[Federal Register Volume 88, Number 169 (Friday, September 1, 2023)]
[Notices]
[Pages 60442-60445]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-18682]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF DEFENSE

Office of the Secretary

[Docket ID: DoD-2023-OS-0075]


Privacy Act of 1974; System of Records

AGENCY: Department of Defense (DoD).

ACTION: Notice of a new system of records.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act of 1974, the DoD is 
establishing a new Department-wide system of records titled, 
``Information Technology Access and Audit Records,'' DoD-0019. This 
system of records covers DoD's maintenance of records related to 
requests for user access, attempts to access, granting of access, 
records of user actions for DoD information technology (IT) systems, 
and user agreements. This includes details of programs, databases, 
functions, and sites accessed and/or used, and the information products 
created, received, or altered during the use of IT systems. This new 
system of records will be included in the DoD's inventory of record 
systems.

DATES: This system of records is effective upon publication; however, 
comments on the Routine Uses will be accepted on or before October 2, 
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 ``Information Technology Access and Audit 
Records (ITAAR)'', DoD-0019, 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 
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 system is to control and track individual user 
access to and activity on networks, computer systems, applications, 
databases, or other digital technologies controlled by DoD Offices and 
Components. DoD may use the records in this system to investigate 
potential or alleged improper use or other improper activity by a 
system user, which may be a DoD employee, contractor, or other 
individual. Records from this system may be shared with or used by the 
appropriate investigative or cybersecurity organizations within the 
Office or Component with which the individual user is affiliated, other 
DoD

[[Page 60443]]

Components, and other agencies with investigative and cybersecurity 
authority. The records may also be used for statistical data and 
reporting purposes, to inform decisions concerning hardware or software 
upgrades, and communications technology requirements.
    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 Freedom of Information 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, DoD has provided a report of this 
system of records to the OMB and to Congress.

    Dated: August 24, 2023.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.

SYSTEM NAME AND NUMBER:
    Information Technology Access and Audit Records (ITAAR), DoD-0019.

SECURITY CLASSIFICATION:
    Unclassified and classified.

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), 6000 Defense 
Pentagon, Washington, DC 20301-6000.

SYSTEM MANAGER(S):
    The system managers are as follows:
    A. Principal Director for Resources, Department of Defense, Chief 
Information Officer, 6000 Defense Pentagon, Washington, DC 20301-6000, 
[email protected].
    B. To obtain information on the system managers at the Military 
Departments, Combatant Commands, Defense Agencies, Field Activities, or 
other DoD components 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:
    Public Law 113-283, The Federal Information Security Modernization 
Act of 2014, as amended (44 U.S.C. Chapter 35, Subch. II); 10 U.S.C. 
113, Secretary of Defense; 10 U.S.C. 142, Chief Information Officer; 5 
U.S.C. 301, Departmental Regulations; 10 U.S.C Section 164, Commanders 
of Combatant Commands: Assignment; Powers and Duties; 18 U.S.C. 1029, 
Fraud and Related Activity in Connection with Access Devices; 18 U.S.C. 
1030, Fraud and Related Activity in Connection with Computers; Section 
922 of the National Defense Authorization Act for FY 2012 (Pub. L. 112-
81), ``Insider Threat Detection''; Executive Order (E.O.) 10450, 
Security Requirements for Government Employees, as amended; E.O. 14028, 
Improving the Nation's Cybersecurity; E.O. 13526, ``Classified National 
Security Information''; E.O. 13587, ``Structural Reforms To Improve the 
Security of Classified Networks and the Responsible Sharing and 
Safeguarding of Classified Information''; DoD Directive 5205.16, ``The 
DoD Insider Threat Program''; DoD Instruction (DoDI) 8500.01, 
``Cybersecurity,''; DoDI 8530.01, ``Cybersecurity Activities Support to 
DoD Information Network Operations,'' and E.O. 9397 (SSN), as amended.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to:
    A. Control and to track individuals' access to and use of 
classified and unclassified DoD networks, information systems, devices, 
applications, databases, and other digital technologies (collectively, 
technologies) controlled by DoD Offices and Components; ensure the 
ongoing confidentiality, availability, and integrity of DoD 
technologies and data; ensure no conflicts of interest defend DoD 
technologies and data from adverse actors; and detect and report 
threats or vulnerabilities;
    B. Review DoD-funded award applicants'/recipients' information to 
monitor individual user compliance with applicable Terms of Use;
    C. Maintain information necessary to support investigations into or 
adverse actions resulting from alleged or possible improper use or 
other improper activity by an employee, contractor or other individual 
relating to use or access to DoD Office, Component and common 
technologies and data;
    D. Refer record(s) that appear to indicate a violation or potential 
violation of law to the appropriate disciplinary, law enforcement, 
intelligence, counterintelligence, security or cybersecurity 
organization within or outside of DoD for investigation or other 
action;
    E. Using statistical data from this system: assess system or 
network efficiency; calculate workloads; make business decisions 
regarding upgrading hardware, software, and communications technology 
to meet changing use requirements; and
    F. Generate reports related to the purposes above.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Civilian and military personnel, contractor employees, and other 
individuals who request or are granted access to DoD Office, Component, 
and common technologies and data.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include:
    A. Access Request Records: Records created as part of the process 
of determining user eligibility and need for access to specific 
technologies, such as requests for access to DoD Office, Component, and 
common technologies and data; grants or denials of such requests; 
justifications and other information supporting requests for access; 
and records documenting the suspension or revocation of access for 
misuse, non-use, or other reasons.
    B. Identity records: Identifying, status, and contact information 
about the individual, such as the individual's name, date of birth, DoD 
identification (ID) Number/Electronic Data Exchange Personal Identifier 
(EDIPI), citizenship, work addresses and telephone numbers, office 
symbol, computer and Voice Over Internet Protocol (VOIP) logon 
addresses, contractor/employee status, verification of need-to-know, 
training status, and security clearance data.
    C. System Access Records: Records created as part of the user 
identification and authorization process to gain access to systems, 
such as user agreements; user profiles; login files; password files; 
audit trail files and extracts; system usage files; and cost-back files 
used to assess charges for system use.
    D. email addresses.
    E. Internet Protocol (IP) addresses.
    F. Machine Access Control (MAC) addresses.
    G. Audit trails of user activities.
    H. Technical support data.
    I. Telework status, activity, and location (e.g., city/state).
    J. Contractors: information may also include company name, contract 
number, contract value, and contract expiration date.

[[Page 60444]]

    K. Funding award holders: information may also include name, email, 
digital persistent identifier, grant or award number, funding value, 
and award expiration date.

RECORD SOURCE CATEGORIES:
    Typically, information in the record is originally supplied by the 
record subject, their supervisors, and personnel security staff. Some 
data, such as user identification codes, are assigned or supplied by 
the Information Technology staff. Details about system access and use 
are typically supplied by the Information Technology system, which 
includes applications, networks, and databases.

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 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 1978, as amended.
    J. To such recipients and under such circumstances and procedures 
as are mandated by Federal statute, treaty, or other international 
agreement.
    K. To Federal, state, or local agencies or professional 
organizations or associations, maintaining civil, criminal, or other 
relevant enforcement information or other pertinent information, such 
as current licenses, or administrative or disciplinary information, or 
disciplinary records related to suspended or revoked licenses, if 
necessary to obtain information relevant to a DoD component or agency 
decision concerning the hiring or retention of an employee, the 
issuance of a security clearance, the letting of a contract, or the 
issuance of a license, grant, or other benefit.
    L. To a Federal agency, in response to its request, in connection 
with the hiring or retention of an employee, the issuance of a security 
clearance, the reporting of an investigation of an employee, the 
letting of a contract, or the issuance of a license, grant, funding 
awards, or other benefit by the requesting agency, to the extent that 
the information is relevant and necessary to the requesting agency's 
decision on the matter.
    M. To foreign law enforcement, security, investigatory, or 
administrative authorities to comply with requirements imposed by, or 
to claim rights conferred in, international agreements and arrangements 
including those regulating the stationing and status in foreign 
countries of DoD military and civilian personnel.
    N. To foreign or non-DoD law enforcement for the purpose of 
counterintelligence activities authorized by U.S. Law or Executive 
Order or for the purpose of enforcing laws which protect the national 
security of the United States.

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 individual's name, DoD ID number/EDIPI, 
digital persistent identifier, or date of action. In some instances, 
records may be retrieved by other identifiers assigned by the DoD 
Office or Component.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    User identification records generated according to preset 
requirements are retained in accordance with General Records Schedule 
(GRS) 3.2, Item 30. Records may be destroyed when no longer needed for 
business use.
    User identification records associated with systems that are highly 
sensitive or potentially vulnerable are retained in accordance with GRS 
3.2, Item 31. Records may be destroyed 6 years after the password is 
altered or the user account is terminated. These records may be 
retained longer if required for business use.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    DoD safeguards records in this system of records according to 
applicable rules,

[[Page 60445]]

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, DoD has established security audit and accountability 
policies and procedures which support the safeguarding of PII and 
detection of potential PII incidents. 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. Contractor personnel 
must pass a background investigation and receive a security clearance. 
Contractors must also sign nondisclosure documents.

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 
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.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    DoD has exempted records maintained in this system from 5 U.S.C. 
552a(c)(3); (d)(1), (2), (3), and (4); (e)(1), (e)(4)(G), (H), and (I); 
and (f) of the Privacy Act, pursuant to 5 U.S.C. 552a(k)(1) and (k2). 
In addition, when exempt records received from other systems of records 
become part of this system, the DoD also claims the same exemptions for 
those records that are claimed for the system(s) of records from which 
they originated and claims any additional exemptions set forth here. An 
exemption rule for this system has been promulgated in accordance with 
the requirements of 5 U.S.C. 553(b)(1), (2), and (3), and (c), and 
published in 32 CFR part 310.

HISTORY:
    None.

[FR Doc. 2023-18682 Filed 8-31-23; 8:45 am]
BILLING CODE 5001-06-P