[Federal Register Volume 88, Number 80 (Wednesday, April 26, 2023)]
[Notices]
[Pages 25384-25388]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-08752]
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DEPARTMENT OF DEFENSE
Office of the Secretary
[Docket ID: DoD-2023-OS-0035]
Privacy Act of 1974; System of Records
AGENCY: Department of Defense (DoD).
[[Page 25385]]
ACTION: Notice of a new system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the DoD is
establishing a new Department-wide system of records titled, ``DoD
Claims Management Records,'' DoD-0016. This system of records covers
records concerning the investigation, adjudication, and settlement of
claims against or by the DoD.
DATES: This system of records is effective upon publication; however,
comments on the Routine Uses will be accepted on or before May 26,
2023. The Routine Uses are effective at the close of the comment
period.
ADDRESSES: You may submit comments, identified by docket number and
title, by any of the following methods:
* Federal Rulemaking Portal: https://www.regulations.gov. Follow
the instructions for submitting comments.
* Mail: Department of Defense, Office of the Assistant to the
Secretary of Defense for Privacy, Civil Liberties, and Transparency,
Regulatory Directorate, 4800 Mark Center Drive, Attn: Mailbox 24, Suite
08D09, Alexandria, VA 22350-1700.
Instructions: All submissions received must include the agency name
and docket number for this Federal Register document. The general
policy for comments and other submissions from members of the public is
to make these submissions available for public viewing on the internet
at https://www.regulations.gov as they are received without change,
including any personal identifiers or contact information.
FOR FURTHER INFORMATION CONTACT: Ms. Rahwa Keleta, Privacy and Civil
Liberties Division, Directorate for Privacy, Civil Liberties and
Freedom of Information, Office of the Assistant to the Secretary of
Defense for Privacy, Civil Liberties, and Transparency, Department of
Defense, 4800 Mark Center Drive, Mailbox #24, Suite 08D09, Alexandria,
VA 22350-1700; [email protected]; (703) 571-0070.
SUPPLEMENTARY INFORMATION:
I. Background
DoD is establishing the ``DoD Claims Management Records,'' DoD-
0016, as a DoD-wide Privacy Act system of records. A DoD-wide system of
records notice (SORN) supports multiple DoD paper or electronic
recordkeeping systems operated by more than one DoD component that
maintain the same kind of information about individuals for the same
purpose. Establishment of DoD-wide SORNs helps the DoD standardize the
rules governing the collection, maintenance, use, and sharing of
personal information in key areas across the enterprise. DoD-wide SORNs
also reduce duplicative and overlapping SORNs published by separate DoD
components. The creation of DoD-wide SORNs is expected to make locating
relevant SORNs easier for DoD personnel and the public and create
efficiencies in the operation of the DoD privacy program.
The purpose of this SORN is to manage records collected,
maintained, and disseminated by a DoD Component for addressing
personnel and general claims both for and against the Department. This
system of records covers all stages in the claims process to include
notification, investigation, adjudication, negotiation, and resolution.
These records may include information about claimants and their
attorneys or representatives; including those with an affiliation to
the DoD such as uniformed service personnel and their family members,
civilian personnel, and contractors. The records may also include
members of the public who have a physical or legal affiliation with the
DoD and information about other persons with information pertinent to
the claims adjudication process, such as witnesses, or state and local
government officials.
DoD SORNs have been published in the Federal Register and are
available from the address in FOR FURTHER INFORMATION CONTACT or at the
Privacy, Civil Liberties, and FOIA Directorate website at https://dpcld.defense.gov.
II. Privacy Act
Under the Privacy Act, a ``system of records'' is a group of
records under the control of an agency from which information is
retrieved by the name of an individual or by some identifying number,
symbol, or other identifying particular assigned to the individual. In
the Privacy Act, an individual is defined as a U.S. citizen or lawful
permanent resident.
In accordance with 5 U.S.C. 552a(r) and Office of Management and
Budget (OMB) Circular No. A-108, the DoD has provided a report of this
system of records to the OMB and to Congress.
Dated: April 20, 2023.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
SYSTEM NAME AND NUMBER:
DoD Claims Management Records, DoD-0016.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Department of Defense (Department or DoD), located at 1000 Defense
Pentagon, Washington, DC 20301-1000, and other Department
installations, offices, or mission locations. Information may also be
stored within a government-certified cloud, implemented, and overseen
by the Department's Chief Information Officer (CIO).
SYSTEM MANAGER(S):
The system managers for this system of records are as follows:
A. The United States Air Force Judge Advocate General's Corps, Air
Force Claims Service Center, 1940 Allbrook Drive, Bldg. 1 Suite 512,
Wright-Patterson AFB, OH 45433, email: [email protected].
B. United States Army Judge Advocate General's Corps, Claims
Service, 4411 Llewellyn Avenue, Fort Meade, Maryland 20755, telephone
number: 301-677-7009.
C. United States Navy and U.S. Marine Corps Office of the Judge
Advocate General, Admiralty and Claims (Code 15), 1322 Patterson Ave.,
Suite 3000, Washington Navy Yard, DC 20374-5066, telephone number (202)
685-4600.
D. Director, Defense Legal Services Agency, Defense Office of
Hearing and Appeals, Claims Division--Reconsideration, P.O. Box 3656,
Arlington, Virginia 22203-1995, [email protected]. DOHA serves as the system manager for records produced
as part of claims appeal activities.
E. Director, Defense Finance and Accounting Services, Debt and
Claims Department, 8899 East 56th Street, Indianapolis, IN 46249-2700,
telephone number (866) 912-6488.
F. To obtain information on the system managers at the Combatant
Commands, Defense Agencies, or other Field Activities with oversight of
the records, please visit www.FOIA.gov to contact the component's
Freedom of Information Act (FOIA) office.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
10 U.S.C. 113, Secretary of Defense; 10 U.S.C. Chapter 163,
Military Claims (General Military Law); 10 U.S.C. Chapter 781, Military
Claims (Army); 10 U.S.C. Chapter 881, Claims (Navy and Marine Corps);
10 U.S.C. Chapter 981, Military Claims (Air Force); 10 U.S.C. Chapter
55, Medical and Dental Care; 10 U.S.C. 2782, Damage to Real Property:
Disposition of Amounts Recovered; 28 U.S.C. 514, Legal Services on
Pending
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Claims in Departments and Agencies; 28 U.S.C. Chapter 161, United
States as Party Generally; 28 U.S.C. Chapter 163, Fines, Penalties, and
Forfeitures; 28 U.S.C. Chapter 171, Tort Claims Procedure; 28 U.S.C.
Chapter 176, Federal Debt Collection Procedure; 28 U.S.C. 1498, Patent
and Copyright Cases; 28 U.S.C. 2672, Administrative Adjustment of
Claims; 31 U.S.C. Chapter 37, Claims; 31 U.S.C. Chapter 33, Subchapter
II, Payments; 32 U.S.C. 715, Property loss; personal injury or death:
activities under certain sections of this title; 32 U.S.C. 716, Claims
for overpayment of pay and allowances, and travel and transportation
allowances; 42 U.S.C. Chapter 32, Third Party Liability for Hospital
and Medical Care; Department of Defense Directive 5515.09, Settlement
of Tort Claims; 32 CFR part 281, Settling Personnel and General Claims
and Processing Advance Decision Requests; 32 CFR part 282, Procedures
for Settling Personnel and General Claims and Processing Advance
Decision Requests; 32 CFR part 752, Admiralty Claims; Department of
Defense Instruction 1340.21, Procedures for Settling Personnel and
General Claims and Processing Advance Decision Requests; and E.O. 9397
(SSN), as amended.
PURPOSE(S) OF THE SYSTEM:
A. To process claims against or by DoD from notice through
investigation, adjudication, and decision;
B. To determine validity, timeliness, appropriate legal authority
and assignment of responsibility within the DoD Components to accept or
deny claims.
C. To collect, maintain and preserve information associated with a
claim for the processing and adjudication of the case.
D. To identify, recover, and/or collect funds or property deemed by
an authorized official as appropriate compensation for claims made on
behalf of the DoD (or DoD Component).
E. To conduct oversight and audit activities, to include budgeting,
and management of claims and to support statistical analysis to include
evaluating claims program effectiveness and conducting research.
F. To support and assist the Department of Justice when
representing the DoD, resulting from a claim referred to litigation.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All individuals who file claims against or on behalf of the DoD or
a component of the DoD, or non-DoD component by agreement with the
Department, including uniformed Service members and their family
members, civilian personnel, non-appropriated fund employees and the
DoD personnel employed or assigned outside of the contiguous United
States hires, also known as local national employees, contractors, and
members of the public. Individuals against whom DoD has filed a claim
or taken other action to collect a debt owed by the individual to the
DoD. The records may also contain information about other individuals
who are not covered by the system of records, such as witnesses and
third parties who may have information relevant to a claim; attorneys,
legal personnel, and other representatives; or others with relevant
information.
Note: This system of records also applies to the Coast Guard when
it is not operating as a Service in the Navy under agreement with the
Department of Homeland Security, the Commissioned Corps of the Public
Health Service (PHS) under agreement with the Department of Health and
Human Services, and the National Oceanic and Atmospheric Administration
(NOAA) under agreement with the Department of Commerce (hereafter
referred to collectively as ``the non-DoD Components'').
CATEGORIES OF RECORDS IN THE SYSTEM:
A. Personal Information such as: name, DoD ID number; employee ID
number; Social Security number; date of birth; physical and email
addresses; phone numbers; place of birth; citizenships; medical
information/medical records; driver's license number; vehicle
registration information; biographical data; financial and property
information; and insurance information.
B. Employment Information such as: position/title, rank/grade, duty
station; work address, email; military service records, pay and
official travel records, and personnel records.
C. Information relevant to the claim such as: evidentiary data in
any form (including papers, photographs, electronic recordings,
electronic data, or video records), pleadings, legal findings
(sentencing reports, court motions, hearing or court transcripts),
correspondence, filings, and supporting documents; forms, evidentiary
data, investigatory data from adverse actions or administrative
actions; statements; investigative reports; and publicly available
information.
RECORD SOURCE CATEGORIES:
Records and information stored in this system of records are
obtained from:
A. Claimants and their representatives.
B. Witnesses and other organizations or individuals who may have
information relevant to a claim.
C. Records from information systems under control of DoD Components
(or Non-DoD Components by agreement).
D. Other record sources may include governmental entities (such as
federal, state, local or foreign); law enforcement agencies; medical
treatment facilities; and relevant records and reports in the
Department of Defense; and publicly available information.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act of 1974, as amended, all or a portion of the
records or information contained herein may specifically be disclosed
outside the DoD as a Routine Use pursuant to 5 U.S.C. 552a(b)(3) as
follows:
A. To contractors, grantees, experts, consultants, students, and
others performing or working on a contract, service, grant, cooperative
agreement, or other assignment for the federal government when
necessary to accomplish an agency function related to this system of
records.
B. To the appropriate Federal, State, local, territorial, tribal,
foreign, or international law enforcement authority or other
appropriate entity where a record, either alone or in conjunction with
other information, indicates a violation or potential violation of law,
whether criminal, civil, or regulatory in nature.
C. To any component of the Department of Justice for the purpose of
representing the DoD, or its components, officers, employees, or
members in pending or potential litigation to which the record is
pertinent.
D. In an appropriate proceeding before a court, grand jury, or
administrative or adjudicative body or official, when the DoD or other
Agency representing the DoD determines that the records are relevant
and necessary to the proceeding; or in an appropriate proceeding before
an administrative or adjudicative body when the adjudicator determines
the records to be relevant to the proceeding.
E. To the National Archives and Records Administration for the
purpose of records management inspections conducted under the authority
of 44 U.S.C. 2904 and 2906.
F. To a Member of Congress or staff acting upon the Member's behalf
when
[[Page 25387]]
the Member or staff requests the information on behalf of, and at the
request of, the individual who is the subject of the record.
G. To appropriate agencies, entities, and persons when (1) the DoD
suspects or confirms a breach of the system of records; (2) the DoD
determines as a result of the suspected or confirmed breach there is a
risk of harm to individuals, the DoD (including its information
systems, programs, and operations), the Federal Government, or national
security; and (3) the disclosure made to such agencies, entities, and
persons is reasonably necessary to assist in connection with the DoD's
efforts to respond to the suspected or confirmed breach or to prevent,
minimize, or remedy such harm.
H. To another Federal agency or Federal entity, when the DoD
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
I. To another Federal, State or local agency for the purpose of
comparing to the agency's system of records or to non-Federal records,
in coordination with an Office of Inspector General in conducting an
audit, investigation, inspection evaluation, or other review as
authorized by the Inspector General Act of 1987, amended.
J. To such recipients and under such circumstances and procedures
as are mandated by Federal statute, treaty, or international agreement.
K. To government contractors to evaluate, defend or settle actual
or prospective claims filed against them, including recovery actions,
arising out of the performance of a government contract.
L. To the Department of State or Department of Justice to evaluate,
defend or settle an actual or prospective claim arising under the North
Atlantic Treaty Organization (NATO) Status of Forces Agreement (SOFA);
agreements supplemental to the NATO SOFA; and other international
agreements with countries not covered by the NATO SOFA.
M. To foreign governments for use in negotiations or settlements of
actual or prospective claims under the NATO SOFA or similar
international agreements.
N. To private insurers regarding disposition of the relevant claim.
O. To the Internal Revenue Service for tax purposes from settlement
of claims and transfer of payment to or from the Department of Defense.
P. To State and local taxing authorities, with which the Secretary
of the Treasury has entered into agreements under 5 U.S.C. 5516, 5517,
or 5520, to report taxable income.
Q. To financial institutions for the purpose of transferring claim
payments to or from the Department of Defense.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records may be stored electronically or on paper in secure
facilities in a locked drawer behind a locked door. Electronic records
may be stored locally on digital media; in agency-owned cloud
environments; or in vendor Cloud Service Offerings certified under the
Federal Risk and Authorization Management Program (FedRAMP).
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records may be retrieved by an identifier or other criteria unique
to the individual, such as the individual's name, and/or employee
identification number. Information may be retrieved by Social Security
number if the underlying system has been approved to do so in
accordance with Department policy.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records concerning administrative claims by or against the United
States are destroyed 7 years after final action, but longer retention
is authorized if required for business use.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The DoD safeguards records in this system of records according to
applicable rules, policies, and procedures, including all applicable
DoD automated systems security and access policies. DoD policies
require the use of controls to minimize the risk of compromise of
personally identifiable information (PII) in paper and electronic form
and to enforce access by those with a need to know and with appropriate
clearances. Additionally, the DoD has established security audit and
accountability policies and procedures which support the safeguarding
of PII and detection of potential PII incidents. The DoD routinely
employs safeguards such as the following to information systems and
paper recordkeeping systems: Multifactor log-in authentication
including Common Access Card (CAC) authentication and password;
physical token as required; physical and technological access controls
governing access to data; network encryption to protect data
transmitted over the network; disk encryption securing disks storing
data; key management services to safeguard encryption keys; masking of
sensitive data as practicable; mandatory information assurance and
privacy training for individuals who will have access; identification,
marking, and safeguarding of PII; physical access safeguards including
multifactor identification physical access controls, detection and
electronic alert systems for access to servers and other network
infrastructure; and electronic intrusion detection systems in DoD
facilities.
RECORD ACCESS PROCEDURES:
Individuals seeking access to their records should follow the
procedures in 32 CFR part 310. Individuals should address written
inquiries to the DoD component with oversight of the records, as the
component has Privacy Act responsibilities concerning access,
amendment, and disclosure of the records within this system of records.
The public may identify the contact information for the appropriate DoD
office through the following website: www.FOIA.gov. Signed written
requests should contain the name and number of this system of records
notice along with the full name, current address, and email address of
the individual. In addition, the requester must provide either a
notarized statement or an unsworn declaration made in accordance with
28 U.S.C. 1746, in the appropriate format:
If executed outside the United States: ``I declare (or certify,
verify, or state) under penalty of perjury under the laws of the United
States of America that the foregoing is true and correct. Executed on
(date). (Signature).''
If executed within the United States, its territories, possessions,
or commonwealths: ``I declare (or certify, verify, or state) under
penalty of perjury that the foregoing is true and correct. Executed on
(date). (Signature).''
CONTESTING RECORD PROCEDURES:
Individuals seeking to amend or correct the content of records
about them should follow the procedures in 32 CFR part 310.
NOTIFICATION PROCEDURES:
Individuals seeking to determine whether information about
themselves is contained in this system of records should follow the
instructions for Record Access Procedures above.
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EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
None.
[FR Doc. 2023-08752 Filed 4-25-23; 8:45 am]
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