Privacy Act of 1974; System of Records, 28086-28090 [2021-10367]

Agencies

• DEPARTMENT OF DEFENSE

[Federal Register Volume 86, Number 99 (Tuesday, May 25, 2021)]
[Notices]
[Pages 28086-28090]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-10367]


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DEPARTMENT OF DEFENSE

[Docket ID: DoD-2021-OS-0003]


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 system of records covering all DoD components 
titled, ``Military Justice and Civilian Criminal Case Records,'' DoD 
0006. This system of records describes DoD's collection, use, and 
maintenance of records for the administration of the Uniform Code of 
Military Justice (UCMJ) and disciplinary cases under the authority of 
the DoD. These records include legal information and filings used to 
facilitate public access to the Department's court docket. This system 
of records also includes records created when DoD legal practitioners 
in support of the U.S. Department of Justice, prosecute in U.S. 
District Courts crimes that occurred on military installations or 
property. This system of records will apply enterprise-wide for the 
furtherance of good order and discipline. Individuals covered by this 
system of records includes armed forces members and others as 
identified in Article 2 of the UCMJ, as well as civilians who are 
alleged to have engaged in criminal acts on DoD installations and 
properties. Additionally, the DoD is issuing a Notice of Proposed 
Rulemaking, which proposes to exempt this system of records from 
certain provisions of the Privacy Act, elsewhere in today's issue of 
the Federal Register.

DATES: This new system of records is effective upon publication; 
however, comments on the Routine Uses will be accepted on or before 
June 24, 2021. 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: DoD cannot receive written comments at this time due to the 
COVID-19 pandemic. Comments should be sent electronically to the docket 
listed above.
    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. Lyn Kirby, Defense Privacy, Civil 
Liberties, and Transparency Division, Directorate for Oversight and 
Compliance, 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 ``Military Justice and Civilian Criminal Case Records'' system 
of records is being established as a DoD-wide Privacy Act system of 
records for use by all DoD offices and components. 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.
    In Section 5504 of the National Defense Authorization Act of 2017, 
Congress mandated the Secretary of Defense prescribe and implement 
uniform standards and criteria for the conduct of each of the following 
functions at all stages of the military justice system, including 
pretrial, trial, post-trial, and appellate processes: (1) Collection 
and analysis of data concerning substantive offenses and procedural 
matters in a manner that facilitates case management and decision 
making within the military justice system, and that enhances the 
quality of periodic reviews; (2) case processing and management; (3) 
timely, efficient, and accurate production and distribution of records 
of trial within the military justice system; and (4) facilitation of 
access to docket information, filings, and records, taking into 
consideration restrictions appropriate to judicial proceedings and 
military records. In response, the DoD has been modifying its 
information systems to implement uniform standards and criteria to 
allow for improved management and analysis of these military justice 
records and activities across the DoD. In association with this effort, 
this DoD-wide SORN also is being published to unify and standardize the 
management of this data in accordance with the Privacy Act of 1974.
    The purpose of this system of records is to support the collection, 
maintenance, use, and dissemination of

[[Page 28087]]

records compiled by the DoD for the adjudication and litigation of 
cases under the UCMJ, as well as criminal proceedings brought in U.S. 
District Courts for offenses occurring on DoD installations or 
property. This system will contain the information, records, and 
filings publicly accessible on the Department's court docket. It also 
supports the compilation of internal statistics and reports related to 
these activities.
    The DoD is issuing a Notice of Proposed Rulemaking to exempt this 
system of records from certain provisions of the Privacy Act elsewhere 
in today's issue of the Federal Register.
    The DoD SORNs have been published in the Federal Register and are 
available from the address in the FOR FURTHER INFORMATION CONTACT 
section 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, the DoD has provided a report of this 
system of records to the OMB and to Congress.

    Dated: May 12, 2021.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.

SYSTEM NAME AND NUMBER:
    ``Military Justice and Civilian Criminal Case Records,'' DoD 0006.

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):
    The system managers are the Judge Advocates Generals of the Army, 
Navy, Air Force and the Staff Judge Advocate General to the Commandant 
of the U.S. Marine Corps. Their addresses will vary according to the 
location where the actions described in this notice are conducted. The 
Privacy Act responsibilities concerning access, amendment, and 
disclosure of the records within this system of records have been 
delegated to the DoD components. 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. To 
contact the system manager at the DoD component with oversight of the 
records, go to www.FOIA.gov to locate the contact information for each 
component's Freedom of Information Act (FOIA) office.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    10 U.S.C. Chapter 47, Sec. Sec.  801-946a, Uniform Code of Military 
Justice (UCMJ); 10 U.S.C. 2683, Relinquishment of Legislative 
jurisdiction---minimum drinking age on military installations; 10 
U.S.C. 7037, Judge Advocate General, Deputy Judge Advocate General, and 
general officers of Judge Advocate General's Corps: appointment; 
duties; 10 U.S.C. 8046, Staff Judge Advocate to the Commandant of the 
Marine Corps; 10 U.S.C. 8088, Judge Advocate General's Corps: Office of 
the Judge Advocate General; Judge Advocate General; appointment, term, 
emoluments, duties; 10 U.S.C. 9037, Judge Advocate General, Deputy 
Judge Advocate General: Appointment and duties; 18 U.S.C. 13, Laws of 
States adopted for areas within Federal jurisdiction; 18 U.S.C. 3401, 
Misdemeanors; application of probation laws; 28 U.S.C. Chapter 43, 
United States Magistrate Judges; 28 U.S.C. 515, Authority for legal 
proceedings; commission, oath, and salary for special attorneys; 28 
U.S.C. 543, Special attorneys; 28 U.S.C. 636, Jurisdiction, powers, and 
temporary assignment; 28 U.S.C. 3008, Proceedings before United States 
magistrate judges; 40 U.S.C. 3112, Federal jurisdiction; 32 CFR 634.32, 
Traffic violation reports; 32 CFR 634.25, Installation traffic codes; 
Executive Order (E.O.) 11835, Prescribing Amendments to the Manual for 
Courts-Martial, United States, 1969 (Revised Edition); E.O. 12473, 
Manual for Courts-Martial, United States, 1984; E.O. 13825, 2018 
Amendments to the Manual for Courts-Martial, United States; and E.O. 
9397 (SSN), as amended.

PURPOSE(S) OF THE SYSTEM:
    a. To support adjudication and litigation by military judges, 
convening authorities, prosecutors, and defense counsel of disciplinary 
cases, hearings, courts-martial and adverse administrative actions 
under the UCMJ.
    b. To support litigation of civilian criminal cases before Federal 
magistrate judges for offenses conducted on DoD installations and 
property.
    c. To manage disciplinary case processes, reviews and appeals, from 
the complaint filing through adjudication, review, and when applicable, 
appeals; including tracking, managing, and storing case-related 
information and documents; facilitating case research and reporting; 
and creating statistics on key business functions and metrics.
    d. To facilitate the public access to docket information, filings, 
and hearings appropriate to UCMJ judicial proceedings as authorized by 
law and policy.
    e. To share information that supports the enforcement and 
administration of laws for individuals within the jurisdiction of the 
DoD, including violations of law occurring on and off military 
installations.
    f. To verify, validate, and report professional activities for 
attorneys, legal service professionals, and other professionals 
associated with legal proceedings, to licensing organizations as 
required, and to support the administration of background checks in 
support of employment and licensing of such personnel as authorized by 
law.
    g. To provide appropriate notification to victims in accordance 
with Federal victim protection laws.
    h. To identify and address conduct by DoD Service members that may 
warrant criminal or disciplinary action, and conduct by civilians on 
DoD military property; to uphold and enforce the law; and to ensure 
public safety.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals within the DoD's jurisdiction who are the subjects of 
current or previous law enforcement actions; adverse administrative 
actions under the UCMJ or Federal criminal code; investigations, and/or 
prosecutions. Victims, witnesses, informants, and third parties who may 
have knowledge of offenses under the UCMJ or other criminal activities. 
Attorneys, military judges, legal personnel, and DoD personnel involved 
in UCMJ and Federal criminal court functions (to include investigations 
and legal prosecutions).

[[Page 28088]]

    Note: DoD jurisdiction applies to individuals subject to the UCMJ 
(see 10 U.S.C. 802, Article 2, UCMJ). This system also extends to 
civilians who are alleged to have engaged in criminal acts on military 
installations or military property.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of Records within this system support prosecutors, 
defense counsel, military judges and legal personnel in the 
administration of the Uniform Code of Military Justice and in the 
prosecution of civilian criminal offenses, within the DoD's 
jurisdiction, litigated in coordination with the Department of Justice.
    a. Personal Information such as: Name and aliases; DoD ID number; 
Social Security Number; date of birth; physical, mailing, and email 
addresses; phone numbers; place of birth; citizenship/immigration 
status; race/ethnicity; medical information/medical records; biometric 
data; driver's license number; vehicle registration information; 
marital status; gender/gender identification; biographical data; 
property information.
    b. Employment Information such as: Position/title, rank/grade, duty 
station; work address, email address, supervisor's name and contact 
information; military records, personnel records, financial 
information, education and training records.
    c. Legal Information such as: Trial transcripts, records of trial, 
charge sheets, exhibits (e.g. documents and recordings attached to 
records of trial), evidentiary data in any form (including papers, 
photographs, electronic recordings, electronic data, or video records 
that were obtained, seized, or otherwise lawfully acquired from any 
source,) pleadings, sentencing reports, court motions, correspondence, 
filings, and supporting documents; forms, evidentiary data, supporting 
documents, investigatory data associated with non-judicial punishment 
under Article 15 of the UCMJ and adverse actions or administrative 
actions; victim and witness statements; notifications, recordings, and 
elections of victim rights and investigative data (including 
investigative findings and reports); criminal history; information 
received from other governmental agencies, confidential sources and 
other sources pertaining to an investigation, as well as investigatory 
referrals from other agencies, tips, and leads pertaining to potential 
criminal activities.

RECORD SOURCE CATEGORIES:
    The DoD may receive information in the course of the law 
enforcement activities described in this system of records from nearly 
any source. Sources of information include: Courts and tribunals, 
domestic and foreign governmental and quasi-governmental agencies and 
data systems, public records and other publicly available sources, 
commercial data aggregators, subjects of investigation, victims, 
witnesses, confidential sources, attorneys and other legal personnel, 
DoD employees participating in disciplinary functions, investigators, 
and law enforcement entities.

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 United States, 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 Department of Justice (including Offices of the United 
States Attorneys) or other federal agency conducting litigation or in 
proceedings before any court, adjudicative, or administrative body, 
when necessary to assist in the development of the DoD or such agency's 
legal and/or policy position.
    f. 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.
    g. 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.
    h. 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.
    i. 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.
    j. To such recipients and under such circumstances and procedures 
as are mandated by Federal statute or treaty.
    k. To a Federal, state, local, tribal, foreign, or international 
agency, where such agency has requested information relevant or 
necessary for the hiring or retention of an individual, or the issuance 
of a security clearance, license, contract, grant, or other benefit, or 
if necessary to obtain information relevant to a DoD decision 
concerning the hiring or retention of an individual, the issuance of a 
security clearance, license, contract, grant, or other benefit.
    l. To a public or professional licensing authority, organization, 
board, agency or society (to include a medical or legal professional 
society, organization, or licensing authority), if such information is 
needed to perform functions related to licensing or professional 
standards monitoring or compliance, or when the information indicates, 
either by itself or in combination with other information, a violation 
or potential violation of

[[Page 28089]]

professional standards, or reflects on the moral, educational, or 
professional qualifications of an individual who is licensed or who is 
seeking to become licensed.
    m. To foreign or international law enforcement, security, or 
investigatory 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 the Department of State when it requires information to 
consider and/or provide an informed response to a request for 
information from a foreign, international, or intergovernmental agency, 
authority, or organization about a pending legal action or prosecution 
with transnational implications.
    o. To unions recognized as exclusive bargaining representatives 
under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, the 
Merit Systems Protection Board, arbitrators, the Federal Labor 
Relations Authority, and other parties responsible for the 
administration of the Federal labor-management program for the purpose 
of processing any corrective actions, or grievances, or conducting 
administrative hearings or appeals.
    p. To the Merit Systems Protection Board and the Office of the 
Special Counsel for the purpose of litigation, including administrative 
proceedings, appeals, special studies of the civil service and other 
merit systems; review of Office of Personnel Management or component 
rules and regulations; investigation of alleged or possible prohibited 
personnel practices, including administrative proceedings involving any 
individual subject of a DoD investigation.
    q. 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 and only to those state and local taxing authorities for which 
an employee or Service member is or was subject to tax, regardless of 
whether tax is or was withheld. The information to be disclosed is 
information normally contained in Internal Revenue Service (IRS) Form 
W-27.
    r. To the Office of Personnel Management (OPM) for the purpose of 
addressing civilian pay and leave, benefits, retirement deduction, and 
any other information necessary for the OPM to carry out its legally 
authorized government-wide personnel management functions and studies.
    s. To the general public in order to provide access to docket 
information, filings, and records in compliance with Article 140a, UCMJ 
or other Federal statutes, and corresponding DoD or Service 
implementing guidance, regulations, or policies.
    t. To a confinement facility or prison, if confinement is adjudged, 
and the facility is outside the jurisdiction of the DoD.
    u. To the U.S. Department of Veterans Affairs (VA) to assist the 
Department in determining the individual's entitlement to benefits 
administered by the VA.
    v. To other Federal, State, tribal, and local government law 
enforcement and regulatory agencies and foreign governments, 
individuals and organizations during the course of an investigation or 
the processing of a matter, or during a proceeding within the purview 
of the local, state, federal or host-country specific laws, to elicit 
information required by the Department to carry out its functions and 
statutory mandates.

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:
    Individual's name, DoD ID number and/or SSN, or aliases.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are maintained and disposed in accordance with National 
Archives and Records Administration Schedules. The Military Departments 
retain records in accordance with their individual Records and 
Information Management retention schedules. The retention period may be 
obtained by contacting the system manager for the Military Department.

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, 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 CAC authentication and password; SIPR 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 address written 
inquiries to the DoD office with oversight of the records. The public 
may identify 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, 
identifier (i.e., DoD ID Number or Defense Benefits Number), date of 
birth, current address, and telephone number 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:
    The DoD rules for accessing records, contesting contents, and 
appealing initial agency determinations are contained in 32 CFR part 
310, or may be obtained from the appropriate system manager.

[[Page 28090]]

NOTIFICATION PROCEDURES:
    Individuals seeking to determine whether information about 
themselves is contained in this system should address written inquiries 
to the appropriate system mangers(s). Signed written requests should 
contain the full name, identifier (i.e. DoD ID Number or DoD Benefits 
Number), date of birth, and current address and telephone number 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).''

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    The DoD has exempted records maintained in this system from 5 
U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4); (e)(1), (2) (3), 
(4)(G)-(I), (5), and (8); and (g) of the Privacy Act, pursuant to 5 
U.S.C. 552a(k)(1), (k)(2) and (j)(2), as applicable. 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. 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 
prior systems of records from which they originated and claims any 
additional exemptions set forth here.

HISTORY:
    None.

[FR Doc. 2021-10367 Filed 5-24-21; 8:45 am]
BILLING CODE 5001-06-P