Privacy Act of 1974; System of Records, 40498-40500 [2021-16054]

Agencies

• DEPARTMENT OF DEFENSE
• Office of the Secretary

[Federal Register Volume 86, Number 142 (Wednesday, July 28, 2021)]
[Notices]
[Pages 40498-40500]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-16054]


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DEPARTMENT OF DEFENSE

Office of the Secretary

[Docket ID: DoD-2021-OS-0076]


Privacy Act of 1974; System of Records

AGENCY: Department of Defense Human Resources Activity (DHRA), 
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, DoD is 
establishing a new system of records titled ``Survey Data and 
Assessment,'' DHRA 03. In alignment with the Office of People Analytics 
(OPA) strategic mission, the system provides key metrics to meet the 
requirement of the Under Secretary of Defense (Personnel and Readiness) 
Human Resources Strategic Plan. The system facilitates the development 
of key strategic indicators on personnel career plans, retention 
decisions, morals, and commitments, and historically provide the 
ability to evaluate the impact of policies and programs with regards to 
readiness and retention.

DATES: This system of records is effective upon publication; however, 
comments on the Routine Uses will be accepted on or before August 27, 
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 either 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. Jessica M. Levin, DHRA Component 
Privacy Officer, 4800 Mark Center Drive, Suite 08F05, Alexandria, VA 
22350; dodhra.mc-alex.dhra-hq.mb[email protected] or 571-372-1964.

SUPPLEMENTARY INFORMATION:

I. Background

    The Survey Data and Assessment, DHRA 03, system of records 
maintains data about individuals who completed DoD-sponsored survey 
questionnaires or participated in DoD-sponsored focus group data 
collections, including military members, military spouses, civilians, 
persons eligible for DoD benefits (including retirees), and Service 
Academy students. It also maintains data about individuals involved in 
market research studies, including men and women of military age, and 
applicants to the military services.
    This system of records uses this information to assess 
characteristics of DoD personnel and households to support manpower and 
benefits research; to assess DoD personnel attitudes, opinions, and or 
experiences related to social issues; and to assess attitudes toward 
joining the military and reasons for leaving. This information is used 
to provide the DoD with fast, accurate assessments of the attitudes and 
opinions of the entire DoD community in order to evaluate existing 
programs/policies, establish baseline measures before implementing new 
programs/policies, and monitor the progress of programs/policies and 
their effects on the total force.
    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/privacy.

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, DPCLTD has provided a report of this 
system of records to the OMB and to Congress.

    Dated: July 21, 2021.
Aaron T. Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.

SYSTEM NAME AND NUMBER:
    Survey Data and Assessment, DHRA 03.

[[Page 40499]]

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Department of Defense Human Resources Activity, 4800 Mark Center 
Drive, Alexandria, VA 22350; Defense Manpower Data Center, 400 Gigling 
Road, Seaside, CA 93944; Data Recognition Corporation (DRC), 3490 Bass 
Lake Rd., Maple Grove, MN 55311; and Fors Marsh Group, 1010 N Glebe 
Rd., Unit 51, Arlington, VA 22201.

SYSTEM MANAGER(S):
    Director, Office of People Analytics, 4800 Mark Center Drive, Suite 
06E25, Alexandria, VA 22350, [email protected], 571-372-0727.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    10 U.S.C. 136, Under Secretary of Defense for Personnel and 
Readiness; 10 U.S.C. 481, Racial and ethnic issues; gender issues: 
Surveys; 10 U.S.C. 503(a), Enlistments: Recruiting campaigns; 10 U.S.C. 
1782, Surveys of military families; 10 U.S.C. 2358, Research and 
development projects; Section 572 of Public Law 112-239, National 
Defense Authorization Act for Fiscal Year 2013, DoD Instruction (DoDI) 
1100.13, DoD Surveys; DoDI 1332.14, Enlisted Administrative 
Separations; DoDI 1332.30, Commissioned Officer Administrative 
Separations; DoDI 5505.18, Investigation of Adult Sexual Assault in the 
Department of Defense; DoDI 6945.02, Volume 1, Sexual Assault 
Prevention and Response (SAPR): Program Procedures.

PURPOSE(S) OF THE SYSTEM:
    To maintain information collected by DoD through surveys, focus 
groups, and other information collection methodologies, in order to (1) 
assess characteristics of DoD personnel and households to support 
manpower and benefits research; (2) assess DoD personnel attitudes, 
opinions, and/or experiences related to social issues; and (3) assess 
attitudes toward joining the military and reasons for leaving. This 
system of records supports the collection of fast, accurate assessments 
of the attitudes and opinions of the entire DoD community in order to 
evaluate existing programs/policies, establish baseline measures before 
implementing new programs/policies, and monitor progress of programs/
policies and their effects on the total force. The data is also used to 
support manpower research sponsored by DoD and the military services. 
Survey results provide direct feedback on key Departmental strategic 
indicators. These indicators provide primary data on personnel career 
plans, discrimination, sexual harassment/assault, suicide ideation, 
retention decisions, morale, and commitment, and historically provide 
the ability to evaluate the impact of policies and programs with regard 
to readiness and retention. The surveys also serve as benchmarks by 
which senior DoD officials can track trends over time.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who completed survey questionnaires or participated in 
focus group data collections, including Service members, Service member 
spouses, civilians, persons eligible for DoD benefits (including 
retirees), and Service Academy students; individuals involved in market 
research studies, including men and women of military age, and 
applicants to the military services.

CATEGORIES OF RECORDS IN THE SYSTEM:
    A. Individual's identifying and demographic data, such as name, 
gender, marital status, birth date, race/ethnicity, citizenship; 
contact information, such as personal/work address, email, and phone 
numbers; education information; employment information (military or 
civilian organization) such as rank, date of rank, date entered 
service, pay grade, title/occupational series, duty position; number 
and age of dependents; and unique survey ID number.
    B. Survey responses may also include: Attitudes and opinions on 
satisfaction with leadership, reasons to join the military, military 
way of life, use of programs and services, and experiences related to 
sexual harassment, sexual assault, race/ethic discrimination, hazing, 
bullying, and retaliation. Defense Equal Opportunity Climate Survey 
(DEOCS) survey results also include DoD ID Numbers.

RECORD SOURCE CATEGORIES:
    The survey information is provided by the individual. Additional 
data is obtained from the following DoD datasets: Active Duty Personnel 
Master File, Reserve Components Common Personnel Data System (RCCPDS), 
Active Duty Family File, Basic Allowance for Housing Population Edit 
Master File, Unit Identification Code (UIC) Address File, Defense 
Enrollment Eligibility Reporting System (DEERS) Point In Time Extract, 
DEERS Point In Time Medical Extract, DEERS Database Extract, and 
Contingency Tracking System Deployment File, Appropriated Fund Civilian 
Personnel Master Edit File, Civilian Pay File, Reserve Address File, 
Reserve Family File, Reserve Pay File, Non-Appropriated Funds Civilian 
File, Active Duty Pay File, and the Active Duty Service File.

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, the records contained 
herein may 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 
other 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 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

[[Page 40500]]

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 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 such recipients and under such circumstances and procedures 
as are mandated by Federal statute or treaty.
    J. To other Federal agencies in order to support manpower research 
sponsored by DoD and those agencies.

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. The records may be 
stored on magnetic disc, tape, or digital media; in agency-owned cloud 
environments; or in vendor Cloud Service Offerings certified under the 
Federal Risk and Authorization Management Program (FedRAMP). To 
maintain confidentiality of survey responses, DoD ID numbers or other 
direct identifiers are never stored in the same database as survey 
responses, but are maintained in bridge files with access only limited 
to a small number of Office of People Analytics staff.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records can be retrieved using an OPA survey bridge file that 
contains DoD ID Number and survey ID number. Each survey participant is 
assigned a survey ID number. Retrievals are only made in compliance 
with all privacy, human subject protections, and Confidentiality 
Certificates requirements.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    A. Master file, system documentation, codebooks, record layouts, 
and other system documentation. Permanent, cut off on completion of the 
report for the DoD office requiring the creation of the report. 
Transfer master file and system documentation to NARA at cutoff in 
accordance with standards of 36 CFR 1228.270 and 36 CFR 1234.
    B. Hard copy survey questionnaires (inputs/source records). 
Temporary. Destroy after computer records have been created and 
validated.
    C. Summary reports (electronic or paper). Temporary. Delete/destroy 
when no longer needed for operational purposes.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records are maintained in controlled areas accessible only to 
authorized personnel. Access to personal information is further 
restricted by the use of Common Access Card and user ID/passwords. 
Paper records are maintained in a controlled facility where physical 
entry is restricted by the use of locks, a card access control system, 
staffed reception areas, and cameras inside and outside which monitor 
all doors. Technical controls in place are user identification and 
passwords, Intrusion Detection System, encryption, firewalls, Virtual 
Private Networks, and Public Key Infrastructure Certificates. 
Administrative controls in place are periodic security audits, ensuring 
only authorized personnel have access to PII, encryption of backups 
containing sensitive data, and securing backups off-site. Additionally, 
to maintain confidentiality of survey responses, DoD ID numbers or 
other direct identifiers are never stored in the same database as 
survey responses, but are maintained in bridge files with access only 
limited to a small number of Office of People Analytics staff.

RECORD ACCESS PROCEDURES:
    Individuals seeking access their records should follow the 
procedures in 32 CFR part 310. Individuals should address written 
inquiries to the Office of the Secretary of Defense/Joint Staff, 
Freedom of Information Act Requester Service Center, Office of Freedom 
of Information, 1155 Defense Pentagon, Washington, DC 20301. Signed 
written request should contain individual's full name, DoD ID Number 
and current address and telephone number of the individual. In 
addition, the requester must provide a notarized statement or an 
unsworn declaration made in accordance with 28 U.S.C. 1746, in the 
following 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.

NOTIFICATION PROCEDURES:
    The DoD rules for accessing records, contesting contents, and 
appealing initial Component determinations are contained in 32 CFR part 
310, or may be obtained from the system manager.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    October 02, 2007, 72 FR 56062.

[FR Doc. 2021-16054 Filed 7-27-21; 8:45 am]
BILLING CODE 5001-06-P