80 FR 39418 - Privacy Act of 1974; System of Records

DEPARTMENT OF DEFENSE
Office of the Secretary

Federal Register Volume 80, Issue 131 (July 9, 2015)

The Defense Logistics Agency proposes to add a new system of records, S240.28 DoD, entitled ``Case Adjudication Tracking System (CATS)'' for personnel security, suitability, fitness, access management, and National Security that provides a common comprehensive medium to record and document personnel security adjudicative actions within the Department, federal agencies, and for DoD contractors; CATS also provides a status of investigative and adjudicative updates to security officers and security managers, and appropriately screened, investigated, and eligible users with direct access to CATS based on a user's specific functions, security eligibility, and access level; This includes the adjudicators in the DoD Central Adjudications Facility (CAF) and personnel security officers in the services, DoD Components, approved non-DoD agencies, and Industry security offices with an approved DD Form 254, DoD Contract Security Classification Specification. CATS also provides records to the DoD Personnel Security Research Center (PERSEREC) to create models for personnel security continuous evaluation and insider threat assessment, and compile statistical data used for analyses and studies.

[Federal Register Volume 80, Number 131 (Thursday, July 9, 2015)]
[Notices]
[Pages 39418-39420]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-16576]


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DEPARTMENT OF DEFENSE

Office of the Secretary

[Docket ID: DoD-2015-OS-0064]


Privacy Act of 1974; System of Records

AGENCY: Defense Logistics Agency, DoD.

ACTION: Notice to add a new system of records.

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SUMMARY: The Defense Logistics Agency proposes to add a new system of 
records, S240.28 DoD, entitled ``Case Adjudication Tracking System 
(CATS)'' for personnel security, suitability, fitness, access 
management, and National Security that provides a common comprehensive 
medium to record and document personnel security adjudicative actions 
within the Department, federal agencies, and for DoD contractors; CATS 
also provides a status of investigative and adjudicative updates to 
security officers and security managers, and appropriately screened, 
investigated, and eligible users with direct access to CATS based on a 
user's specific functions, security eligibility, and access level; This 
includes the adjudicators in the DoD Central Adjudications Facility 
(CAF) and personnel security officers in the services, DoD Components, 
approved non-DoD agencies, and Industry security offices with an 
approved DD Form 254, DoD Contract Security Classification 
Specification. CATS also provides records to the DoD Personnel Security 
Research Center (PERSEREC) to create models for personnel security 
continuous evaluation and insider threat assessment, and compile 
statistical data used for analyses and studies.

DATES: Comments will be accepted on or before August 10, 2015. This 
proposed action will be effective the date following the end of the 
comment period unless comments are received which result in a contrary 
determination.

ADDRESSES: You may submit comments, identified by docket number and 
title, by any of the following methods:
    * Federal Rulemaking Portal: http://www.regulations.gov. Follow the 
instructions for submitting comments.
    * Mail: Department of Defense, Office of the Deputy Chief 
Management Officer, Directorate of Oversight and Compliance, Regulatory 
and Audit Matters Officer, 9010 Defense Pentagon, Washington, DC 20301-
9010.
    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 http://www.regulations.gov as they are received without change, 
including any personal identifiers or contact information.

FOR FURTHER INFORMATION CONTACT: Mr. LaDonne L. White, HQ Privacy 
Officer, Defense Logistics Agency, Headquarters McNamara Complex 8725 
John J. Kingman Rd, Suite 3533, Fort Belvoir, VA 22060-6221 or by 
calling (703) 767-5045.

SUPPLEMENTARY INFORMATION: The Defense Logistics Agency notices for 
systems of records subject to the Privacy Act of 1974, as amended, have 
been published in the Federal Register and are available from the 
address in FOR FURTHER INFORMATION CONTACT or from the Defense Privacy 
and Civil Liberties Division Web site at http://dpcld.defense.gov/.
    The proposed system report, as required by the Privacy Act of 1974, 
as amended, was submitted on June 19, 2015, to the House Committee on 
Oversight and Government Reform, the Senate Committee on Governmental 
Affairs, and the Office of Management and Budget (OMB) pursuant to 
paragraph 4c of Appendix I to OMB Circular No. A-130, ``Federal Agency 
Responsibilities for Maintaining Records About Individuals,'' dated 
February 8, 1996 (February 20, 1996, 61 FR 6427).

    Dated: June 22, 2015.
Aaron Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
S240.28 DoD

System name:
    Case Adjudication Tracking System (CATS)

System location:
    Department of Defense (DoD) Consolidated Adjudications Facility 
(CAF), 600 10th Street, Ft. Meade, MD 20755-5615.

Categories of individuals covered by the system:
    DoD civilian employees, federal contractor personnel, active 
military personnel, reserve and national guard personnel, whose 
personnel security, suitability, and eligibility for an HSPD-12 
compliant credential are adjudicated by the DoD CAF.

Categories of records in the system:
    Information used to view and review adjudicative actions, 
determinations, and decisions on summary investigation packages and 
documenting records conducted by Federal investigative organizations 
(e.g., U.S. Office of Personnel Management (OPM)) and locator 
references to such investigations. Records documenting fitness 
determinations, eligibility for an HSPD-12 compliant credential, and 
the personnel security adjudicated and management process, to include 
an individual's Social Security Number (SSN); DoD Identification Number 
(DoD ID Number); name (including current, former, and alternate names); 
date of birth (DOB); place of birth; country of citizenship; type of 
DoD affiliation; employing activity; current employment status; 
position sensitivity; personnel security investigative basis; status of 
current adjudicative action; security clearance eligibility and access 
status; whether eligibility determination was based on a condition 
(personal, medical, or financial), deviation from prescribed 
investigative standards, or waiver of adjudication guidelines; reports 
of security-related incidents, to include issue files; suspension of 
eligibility and/or access; denial or revocation of eligibility and/or 
access; eligibility recommendations or decisions made by an appellate 
authority; non-disclosure execution dates; indoctrination date(s); 
level(s) of access granted; debriefing date(s) and reasons for 
debriefing; off-site visit requests; foreign travel and contacts; and 
security reporting, to include results from continuous evaluation and 
insider threat; and self-reporting.

Authority for maintenance of the system:
    E.O. 10450, as amended, Security Requirements for Government 
Employment; E.O. 10865, as amended, Safeguarding Classified Information 
Within Industry; E.O. 12829, as amended, National Industrial Security 
Program; E.O. 12968, as amended, Access to Classified Information; E.O. 
13467, Reforming Processes Related to Suitability for Government

[[Page 39419]]

Employment, Fitness for Contractor Employees and Eligibility for Access 
to Classified National Security Information; E.O. 13488, Granting 
Reciprocity on Excepted Service and Federal Contractors Employee 
Fitness and Reinvestigating Individuals in Positions of Public Trust; 
E.O. 13478, Amendments to Executive Order 9397 Relating to Federal 
Agency Use of Social Security Numbers; E.O. 13587, Structural Reforms 
to Improve the Security of Classified Networks and the Responsible 
Sharing and Safeguarding of Classified Information; the National 
Insider Threat Policy and Minimum Standards for Executive Branch 
Insider Threat Programs; DoD Instruction (DoDI) 1400.25, Volume 731, 
DoD Civilian Personnel Management System: Suitability and Fitness 
Adjudication for Civilian Employees; DoDI 5200.02, DoD Personnel 
Security Program (PSP); DoDI 5220.22, National Industrial Security 
Program (NISP); DoDD 5205.16, DoD Insider Threat Program; DoD 
Regulation 5200.2R, DoD Personnel Security Program (PSP); DoD Manual 
5105.21, Volume 1, Sensitive Compartmented Information (SCI) 
Administrative Security Manual: Administration of Information and 
Information Systems Security; Director of National Intelligence, 
Intelligence Community Directive Number 704, Personnel Security 
Standards and Procedures Governing Eligibility for Access to Sensitive 
Compartmented Information and Other Controlled Access Program 
Information; Homeland Security Presidential Directive-12 (HSPD-12), 
Policy for a Common Identification Standard for Federal Employees and 
Contractors; Office of Personnel Management Memorandum, Final 
Credentialing Standards for Issuing Personal Identity Verification 
Cards under HSPD-12; and authorities cited therein.

Purpose(s):
    CATS is an information system for personnel security, suitability, 
fitness, access management, and National Security that provides a 
common comprehensive medium to record and document personnel security 
adjudicative actions within the Department, federal agencies, and for 
DoD contractors. CATS also provides a status of investigative and 
adjudicative updates to security officers and security managers, and 
appropriately screened, investigated, and eligible users with direct 
access to CATS based on a user's specific functions, security 
eligibility and access level--this includes the adjudicators in the DoD 
Consolidated Adjudications Facility (CAF), DoD Continuous Evaluation 
Program Analysts, the DoD Insider Threat Management and Analysis Center 
analysts, and personnel security officers in the Services, DoD 
Components, approved non-DoD agencies, and Industry security offices 
with an approved DD Form 254, DoD Contract Security Classification 
Specification. CATS also provides records to the DoD Personnel Security 
Research Center (PERSEREC) to create models for personnel security 
continuous evaluation and insider threat assessment, and compile 
statistical data used for analyses and studies.

Routine uses of records maintained in the system, including categories 
of users and the 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:
    To the Department of Justice when: (a) the agency or any component 
thereof; or (b) any employee of the agency in his or her official 
capacity; or (c) any employee of the agency in his or her individual 
capacity where the Department of Justice has agreed to represent the 
employee; or (d) the United States Government, is a party to litigation 
or has interest in such litigation, and by careful review, the agency 
determines that the records are both relevant and necessary to the 
litigation and the use of such records by the Department of Justice is 
therefore deemed by the agency to be for a purpose that is compatible 
with the purpose for which the agency collected the records.
    To a court or adjudicative body in a proceeding when: (a) the 
agency or any component thereof; or (b) any employee of the agency in 
his or her official capacity; or (c) any employee of the agency in his 
or her individual capacity where the Department of Justice has agreed 
to represent the employee; or (d) the United States Government is a 
party to litigation or has interest in such litigation, and by careful 
review, the agency determines that the records are both relevant and 
necessary to the litigation and the use of such records is therefore 
deemed by the agency to be for a purpose that is compatible with the 
purpose for which the agency collected the records.
    Except as noted in Sections 23 and 27 {of SF 86{time} , when a 
record on its face or in conjunction with other records indicates a 
violation or potential violation of law, whether civil, criminal, or 
regulatory in nature, and whether arising by general statute, 
particular program statute, regulation, rule, or order issued pursuant 
thereto, the relevant records may be disclosed to the appropriate 
Federal, foreign, State, local, tribal, or other public authority 
responsible for enforcing, investigating, or prosecuting such violation 
or charged with enforcing or implementing the statute, role, 
regulation, or order.
    To any source or potential source from which information is 
requested in the course of an investigation concerning the hiring or 
retention of an employee or other personnel action, or the issuing or 
retention of a security clearance, contract, grant, license, or other 
benefit, to the extent necessary to identify the individual, inform the 
source of the nature and purpose of the investigation, and to identify 
the type of information requested.
    To a Federal, State, local, foreign, tribal, or other public 
authority the fact that this system of records contains information 
relevant to the retention of an employee, or the retention of a 
security clearance, contract, license, grant, or other benefit. The 
other agency or licensing organization may then make a request 
supported by written consent of the individual for the entire record if 
it so chooses. No disclosure will be made unless the information has 
been determined to be sufficiently reliable to support a referral to 
another office within the agency or to another Federal agency for 
criminal, civil, administrative personnel, or regulatory action.
    To contractors, grantees, experts, consultants, or volunteers when 
necessary to perform a function or service related to this record for 
which they have been engaged. Such recipients shall be required to 
comply with the Privacy Act of 1974, as amended.
    To the news media or the general public, factual information the 
disclosure of which would be in the public interest and which would not 
constitute an unwarranted invasion of personal privacy.
    To a Federal, State, or local agency, or other appropriate entities 
or individuals, or through established liaison channels to selected 
foreign governments, in order to enable an intelligence agency to carry 
out its responsibilities under the national Security Act of 1947 as 
amended, the CIA Act of 1949 as amended, Executive Order 12333 or an 
successor order, applicable national security directives, or classified 
implementing procedures approved by the Attorney General and 
promulgated pursuant to such statutes, orders, or directives.

[[Page 39420]]

    To a Member of Congress or to a Congressional staff member in 
response to an inquiry of the Congressional office made at the written 
request of the constituent about whom the record is maintained.
    To the National Archives and Records Administration for records 
management inspections conducted under 44 U.S.C. 2904 and 2906.
    To the Office of Management and Budget when necessary for the 
review of private relief legislation.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records and electronic storage media.

Retrievability:
    Information is retrieved by SSN and/or DOD ID number. When a user 
does an SCI search, the system requires a DOB and place of birth in 
addition to SSN and/or DoD ID Number to complete the lookup as an 
additional security mechanism.

Safeguards:
    Records are stored on a secure military installation and in a 
building with 24-hour controlled access. Access to offices requires 
swipe access with Common Access Card and PIN. Records are maintained 
under the direct control of office personnel in the CAF during duty 
hours. Office is locked at all times and alarmed when unoccupied. 
Access to all records is role based and access to electronic records 
requires use of Common Access Card and PIN.

Retention and disposal:
    Disposition pending, treat records as permanent until the National 
Archives and Records Administration have approved the retention and 
disposition schedule.

System manager(s) and address:
    Director, DLA Information Operations (J6) and Chief Information 
Officer, 8725 John J. Kingman Road, Fort Belvoir, VA 22060-6221.

Notification procedure:
    Individuals seeking to determine whether information about 
themselves is contained in this system should address written inquiries 
to Privacy Access Requests, DoD Consolidated Adjudications Facility, 
600 10th Street, Ft. Meade, MD 20755-5615.
    Requesters should provide full name and any former names used, date 
and place of birth, and SSN and/or DoD ID Number.

Record access procedures:
    Individuals seeking access to information about themselves 
contained in this system of records should address written inquiries to 
Privacy Access Requests, DoD Consolidated Adjudications Facility, 600 
10th Street, Ft. Meade, MD 20755-5615.
    A request for information must contain the full name and any former 
names used, date and place of birth, SSN and/or DoD ID Number, and 
address where the records are to be returned.
    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).'
    Attorneys or other persons acting on behalf of an individual must 
provide written authorization from that individual for their 
representative to act on their behalf.

Contesting record procedures:
    DoD rules for accessing records, for contesting contents and 
appealing adverse adjudication determinations are contained in DoD 
5200.2-R, ``DoD Personnel Security Program'' (January 1987), or may be 
obtained from the DoD Consolidated Adjudications Facility, Privacy Act 
Requests, 600 10th Street, Ft. Meade, MD 20755-5615.

Record source categories:
    Information is received from individuals, their attorneys, and 
other authorized representatives; investigative reports from Federal 
investigative agencies; personnel security records and correspondence; 
medical and personnel records, reports, and evaluations; correspondence 
from employing agencies; and from the following systems: Defense 
Enrollment Eligibility Reporting System; Defense Civilian Personnel 
Data System; Electronic Military Personnel Record System-Program; 
Marine Corps Total Forces System; Total Army Personnel Database 
(Active, Reserve and Guard); Operational Data Store Enterprise; Navy 
Accessions Security Information System; Bureau of Naval Personnel; 
Military Personnel Data System; Air Force Recruiting Information 
Support System (Active and Reserve); Office of Personnel Management 
(Federal Investigative Services); Manpower Programming and Execution 
System (MPES); Joint Access Data System; Special Access Program 
Personnel Adjudication Database Enterprise.

Exemptions claimed for the system:
    Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5), 
but only to the extent that such material would reveal the identity of 
a confidential source.
    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), 
(c) and (e) and published in 32 CFR part 323. For additional 
information, contact the system manager.

[FR Doc. 2015-16576 Filed 7-8-15; 8:45 am]
 BILLING CODE 5001-06-P