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Notice2023-03745

Privacy Act of 1974; System of Records

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Published
February 23, 2023

Issuing agencies

Defense Department

Abstract

In accordance with the Privacy Act of 1974, the DoD is establishing a new Department-wide system of records titled, "Privacy and Civil Liberties Complaints and 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. This system of records includes information provided by the individual authoring the correspondence or complaint. Additionally, DoD is issuing a Direct Final Rule to exempt this system of records from certain provisions of the Privacy Act, elsewhere in today's issue of the Federal Register.

Full Text

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<title>Federal Register, Volume 88 Issue 36 (Thursday, February 23, 2023)</title>
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[Federal Register Volume 88, Number 36 (Thursday, February 23, 2023)]
[Notices]
[Pages 11412-11414]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-03745]


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DEPARTMENT OF DEFENSE

Office of the Secretary

[Docket ID: DoD-2023-OS-0011]


Privacy Act of 1974; System of Records

AGENCY: Department of Defense (DoD).

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, ``Privacy 
and Civil Liberties Complaints and 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. This system of 
records includes information provided by the individual authoring the 
correspondence or complaint. Additionally, DoD is issuing a Direct 
Final Rule to exempt this system of records from certain provisions of 
the Privacy Act, elsewhere in today's issue of the Federal Register.

DATES: This system of records is effective upon publication; however, 
comments on the Routine Uses will be accepted on or before March 27, 
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:
    <bullet> Federal Rulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>. 
Follow the instructions for submitting comments.
    <bullet> 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 <a href="https://www.regulations.gov">https://www.regulations.gov</a> 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; <a href="/cdn-cgi/l/email-protection#cb84988fe58f9b88879f8f8ba6aaa2a7e5a6a2a7"><span class="__cf_email__" data-cfemail="226d71660c6672616e7666624f434b4e0c4f4b4e">[email&#160;protected]</span></a>; (703) 571-0070.

SUPPLEMENTARY INFORMATION:

I. Background

    DoD is establishing the Privacy and Civil Liberties Complaints and 
Correspondence Records, DoD-0017, 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.
    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. 
The system consists of both electronic and paper records.
    Additionally, DoD is issuing a Direct Final Rule elsewhere in 
today's issue of the Federal Register to exempt this system of records 
from certain provisions of the Privacy Act. 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 <a href="https://dpcld.defense.gov">https://dpcld.defense.gov</a>.

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: February 17, 2023.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.

SYSTEM NAME AND NUMBER:
    Privacy and Civil Liberties Complaints and 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. Chief, Defense Privacy, Civil Liberties, and Transparency 
Division, Office of the Secretary of Defense, 4800 Mark Center Drive, 
Mailbox #24, Alexandria, VA 22350-1700; <a href="/cdn-cgi/l/email-protection#5e110d1a701a0e1d120a1a1e333f373270333732"><span class="__cf_email__" data-cfemail="df908c9bf19b8f9c938b9b9fb2beb6b3f1b2b6b3">[email&#160;protected]</span></a>; phone 
(703) 571-0070.
    B. At DoD components, the system manager is the component privacy 
and civil liberties officer(s). The contact information for DoD 
component privacy and civil liberties offices is found at this website: 
<a href="https://dpcld.defense.gov/Privacy/Privacy-Contacts/">https://dpcld.defense.gov/Privacy/Privacy-Contacts/</a>.

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, DoD

[[Page 11413]]

Privacy Program; DoD Instruction 5400.11, DoD Privacy and Civil 
Liberties Programs; and Executive Order 9397 (SSN), as amended.

PURPOSE(S) OF THE SYSTEM:
    A. To manage general correspondence and privacy and civil liberties 
complaints 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 track and report data, conduct research and statistical 
analysis, and evaluate program effectiveness.
    C. To maintain records for oversight and auditing purposes and to 
ensure appropriate handling and management as required by law or 
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 records are excluded from this system of records.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who submit correspondence or complaints to DoD privacy 
and civil liberties offices, either directly or by authorized 
representatives, or whose correspondence or complaints are referred to 
such offices.

CATEGORIES OF RECORDS IN THE SYSTEM:
    A. Correspondence, 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. These records 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.
    B. Records 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 or 
complaint.

RECORD SOURCE CATEGORIES:
    Records and information maintained in this system of records are 
obtained from the individuals or their authorized representatives, DoD 
privacy and civil liberties personnel, DoD investigators, any DoD 
personnel or recordkeeping system that may have information on the 
subject of the correspondence 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 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 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.

[[Page 11414]]

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:
    Privacy complaint records are retained for three years after 
resolution or referral in accordance with National Archives and Records 
Administration General Records Schedule 4.2. The retention period for 
other records in this system may be obtained by contacting the system 
manager for the DoD component.

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 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: <a href="http://www.FOIA.gov">www.FOIA.gov</a>. 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:
    None.

[FR Doc. 2023-03745 Filed 2-22-23; 8:45 am]
BILLING CODE 5001-06-P


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