NCIC Purpose Codes and Dissemination 2 — Questions and Answers
Question 1: What is a 'purpose code' in the context of NCIC and criminal history record access?
- A code that identifies the geographic region of an NCIC query
- A code entered with a query that identifies the authorized purpose for which the CHRI is being requested (Correct answer)
- A code assigned to each type of criminal offense in NCIC records
- A security classification code assigned to sensitive records
Correct answer: A code entered with a query that identifies the authorized purpose for which the CHRI is being requested
A purpose code is entered with a CHRI query to identify the legally authorized reason for the request, enabling the system to determine what information may be returned and how it may be used.
Purpose codes are single-letter or alphanumeric codes entered with CHRI queries to the Interstate Identification Index. They communicate to the system the legal authority under which the information is being requested — such as C for criminal justice purposes, J for criminal justice employment, or specific codes for authorized non-criminal justice uses like E for employment or F for firearms. The purpose code triggers the appropriate response: criminal justice queries may return full criminal history including pending charges, while some non-criminal justice purpose codes trigger responses that exclude non-conviction information in states with such restrictions. Entering an inaccurate purpose code to obtain broader information than authorized is a serious violation.
Question 2: Purpose code 'C' is used when requesting CHRI for what type of purpose?
- Civilian employment background checks
- Criminal justice purpose (Correct answer)
- Civil court proceedings
- Correctional facility admissions only
Correct answer: Criminal justice purpose
Purpose code 'C' designates a criminal justice purpose query, used when the requesting agency is seeking CHRI in connection with a criminal investigation, prosecution, or other criminal justice activity.
Purpose code 'C' is the criminal justice purpose code and represents the broadest authorization for CHRI access. It is used by law enforcement agencies conducting criminal investigations, background checks on criminal justice employees, criminal justice research, and other core criminal justice functions. Under purpose code 'C', authorized agencies typically receive the most complete criminal history response available, including arrest records regardless of disposition, pending charges, and conviction information. This broad access is justified by the direct law enforcement need and the accountability mechanisms of the criminal justice system.
Question 3: After receiving CHRI through an NCIC query, to whom may the receiving agency disseminate that information?
- To any law enforcement agency in the country
- Only to criminal justice agencies and non-criminal justice entities authorized by the specific purpose code used (Correct answer)
- To any government agency upon request
- To the public if it involves a violent felony
Correct answer: Only to criminal justice agencies and non-criminal justice entities authorized by the specific purpose code used
CHRI may only be disseminated to criminal justice agencies and to non-criminal justice entities that are specifically authorized under the purpose code used to obtain the information.
The dissemination of CHRI is governed by strict purpose limitation rules. Information obtained under a criminal justice purpose code may be shared with other criminal justice agencies involved in the same criminal matter. Information obtained under a non-criminal justice purpose code — such as for employment screening — may only be provided to the employer or licensing body that authorized the background check, not shared broadly. Agencies may not use CHRI as a general reference tool or share it with entities that have no authorized purpose. Each dissemination must be independently justifiable under applicable law, and unauthorized dissemination can result in criminal penalties and loss of NCIC access.
Question 4: When a non-criminal justice agency receives CHRI through an authorized background check, what must accompany the dissemination to the requesting employer or licensing board?
- A notarized affidavit confirming the background check was authorized
- A written notice to the subject that a background check was conducted and their rights if the information results in an adverse action (Correct answer)
- A copy of the complete NCIC audit trail for the query
- Nothing — employers receive CHRI without notification to the subject
Correct answer: A written notice to the subject that a background check was conducted and their rights if the information results in an adverse action
When CHRI is used in a non-criminal justice context and may result in an adverse action, the subject must be notified and given an opportunity to address the information before a final adverse decision is made.
Federal law and compact requirements protect individuals from adverse actions based on potentially inaccurate CHRI without providing them an opportunity to respond. When a non-criminal justice entity uses CHRI for employment or licensing decisions and a negative determination may result, the subject must be notified that a background check was conducted, provided with a copy of the CHRI used in the decision, and given a reasonable opportunity to dispute any inaccuracies or provide context before the adverse action is finalized. This procedural protection applies whether the CHRI came from NCIC/III or from a state criminal history repository, and it reflects the significant impact CHRI can have on individuals' lives.
Question 5: Which statement correctly describes the 'need to know' principle as it applies to NCIC dissemination?
- Any law enforcement officer with NCIC access has a need to know all information in the system
- NCIC information may only be accessed and disseminated to individuals who have a demonstrated official need for that specific information in the performance of their authorized duties (Correct answer)
- The need to know standard applies only to classified federal records, not to NCIC
- Officers may share NCIC information with others at their own discretion
Correct answer: NCIC information may only be accessed and disseminated to individuals who have a demonstrated official need for that specific information in the performance of their authorized duties
The 'need to know' principle limits access to NCIC information to individuals who have a specific, official need for that information in connection with their authorized criminal justice duties.
The 'need to know' principle is a foundational concept in NCIC access control and the broader CJIS Security Policy. Having access to NCIC does not authorize an individual to query or review any record out of curiosity or for personal reasons — each access must be tied to a specific, official duty that requires that information. For example, an officer may query NCIC in connection with a specific call for service, investigation, or enforcement action, but not to run background checks on personal acquaintances, neighbors, or romantic interests. Violations of the need-to-know principle are a common source of inappropriate access complaints and are a serious disciplinary matter.
Question 6: NCIC records obtained for a criminal justice purpose may be disseminated to the news media under what circumstances?
- Never — NCIC records are law enforcement confidential and may never be shared with media
- When the information has been included in official court records or public filings and the agency's public information officer determines release is appropriate under state law (Correct answer)
- Only with prior FBI CJIS Division approval
- Whenever the crime involves a public figure
Correct answer: When the information has been included in official court records or public filings and the agency's public information officer determines release is appropriate under state law
NCIC records may be discussed publicly when the information has been incorporated into official court proceedings or public records, and the release must comply with state law on public records and law enforcement disclosure.
NCIC records themselves are law enforcement sensitive and not directly releasable to the media. However, when information derived from NCIC records has been incorporated into public court records — such as in an arrest affidavit, indictment, or publicly filed court document — that publicly filed information may be discussed with the media in accordance with the agency's public information policies and applicable state public records law. The distinction is critical: the NCIC record stays confidential, but information it helped establish that entered the public court record may be disclosable. Agencies must consult their legal counsel and state law on this nuanced area.
NCIC Purpose Codes and Dissemination 2
What is a 'purpose code' in the context of NCIC and criminal history record access?