[Federal Register Volume 88, Number 190 (Tuesday, October 3, 2023)]
[Notices]
[Pages 68114-68117]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-21863]
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DEPARTMENT OF DEFENSE
Office of the Secretary
[Docket ID: DoD-2023-OS-0094]
Privacy Act of 1974; System of Records
AGENCY: Department of Defense (DoD).
ACTION: Notice of a modified system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the DoD is
modifying and reissuing a current system of records re-titled,
``Privacy and Civil Liberties Complaints and General Correspondence
Records,'' DoD-0017. This system of records covers DoD's maintenance of
records about privacy or civil liberties-related complaints or
correspondence submitted to DoD privacy and civil liberties offices and
is being modified to expressly cover general correspondence and
reporting from DoD- and U.S. Government-affiliated personnel and the
public on a variety of matters. In addition, a routine use relating to
national security, homeland security, counterintelligence, and
scientific study is being added.
DATES: This system of records is effective upon publication; however,
comments on the Routine Uses will be accepted on or before November 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, Defense 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
The newly renamed DoD system of records Privacy and Civil Liberties
Complaints and General Correspondence Records, DoD-0017, is being
modified to expressly cover general correspondence from DoD- and
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U.S. Government-affiliated personnel and the public.
This system of records supports the receipt, review, processing,
tracking, and response to correspondence. The term ``correspondence''
includes records managed by a DoD Privacy and Civil Liberties Office
that may include news, information, opinions, questions, concerns,
issues, or general complaints, as well as any associated case files. As
modified, this system will also expressly encompass general
correspondence and reporting from DoD- and other U.S. Government-
affiliated personnel and the public, including correspondence to DoD
and its components expressing opinions or complaints, raising questions
or concerns, or providing information or reporting on DoD programs and
activities. The system consists of both electronic and paper records.
Subject to public comment, the DoD is also updating this SORN to
add routine use L, which permits disclosures to appropriate Federal,
State, local, territorial, tribal, foreign, and international agencies
for purposes of scientific study or counterintelligence, and for
executing and enforcing laws designed to protect the national security
and homeland security of the United States and its Allies.
Additionally, the following sections of this SORN are being modified as
follows: (1) the System Manager(s), to add DoD Component Public Affairs
Offices and DoD component offices responsible for maintaining general
correspondence records as system managers; (2) the Authority for
Maintenance of the System, to add an additional authority; (3) Purpose
of the System, to add the management of general correspondence and
reporting; (4) Categories of Individuals Covered by the System, to
expand coverage to individuals who submit correspondence; (5)
Categories of Records in the System, to include general correspondence
and reports; (6) Record Source Categories, to add DoD- and U.S.
Government-affiliated personnel and members of the public who provide
correspondence and reporting to DoD; and (7) Policies and Practices for
Retention and Disposal of Records to update the description of records
retention and disposal schedules.
DoD SORNs have been published in the Federal Register and are
available from the address in FOR FURTHER INFORMATION CONTACT or at the
Defense Privacy, Civil Liberties, and Transparency Division 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: September 28, 2023.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
SYSTEM NAME AND NUMBER:
Privacy and Civil Liberties Complaints and General Correspondence
Records, DoD-0017
SECURITY CLASSIFICATION:
Unclassified; 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):
A. Director, Privacy and Civil Liberties Directorate, Office of the
Assistant to the Secretary of Defense for Privacy, Civil Liberties, and
Transparency, 4800 Mark Center Drive, Mailbox #24, Alexandria, VA
22350-1700; [email protected]; phone (703) 571-0070.
B. At DoD components, the system manager is the component privacy
and civil liberties officer(s) responsible for maintaining privacy and
civil liberties complaints and correspondence. The contact information
for DoD component privacy and civil liberties offices is found at this
website: https://dpcld.defense.gov/Privacy/Privacy-Contacts/.
C. Director, Community Engagement, Office of the Assistant to the
Secretary of Defense for Public Affairs, 1400 Defense Pentagon,
Washington, DC 20301-1400; [email protected]; phone (703)
571-3343.
D. Public Affairs officers assigned to components throughout the
Department and other DoD component offices responsible for maintaining
general correspondence records. Their addresses will vary according to
the location where the actions in this notice are conducted.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
10 U.S.C. 113, Secretary of Defense; 42 U.S.C 2000ee-1, Privacy and
Civil Liberties Officers; 32 CFR part 310, and Executive Order 9397
(SSN), as amended. See also: DoD Privacy Program; DoD Instruction
5400.11, DoD Privacy and Civil Liberties Programs; and DoD Directive
5122.05, Assistant to the Secretary of Defense for Public Affairs
(ATSD(PA)).
PURPOSE(S) OF THE SYSTEM:
A. To manage privacy and civil liberties complaints and
correspondence received by or referred to DoD privacy and civil
liberties offices, including those within DoD and Office of the
Secretary of Defense (OSD) components.
B. To manage general correspondence from DoD- and U.S. Government-
affiliated personnel or members of the public to DoD and DoD
components, including correspondence or reports expressing opinions or
complaints, raising questions or concerns, or providing information or
reporting on DoD programs and activities.
C. To track and report data, conduct research and statistical
analysis, and evaluate program effectiveness.
D. To maintain records for oversight and auditing purposes and to
ensure appropriate handling and management as required by law and
policy.
Note 1: Complaints received through the process for which
established formal procedural avenues exist, such as those resulting
in non-judicial punishments, military courts-martial, administrative
separations, and Equal Employment Opportunity actions, are outside
the scope of this SORN.
Note 2: Civil Liberties complaints may be referred to the DoD
Office of Inspector General (DoDIG) for handling under the Inspector
General Act of 1978, as amended. The OIG decides whether it will
pursue the case, or decline to investigate it and refer it back to
the component privacy and civil liberties office, for appropriate
action. Any resulting DoDIG complaint records are excluded from this
system of records.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
A. Individuals who submit correspondence or complaints to DoD
privacy and civil liberties offices, either directly or by authorized
representatives, or whose
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correspondence or complaints are referred to such offices.
B. Individuals, including members of the public and DoD- or U.S.
Government-affiliated personnel, who submit general correspondence or
report information to DoD or its components, including correspondence
expressing opinions or complaints, raising questions or concerns, or
providing information or reporting on DoD programs and activities.
CATEGORIES OF RECORDS IN THE SYSTEM:
A. Correspondence and reporting records, to include records managed
by a privacy and civil liberties office that may include news,
information, opinions, questions, concerns, issues, or complaints, as
well as any associated records received from individuals, either
directly or through authorized representatives.
B. Records of general correspondence, including correspondence or
reports that express opinions or complaints, raise questions or
concerns, or provide information or reporting on DoD programs and
activities. Such records include general correspondence managed by
public affairs or other offices that may include news, information,
opinions, questions, concerns, issues, or complaints. Such records
include associated records provided by individuals, either directly or
through authorized representatives.
C. Records provided by individuals may include data such as the
individual's name, unique identifying numbers (such as the individual's
DoD ID Number or Social Security Number), contact information (address,
phone, email), other identifying information, detailed description of
the issue or concern and how it pertains to DoD, dates, component,
command and/or office, supporting materials, and any case or complaint
number assigned by DoD. The records may also include information
concerning those who are alleged to have violated an individual's
privacy or civil liberties.
D. Records or reports created or compiled in response to the
correspondence, such as internal memorandums or email, internal records
pertinent to the matter, witness statements, consultations with or
referrals to other agencies within or external to DoD, and responses
sent to the individual. The specific types of data in these records may
vary widely depending on the nature of the individual's correspondence,
report, or complaint.
RECORD SOURCE CATEGORIES:
Records and information maintained in this system of records are
obtained from the individuals or their authorized representatives
including:
A. DoD privacy and civil liberties personnel, DoD investigators.
B. DoD- and U.S. Government affiliated personnel and members of the
public who provide correspondence or report information to DoD.
C. Any DoD personnel or recordkeeping system that may have
information on the subject of the correspondence, report, or complaint,
and other government sources.
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 use of such
record is deemed relevant and necessary.
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 and necessary 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 or treaty.
K. To an authorized appeal or grievance examiner, formal complaints
examiner, equal employment opportunity investigator, arbitrator, or
other duly authorized official engaged in investigation or settlement
of a grievance, complaint, or appeal filed by an employee.
L. To appropriate Federal, State, local, territorial, tribal,
foreign, or international agencies for the purpose of scientific study
or counterintelligence activities authorized by U.S. law or Executive
Order, or for the purpose of executing or enforcing laws designed to
protect the national security or homeland security of the United
States, including those relating to the sharing of records or
information concerning
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terrorism, homeland security, or law enforcement.
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 name and case number, or combination of
both.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained and disposed of in accordance with National
Archives and Records Administration General Records Schedules (GRS) or
authorized DoD Component Records Disposition Schedules. The retention
period for specific records may be obtained by contacting the system
manager for the Component. Privacy complaint records are typically
retained for three years after resolution or referral in accordance
with National Archives and Records Administration General Records
Schedule 4.2.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
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, 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.
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 or office with oversight of the records,
as the component or office has Privacy Act responsibilities concerning
access, amendment, and disclosure of the records within this system of
records. DoD components include the Military Departments of the Army,
Air Force (including the U.S. Space Force), and Navy (including the
U.S. Marine Corps), field operating agencies, major commands, field
commands, installations, and activities. 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 Records Access Procedures above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
The 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) pursuant to 5 U.S.C. 552a(k)(1). 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 original primary system(s) of records of which
they were a part, and claims any additional exemptions set forth here.
An exemption rule for this system has been promulgated in accordance
with requirements of 5 U.S.C. 553(b)(1), (2), and (3), (c), and
published in 32 CFR part 310.
HISTORY:
February 23, 2023, 88 FR 11412.
[FR Doc. 2023-21863 Filed 9-28-23; 4:15 pm]
BILLING CODE 5001-06-P