[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

[[Page 68115]]

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

[[Page 68116]]

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

[[Page 68117]]

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