[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

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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]
BILLING CODE 5001-06-P