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[Federal Register Volume 78, Number 163 (Thursday, August 22, 2013)]
[Proposed Rules]
[Pages 52117-52123]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-20515]

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DEPARTMENT OF DEFENSE

Office of the Secretary

32 CFR Part 310

[Docket ID: DOD-2013-OS-0023]
RIN 0790-AJ03

DoD Privacy Program

AGENCY: Director of Administration and Management, DoD.

ACTION: Proposed rule; amendment.

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SUMMARY: This rule updates the established policies, guidance, and 
assigned responsibilities of the DoD Privacy Program pursuant to The 
Privacy Act and Office of Management and Budget (OMB) Circular No. A-
130; authorizes the Defense Privacy Board and the Defense Data 
Integrity Board; prescribes uniform procedures for implementation of 
and compliance with the DoD Privacy Program; and delegates authorities 
and responsibilities for the effective administration of the DoD 
Privacy Program.

DATES: Comments must be received by October 21, 2013.

ADDRESSES: You may submit comments, identified by docket number and/or 
RIN number and title, by any of the following methods:
     Federal Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Federal Docket Management System Office, 4800 Mark 
Center Drive,

[[Page 52118]]

East Tower, Suite 02G09, Alexandria VA 22350-3100.
    Instructions: All submissions received must include the agency name 
and docket number or Regulatory Information Number (RIN) 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 http://www.regulations.gov as they are received without change, including any 
personal identifiers or contact information.

FOR FURTHER INFORMATION CONTACT: Samuel P. Jenkins, 703-571-0070.

SUPPLEMENTARY INFORMATION:

Executive Summary

I. Purpose of the Regulatory Action

    a. The need for the regulatory action and how the action will meet 
that need.
    An individual's privacy is a fundamental legal right that must be 
respected and protected. This regulatory action ensures that DoD's need 
to collect, use, maintain, or disseminate personally identifiable 
information (PII) about individuals for purposes of discharging its 
statutory responsibilities will be balanced against their right to be 
protected against unwarranted privacy invasions. This regulatory action 
also describes the rules of conduct and responsibilities of DoD 
personnel DoD contractors, and DoD contractor personnel to ensure that 
any PII contained in a system of records that they access and use to 
conduct official business will be protected so that the security and 
confidentiality of the information is preserved.
    b. Succinct statement of legal authority for the regulatory action 
(explaining, in brief, the legal authority laid out later in the 
preamble).

    Authority:  5 U.S.C. 552a, OMB Circular No. A-130.

II. Summary of the Major Provisions of the Regulatory Action in 
Question

    This rule:
    a. Establishes rules of conduct for DoD personnel and DoD 
contractors involved in the design, development, operation, or 
maintenance of any system of records.
    b. Establishes appropriate administrative, technical, and physical 
safeguards to ensure the security and confidentiality of records and to 
protect against any anticipated threats or hazards to their security or 
integrity that could result in substantial harm, embarrassment, 
inconvenience, or unfairness to any individual about whom information 
is maintained.
    c. Ensures that guidance, assistance, and subject matter expert 
support are provided to the combatant command privacy officers in the 
implementation and execution of and compliance with the DoD Privacy 
Program.
    d. Ensures that laws, policies, procedures, and systems for 
protecting individual privacy rights are implemented throughout DoD.

III. Costs and Benefits

    This regulatory action imposes no monetary costs to the Agency or 
public. The benefit to the public is the accurate reflection of the 
Agency's Privacy Program to ensure that policies and procedures are 
known to the public. The revisions to this rule are part of DoD's 
retrospective plan under EO 13563 completed in August 2011. DoD's full 
plan can be accessed at http://exchange.regulations.gov/exchange/topic/eo-13563.

Executive Order 12866, ``Regulatory Planning and Review'' and Executive 
Order 13563, ``Improving Regulation and Regulatory Review''

    It has been certified that 32 CFR part 310 does not:
    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy; a section of the 
economy; productivity; competition; jobs; the environment; public 
health or safety; or State, local, or tribal governments or 
communities;
    (2) Create a serious inconsistency or otherwise interfere with an 
action taken or planned by another Agency;
    (3) Materially alter the budgetary impact of entitlements, grants, 
user fees, or loan programs, or the rights and obligations of 
recipients thereof; or
    (4) Raise novel legal or policy issues arising out of legal 
mandates, the President's priorities, or the principles set forth in 
these Executive Orders.

Section 202, Public Law 104-4, ``Unfunded Mandates Reform Act''

    It has been certified that 32 CFR part 310 does not contain a 
Federal mandate that may result in expenditure by State, local and 
tribal governments, in aggregate, or by the private sector, of $100 
million or more in any one year.

Public Law 96-354, ``Regulatory Flexibility Act'' (5 U.S.C. 601)

    It has been certified that 32 CFR part 310 is not subject to the 
Regulatory Flexibility Act (5 U.S.C. 601) because it would not, if 
promulgated, have a significant economic impact on a substantial number 
of small entities.

Public Law 96-511, ``Paperwork Reduction Act'' (44 U.S.C. Chapter 35)

    It has been certified that 32 CFR part 310 does not impose 
reporting or recordkeeping requirements under the Paperwork Reduction 
Act of 1995.

Executive Order 13132, ``Federalism''

    It has been certified that 32 CFR part 310 does not have federalism 
implications, as set forth in Executive Order 13132. This rule does not 
have substantial direct effects on:
    (1) The States;
    (2) The relationship between the National Government and the 
States; or
    (3) The distribution of power and responsibilities among the 
various levels of Government.

List of Subjects in 32 CFR Part 310

    Privacy.
    Accordingly 32 CFR part 310 is proposed to be amended to read as 
follows:

PART 310--[AMENDED]

0
1. The authority citation for 32 CFR part 310 is revised to read as 
follows:

    Authority:  5 U.S.C. 552a, OMB Circular No. A-130.

0
2. Section 310.2 is revised to read as follows:

Sec.  310.2  Purpose.

    This part:
    (a) Updates the established policies, guidance, and assigned 
responsibilities of the DoD Privacy Program pursuant to 5 U.S.C. 552a 
(also known and referred to in this part as ``The Privacy Act'') and 
Office of Management and Budget (OMB) Circular No. A-130.
    (b) Authorizes the Defense Privacy Board and the Defense Data 
Integrity Board.
    (c) Prescribes uniform procedures for implementation of and 
compliance with the DoD Privacy Program.
    (d) Delegates authorities and responsibilities for the effective 
administration of the DoD Privacy Program.

0
3. Section 310.3 is revised to read as follows:

Sec.  310.3  Applicability and scope.

    (a) This part applies to the Office of the Secretary of Defense 
(OSD), the Military Departments, the Office of the Chairman of the 
Joint Chiefs of Staff and the Joint Staff, the combatant commands, the 
Office of the Inspector General of the Department of Defense, the 
Defense Agencies, the DoD Field Activities, and all other 
organizational entities within the DoD (referred to

[[Page 52119]]

collectively in this part as the ``DoD Components'').
    (b) For the purposes of subsection (i), Criminal penalties, of The 
Privacy Act, any DoD contractor and any employee of such a contractor 
will be considered to be an employee of DoD when DoD provides by a 
contract for the operation by or on behalf of DoD of a system of 
records to accomplish a DoD function. DoD will, consistent with its 
authority, cause the requirements of section (m) of The Privacy Act to 
be applied to such systems.
0
4. Section 310.4 is revised to read as follows:

Sec.  310.4  Definitions.

    (a)Access. The review of a record or a copy of a record or parts 
thereof in a system of records by any individual.
    (b)Agency. For the purposes of disclosing records subject to the 
Privacy Act among the DoD Components, the Department of Defense is 
considered a single agency. For all other purposes to include requests 
for access and amendment, denial of access or amendment, appeals from 
denials, and record keeping as relating to release of records to non-
DoD Agencies, each DoD Component is considered an agency within the 
meaning of the Privacy Act.
    (c) Breach. A loss of control, compromise, unauthorized disclosure, 
unauthorized acquisition, unauthorized access, or any similar term 
referring to situations where persons other than authorized users and 
for an other than authorized purpose have access or potential access to 
personally identifiable information (PII), whether physical or 
electronic.
    (d)Computer matching. The computerized comparison of two or more 
automated systems of records or a system of records with non-federal 
records. Manual comparisons are not covered.
    (e) Confidential source. A person or organization who has furnished 
information to the Federal Government under an express promise, if made 
on or after September 27, 1975, that the person's or the organization's 
identity shall be held in confidence or under an implied promise of 
such confidentiality if this implied promise was made on or before 
September 26, 1975.
    (f) Disclosure. The information sharing or transfer of any PII from 
a system of records by any means of communication (such as oral, 
written, electronic, mechanical, or actual review) to any person, 
government agency, or private entity other than the subject of the 
record, the subject's designated agent, or the subject's legal 
guardian.
    (g) DoD contractor. Any individual or other legal entity that:
    (1) Directly or indirectly (e.g., through an affiliate) submits 
offers for or is awarded, or reasonably may be expected to submit 
offers for or be awarded, a government contract, including a contract 
for carriage under government or commercial bills of lading, or a 
subcontract under a government contract; or
    (2) Conducts business, or reasonably may be expected to conduct 
business, with the federal government as an agent or representative of 
another contractor.
    (h) DoD personnel. Service members and federal civilian employees.
    (i) Federal benefit program. A program administered or funded by 
the Federal Government, or by any agent or State on behalf of the 
Federal Government, providing cash or in-kind assistance in the form of 
payments, grants, loans, or loan guarantees to individuals.
    (j) Federal personnel. Officers and employees of the Government of 
the United States, members of the uniformed services (including members 
of the Reserve Components), individuals entitled to receive immediate 
or deferred retirement benefits under any retirement program of the 
United States (including survivor benefits).
    (k) Individual. A living person who is a U.S. citizen or an alien 
lawfully admitted for permanent residence. The parent of a minor or the 
legal guardian of any individual also may act on behalf of an 
individual, except as otherwise provided in this part. Members of the 
Military Services are ``individuals.'' Corporations, partnerships, sole 
proprietorships, professional groups, businesses, whether incorporated 
or unincorporated, and other commercial entities are not 
``individuals'' when acting in an entrepreneurial capacity with the 
DoD, but persons employed by such organizations or entities are 
``individuals'' when acting in a personal capacity (e.g., security 
clearances, entitlement to DoD privileges or benefits).
    (l) Individual access. Access to information pertaining to the 
individual by the individual or his or her designated agent or legal 
guardian.
    (m) Information sharing environment. Defined in Public Law 108-458, 
``The Intelligence Reform and Terrorism Prevention Act of 2004''.
    (n) Lost, stolen, or compromised information. Actual or possible 
loss of control, unauthorized disclosure, or unauthorized access of 
personal information where persons other than authorized users gain 
access or potential access to such information for an other than 
authorized purpose where one or more individuals will be adversely 
affected. Such incidents also are known as breaches.
    (o) Maintain. The collection, maintenance, use, or dissemination of 
records contained in a system of records.
    (p) Member of the public. Any individual or party acting in a 
private capacity to include Federal employees or military personnel.
    (q) Mixed system of records. Any system of records that contains 
information about individuals as defined by the Privacy Act and non-
U.S. citizens and/or aliens not lawfully admitted for permanent 
residence.
    (r) Non-Federal agency. Any state or local government, or agency 
thereof, which receives records contained in a system of records from a 
source agency for use in a computer matching program.
    (s) Official use. Within the context of this part, this term is 
used when officials and employees of a DoD Component have a 
demonstrated a need for the record or the information contained therein 
in the performance of their official duties, subject to DoD 5200.1-
R.\5\
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    \5\ See footnote 1 to Sec.  310.1.
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    (t) Personally identifiable information (PII). Information used to 
distinguish or trace an individual's identity, such as name, social 
security number, date and place of birth, mother's maiden name, 
biometric records, home phone numbers, other demographic, personnel, 
medical, and financial information. PII includes any information that 
is linked or linkable to a specified individual, alone, or when 
combined with other personal or identifying information. For purposes 
of this part, the term PII also includes personal information and 
information in identifiable form.
    (u) Privacy Act request. A request from an individual for 
notification as to the existence of, access to, or amendment of records 
pertaining to that individual. These records must be maintained in a 
system of records.
    (v) Protected health information (PHI). Defined in DoD 6025.18-R, 
``DoD Health Information Privacy Regulation'' (available at http://www.dtic.mil/whs/directives/corres/pdf/602518r.pdf).
    (w) Recipient agency. Any agency, or contractor thereof, receiving 
records contained in a system of records from a source agency for use 
in a computer matching program.
    (x) Record. Any item, collection, or grouping of information in any 
media (e.g., paper, electronic), about an individual that is maintained 
by a DoD

[[Page 52120]]

Component, including, but not limited to, education, financial 
transactions, medical history, criminal or employment history, and that 
contains the name, or identifying number, symbol, or other identifying 
particular assigned to the individual, such as a fingerprint, a voice 
print, or a photograph.
    (y) Risk assessment. An analysis considering information 
sensitivity, vulnerabilities, and cost in safeguarding personal 
information processed or stored in the facility or activity.
    (z) Routine use. The disclosure of a record outside the Department 
of Defense for a use that is compatible with the purpose for which the 
information was collected and maintained by the Department of Defense. 
The routine use must be included in the published system notice for the 
system of records involved.
    (aa) Source agency. Any agency which discloses records contained in 
a system of records to be used in a computer matching program, or any 
state or local government, or agency thereof, which discloses records 
to be used in a computer matching program.
    (bb) Statistical record. A record maintained only for statistical 
research or reporting purposes and not used in whole or in part in 
making determinations about specific individuals.
    (cc) System of records. A group of records under the control of a 
DoD Component from which PII is retrieved by the individual's name or 
by some identifying number, symbol, or other identifying particular 
uniquely assigned to an individual.
    (dd) System of records notice (SORN). A notice published in the 
Federal Register that constitutes official notification to the public 
of the existence of a system of records.
0
5. Section 310.5 is revised to read as follows:

Sec.  310.5  Policy.

    It is DoD policy that:
    (a) An individual's privacy is a fundamental legal right that must 
be respected and protected.
    (1) The DoD's need to collect, use, maintain, or disseminate (also 
known and referred to in this part as ``maintain'') PII about 
individuals for purposes of discharging its statutory responsibilities 
will be balanced against their right to be protected against 
unwarranted privacy invasions.
    (2) The DoD protects individual's rights, consistent with federal 
laws, regulations, and policies, when maintaining their PII.
    (3) DoD personnel and DoD contractors have an affirmative 
responsibility to protect an individual's privacy when maintaining his 
or her PII.
    (4) Consistent with section 1016(d) of Public Law 108-458 and 
section 1 of Executive Order 13388, ``Further Strengthening the Sharing 
of Terrorism Information to Protect Americans,'' the DoD will protect 
information privacy and provide other protections relating to civil 
liberties and legal rights in the development and use of the 
information sharing environment.
    (b) The DoD establishes rules of conduct for DoD personnel and DoD 
contractors involved in the design, development, operation, or 
maintenance of any system of records. DoD personnel and DoD contractors 
will be trained with respect to such rules and the requirements of this 
section and any other rules and procedures adopted pursuant to this 
section and the penalties for noncompliance. The DoD Rules of Conduct 
are established in Sec.  310.8.
    (c) DoD personnel and DoD contractors conduct themselves consistent 
with the established rules of conduct in Sec.  310.8, so that records 
maintained in a system of records will only be maintained as authorized 
by 5 U.S.C. 552a and this part.
    (d) DoD legislative, regulatory, or other policy proposals will be 
evaluated to ensure consistency with the information privacy 
requirements of this part.
    (e) Pursuant to The Privacy Act, no record will be maintained on 
how an individual exercises rights guaranteed by the First Amendment to 
the Constitution of the United States (referred to in this part as 
``the First Amendment''), except:
    (1) When specifically authorized by statute.
    (2) When expressly authorized by the individual that the record is 
about.
    (3) When the record is pertinent to and within the scope of an 
authorized law enforcement activity, including an authorized 
intelligence or administrative investigation.
    (f) Disclosure of records pertaining to an individual from a system 
of records is prohibited except with his or her consent or as otherwise 
authorized by 5 U.S.C. 552a and this part or 32 CFR part 286. When DoD 
Components make such disclosures, the individual may, to the extent 
authorized by 5 U.S.C. 552a and this part, obtain a description of such 
disclosures from the Component concerned.
    (g) Disclosure of records pertaining to personnel of the National 
Security Agency, the Defense Intelligence Agency, the National 
Reconnaissance Office, and the National Geospatial-Intelligence Agency 
is prohibited to the extent authorized by Public Law 86-36, ``National 
Security Agency-Officers and Employees'' and 10 U.S.C. 424. Disclosure 
of records pertaining to personnel of overseas, sensitive, or routinely 
deployable units is prohibited to the extent authorized by 10 U.S.C. 
130b.
    (h) The DoD establishes appropriate administrative, technical, and 
physical safeguards to ensure the security and confidentiality of 
records and to protect against any anticipated threats or hazards to 
their security or integrity that could result in substantial harm, 
embarrassment, inconvenience, or unfairness to any individual about 
whom information is maintained.
    (i) Disclosure of PHI will be consistent with DoD 6025.18-R.
    (j) All DoD personnel and DoD contractors will be provided training 
pursuant to 5 U.S.C. 552a and OMB Circular No. A-130.
    (k) PII collected, used, maintained, or disseminated will be:
    (1) Relevant and necessary to accomplish a lawful DoD purpose 
required by statute or Executive Order.
    (2) Collected to the greatest extent practicable directly from the 
individual. He or she will be informed as to why the information is 
being collected, the authority for collection, how it will be used, 
whether disclosure is mandatory or voluntary, and the consequences of 
not providing that information.
    (3) Relevant, timely, complete, and accurate for its intended use.
    (4) Protected using appropriate administrative, technical, and 
physical safeguards based on the media (e.g., paper, electronic) 
involved. Protection will ensure the security of the records and 
prevent compromise or misuse during maintenance, including working at 
authorized alternative worksites.
    (l) Individuals are permitted, to the extent authorized by 5 U.S.C. 
552a and this part, to:
    (1) Upon request by an individual, gain access to records or to any 
information pertaining to the individual which is contained in a system 
of records.
    (2) Obtain a copy of such records, in whole or in part.
    (3) Correct or amend such records once it has been determined that 
the records are not accurate, relevant, timely, or complete.
    (4) Appeal a denial for a request to access or a request to amend a 
record.
    (m) Non-U.S. citizens and aliens not lawfully admitted for 
permanent residence may request access to and

[[Page 52121]]

amendment of records pertaining to them; however, this part does not 
create or extend any right pursuant to The Privacy Act to them.
    (n) SORNs and notices of proposed or final rulemaking are published 
in the Federal Register (FR), and reports are submitted to Congress and 
OMB, in accordance with 5 U.S.C. 552a, OMB Circular No. A-130, and this 
part, DoD 8910.1-M, ``Department of Defense Procedures for Management 
of Information Requirements'' (available at http://www.dtic.mil/whs/directives/corres/pdf/891001m.pdf), and DoD Instruction 5545.02, ``DoD 
Policy for Congressional Authorization and Appropriations Reporting 
Requirements'' (available at http://www.dtic.mil/whs/directives/corres/pdf/554502p.pdf). Information about an individual maintained in a new 
system of records will not be collected until the required SORN 
publication and review requirements are satisfied.
    (o) All DoD personnel must make reasonable efforts to inform an 
individual, at their last known address, when any record about him or 
her is disclosed:
    (1) Due to a compulsory legal process.
    (2) In a manner that will become a matter of public record.
    (p) Individuals must be notified in a timely manner, consistent 
with the requirements of this part, if there is a breach of their PII.
    (q) At least 30 days prior to disclosure of information pursuant to 
subparagraph (e)(4)(D) (routine uses) of The Privacy Act, the DoD will 
publish an FR notice of any new use or intended use of the information 
in the system, and provide an opportunity for interested people to 
submit written data, views, or arguments to the agency.
    (r) Computer matching programs between the DoD Components and 
federal, state, or local governmental agencies are conducted in 
accordance with the requirements of 5 U.S.C. 552a, OMB Circular No. A-
130, and this part.
    (s) The DoD will publish in the FR notice any establishment or 
revision of a matching program at least 30 days prior to conducting 
such program of such establishment or revision if any DoD Component is 
a recipient agency or a source agency in a matching program with a non-
federal agency.

0
6. Revise Sec.  310.6 to read as follows:

Sec.  310.6  Responsibilities.

    (a) The Director of Administration and Management (DA&M):
    (1) Serves as the Senior Agency Official for Privacy (SAOP) for the 
DoD. These duties, in accordance with OMB Memorandum M-05-08, 
``Designation of Senior Agency Officials for Privacy'' (available at 
http://www.whitehouse.gov/sites/default/files/omb/assets/omb/memoranda/fy2005/m05-08.pdf), include:
    (i) Ensuring DoD implementation of information privacy protections, 
including full compliance with federal laws, regulations, and policies 
relating to information privacy.
    (ii) Overseeing, coordinating, and facilitating DoD privacy 
compliance efforts.
    (iii) Ensuring that DoD personnel and DoD contractors receive 
appropriate training and education programs regarding the information 
privacy laws, regulations, policies, and procedures governing DoD-
specific procedures for handling of PII.
    (2) Provides rules of conduct and policy for, and coordinates and 
oversees administration of, the DoD Privacy Program to ensure 
compliance with policies and procedures in 5 U.S.C. 552a and OMB 
Circular No. A-130.
    (3) Publishes this part and other guidance to ensure timely and 
uniform implementation of the DoD Privacy Program.
    (4) Serves as the chair of the Defense Privacy Board and the 
Defense Data Integrity Board.
    (5) As requested, ensures that guidance, assistance, and subject 
matter expert support are provided to the combatant command privacy 
officers in the implementation and execution of and compliance with the 
DoD Privacy Program.
    (6) Acts as The Privacy Act Access and Amendment appellate 
authority for OSD and the Office of the Chairman of the Joint Chiefs of 
Staff when an individual is denied access to or amendment of records 
pursuant to The Privacy Act and DoD Directive 5105.53, ``Director of 
Administration and Management (DA&M)'' (available at http://www.dtic.mil/whs/directives/corres/pdf/510553p.pdf).
    (b) The Director, Defense Privacy and Civil Liberties Office 
(DPCLO), under the authority, direction, and control of the DA&M:
    (1) Ensures that laws, policies, procedures, and systems for 
protecting individual privacy rights are implemented throughout DoD.
    (2) Oversees and provides strategic direction for the DoD Privacy 
Program.
    (3) Assists the DA&M in performing the responsibilities in 
paragraphs (a)(1) through (a)(6) of this section.
    (4) Reviews DoD legislative, regulatory, and other policy proposals 
that contain information privacy issues relating to how the DoD keeps 
its PII. These reviews must include any proposed legislation, 
testimony, and comments having privacy implications in accordance with 
DoD Directive 5500.01, ``Preparing, Processing, and Coordinating 
Legislation, Executive Orders, Proclamations, Views Letters, and 
Testimony'' (available at http://www.dtic.mil/whs/directives/corres/pdf/550001p.pdf).
    (5) Reviews proposed new, altered, and amended systems of records. 
Submits required SORNs for publication in the Federal Register (FR) 
and, when required, provides advance notification to OMB and Congress 
consistent with 5 U.S.C. 552a, OMB Circular No. A-130, and this part.
    (6) Reviews proposed DoD Component privacy exemption rules. Submits 
the exemption rules for publication in the FR, and submits reports to 
OMB and Congress consistent with 5 U.S.C. 552a, OMB Circular No. A-130, 
and this part.
    (7) Develops, coordinates, and maintains all DoD computer matching 
agreements. Submits required match notices for publication in the FR 
and provides advance notification to OMB and Congress consistent with 5 
U.S.C. 552a, OMB Circular No. A-130, and this part.
    (8) Provides guidance, assistance, and support to the DoD 
Components in their implementation of the DoD Privacy Program to ensure 
that:
    (i) All requirements developed to maintain PII conform to the DoD 
Privacy Program standards.
    (ii) Appropriate procedures and safeguards are developed and 
implemented to protect PII when it is collected, used, maintained, or 
disseminated in any media.
    (iii) Specific procedures and safeguards are developed and 
implemented when PII is collected and maintained for research purposes.
    (9) Compiles data in support of the DoD Chief Information Officer 
(DoD CIO) submission of the Federal Information Security Management Act 
(FISMA) Privacy Reports, pursuant to OMB Memorandum M-06-15, 
``Safeguarding Personally Identifiable Information'' (available at 
http://www.whitehouse.gov/sites/default/files/omb/memoranda/fy2006/m-06-15.pdf); the Biennial Matching Activity Report to OMB, in accordance 
with OMB Circular No. A-130 and this part; the quarterly Section 803 
report in accordance with 42 U.S.C. 2000ee and 2000ee-1; and other 
reports as required.
    (10) Reviews and coordinates on DoD Component privacy program 
implementation rules to ensure they are in compliance with the DoD-
level guidance.

[[Page 52122]]

    (11) Provides operational and administrative support to the Defense 
Privacy Board and the Defense Data Integrity Board.
    (c) The General Counsel of the Department of Defense (GC DoD):
    (1) Provides advice and assistance on all legal matters related to 
the administration of the DoD Privacy Program.
    (2) Appoints a designee to serve as a member of the Defense Privacy 
Board and the Defense Data Integrity Board.
    (3) When a DoD Privacy Program group is created, appoints a 
designee to serve as a member.
    (d) The DoD Component heads:
    (1) Provide adequate funding and personnel to establish and support 
an effective DoD Privacy Program.
    (2) Establish DoD Component-specific procedures in compliance with 
this part and publish these procedures as well as rules of conduct in 
the FR.
    (3) Establish and implement appropriate administrative, physical, 
and technical safeguards and procedures prescribed in this part and 
other DoD Privacy Program guidance.
    (4) Ensure Component compliance with supplemental guidance and 
procedures in accordance with all applicable federal laws, regulations, 
policies, and procedures.
    (5) Appoint a Component senior official for privacy (CSOP) to 
support the SAOP in carrying out the SAOP's duties identified in OMB 
Memorandum M-05-08.
    (6) Appoint a Component privacy officer to administer the DoD 
Privacy Program, on behalf of the CSOP.
    (7) Ensure DoD personnel and DoD contractors having primary 
responsibility for implementing the DoD Privacy Program receive 
appropriate privacy training. This training must be consistent with the 
requirements of this part and will address the provisions of 5 U.S.C. 
552a, OMB Circular No. A-130, and this part.
    (8) Ensure that all DoD Component legislative, regulatory, or other 
policy proposals are evaluated to ensure consistency with the 
information privacy requirements of this part.
    (9) Assess the impact of technology on the privacy of PII and, when 
feasible, adopt privacy-enhancing technology to:
    (i) Preserve and protect PII contained in a DoD Component system of 
records.
    (ii) Audit compliance with the requirements of this part.
    (10) Ensure that officials who have specialized knowledge of the 
DoD Privacy Program periodically review Component implementation of and 
compliance with the DoD Privacy Program.
    (11) Submit reports, consistent with the requirements of this part, 
in accordance with 5 U.S.C. 552a and OMB Circular No. A-130, and as 
otherwise directed by the Director, DPCLO.
    (e) Secretaries of the Military Departments. In addition to the 
responsibilities in paragraph (d) of this section, the Secretaries of 
the Military Departments provide program and financial support to the 
combatant commands as identified in DoD Directive 5100.03, ``Support to 
the Headquarters of Combatant and Subordinate Unified Commands'' 
(available at http://www.dtic.mil/whs/directives/corres/pdf/510003p.pdf) to fund, without reimbursement, the administrative and 
logistic support required by combatant and subordinate unified command 
headquarters to perform their assigned missions effectively.

Sec.  310.7  [Removed and Reserved]

0
7. Section 310.7 is removed and reserved.
0
8. Section 310.8 is revised to read as follows:

Sec.  310.8  Rules of conduct.

    In accordance with section (e)(9) of The Privacy Act, this section 
provides DoD rules of conduct for the development, operation, and 
maintenance of systems of records. DoD personnel and DoD contractor 
personnel will:
    (a) Take action to ensure that any PII contained in a system of 
records that they access and use to conduct official business will be 
protected so that the security and confidentiality of the information 
is preserved.
    (b) Not disclose any PII contained in any system of records, except 
as authorized by The Privacy Act, or other applicable statute, 
Executive order, regulation, or policy. Those willfully making any 
unlawful or unauthorized disclosure, knowing that disclosure is 
prohibited, may be subject to criminal penalties or administrative 
sanctions.
    (c) Report any unauthorized disclosures of PII from a system of 
records to the applicable Privacy point of contact (POC) for the 
respective DoD Component.
    (d) Report the maintenance of any system of records not authorized 
by this part to the applicable Privacy POC for the respective DoD 
Component.
    (e) Minimize the collection of PII to that which is relevant and 
necessary to accomplish a purpose of the DoD.
    (f) Not maintain records describing how any individual exercises 
rights guaranteed by the First Amendment, except:
    (1) When specifically authorized by statute.
    (2) When expressly authorized by the individual that the record is 
about.
    (3) When the record is pertinent to and within the scope of an 
authorized law enforcement activity, including authorized intelligence 
or administrative activities.
    (g) Safeguard the privacy of all individuals and the 
confidentiality of all PII.
    (h) Limit the availability of records containing PII to DoD 
personnel and DoD contractors who have a need to know in order to 
perform their duties.
    (i) Prohibit unlawful possession, collection, or disclosure of PII, 
whether or not it is within a system of records.
    (j) Ensure that all DoD personnel and DoD contractors who either 
have access to a system of records or develop or supervise procedures 
for handling records in a system of records are aware of their 
responsibilities and are properly trained to safeguard PII being 
maintained under the DoD Privacy Program.
    (k) Prepare any required new, amended, or altered SORN for a given 
system of records and submit the SORN through their DoD Component 
Privacy POC to the Director, DPCLO, for coordination and submission for 
publication in the Federal Register (FR).
    (l) Not maintain any official files on individuals, which are 
retrieved by the name of the individual or by some identifying number, 
symbol, or other identifying particular assigned to the individual, 
also known as a system of records, without first ensuring that a notice 
has been published in the FR. Any official who willfully maintains a 
system of records without meeting the publication requirements as 
prescribed by this part and The Privacy Act may be subject to criminal 
penalties or administrative sanctions.
    (m) Maintain all records in a mixed system of records as if all the 
records in such a system are subject to The Privacy Act.
0
9. Amend Sec.  310.9 by revising paragraphs (a) and (b) to read as 
follows:

Sec.  310.9  Privacy boards and office, composition and 
responsibilities.

    (a) The Defense Privacy Board--(1) Membership. The Board consists 
of:
    (i) Voting Members. Representatives designated by the Secretaries 
of the Military Departments and the following officials or their 
designees:
    (A) The DA&M, who serves as the chair.
    (B) The Director, DPCLO.
    (C) The Director for Privacy, DPCLO, who serves as the Executive 
Secretary and as a member.

[[Page 52123]]

    (D) The Under Secretary of Defense for Personnel and Readiness.
    (E) The Assistant Secretary of Defense for Health Affairs.
    (F) The DoD CIO.
    (G) The Director, Defense Manpower Data Center.
    (H) The Director, Executive Services Directorate, Washington 
Headquarters Services (WHS).
    (I) The GC DoD.
    (J) The Chief of the National Guard Bureau.
    (ii) Non-Voting Members. Non-voting members are the Director, 
Enterprise Information Technology Services Directorate (EITSD), WHS; 
and the representatives designated by Defense Agency and DoD Field 
Activity directors.
    (2) Responsibilities. The Board:
    (i) Serves as the primary DoD policy forum for matters involving 
the DoD Privacy Program, meeting as necessary to address issues of 
common concern to ensure that consistent policy is adopted and followed 
by the DoD Components. The Board issues advisory opinions, as 
necessary, on the DoD Privacy Program to promote uniform and consistent 
application of 5 U.S.C. 552a, OMB Circular No. A-130, and this part.
    (ii) Establishes and convenes committees as necessary.
    (iii) Establishes working groups whose membership is composed of 
DoD Component privacy officers and others as necessary.
    (b) The Defense Data Integrity Board--(1) Membership. The Board 
consists of:
    (i) The DA&M, who serves as the chair.
    (ii) The Director, DPCLO.
    (iii) The Director for Privacy, DPCLO, who serves as the Executive 
Secretary.
    (iv) The representatives designated by the Secretaries of the 
Military Departments; the DoD CIO; the GC DoD; the Inspector General of 
the Department of Defense, who is a non-voting advisory member; the 
Director, EITSD; and the Director, Defense Manpower Data Center.
    (2) Responsibilities. The Board:
    (i) Oversees and coordinates, consistent with the requirements of 5 
U.S.C. 552a, OMB Circular No. A-130, and this part, all computer 
matching agreements involving personal records contained in systems of 
records maintained by the DoD Components.
    (ii) Reviews and approves all computer matching agreements between 
the DoD and other federal, state, or local governmental agencies, as 
well as any memorandums of understanding, when the match is internal to 
the DoD. This review ensures that, in accordance with 5 U.S.C. 552a, 
OMB Circular No. A-130, and this part, appropriate procedural and due 
process requirements are established before engaging in computer 
matching activities.
* * * * *
0
10. Amend Sec.  310.10 by revising paragraph (a)(1) to read as follows:

Sec.  310.10  General.

    (a) * * *
    (1) Consist of ``records'' (as defined in Sec.  310.4) that are 
retrieved by the name of an individual or some other personal 
identifier; and
* * * * *

    Dated: August 19, 2013.
Aaron Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 2013-20515 Filed 8-21-13; 8:45 am]
BILLING CODE 5001-06-P
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