DEPARTMENT OF DEFENSE PRIVACY PROGRAM
嚜澳oD 5400.11-R
DEPARTMENT OF DEFENSE
PRIVACY PROGRAM
May 14, 2007
OFFICE OF THE DIRECTOR, ADMINISTRATION
AND MANAGEMENT
DoD 5400.11-R, May 14, 2007
FOREWORD
This Regulation is reissued under the authority of DoD Directive 5400.11, ※DoD Privacy
Program,§ May 8, 2007 (Reference (a)). It provides guidance on section 552a of title 5 United
States Code (U.S.C.), the Privacy Act of 1974, as amended, (Reference (b)), and prescribes uniform
procedures for implementation of the DoD Privacy Program.
DoD 5400.11-R, ※Department of Defense Privacy Program,§ August 13, 1983, is hereby canceled.
This Regulation applies to the Office of the Secretary of Defense, the Military Departments, the
Chairman of the Joint Chiefs of Staff, the Combatant Commands, the Inspector General of the
Department of Defense, the Defense Agencies, the DoD Field Activities, and all other
organizational entities within the Department of Defense (hereafter referred to as the ※DoD
Components§).
The provisions of this Regulation shall be applicable by contract or other legally binding action to
U.S. Government contractors whenever a DoD contract requires the performance of any activities
associated with maintaining a system of records, including the collection, use, and dissemination of
records on behalf of the contracting DoD Component. When maintaining a system of records or a
portion of a system of records, contractors and their employees shall be considered employees of
the contracting DoD Component for purposes of the criminal penalties of the Act.
This Regulation does not apply to:
?
Requests for information made under the Freedom of Information Act (DoD Directive
5400.7) (Reference (c)). They are processed in accordance with DoD 5400.7-R (Reference
(d)).
?
Requests for information from systems of records controlled by the Office of Personnel
Management (OPM), although maintained by a DoD Component. These are processed in
accordance with policies established by OPM (Reference (e)).
?
Requests for personal information from the General Accountability Office. These are
processed in accordance with DoD Directive 7650.1 (Reference (f)).
?
Requests for personal information from Congress. These are processed in accordance with
DoD Directive 5400.4 (Reference (g)), except for the specific provisions in Chapter 4 of
this Regulation.
2
DoD 5400.11-R, May 14, 2007
This Regulation is effective immediately and its use is mandatory for all DoD Components. The
Heads of the DoD Components may issue supplementary instructions only when necessary to
provide for unique requirements within their Components. Such instructions may not conflict with
the provisions of this Regulation.
Send recommended changes to this Regulation to the following address:
Director, Defense Privacy Office
1901 South Bell Street, Room 920
Arlington, VA 22202-4512
The DoD Components may obtain copies of this Regulation through their own publication
channels. Approved for public release; distribution unlimited. Copies are available via the World
Wide Web at . Authorized registered users may obtain copies of
the publication from the Defense Technical Information Center, 8725 John J. Kingman Road, Fort
Belvoir, VA 22060-6218. Other Federal Agencies and the public may obtain copies from the U.S
Department of Commerce, National Technical Information Service, 5285 Port Royal Road,
Springfield, VA 22161.
3
DoD 5400.11-R, May 14, 2007
TABLE OF CONTENTS
Page
2
FOREWORD
TABLE OF CONTENTS
4
REFERENCES
7
DEFINITIONS
8
CHAPTER 1 每 SYSTEMS OF RECORDS
C1.1. GENERAL
C1.2. STANDARDS OF ACCURACY
C1.3. GOVERNMENT CONTRACTORS
C1.4. SAFEGUARDING PERSONAL INFORMATION
C1.5. NOTIFICATION WHEN INFORMATION IS LOST, STOLEN OR
COMPROMISED
11
11
13
13
15
16
CHAPTER 2 每 COLLECTING PERSONAL INFORMATION
C2.1. GENERAL CONSIDERATIONS
C2.2. FORMS
18
18
20
CHAPTER 3 - ACCESS BY INDIVIDUALS
C3.1. INDIVIDUAL ACCESS TO PERSONAL INFORMATION
C3.2. DENIAL OF INDIVIDUAL ACCESS
C3.3. AMENDMENT OF RECORDS
C3.4. REPRODUCTION FEES
22
22
27
29
35
CHAPTER 4 每 DISCLOSURE OF PERSONAL INFORMATION TO OTHER
AGENCIES AND THIRD PARTIES
C4.1. CONDITIONS OF DISCLOSURE
C4.2. NON-CONSENSUAL CONDITIONS OF DISCLOSURES
C4.3. DISCLOSURES TO COMMERCIAL ENTERPRISES
C4.4. DISCLOSURES TO THE PUBLIC FROM MEDICAL RECORDS
C4.5. DISCLOSURE ACCOUNTING
37
37
38
46
47
47
CHAPTER 5 每 EXEMPTIONS
C5.1. USE AND ESTABLISHMENT OF EXEMPTIONS
C5.2. ACCESS EXEMPTON
C5.3. GENERAL EXEMPTIONS
C5.4. SPECIFIC EXEMPTIONS
49
49
51
51
52
4
TABLE OF CONTENTS
DoD 5400.11-R, May 14, 2007
CHAPTER 6 每 PUBLICATION REQUIREMENTS
C6.1. FEDERAL REGISTER PUBLICATION
C6.2. EXEMPTION RULES
C6.3. SYSTEM NOTICES
C6.4. NEW AND ALTERED RECORD SYSTEMS
C6.5. AMENDMENT AND DELETION OF SYSTEM NOTICES
54
54
56
56
62
66
CHAPTER 7 每 TRAINING REQUIREMENTS
C7.1. STATUTORY TRAINING REQUIREMENTS
C7.2. OMB TRAINING GUIDELINES
C7.3. DoD TRAINING PROGRAMS
C7.4. TRAINING METHODOLOGY AND PROCEDURES
C7.5. FUNDING FOR TRAINING
67
67
67
67
68
68
CHAPTER 8 每 REPORTS
C8.1. REQUIREMENT FOR REPORTS
C8.2. SUSPENSE FOR SUBMISSION OF REPORTS
C8.3. REPORTS CONTROL SYMBOL
69
69
69
69
CHAPTER 9 每 INSPECTIONS
C9.1. PRIVACY ACT INSPECTIONS
C9.2. INSPECTION REPORTING
70
70
70
CHAPTER 10 每 PRIVACY ACT VIOLATIONS
C10.1. ADMINISTRATIVE REMEMDIES
C10.2. CIVIL ACTIONS
C10.3. CIVIL REMEDIES
C10.4. CRIMINAL PENALTIES
C10.5. LITIGATION STATUS SHEET
C10.6. LOST, STOLEN, OR COMPROMISED INFORMATION
71
71
71
71
71
71
72
CHAPTER 11 每 COMPUTER MATCHING PROGRAM PROCEDURES
C11.1. GENERAL
C11.2. COMPUTER MATCHING PUBLICATION AND
REVIEW REQUIREMENTS
C11.3. COMPUTER MATCHING AGREEMENTS (CMA)
74
74
75
APPENDICES
AP1. SAFEGUARDING PERSONALLY IDENTIFIABLE INFORMATION
AP2. SAMPLE NOTIFICATION LETTER
AP3. DoD BLANKET ROUTINE USES
AP4. PROVISIONS OF THE PRIVACY ACT FROM WHICH A
GENERAL OR A SPECIFIC EXEMPTION MAY BE CLAIMED
AP5. SAMPLE OF NEW OR ALTERED SYSTEM OF RECORDS
NOTICE IN FEDERAL REGISTER FORMAT
AP6. FORMAT FOR NEW OR ALTERED SYSTEM REPORT
5
76
79
82
83
86
89
98
TABLE OF CONTENTS
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