services (CJIS)
National Data Exchange (N-DEx) System
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Policy and Operating Manual
Version: 7.0
Document Date: November 22, 2022
N-DEx-DOC-09172-7.0
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The N-DEx Policy and Operating Manual supersedes all pre-existing policy documentation
and is the sole source for policy matters for the N-DEx System.
November 22,2022 Page 1
N-DEx System Policy and Operating Manual
Table of Contents
1.0 INTRODUCTION 3
1.1 Purpose 3
1.2 Operational Framework 4
1.3 Data Use 5
1.4 Responsibility for Records 16
1.5 System Description 19
1.6 Policy Management 18
1.7 System Security 19
2.0 QUALITY CONTROL,VALIDATION,TRAINING,AND OTHER PROCEDURES 20
2.1 Maintaining System Integrity 20
2.2 Security 20
2.3 Audit 20
2.4 Training 21
2.5 Maintaining the Integrity of N-DEx System Records 22
2.6 Quality Control 22
2.7 N-DEx System Maintenance 22
3.0 N-DEx SYSTEM SANCTIONS 22
November 22,2022 Page 2
1.0 INTRODUCTION
1.1 Purpose
1.1.1 The National Data Exchange (N-DEx)Program Office Mission: To reduce crime and
safeguard the American people by providing strategic information sharing solutions
to the criminal justice and national security communities.
1.1.2 Scope of the N-DEx System policy: The N-DEx System Policy and Operating
Manual applies to all entities accessing data through the N-DEx System, to include
information residing in both the N-DEx System and in federated data sources.NDEx
System information shall be used only for the purpose indicated by the Use Code and
the Search Reason Requirement. When applicable,users must also comply with the
Authorized Use Requirement(confirming the terms of N-DEx System information
use).N-DEx System information shall be used only for the original purpose requested
and a current record should be requested when needed for a subsequent authorized
use.
1.1.3 The N-DEx Policy and Operating Manual integrates federal laws,presidential
directives, Federal Bureau of Investigation(FBI) directives, and the Criminal Justice
Information Services (CJIS)Advisory Policy Board(APB) decisions to provide
criminal justice agencies (CJAs) and limited authorized federal non-criminal justice
agencies (non-CJAs)with a minimum set of policy and procedural requirements for
N-DEx System participation and to protect and safeguard criminal justice
information. This minimum set of requirements ensures continuity of N-DEx System
operational and information security.
1.1.4 The N-DEx Policy and Operating Manual may be used as the sole policy and
operating manual for N-DEx System participating agencies. A participating agency
may complement the N-DEx Policy and Operating Manual with agency specific
policy and operating procedures, or the participating agency may develop their own
stand-alone policy and operating manual; however,the N-DEx Policy and Operating
Manual shall always be the minimum standard. Participating agencies may augment
or increase the standards but shall not detract from the N-DEx Policy and Operating
Standards.
1.1.5 The N-DEx Policy and Operating Manual applies to all entities with access to, or
who operate in support of,N-DEx System services and information. This policy
manual is subject to change as a result of federal laws,presidential directives, FBI
directives, and CJIS APB decisions. The terms of any policy and procedural change
preempt any existing inconsistency contained herein.
1.1.6 The N-DEx Policy and Operating Manual is an unrestricted document and can be
shared without limitation.
November 22,2022 Page 3
1.2 Operational Framework
1.2.1 The N-DEx System is a system managed within the framework of the CJIS System of
Services and identified within the CJIS Systems User Agreement.
1.2.2 Participating agencies and users must adhere to the CJIS Security Policy.
1.2.3 The N-DEx System stores vast amounts of criminal justice information which may be
instantly retrieved by and/or furnished to any authorized agency.
1.2.4 The contents of the N-DEx System are restricted to documented criminal justice
information obtained by criminal justice agencies in connection with their official
duties administering criminal justice.
1.2.5 Within the context of the N-DEx System,federated access refers to the capability to
access CJIS Systems of Services and non-CJIS criminal justice data sources, via web
services. CJIS Systems are only available if the CJIS Systems Agency (CSA)
authorizes this capability.
1.2.6 The N-DEx System will not contain criminal intelligence data, as defined by Title 28,
Code of Federal Regulations (C.F.R.), Part 23.
1.2.7 The N-DEx System users who hold certifications under Title 28, C.F.R., Part 23 shall
be permitted federated access to criminal intelligence information as the term is
defined in Part 23.
1.2.8 Pursuant to Title 28 C.F.R.,Part 20, and consistent with the CJIS Security Policy,
access to the N-DEx System is restricted to "criminal justice agencies"performing
the"administration of criminal justice." The N-DEx System may also be used to
conduct background checks under the programs administered by the National Instant
Criminal Background Check System(NICS) and the CJIS Division Bioterrorism Risk
Assessment Group (BRAG).
1.2.9 The N-DEx System is the national enhanced pointer and data discovery system for
Sensitive But Unclassified(SBU), Law Enforcement Sensitive(LES), and Controlled
Unclassified Information(CUI) class criminal justice data.
1.2.10 The N-DEx System is a fee free, secure,nationwide, computerized information
sharing system established to fill an identified gap in the CJIS System of Services.
1.2.11 The N-DEx Program is a cooperative endeavor of federal, state, local, and tribal law
enforcement/criminal justice entities, in which each entity is participating under its
own legal status,jurisdiction, and authorities. All N-DEx System operations will be
based upon the legal status,jurisdiction, and authorities of individual participants.
November 22,2022 Page 4
The N-DEx System is not intended, and shall not be deemed, to have any independent
legal status.
1.2.12 Agencies shall participate in the N-DEx System in accordance with their own
individual legal status,jurisdiction,restrictions, and authorities.
1.2.13 Participating agencies contribute information to the N-DEx System with an express
promise of confidentiality.
1.2.14 N-DEx System participants shall contribute or allow access to information via the
N-DEx System, and agree to permit the access, dissemination, and use of such
information by other parties,pursuant to the provisions of this policy. The record
owning agency has the sole responsibility and accountability for ensuring it is not
constrained from permitting this access by any laws, regulations,policies, or
procedures.
1.2.15 The N-DEx System was not created pursuant to a single federal statute; rather, the
N-DEx System is the FBI's response to the criminal justice community's request to
answer the challenge of information sharing.
1.2.16 All inquiries regarding the N-DEx System should be addressed to the FBI, CJIS
Division,via e-mail: ndex@leo.gov; via telephone: 888-334-4536; or via mail:
Attention: N-DEx Program Office, Module D-2, 1000 Custer Hollow Road,
Clarksburg, WV 26306-0153.
1.3 Data Use
1.3.1 The N-DEx System shall be used according to the policies in this document,which
apply to information residing in both the N-DEx System and in federated data
sources. However, when the federated data source is a CJIS Systems of Service
(SOS), such as NCIC, III, and NGI,the N-DEx System authorized use and
verification policy does not apply. Rather, federated data source users must comply
with all applicable policies governing the other system(i.e.,the CJIS SOS).N-DEx
System participating agencies that allow access to a CJIS SOS, through the N-DEx
System, shall have procedures that require its users to comply with both N-DEx
System policies (e.g.,proper completion of the Use Code and Reason Field) and those
of the CJIS SOS (e.g.,procedures to confirm"hits"and to place a"locate" on an
NCIC record).
1.3.2 An N-DEx System result indicates criminal justice information may exist.
1.3.3 N-DEx System Access: The N-DEx System contains criminal justice information
obtained by CJAs in connection with their official duties administering criminal
justice. N-DEx System access is restricted to CJAs performing the administration of
criminal justice. Only the following agencies are authorized to access the N-DEx
November 22,2022 Page 5
System based on the agency type Originating Agency Identifier(ORI)value, as
indicated by the ninth(9th) character:
1.3.3.1 Law Enforcement Agencies (LEAs)
• LEAs possessing 9th character ORIs of 0 - 9 (numeric values) e.g.,
police, sheriff, etc.
1.3.3.2 Criminal Justice Agencies
• Prosecuting Attorney's Offices—ORIs end in an"A." This includes
District Attorney's Offices,Attorney General's Offices, etc.
• Pretrial service agencies and pretrial release agencies—ORIs end in a
«B „
• Correctional Institutions -ORIs end in a"C." This includes jails,
prisons, detention centers, etc.
• Nongovernmental railroad or campus police depaitiiients qualifying
for access to the Interstate Identification Index (III) System—ORIs
end in an"E."
• Probation and Parole Offices—ORIs end in a"G."
• INTERPOL—ORIs end in an"I." As a foreign CJA,INTERPOL
shall be a Limited System Participant. Local, state, and tribal CJA
data shall not be shareable with limited system participants.
• Courts and Magistrates Offices—ORIs end in a"J."
• Custodial facilities in medical or psychiatric institutions and some
medical examiners' offices which are criminal justice in function—
ORIs end in an"M."
• Regional dispatch centers which are CJAs or noncriminal justice
governmental agencies performing criminal justice dispatching
functions for criminal justice agencies—ORIs end in an"N."
• Federal, state, county, or local agencies classified as CJAs by statute,
but do not fall into one of the aforementioned categories—ORIs end in
a"I,"
1.3.4 Acceptable System Use: Personnel engaged in the following activities may be
granted access by the CSA consistent with state laws:
November 22,2022 Page 6
1.3.4.1 Law enforcement investigations: to further investigations of criminal
behavior based on prior identification of specific criminal activity by an
agency with a statutory ability to perform arrest functions.
1.3.4.2 Pretrial release investigation: to obtain information about recently arrested
defendants for use in deciding whether conditions are to be set for defendants'
release prior to trial, monitor a defendant's compliance with his/her conditions
of release during pretrial period, and identify offenses pending adjudication.
1.3.4.3 Intake investigation: to conduct prisoner classification and offender risk
assessments to safely manage the correction population.
1.3.4.4 Correctional institution investigation: to identify and suppress criminal
suspects and criminal enterprise organizations operating within correctional
systems,prepare for the prosecution of crimes committed within a
correctional institution, conduct criminal apprehension efforts of prison
escapees, ensure inmates cannot continue their criminal activities through
misuse of visitation or communication privileges,monitor outsource
supervision and treatment progress, conduct offender travel permit
investigations,prepare for prisoner transfer, and conduct pre-release
investigation to determine reentry requirements and facilitate release
notification.
1.3.4.5 Pre-sentence investigation: to identify the risk of re-offense, flight,
community, officer and victim safety, identify law enforcement contact not
resulting in arrest, identify offenses pending adjudication, and ensure illicit
income is not used for bail,bond, or criminal defense.
1.3.4.6 Supervision investigation: to identify incident information(i.e. personal
conduct, contact with LEAs, offenses, gang affiliations,known associates,
employment, etc.) constituting a violation of release or supervision conditions,
prepare and investigate interstate transfer of adult offenders, facilitate
concurrent supervision, conduct risk and needs assessments, facilitate
apprehension of absconders, and identify offenses pending adjudication.
1.3.4.7 Criminal justice employment background checks: to obtain information
regarding an applicant's fitness to serve as an employee within a CJA.
1.3.4.8 Data administration/management: to perform administrative role
responsibilities and conduct searches of record owner contributed data as a
part of internal review by a record owner. Responses for this purpose may not
be disseminated for any other reason and are limited to that agency's portion
of N-DEx System contributed records.
November 22,2022 Page 7
1.3.4.9 Training: to educate users on the policies, services, and capabilities of the
N-DEx System,utilizing authentic criminal justice information submitted to
the N-DEx System by CJAs. Training is considered an acceptable use of the
N-DEx System,provided it does not include curiosity searches,browsing, or
self-queries.
1.3.4.10 Federal Security Clearances, Suitability and Fitness for Federal Employment
and Credentialing, and Related Federal Matters background checks conducted
by federal executive agencies in accordance with Executive Order 13488, as
amended by Executive Order 13764.
1.3.4.11 NICS-related checks: to obtain information when conducting a NICS-related
background check.
1.3.4.12BRAG Assessments: to allow CJIS BRAG to conduct Security Risk
Assessments on individuals to possess,use, or transport select biological
agents and toxins.
1.3.5 N-DEx System Access Requirements: A user shall adhere to the following access
requirements:
1.3.5.1 The user must be assigned to a valid ORI.
1.3.5.2 The user must have a user account via a CJIS Division recognized identity
provider.
1.3.5.3 The user must have a national fingerprint-based check(within 30 days of
assignment.)
1.3.5.4 The user must have a state of residency fingerprint-based check(within
30 days of assignment.)
1.3.5.5 The user must complete Security Awareness Training(within six months of
assignment and biennially,thereafter.)
1.3.5.6 Access requirements may also include any state-required certifications, if
applicable. However, it is the responsibility of the user and N-DEx Agency
Coordinator(NAC)to ensure any additional state-imposed access
requirements for the N-DEx System are met. See policy 1.6.4 for additional
NAC duties.
1.3.6 User Identifier Requirement: A user shall provide the following user identifiers prior
to accessing the N-DEx System:
1.3.6.1 Identity Provider ID: unique identifier indicating the system utilized to access
the N-DEx System.
November 22,2022 Page 8
1.3.6.2 User ID: unique username assigned by the user's identity provider for
authentication and identification.
1.3.6.3 Last Name: last name or family name of the user.
1.3.6.4 First Name: first name of the user.
1.3.6.5 Employer ORI: unique identifier assigned to the user's assigned agency.
ORIs must be a CJIS NCIC assigned ORI.
1.3.7 Use Code Requirement: The FBI's CJIS Division is required to maintain an audit
trail of each search request and returned result of N-DEx System data. Therefore,
every N-DEx System search request must include a Use Code identifying why the
search was performed.
The following Use Codes are considered acceptable when searching the N-DEx
System:
1.3.7.1 Administrative Use Code "A:"Must be used when the N-DEx System is
utilized by a record-owning agency or submitter/aggregator to retrieve and
display N-DEx System contributed records in association with performing the
agency's data administration or management duty. Responses for this purpose
shall not be disseminated for any other reason and are limited to the record-
owning agency portion of N-DEx System records.
1.3.7.2 Criminal Justice Use Code "C:"Must be used when the N-DEx System is
utilized for official duties in connection with the administration of criminal
justice, as the term is defined in 28 CFR § 20.3 (2011).
1.3.7.3 Criminal Justice Employment Use Code"J:"Must be used when the N-DEx
System is utilized to conduct criminal justice employment background checks.
In order to use the N-DEx System to conduct criminal justice employment
background checks, the agency must adhere to the following notice and
consent,redress, and audit requirements:
• Notice and Consent: The agency must provide notice to the applicant
and the applicant must provide a signed consent. At a minimum, one
of the following or substantially similar statements must appear on an
agency's Notice and Consent form to an applicant, examples of which
are provided below:
o General Statement: The (agency's name)'s acquisition,
retention, and sharing of information related to your
employment application is generally authorized under(state
November 22,2022 Page 9
and federal citations.) The purpose for requesting this
information is to conduct a complete background investigation
pertaining to your fitness to serve as a(employee type.) This
background investigation may include inquiries pertaining to
your employment, education,medical history, credit history,
criminal history, and any information relevant to your character
and reputation. By signing this form,you are acknowledging
you have received notice and have provided consent for
(agency's name)to use this information to conduct such a
background investigation,which may include the searching of
(the N-DEx System) (criminal justice databases) (private
databases) (public databases.)
o Specific N-DEx System statement: I authorize any employee
or representative of(agency's name)to search the N-DEx
System to obtain information regarding my qualifications and
fitness to serve as a(employee type.) I understand the N-DEx
System is an electronic repository of information from federal,
state, local,tribal, and regional criminal justice entities. This
national information sharing system permits users to search and
analyze data from the entire criminal justice cycle, including
crime incident and investigation reports; arrest,booking, and
incarceration reports; and probation and parole information.
This release is executed with full knowledge,understanding,
and consent that any information discovered in the N-DEx
System may be used for the official purpose of conducting a
complete employment background investigation. I also
understand any information found in the N-DEx System will
not be disclosed to any other person or agency unless
authorized and consistent with applicable law. I release
(agency's name) from any liability or damage which may result
from the use of information obtained from the N-DEx System.
• Redress: The agency must provide applicants with an opportunity to
challenge or correct records if employment is denied based on
information obtained from the N-DEx System.
o If employment is denied solely due to information obtained from
the N-DEx System, and the applicant challenges the accuracy or
completeness of those records, the denying agency shall provide
the applicant with the contact information of the agency owning
the information underlying the decision to deny. After receiving a
written request from the applicant challenging the accuracy or
completeness of the record used to deny employment, the record-
owning agency shall then review the relevant information and
advise the applicant in writing whether it has confirmed the
November 22,2022 Page 10
accuracy or completeness of its records, or whether the records
will be corrected. If the applicant does not receive a response from
the record-owning agency within 30 days from the date of the
applicant's written request,the applicant may contact the FBI CJIS
Division N-DEx Program Office, 1000 Custer Hollow Rd,
Clarksburg, WV 26306. The FBI shall forward the challenge to
the record-owning agency for verification or correction. The
record-owning agency shall then review the relevant information
and advise the applicant in writing whether it has verified its
records or whether the records will be corrected. Agencies should
inform applicants of their responsibility to provide any corrected
information to the denying agency which may assist the record
owning agency in its research on behalf of the applicant.
• Audit: The agency must comply with certain procedural and
documentation requirements.
o All use of the N-DEx System for criminal justice employment
background investigations shall require Use Code"J." Agencies
which contribute records to the N-DEx System shall be permitted
and enabled to reject Use Code"J"requests. When the N-DEx
System is searched as part of a criminal justice employment
background investigation,the fact the search was conducted must
be documented in the applicant's file. If information accessed
through the N-DEx System is viewed and used during the criminal
justice employment background investigation, the agency must
document in the applicant's file: (1)the requesting agency
received advanced authorization for the use of the information for
employment purposes from the record-owning agency, and(2) the
requesting agency has confirmed the accuracy of the information
with the record-owning agency.
o Agencies are expected to comply with the above requirements in
addition to the existing N-DEx System policy requirements (e.g.
training, information sharing, data quality, system security) and all
applicable laws and regulations. These additional requirements
mitigate the privacy risks of using the N-DEx System to conduct
criminal justice employment background checks and ensure such
use is implemented in a lawful and proper manner.
1.3.7.4 Federal Fitness/Suitability Use Code"S:"Must be used when the N-DEx
System is utilized by qualifying federal agencies to conduct vetting for federal
security clearances, suitability and fitness for federal employment and
credentialing, and related federal matters. CSOs will designate users
approved for the Use Code"S"capability from the qualifying federal
November 22,2022 Page 11
agencies, as defined by Executive Order 13488 as amended by Executive
Order 13764.
In order to use the N-DEx System to vet individuals for federal security
clearances, suitability and fitness for federal employment and credentialing,
and related federal matters,the agency must adhere to the following notice
and consent,redress, and audit requirements:
• Notice and Consent: The agency must provide notice to the applicant
and the applicant must provide a signed consent. At a minimum, one
of the following or substantially similar statements must appear on an
agency's Notice and Consent form to an applicant, examples of which
are provided below:
o General Statement: The(agency's name)'s acquisition,retention,
and sharing of information related to your application is generally
authorized under(federal citations.) The purpose for requesting
this information is to conduct a complete background check
investigation pertaining to your fitness to serve as a(employee
type.) This background investigation may include inquiries
pertaining to your(employment) (education) (medical history)
(credit history) (criminal history) and any information relevant to
your character and reputation. By signing this form, you are
acknowledging you have received notice and have provided
consent for(agency's name)to use this information to conduct
such a background investigation, which may include the searching
of the (N-DEx System) (criminal justice databases) (private
databases) (public databases.)
o Specific N-DEx System statement: I authorize any employee or
representative of(agency's name) to search the N-DEx System to
obtain information regarding my qualifications and fitness to serve
as a(employee type.) I understand the N-DEx System is an
electronic repository of information from federal, state, local,
tribal, and regional criminal justice entities. This national
information sharing system permits users to search and analyze
data from the entire criminal justice cycle, including crime incident
and investigation reports; arrest,booking, and incarceration
reports; and probation and parole information. This release is
executed with full knowledge,understanding, and consent that any
information discovered in the N-DEx System may be used for the
official purpose of conducting a complete background
investigation. I also understand any information found in the
N-DEx System will not be disclosed to any other person or agency
unless authorized and consistent with applicable law. I release
November 22,2022 Page 12
(agency's name) from any liability or damage which may result
from the use of information obtained from the N-DEx System.
• Redress: The agency must provide applicants with an opportunity to
challenge and/or correct records if federal security clearances,
suitability and fitness for federal employment and credentialing, and
related federal matters are denied based on information obtained from
the N-DEx System.
o If federal security clearances, suitability and fitness for federal
employment and credentialing, and related federal matters are
denied solely due to information obtained from the N-DEx System,
and the applicant challenges the accuracy or completeness of those
records,the denying agency shall provide the applicant with the
contact information of the agency owning the information
underlying the decision to deny. After receiving a written request
from the applicant challenging the accuracy or completeness of the
record used to deny the federal security clearance, suitability and
fitness for federal employment and credentialing, and related
federal matters,the record-owning agency shall then review the
relevant information and advise the applicant in writing whether it
has confirmed the accuracy or completeness of its records, or
whether the records will be corrected. If the applicant does not
receive a response from the record-owning agency within 30 days
from the date of the applicant's written request, the applicant may
contact the FBI CJIS Division N-DEx Program Office, 1000
Custer Hollow Rd., Clarksburg, WV 26306. The FBI shall
forward the challenge to the record-owning agency for verification
or correction. The record-owning agency shall then review the
relevant information and advise the applicant in writing whether it
has verified its records or whether the records will be corrected.
Agencies should inform applicants of their responsibility to
provide any corrected information to the denying agency which
may assist the record-owning agency in its research on behalf of
the applicant.
• Audit: The agency must comply with certain procedural and
documentation requirements.
o All use of the N-DEx System for federal security clearances,
suitability and fitness for federal employment and credentialing,
and related federal matters, shall require Use Code"S." Agencies
which contribute records to the N-DEx System shall be permitted
and enabled to reject Use Code "S"requests. When the N-DEx
System is searched as part of a federal security clearance,
suitability and fitness for federal employment and credentialing,
November 22,2022 Page 13
and related federal matter check,the fact the search was conducted
must be documented in the applicant's file. If information
accessed through the N-DEx System is viewed and used during the
federal security clearance, suitability and fitness for federal
employment and credentialing, and related federal matter check,
the agency must document in the applicant's file: (1)the
requesting agency received advanced authorization for the use of
the information for federal agency vetting purposes from the
record-owning agency and(2)the requesting agency has confirmed
the accuracy of the information with the record-owning agency.
o Agencies are expected to comply with the above requirements in
addition to the existing N-DEx System policy requirements (e.g.
training, information sharing, data quality, system security) and all
applicable laws and regulations. These additional requirements
mitigate the privacy risks of using the N-DEx System to conduct
vetting for federal security clearances, suitability and fitness for
federal employment and credentialing, and related federal matters
and ensure such use is implemented in a lawful and proper manner.
1.3.7.5 NICS-related checks Use Code"F:"Must be used when the N-DEx System is
utilized to conduct NICS-related background checks.
The NICS-related checks must be made in accordance with the Brady
Handgun Violence Prevention Act of 1993 (Brady Act). In addition, the
N-DEx System shall purge all Use Code"F" search criteria in adherence with
the Consolidated Appropriations Bill,H.R. 2673,as required by the NICS
operating procedures and policies.
The Brady Act required the U.S.Attorney General to establish the NICS for
Federal Firearm Licensees (FFLs)to contact for information to be supplied
immediately as to whether the transfer of a firearm to an unlicensed person
would violate Section 922 (g) or(n) of Title 18,United States Code(U.S.C.)
or state law. In addition,NICS background checks may be conducted for the
following purposes:
• Pursuant to Title 28, Code of Federal Regulations (C.F.R.), Section
25.6 (j)(1), "the NICS may provide information to federal, state, local,
or tribal criminal justice agencies in connection with the issuance of a
firearm-related or explosives-related permit or license."
• Title 28 C.F.R. §25.6 (j)(2) "permits the NICS to respond to inquiries
by the Bureau of Alcohol, Tobacco, Firearms, and Explosives [ATF]
in connection with a civil or criminal law enforcement activity relating
to the Gun Control Act [of 1968] or the National Firearms Act."
November 22,2022 Page 14
• Title 28 C.F.R. §25.6 (j)(3) "for the disposing of firearms in the
possession of federal, state, local, or tribal criminal justice agencies."
1.3.7.6 BRAG Use Code`B:" Must be used when the N-DEx System is utilized to
conduct Security Risk Assessments on individuals to possess,use, or transport
select biological agents and toxins,per Public Health and Bioterrorism
Preparedness and Response Act of 2002 (The Bioterrorism Act)Public Law
(PL) 107-188.
1.3.7.7 Redress procedures for Use Code`B" Security Risk Assessments are set forth
in 42 U.S.C. § 262a and 42 CFR 73.20. Redress procedures for NICS-related
checks are set forth in 28 CFR 25.10.
1.3.8 Search Reason Requirement: While the Use Code provides some lead information, it
only provides a minimal audit trail. Therefore, all N-DEx System users are required
to provide the reason for every search request. This will ensure N-DEx System
searches are conducted for authorized uses and Use Codes are correctly applied. The
Search Reason shall include information such as,but not limited to, incident number,
arrest transaction number,booking number,project name,routine activity description,
and if applicable, the individual recipient or agency the search was made "on behalf
of,"etc., to assist the user in accounting for appropriate system use for each
transaction. III System searches,via the N-DEx System, shall clearly identify the
individual recipient or agency the search was made"on behalf of." The identification
shall take the form of a unique identifier which shall remain unique to the individual
requester and to the secondary recipient throughout the minimum one-year retention
period.
1.3.9 Authorized Use and Verification Requirement: N-DEx System information may be
used and shared, without restrictions imposed by the record-owning agency,provided
both of the following conditions are met:
• The recipient(s) of shared information resides within the record-
requesting agency or within another authorized agency,with which a
primary information exchange agreement exists; and
• The information will not be used for the following actions: inclusion
of the information in an official case file;use in the preparation of
judicial processes such as affidavits,warrants, or subpoenas; use in an
adverse eligibility or suitability determination when retrieving
information under Use Codes J,F, B or S; or dissemination to another
authorized entity not part of the releasing agency's primary
information exchange agreement(otherwise known as secondary
dissemination).
November 22,2022 Page 15
Any sharing or use of N-DEx System data not meeting the above conditions requires the
N-DEx System user to verify the information with the record-owning agency for
completeness, timeliness, accuracy,relevancy, and any use restrictions on the data prior
to actionable use or secondary dissemination of the data.
1.3.10 Immediate use of N-DEx System information can be made without the verification
from the record-owning agency if there is actual or potential threat of criminal
activity or terrorism requiring swift action to prevent imminent danger to life or
serious damage to property,to forestall the imminent escape of a suspect, or
destruction of evidence. The record-owning agency shall be immediately notified of
any use made as a result of above circumstances.
1.3.11 Participating record-owning agencies are encouraged to consider how they may wish
to account for verification requests in a complete and timely manner, including the
maintenance of accurate POC information on agency records. While the N-DEx
System does not systematically support nor require a log to be maintained, agencies
are encouraged to consider how verification requests may be documented within their
own organization.
1.3.12 Information returned from the N-DEx System, regardless of whether it originally
resided in the N-DEx System or in a federated data source,must be identified to the
user as being received from the N-DEx System.
1.4 Responsibility for Records
1.4.1 Record-owning agencies which make available records in the N-DEx System are
responsible for their timeliness, accuracy, completeness, and providing point-of-
contact(POC) information. For further explanation of timeliness, accuracy, and
completeness, see section 2.5,Maintaining the Integrity of N-DEx System Records.
1.4.2 Each record-owning agency controls how and with whom their data is shared, thus
retaining responsibility, control, and ownership.
1.4.3 Agency-Configurable Data Sharing Controls: All data is presumed sharable. The
record-owning agency may restrict data access in accordance with the laws,
regulations, or policies which govern dissemination and privacy for their
jurisdictions. Restricted data access requires the submission of relevant authorizing
laws, regulations, or policies to the N-DEx Program Office. The N-DEx System
enables data sharing at the following data item(i.e. reports) dissemination criteria
values:
1.4.3.1 Green: Data is viewable.
November 22,2022 Page 16
.- _ _._ „
1.4.3.2 Yellow: Data consists of record ID and record-owning agency POC
information. To obtain access, contact the record-owning agency.
1.4.3.3 Red: Data is not viewable.
1.4.3.4 Record-owning agencies shall have the ability to configure sharing policy
based on agency, agency type, or select data characteristics to create exception
groups for their data.
1.4.4 Pursuant to Executive Order 12958 as amended, Classified National Security
Information, the N-DEx System is designated as an unclassified system. Record-
owning agencies shall ensure data contributed to and/or exchanged by the N-DEx
System is unclassified and free of classified national security information.
Information contributed to the N-DEx System resides in FBI controlled space,
containing SBU and CUI from contributing agencies with established formal
agreements.
1.4.5 All participating agencies,whether contributing information to the N-DEx System or
federating to the N-DEx System, shall access the N-DEx System via secure internet
connections (as defined by the CJIS Security Policy) or via the FBI's CJIS Wide Area
Network.
1.4.6 The FBI CJIS Division, as manager of the N-DEx System,helps maintain the
integrity of the system through:
1.4.6.1 Automatic computer checks which reject records with common types of errors
in data.
1.4.6.2 Pre-data ingestion analysis and data inspection.
1.4.6.3 On-going manual quality control checks by FBI personnel.
1.4.6.4 Automated tool support, e.g., conformance testing assistance, for construction
of data submissions.
1.4.6.5 System generated error reports for viewing by the record-owning Source Data
Administrator(SDA) and CSA.
1.4.6.6 Monitoring and automated logging of all successful and unsuccessful logon
attempts (where CJIS is the identity provider), file access, correlations, and
transaction types,regardless of access means.
1.5 System Description
November 22,2022 Page 17
1.5.1 Full system participants are federal, state, local, and tribal CJA's throughout the U.S.,
District of Columbia, and U.S. territories.
1.5.2 Limited system participants are foreign CJAs. State, local, and tribal CJA data shall
not be shareable with limited system participants, i.e. foreign CJAs.
1.5.2.1 The N-DEx System is the technical mechanism to bi-directionally share
federal government unclassified criminal justice information with foreign
partners, e.g., Australian Federal Police,New Zealand Police, and United
Kingdom Serious Organized Crime Agency.
1.5.3 Data contributed to the N-DEx System must meet the criteria established for the
particular type of record involved as identified in the N-DEx Information Exchange
Package Documentation (IEPD).
1.5.4 In accordance with the CJIS Security Policy, criminal justice information shall refer
to all FBI CJIS provided data necessary for CJAs to perform their missions. Such
information shall consist of,but not be limited to biometric, identity history,
biographic,property, and case/incident history data.
1.5.5 Data contributed and/or exchanged via the N-DEx System is criminal justice
information, which contains Personally Identifiable Information(PII), e.g.,names,
social security numbers, etc., as well as,non-identifying descriptive information e.g.,
offense location, weapon involved, etc., and may contain criminal history record
information as defined in Title 28, C.F.R.,Part 20. The collection, storage, and
dissemination of information shall comply with all applicable laws and regulations.
1.5.6 In accordance with the CJIS Security Policy, an information exchange agreement, i.e.,
a formal agreement specifying security controls must be signed before exchanging
criminal justice information. Formal agreements may take the form of user
agreements,management control agreements, CJIS security addendum, or any other
document meeting the requirements articulated in the CJIS Security Policy.
1.6 Policy Management
1.6.1 The CJIS APB, established by Title 28, C.F.R.,Part 20.35,recommends general
policy to the FBI Director with respect to the philosophy, concept, and operational
principles of the N-DEx System. In its deliberations, the APB places particular
emphasis on system security; and rules,regulations, and procedures to maintain the
integrity of CJIS System of Services and criminal justice information.
1.6.2 Detailed information on the operation of,the APB process can be found within the
Bylaws for the Criminal Justice Information Services Advisory Policy Board and
Working Groups.
November 22,2022 Page 18
1.6.3 In accordance with the CJIS Security Policy, the CJIS Systems Officer(CSO) or
designee shall ensure a Terminal Agency Coordinator(TAC) is designated within
each agency which has devices accessing CJIS systems. The TAC serves as the POC
for the CSO at the local agency for matters relating to CJIS information access. The
TAC administers CJIS systems programs with the local agency and oversees the
agency's compliance with CJIS systems policies.
1.6.4 The CSO or designee shall ensure a NAC is designated for each agency accessing the
N-DEx System. The NAC serves as the POC for the CSO at the local agency for
matters relating to the N-DEx System. The NAC administers the N-DEx System for
the local agency and oversees the agency's compliance with N-DEx System policies.
The NAC may also be the agency's TAC. An agency may change its NAC at any
time but must notify the CSA in writing of the change. The following N-DEx System
roles may be performed by the CSO or delegated to the NAC or other appropriate
personnel within the CSA or N-DEx System participating agency. It is recommended
an alternate be assigned as a back-up to assist with performing the administrative
duties in case of emergency or personnel changes. One individual may perform all
administrative roles, or the roles may be assigned to several individuals.
1.6.4.1 CSO Administrator Role—Responsible for managing the users, audit, and
training within their area of responsibility, as identified by ORI. The role is
activated by the N-DEx Program Office within the N-DEx System for the
CSO. Once activated,the role provides the CSO with the user, audit, and
training management functionality. The CSO has the ability to assign the
user, audit, and training management functionality by ORI to users or NACs
at federal, state, local, and tribal agencies.
1.6.4.2 Source Data Administrator(SDA) Role—Responsible for establishing and
managing the agency's configurable data sharing controls and submitting data
to the N-DEx System for assigned record-owning agency(ies). The N-DEx
Program Office enables the SDA capability within the N-DEx System.
1.6.4.3 Automated Processing Administrator(APA)Role—Responsible for
activating, configuring, and managing the N-DEx System optional automated
processing capability. Automated processing enables an agency to receive
reports reflecting correlations between their submissions and current N-DEx
System information.
1.7 System Security
1.7.1 The CSA is responsible for establishing and administering an information technology
security program throughout the CSA's user community, consistent with roles and
responsibilities described in the Bylaws for the CJIS Advisory Policy Board and
Working Groups and the CJIS Security Policy.
November 22,2022 Page 19
1.7.2 The FBI uses hardware and software controls to help ensure system security.
However, final responsibility for the maintenance of the security and confidentiality
of criminal justice information rests with the individual agencies participating in the
• N-DEx System. Further information regarding system security can be obtained from
the CJIS Security Policy.
1.7.3 The data stored in the N-DEx System is documented criminal justice information and
must be protected to ensure authorized, legal, and efficient dissemination and use. It
is incumbent upon an N-DEx System participating agency to implement procedures
to make the N-DEx System secure from any unauthorized use.
2.0 QUALITY CONTROL,VALIDATION,TRAINING,AND OTHER PROCEDURES
2.1 Maintaining System Integrity
2.1.1 Responsibility to Maintain System Integrity
2.1.1.1 Pursuant to the current version of the Bylaws Of The Criminal Justice
Information Services Advisory Policy Board And Working Groups, the CSA is
responsible for ensuring appropriate use, enforcing system discipline and
security, and ensuring CJIS operating procedures are followed by all users,
regardless of whether they are performed by CSA personnel, contracted
support, an outside agency, etc.
2.1.1.2 A CSA may delegate responsibilities, including user management, to the NAC
of subordinate agencies as outlined in the CJIS Security Policy.
2.1.1.3 The CSA may require notification of all new users given N-DEx System
access through delegated user management. It is the CSA's responsibility to
coordinate this notification process and the frequency of notification with the
delegated"user management designee." This process will ensure the CSA has
the desired level of involvement for user access since they remain ultimately
responsible for all CJIS System of Services activities.
2.2 Security
2.2.1 Security standards are documented in the CJIS Security Policy.
2.3 Audit
2.3.1 Compliance audit: Compliance audit standards are documented in the CJIS Security
Policy.
2.3.2 The FBI CJIS Division shall conduct compliance audits of CSAs which have agencies
using the N-DEx System. Audits shall consist of the following:
November 22,2022 Page 20
2.3.2.1 Administrative interview with N-DEx System local agency NAC.
2.3.2.2 Network inspection.
2.3.2.3 A review of random N-DEx System transactions.
2.3.2.4 A review of user access.
2.3.2.5 Technical security and, if applicable,NCIC and III policies will also be
assessed.
2.3.3 Audits will not include a review of data quality.
2.3.4 Security audits: Security audit standards are documented in the CJIS Security Policy.
2.3.5 Audits by the CSA: CSA audit responsibilities are documented in the CJIS Security
Policy and Director approved APB guidance.
2.4 Training
2.4.1 CSAs may delegate N-DEx System training to local agencies or regional information
sharing entities.
2.4.2 Prior to searching data via the N-DEx System, CSAs shall ensure, directly or through
local delegation,users are trained on N-DEx System policy matters, emphasizing data
use rules.
2.4.3 Basic security awareness training shall be required within six months of initial
assignment and biennially thereafter, for all personnel who have access to criminal
justice information.
2.4.4 Training shall be provided to N-DEx System users granted access to federated CJIS
System of Services system(s) in accordance with individual federated system training
requirements.
2.4.5 Every two years,users shall be trained on N-DEx System policy matters, emphasizing
data use rules.
2.4.6 The CSA shall ensure all individuals with physical and logical access to N-DEx
System information are trained on N-DEx System data use.
2.4.7 The CSA shall maintain records of all training and proficiency affirmation.
2.4.8 The N-DEx Program Office shall make training materials available to the CSA.
Training materials may take the form of any of the below:
November 22,2022 Page 21
2.4.8.1 Basic course hand out materials and curriculum.
2.4.8.2 Video training.
2.4.8.3 Computer based training modules.
2.4.8.4 Distance Learning Workshops
2.5 Maintaining the Integrity of N-DEx System Records
2.5.1 Record-owning agencies are responsible for the timeliness, accuracy, and
completeness of their data. The records in the record-owning agency record/case
management system are considered the source records.
2.5.2 Timeliness: Each record-owning agency shall submit data, including any updates or
changes to the original submission, as often as a contributor can feasibly execute
them. Updates or changes shall be executed at least monthly.
2.5.3 Accuracy: Because records contributed to the N-DEx System will be limited to
duplicates and summaries of records obtained and separately managed by the record-
owning agency within its own record/case system(s), and for which the record-
owning agency is responsible, each record-owning agency shall ensure contributed
data is reflected within the source system(s). The record-owning agency shall ensure
contributed data is synchronized with the agency's source system records as they are
updated and changed.
2.5.4 Completeness: Each record-owning agency should submit as many N-DEx System
data elements available and permitted by law.
2.6 Quality Control
2.6.1 FBI personnel periodically review records entered into the N-DEx System. Issues
discovered in records are communicated directly to the CSA and NAC.
2.7 N-DEx System Maintenance
2.7.1 When scheduled maintenance is being conducted on the N-DEx System, an
information page will be displayed stating the expected outage time. If the N-DEx
System should become unavailable outside of scheduled maintenance times, a
message notification banner will be displayed to the users. However, if the problem
is not resolved after a reasonable period of time,notify the FBI CJIS Help Desk at
304-625-4357.
3.0 N-DEx SYSTEM SANCTIONS
November 22,2022 Page 22
3.1.1 In accordance with the CJIS Security Policy, each participating agency shall employ a
formal sanctions process for personnel failing to comply with established information
security policies and procedures.
3.1.2 Upon any discovery of misuse by any users or agencies granted access to the N-DEx
System,notification to their NAC and CSA must take place immediately.
3.1.3 The CJIS APB established the Compliance Evaluation Subcommittee(CES)to
evaluate the results of audits conducted by the CJIS Audit Unit(CAU). The CES
makes specific recommendations to the APB concerning compliance with applicable
policies and regulations. The most current information regarding the CAU audits
which are within the purview of the CES and detailed CES sanctions process
procedures are available at<CJIS.gov>(Law Enforcement Enterprise Portal) CJIS
Special Interest Groups/Advisory Process Information/Subcommittee/CES Section
and the CJIS Section of<FBI.gov>.
November 22,2022 Page 23
APPENDIX A: ACRONYMS
APA- Automated Processing Administrator
APB - Advisory Process Board
ATF- Alcohol, Tobacco and Firearms
BRAG- Bioterrorism Risk Assessment Group
CAU- CJIS Audit Unit
CES - Compliance Evaluation Subcommittee
CFR- Code of Federal Regulations
CJA- Criminal Justice Agency
CJIS - Criminal Justice Information Services
CSA- CJIS Systems Agency
CSO - CJIS Systems Officer
CUI- Controlled Unclassified Information
FBI- Federal Bureau of Investigation
FFL - Federal Firearm Licensee
IEPD - Information Exchange Package Documentation
III- Information Identification Index
LEA- Law Enforcement Agency
LES - Law Enforcement Sensitive
NAC - N-DEx Agency Coordinator
NCIC - National Crime Information Center
N-DEx- National Data Exchange
NICS - National Instant Criminal Background Check System
ORI- Originating Agency Identifier
PII- Personally Identifiable Information
PL- Public Law
POC - Point-of-Contact
SBU- Sensitive But Unclassified
SDA- Source Data Administrator
TAC - Terminal Agency Coordinator
U.S. - United States
U.S.0 - United States Code
November 22,2022 Page 24