[Federal Register Volume 65, Number 152 (Monday, August 7, 2000)]
[Proposed Rules]
[Pages 48202-48205]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-19860]


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DEPARTMENT OF DEFENSE

Defense Contract Audit Agency

32 CFR Part 317

[DCAA Reg. 5410.10]


Privacy Act; Implementation

AGENCY: Defense Contract Audit Agency, DoD.

ACTION: Proposed rule.

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SUMMARY: The Defense Contract Audit Agency is revising its Privacy Act 
Program to provide implementation policies and procedures.

DATES: Comments must be received on or before October 6, 2000 to be 
considered by this agency.

ADDRESSES: Send comments to Defense Contract Audit Agency, Information 
and Privacy Advisor, CMR, 8725 John J. Kingman Road, Suite 2135, Fort 
Belvoir, VA 22060-6219.

FOR FURTHER INFORMATION CONTACT: Mr. Dave Henshall at (703) 767-1005.

SUPPLEMENTARY INFORMATION:
    Executive Order 12866. It has been determined that this Privacy Act 
rule for the Department of Defense does not constitute `significant 
regulatory action'. Analysis of the rule indicates that it does not 
have an annual effect on the economy of $100 million or more; does not 
create a serious inconsistency or otherwise interfere with an action 
taken or planned by another agency; does not materially alter the 
budgetary impact of entitlements, grants, user fees, or loan programs 
or the rights and obligations of recipients thereof; does not raise 
novel legal or policy issues arising out of legal mandates, the 
President's priorities, or the principles set forth in Executive Order 
12866.
    Regulatory Flexibility Act. It has been determined that this 
Privacy Act rule for the Department of Defense does not have 
significant economic impact on a

[[Page 48203]]

substantial number of small entities because it is concerned only with 
the administration of Privacy Act systems of records within the 
Department of Defense.
    Paperwork Reduction Act. It has been determined that this Privacy 
Act rule for the Department of Defense imposes no information 
requirements beyond the Department of Defense and that the information 
collected within the Department of Defense is necessary and consistent 
with 5 U.S.C. 552a, known as the Privacy Act of 1974.

List of Subjects in 32 CFR Part 317

    Privacy.
    1. Accordingly, 32 CFR part 317 is proposed to be revised as 
follows:

PART 317--DCAA PRIVACY ACT PROGRAM

Sec.
317.1  Purpose.
317.2  Applicability and scope.
317.3  Policy.
317.4  Responsibilities.
317.5  Information requirements
317.6  Procedures.

    Authority: Pub.L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).


Sec. 317.1  Purpose.

    This part provides policies and procedures for the Defense Contract 
Audit Agency's implementation of the Privacy Act of 1974 (DCAA 
Regulation 5410.10),\1\ as amended, (5 U.S.C. 552a); DoD 5400.11 and 
DoD 5400.11-R, DoD Privacy Program\2\ (32 CFR part 310); and is 
intended to promote uniformity within DCAA.
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    \1\ Copies may be obtained from http://www.deskbook.osd.mil.
    \2\ Copies may be obtained from http://web7.whs.osd.mil.
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Sec. 317.2  Applicability and scope.

    (a) This part applies to all DCAA organizational elements and takes 
precedence over all regional regulatory issuances that supplement the 
DCAA Privacy Program.
    (b) This part shall be made applicable by contract or other legally 
binding action to contractors whenever a DCAA contract provides for the 
operation of a system of records or portion of a system of records to 
accomplish an Agency function.


Sec. 317.3  Policy.

    (a) It is DCAA policy that personnel will comply with the DCAA 
Privacy Program; the Privacy Act of 1974; and the DoD Privacy Program 
(32 CFR part 310). Strict adherence is necessary to ensure uniformity 
in the implementation of the DCAA Privacy Program and create conditions 
that will foster public trust. It is also Agency policy to safeguard 
personal information contained in any system of records maintained by 
DCAA organizational elements and to make that information available to 
the individual to whom it pertains to the maximum extent practicable.
    (b) DCAA policy specifically requires that DCAA organizational 
elements:
    (1) Collect, maintain, use, and disseminate personal information 
only when it is relevant and necessary to achieve a purpose required by 
statute or Executive Order.
    (2) Collect personal information directly from the individuals to 
whom it pertains to the greatest extent practical.
    (3) Inform individuals who are asked to supply personal information 
for inclusion in any system of records:
    (i) The authority for the solicitation.
    (ii) Whether furnishing the information is mandatory or voluntary.
    (iii) The intended uses of the information.
    (iv) The routine disclosures of the information that may be made 
outside of DoD.
    (v) The effect on the individual of not providing all or any part 
of the requested information.
    (4) Ensure that records used in making determinations about 
individuals and those containing personal information are accurate, 
relevant, timely, and complete for the purposes for which they are 
being maintained before making them available to any recipients outside 
of DoD, other than a Federal agency, unless the disclosure is made 
under DCAA Regulation 5410.8, DCAA Freedom of Information Act 
Program.\3\
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    \3\ Copies may be obtained from http://www.deskbook.osd.mil.
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    (5) Keep no record that describes how individuals exercise their 
rights guaranteed by the First Amendment to the U.S. Constitution, 
unless expressly authorized by statute or by the individual to whom the 
records pertain or is pertinent to and within the scope of an 
authorized law enforcement activity.
    (6) Notify individuals whenever records pertaining to them are made 
available under compulsory legal processes, if such process is a matter 
of public record.
    (7) Establish safeguards to ensure the security of personal 
information and to protect this information from threats or hazards 
that might result in substantial harm, embarrassment, inconvenience, or 
unfairness to the individual.
    (8) Establish rules of conduct for DCAA personnel involved in the 
design, development, operation, or maintenance of any system of records 
and train them in these rules of conduct.
    (9) Assist individuals in determining what records pertaining to 
them are being collected, maintained, used, or disseminated.
    (10) Permit individual access to the information pertaining to them 
maintained in any system of records, and to correct or amend that 
information, unless an exemption for the system has been properly 
established for an important public purpose.
    (11) Provide, on request, an accounting of all disclosures of the 
information pertaining to them except when disclosures are made:
    (i) To DoD personnel in the course of their official duties.
    (ii) Under DCAA Regulation 5410.8, DCAA Freedom of Information Act 
Program.
    (iii) To another agency or to an instrumentality of any 
governmental jurisdiction within or under control of the United States 
conducting law enforcement activities authorized by law.
    (12) Advise individuals on their rights to appeal any refusal to 
grant access to or amend any record pertaining to them, and file a 
statement of disagreement with the record in the event amendment is 
refused.


Sec. 317.4  Responsibilities.

    (a) The Assistant Director, Resources has overall responsibility 
for the DCAA Privacy Act Program and will serve as the sole appellate 
authority for appeals to decisions of respective initial denial 
authorities.
    (b) The Chief, Administrative Management Division, under the 
direction of the Assistant Director, Resources, shall:
    (1) Establish, issue, and update policies for the DCAA Privacy Act 
Program; monitor compliance with this part; and provide policy guidance 
for the DCAA Privacy Act Program.
    (2) Resolve conflicts that may arise regarding implementation of 
DCAA Privacy Act policy.
    (3) Designate an Agency Privacy Act Advisor, as a single point of 
contact, to coordinate on matters concerning Privacy Act policy.
    (4) Make the initial determination to deny an individual's written 
Privacy Act request for access to or amendment of documents filed in 
Privacy Act systems of records. This authority cannot be delegated.
    (c) The DCAA Privacy Act Advisor under the supervision of the 
Chief,

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Administrative Management Division, shall:
    (1) Manage the DCAA Privacy Act Program in accordance with this 
part and applicable DCAA policies, as well as DoD and Federal 
regulations.
    (2) Provide guidelines for managing, administering, and 
implementing the DCAA Privacy Act Program.
    (3) Implement and administer the Privacy Act program at the 
Headquarters.
    (4) Ensure that the collection, maintenance, use, or dissemination 
of records of identifiable personal information is in a manner that 
assures that such action is for a necessary and lawful purpose; that 
the information is timely and accurate for its intended use; and that 
adequate safeguards are provided to prevent misuse of such information.
    (5) Maintain and publish DCAA Pamphlet 5410.13, DCAA Compilation of 
Privacy Act System Notices.\4\
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    \4\ Copies may be obtained from the Defense Contract Audit 
Agency, ATTN: DCAA-CMO, 8725 John J. Kingman Road, Suite 2135, Fort 
Belvoir, VA 22060-6219. Electronic copies of DCAA Privacy notices 
may be obtained from http://www.defenselink.mil/privacy.
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    (6) Prepare promptly any required new, amended, or altered system 
notices for systems of records subject to the Privacy Act and submit 
them to the Defense Privacy Office for subsequent publication in the 
Federal Register.
    (7) Prepare the annual Privacy Act Report as required by DoD 
5400.11-R, DoD Privacy Program.
    (8) Conduct training on the Privacy Act program for Agency 
personnel.
    (d) Heads of Principal Staff Elements are responsible for:
    (1) Reviewing all regulations or other policy and guidance 
issuances for which they are the proponent to ensure consistency with 
the provisions of this part.
    (2) Ensuring that the provisions of this part are followed in 
processing requests for records.
    (3) Forwarding to the DCAA Privacy Act Advisor, any Privacy Act 
requests received directly from a member of the public, so that the 
request may be administratively controlled and processed.
    (4) Ensuring the prompt review of all Privacy Act requests, and 
when required, coordinating those requests with other organizational 
elements.
    (5) Providing recommendations to the DCAA Privacy Act Advisor 
regarding the releasability of DCAA records to members of the public, 
along with the responsive documents.
    (6) Providing the appropriate documents, along with a written 
justification for any denial, in whole or in part, of a request for 
records to the DCAA Privacy Act Advisor. Those portions to be excised 
should be bracketed in red pencil, and the specific exemption or 
exemptions cited which provide the basis for denying the requested 
records.
    (e) The General Counsel is responsible for:
    (1) Ensuring uniformity is maintained in the legal position, and 
the interpretation of the Privacy Act; 32 CFR part 310; and this part.
    (2) Consulting with DoD General Counsel on final denials that are 
inconsistent with decisions of other DoD components, involve issues not 
previously resolved, or raise new or significant legal issues of 
potential significance to other Government agencies.
    (3) Providing advice and assistance to the Assistant Director, 
Resources; Regional Directors; and the Regional Privacy Act Officer, 
through the DCAA Privacy Act Advisor, as required, in the discharge of 
their responsibilities.
    (4) Coordinating Privacy Act litigation with the Department of 
Justice.
    (5) Coordinating on Headquarters denials of initial requests.
    (f) Each Regional Director is responsible for the overall 
management of the Privacy Act program within their respective regions. 
Under his/her direction, the Regional Resources Manager is responsible 
for the management and staff supervision of the program and for 
designating a Regional Privacy Act Officer. Regional Directors will, as 
designee of the Director, make the initial determination to deny an 
individual's written Privacy Act request for access to or amendment of 
documents filed in Privacy Act systems of records. This authority 
cannot be delegated.
    (g) Regional Privacy Act Officers will:
    (1) Implement and administer the Privacy Act program throughout the 
region.
    (2) Ensure that the collection, maintenance, use, or dissemination 
of records of identifiable personal information is in a DCAAR 5410.10 
manner that assures that such action is for a necessary and lawful 
purpose; that the information is timely and accurate for its intended 
use; and that adequate safeguards are provided to prevent misuse of 
such information.
    (3) Prepare input for the annual Privacy Act Report when requested 
by the DCAA Information and Privacy Advisor.
    (4) Conduct training on the Privacy Act program for regional and 
FAO personnel.
    (5) Provide recommendations to the Regional Director through the 
Regional Resources Manager regarding the releasability of DCAA records 
to members of the public.
    (h) Managers, Field Audit Offices (FAOs) will:
    (1) Ensure that the provisions of this part are followed in 
processing requests for records.
    (2) Forward to the Regional Privacy Act Officer, any Privacy Act 
requests received directly from a member of the public, so that the 
request may be administratively controlled and processed.
    (3) Ensure the prompt review of all Privacy Act requests, and when 
required, coordinating those requests with other organizational 
elements.
    (4) Provide recommendations to the Regional Privacy Act Officer 
regarding the releasability of DCAA records to members of the public, 
along with the responsive documents.
    (5) Provide the appropriate documents, along with a written 
justification for any denial, in whole or in part, of a request for 
records to the Regional Privacy Act Officer. Those portions to be 
excised should be bracketed in red pencil, and the specific exemption 
or exemptions cited which provide the basis for denying the requested 
records.
    (i) DCAA Employees will:
    (1) Not disclose any personal information contained in any system 
of records, except as authorized by this part.
    (2) Not maintain any official files which are retrieved by name or 
other personal identifier without first ensuring that a notice for the 
system has been published in the Federal Register.
    (3) Report any disclosures of personal information from a system of 
records or the maintenance of any system of records that are not 
authorized by this part to the appropriate Privacy Act officials for 
their action.


Sec. 317.5  Information requirements.

    The Report Control Symbol. Unless otherwise directed, any report 
concerning implementation of the Privacy Program shall be assigned 
Report Control Symbol DD-DA&M(A)1379.


Sec. 317.6  Procedures.

    Procedures for processing material in accordance with the Privacy 
Act of 1974 are outlined in DoD 5400.11-R, DoD Privacy Program (32 CFR 
part 310).


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    Dated: July 31, 2000.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 00-19860 Filed 8-4-00; 8:45 am]
BILLING CODE 5001-10-F