SORN n01531-1(draft)

Department of Defense
Department of the Navy
Narrative Statement on an Altered System of Records
Under the Privacy Act of 1974
1. System identifier and name: N01531-1, entitled “USNA
Applicants, Candidates, and Midshipmen Records.”
2. Responsible official: Mrs. Shannon Campbell, Administrative
Officer (FOIA/Privacy Act Coordinator), 121 Blake Road,
Annapolis, MD 21402-1300; telephone (410) 293-1550.
3. Nature of proposed changes for the system: The Department of
the Navy is proposing to alter the existing system of records by
updating the system location, categories of individuals,
categories of records, authority for maintenance, purpose(s),
routine uses, storage, retrievability, safeguards, retention and
disposal, system manager(s) and address, notification procedure,
record access procedures, record source categories, and
exemptions claimed for the system.
4. Authority for the maintenance (maintained, collected, used,
or disseminated) of the system: 10 U.S.C. 5013, Secretary of
the Navy; 10 U.S.C. 6956, Midshipmen: Nomination and
Selection to fill Vacancies; 10 U.S.C. 6957, Selection of
Persons from Foreign Countries; 10 U.S.C. 6958, Midshipmen:
Qualifications for Admission; 10 U.S.C. 6962, Midshipmen:
Discharge for Unsatisfactory Conduct or Inaptitude; 10 U.S.C.
6963, Midshipmen: Discharge for Deficiency; and E.O. 9397
(SSN), as amended.
5. Provide the agencies evaluation on the probable or potential
effects on the privacy of individuals: In reviewing/developing
this SORN, the Department of the Navy reviewed the safeguards
established for the system to ensure they are in compliant with
DoD requirements and are appropriate to the sensitivity of the
information stored within the system.
6. Is the system, in whole or in part, being maintained
(maintained, collected, used or disseminated) by a contractor?
Yes, FAR clauses are included in the contract.
7. Steps taken to minimize risk of unauthorized access: Paper
records are stored in locked file containers, cabinets, vaults,
or secured rooms with restricted access. Information maintained
electronically requires role-based file access, Common Access
Card (CAC), Public Key Infrastructure (PKI), and/or User ID and

password. Data in transit is encrypted. Backup files are secured
in fire proof vault in Ward Hall.
8. Routine use compatibility: In addition to those disclosures
generally permitted under 5 U.S.C. 552a (b) of the Privacy Act
of 1974, as amended these records contained therein may
specifically be disclosed outside the DoD as a routine use
pursuant to 5 U.S.C. 552a (b) (3) as follows:
Congressional staffs for the limited purpose of reviewing
applicants for nomination and admission to the Naval Academy,
as well as determining the status of midshipmen domiciled in
their Districts.
Parents and legal guardians of midshipmen for the limited
purpose of counseling midshipmen who encounter academic,
performance and/or disciplinary difficulties, as well as
health and welfare issues.
The United States Naval Academy Sponsor Program for the
limited purpose of assigning midshipmen with a compatible
sponsor to allow the student to develop and benefit from
informal exchanges with civilian and military members in
Annapolis and its adjacent communities.
The United States Naval Institute for the limited purpose of
notifying midshipmen and their parents about benefits and
opportunities provided by the United States Naval Institute.
The Naval Academy Athletic Association for the limited
purpose of promoting and funding the Naval Academy
Intercollegiate Athletic Program and for the purpose of
supporting its activities related to the mission of the Naval
Academy.
The United States Naval Academy Foundation for the limited
purpose of sponsoring midshipmen candidates who were not
admitted in previous years.
The United States Naval Academy Alumni Association for the
limited purpose of supporting its activities related to the
mission of the Naval Academy.
The Naval Academy Information Program for the limited purpose
of assigning candidates with Naval Academy Information
Program officers to help the candidates through the
admissions process.

The DoD Blanket Routine Uses set forth at the beginning of
the Department of the Navy’s compilation of systems of
records notices may apply to this system. The complete list
of DoD blanket routine uses can be found online at:
http://dpcld.defense.gov/Privacy/SORNsIndex/BlanketRoutineUse
s.aspx
9.

OMB information collection requirements:

OMB collection required: Yes
OMB Control Number (if approved): OMB 0703-0036 and OMB
0703-0054
Title of collection if other than #10:
Date Approved or Submitted: Pending Renewal - Expired in 2010.
Provide titles of any information collection requests (e.g.,
forms and number, surveys, interview scripts, etc.) contained in
the system of records:
1. BGO Form USNA-1531/1 (6-15) OMB 0703-XXXX
If collecting on members of the public and no OMB approval is
required, state the applicable exception(s): N/A
10. Name of IT system(s): Academic and Professionally
Accredited Enterprise Education Enclave (AEEE), DITPR ID# 5737
and DITPR-DON ID# 21020.

Billing Code:
DEPARTMENT OF DEFENSE
Office of the Secretary of Defense
Docket ID:
Privacy Act of 1974; System of Records
AGENCY: Department of the Navy, DoD.
ACTION: Notice to Alter a System of Records.
SUMMARY: The Department of the Navy proposes to alter the
system of records, N01531-1, entitled “USNA Applicants,
Candidates, and Midshipmen Records” in its inventory of record
systems subject to the Privacy Act of 1974, as amended.
This system establishes an audit trail of files which contains
information on individuals as they progress from the
application stage, through the admissions process, to
disenrollment or graduation from the Naval Academy.
Applicant's files contain information which is used to
evaluate and to determine competitive standing and
eligibility for appointments to the Naval Academy. This
system maintains information on those sponsoring applicants
to the Naval Academy and those selected to help applicants in
the application stage through the admissions process.
DATES: Comments will be accepted on or before [INSERT 30-DAYS
FROM DATE OF PUBLICATION IN THE FEDERAL REGISTER]. This
proposed action will be effective the day 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: Federal Docket Management System Office, 4800
Mark Center Drive, East Tower, 2nd Floor, Suite 02G09,
Alexandria, VA 22350-3100.
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: Ms. Robin Patterson, Head,
PA/FOIA Office (DNS-36), Department of the Navy, 2000 Navy
Pentagon, Washington, DC 20350-2000, or by phone at (202) 6856545.
SUPPLEMENTARY INFORMATION: The Department of the Navy’s notices
for systems of records subject to the Privacy Act of 1974 (5
U.S.C. 552a), 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 Office website at http://dpclo.defense.gov/.
The proposed system report, as required by 5 U.S.C. 552a(r) of
the Privacy Act of 1974, as amended, was submitted on INSERT
DATE, 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:

Patricia L. Toppings
OSD Federal Register Liaison Officer, Department of Defense

N01531-1
System name:
USNA Applicants, Candidates, and Midshipmen Records (February
27, 2007, 72 FR 8702).
Changes:
* * * * *
System location:
Delete entry and replace with “United States Naval Academy
(USNA), 290 Buchanan Road, Annapolis, MD 21402-1304.”
Categories of Individuals covered in the system:
Delete entry and replace with “Applicants and candidates for
admission to the Naval Academy, Naval Academy midshipman and
midshipman candidates, Naval Academy Sponsor Program applicants
and participants, and Naval Academy Information Program
applicants and participants.”
Categories of records:
Delete entry and replace with “Admissions records contain
questionnaires concerning educational background, personal
data, physical data, extracurricular activities, and
employment; candidate fitness assessments; personal
statements; transcripts from previously attended academic
institutions; admission tests results; recommendation letters
from school officials and others; extracurricular activities
reports; reports of officer interviews; records of prior
military service; and Privacy Act disclosure forms.
Nomination information is entered electronically by
congressional offices. This information includes the names
of the persons whom each Congressman nominated and is matched
to candidate data within the Admissions Information System
(AIS) database. Records include name, other names used,
Social Security Number (SSN), DoD ID Number, date of birth,
place of birth, gender, race/ethnicity, citizenship, legal
status, personal telephone number, home telephone number,
personal email address, mailing/home/work address, security
clearance, mother's middle name, marital status; biometrics:
height and weight, emergency contact, military records,
branch of service, rank, candidate number, graduation class;
law enforcement information: police records, school probation
periods; education information: high school name and address,
classes or courses taken, cumulative grade point average,
class rank, type of diploma, year of high school graduation

or expected graduation date, and transcripts; and employment
information: work history.
Midshipmen records consist of academic, military, and
physical records, that include fitness assessments,
performance grades, personal history, record of emergency
data, review boards records, medical excuse forms, conduct
records and grades, counseling and guidance information,
academic grades, class rankings, letters of commendation,
training records, Oath of Office, separation status, military
justice files, security clearance information, honor records,
peer reviews, Privacy Act disclosure records, counseling
records, and other records and information relative to the
midshipman.
Sponsor records include personal information, military
status, employment information, vehicle information, and
related data. Records include name, sponsor number, alpha
number, gender, date of birth, marital status, home address,
personal email address, home phone, work phone, cell phone,
branch of military service, rank/rate, military status,
current employer, employer address, employer phone number,
occupation, languages spoken, spouse name, spouse date of
birth, spouse employer, police record, spouse employer phone,
spouse occupation, spouse police record, number of children,
types of pets, whether or not a smoker, hobbies and vehicle
tags.
Information program records include Last 4 SSN, preferred
name, name, gender, date of birth, spouse’s name,
occupation/title, primary address, email, phone number,
service academy graduate & year, congressional state &
district, access to internet status, comfort using computer
status, military status, affiliations with USNA, interest in
program, sexual harassment history, comments and
recommendations from area coordinators, status of background
check.”
Authority for maintenance of the system:
Delete entry and replace “10 U.S.C. 5013, Secretary of the
Navy; 10 U.S.C. 6956, Midshipmen: Nomination and Selection to
fill Vacancies; 10 U.S.C. 6957, Selection of Persons from
Foreign Countries; 10 U.S.C. 6958, Midshipmen: Qualifications
for Admission; 10 U.S.C. 6962, Midshipmen: Discharge for
Unsatisfactory Conduct or Inaptitude; 10 U.S.C. 6963,
Midshipmen: Discharge for Deficiency; and E.O. 9397 (SSN), as
amended.”

Purpose(s):
Delete entry and replace with “To establish an audit trail of
files which contain information on individuals as they
progress from the application stage, through the admissions
process, to disenrollment or graduation from the Naval
Academy and to maintain information on those applying to
assist individuals with their progression through the
Academy.”
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Delete entry and replace with “In addition to those disclosures
generally permitted under 5 U.S.C. 552a (b) of the Privacy Act
of 1974, as amended these records contained therein may
specifically be disclosed outside the DoD as a routine use
pursuant to 5 U.S.C. 552a (b) (3) as follows:
Congressional staffs for the limited purpose of reviewing
applicants for nomination and admission to the Naval Academy,
as well as determining the status of midshipmen domiciled in
their Districts.
Parents and legal guardians of midshipmen for the limited
purpose of counseling midshipmen who encounter academic,
performance and/or disciplinary difficulties, as well as
health and welfare issues.
The United States Naval Academy Sponsor Program for the
limited purpose of assigning midshipmen with a compatible
sponsor to allow the student to develop and benefit from
informal exchanges with civilian and military members in
Annapolis and its adjacent communities.
The Naval Academy Information Program for the limited purpose
of assigning candidates with a Naval Academy Information
Program officer to help the candidates through the admissions
process.
The United States Naval Institute for the limited purpose of
notifying midshipmen and their parents about benefits and
opportunities provided by the United States Naval Institute.
The Naval Academy Athletic Association for the limited
purpose of promoting and funding the Naval Academy
Intercollegiate Athletic Program and for the purpose of

supporting its activities related to the mission of the Naval
Academy.
The United States Naval Academy Foundation for the limited
purpose of sponsoring midshipmen candidates who were not
admitted in previous years.
The United States Naval Academy Alumni Association for the
limited purpose of supporting its activities related to the
mission of the Naval Academy.
The DoD Blanket Routine Uses set forth at the beginning of
the Department of the Navy’s compilation of systems of
records notices may apply to this system. The complete list
of DoD blanket routine uses can be found online at:
http://dpcld.defense.gov/Privacy/SORNsIndex/BlanketRoutineUse
s.aspx.”
Storage:
Delete entry and replace with “Paper records in file folders,
electronic storage media.”
Retrievability:
Delete entry and replace with “Applicants and Candidates
records: name, candidate number, and SSN.
Sponsor records: name, sponsor number, and alpha number.
Information program records: name and SSN.
MIDS records: name and alpha number.”
Safeguards:
Delete entry and replace with “Paper records are stored in
locked file containers, cabinets, vaults, or secured rooms with
restricted access. Information maintained electronically
requires role-based file access, Common Access Card (CAC),
Public Key Infrastructure (PKI), and/or User ID and password.
Data in transit is encrypted. Backup files are secured in fire
proof vault in Ward Hall.”
Retention and disposal:
Delete entry and replace with “Primary Program Records are
Permanent and transferred to the United States Naval Academy
Archives when no longer needed for current business operation.
Administrative records retain on board and destroyed when
superseded, obsolete, or no longer needed for reference.

Midshipman records are retain on board and destroyed 2 years
after verification of microfilm.
Databases consisting of official transcripts, class grade files,
admission files, and other similar files are permanent and
copies are transferred to the Naval Academy archives three years
after the class graduates.
Records are destroyed by shredding, degaussing, and/or erasing.”
* * * * *
System manager(s) and address:
Delete entry and replace with “Superintendent, United States
Naval Academy (USNA), 121 Blake Road, Annapolis, MD 21402-1300.”
Notification procedure:
Delete and replace with “Individuals seeking to determine
whether information about themselves is contained in this
system should address written inquiries to the
Superintendent, United States Naval Academy, 121 Blake Road,
Annapolis, MD 21402-1300.
Written requests should contain full name, current mailing
address, and SSN. Requester’s should include candidate number
and alpha number if applicable.
The system manager may require a notarized signature as a means
of proving the identity of the individual requesting access to
the records.”
Record access procedures:
Delete and replace with “Individuals seeking access to
information about themselves contained in this system should
address written inquiries to the Superintendent, United
States Naval Academy, 121 Blake Road, Annapolis, MD 214021300.
Written requests should contain full name, current mailing
address, and SSN. Requester’s should include candidate
number and alpha number if applicable.
The system manager may require a notarized signature as a means
of proving the identity of the individual requesting access to
the records.”
* * * * *

Record Source Categories: Delete entry and replace with “From
the individual; members of congress; school transcripts;
evaluations; other educational institutions; College Entrance
Examination Board and American College Testing scores; medical
reports/physical exam results; faculty and staff evaluations;
law enforcement agencies; Academic Board; evaluations from
current or former employers, mentors, teachers, supervisors or
coaches; grades; tests; conduct; performance; examinations;
peers; awards; DoD; counseling; parents; and records of
disclosure.”
Exemptions claimed for the system: Delete entry and replace
with “Parts of the system may be exempt under 5 U.S.C
552a(k)(5), (k)(6), or k(7), as applicable.
An exemption rule for this record system has been promulgated in
accordance with 5 U.S.C. 553(b)(1), (2), and 3, (c) and (e) and
published in 32 CFR part 701.128. For additional information
contact the system manager.”
* * * * *

N01531-1
System name:
USNA Applicants, Candidates, and Midshipmen Records.
System location:
United States Naval Academy (USNA), 290 Buchanan Road,
Annapolis, MD 21402-1304.
Categories of Individuals covered in the system:
Applicants and candidates for admission to the Naval Academy,
Naval Academy midshipman and midshipman candidates, Naval
Academy Sponsor Program applicants and participants, and Naval
Academy Information Program applicants and participants.
Categories of records:
Admissions records contain questionnaires concerning
educational background, personal data, physical data,
extracurricular activities, and employment; candidate fitness
assessments; personal statements; transcripts from previously
attended academic institutions; admission tests results;
recommendation letters from school officials and others;
extracurricular activities reports; reports of officer
interviews; records of prior military service; and Privacy
Act disclosure forms. Nomination information is entered
electronically by congressional offices. This information
includes the names of the persons whom each Congressman
nominated and is matched to candidate data within the
Admissions Information System (AIS) database. Records include
name, other names used, Social Security Number (SSN), DoD ID
Number, date of birth, place of birth, gender,
race/ethnicity, citizenship, legal status, personal telephone
number, home telephone number, personal email address,
mailing/home/work address, security clearance, mother's
middle name, marital status; biometrics: height and weight,
emergency contact, military records, branch of service, rank,
candidate number, graduation class; law enforcement
information: police records, school probation periods;
education information: high school name and address, classes
or courses taken, cumulative grade point average, class rank,
type of diploma, year of high school graduation or expected
graduation date, and transcripts; and employment information:
work history.
Midshipmen records consist of academic, military, and
physical records, that include fitness assessments,
performance grades, personal history, record of emergency

data, review boards records, medical excuse forms, conduct
records and grades, counseling and guidance information,
academic grades, class rankings, letters of commendation,
training records, Oath of Office, separation status, military
justice files, security clearance information, honor records,
peer reviews, Privacy Act disclosure records, counseling
records, and other records and information relative to the
midshipman.
Sponsor records include personal information, military
status, employment information, vehicle information, and
related data. Records include name, sponsor number, alpha
number, gender, date of birth, marital status, home address,
personal email address, home phone, work phone, cell phone,
branch of military service, rank/rate, military status,
current employer, employer address, employer phone number,
occupation, languages spoken, spouse name, spouse date of
birth, spouse employer, police record, spouse employer phone,
spouse occupation, spouse police record, number of children,
types of pets, whether or not a smoker, hobbies and vehicle
tags.
Information program records include Last 4 SSN, preferred
name, name, gender, date of birth, spouse’s name,
occupation/title, primary address, email, phone number,
service academy graduate & year, congressional state &
district, access to internet status, comfort using computer
status, military status, affiliations with USNA, interest in
program, sexual harassment history, comments and
recommendations from area coordinators, status of background
check.
Authority for maintenance of the system:
10 U.S.C. 5013, Secretary of the Navy; 10 U.S.C. 6956,
Midshipmen: Nomination and Selection to fill Vacancies; 10
U.S.C. 6957, Selection of Persons from Foreign Countries; 10
U.S.C. 6958, Midshipmen: Qualifications for Admission; 10
U.S.C. 6962, Midshipmen: Discharge for Unsatisfactory Conduct
or Inaptitude; 10 U.S.C. 6963, Midshipmen: Discharge for
Deficiency; and E.O. 9397 (SSN), as amended.
Purpose(s):
To establish an audit trail of files which contain information
on individuals as they progress from the application stage,
through the admissions process, to disenrollment or
graduation from the Naval Academy and to maintain information

on those applying to assist individuals with their
progression through the Academy.
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 these
records contained therein may specifically be disclosed outside
the DoD as a routine use pursuant to 5 U.S.C. 552a (b) (3) as
follows:
Congressional staffs for the limited purpose of reviewing
applicants for nomination and admission to the Naval Academy,
as well as determining the status of midshipmen domiciled in
their Districts.
Parents and legal guardians of midshipmen for the limited
purpose of counseling midshipmen who encounter academic,
performance and/or disciplinary difficulties, as well as
health and welfare issues.
The United States Naval Academy Sponsor Program for the
limited purpose of assigning midshipmen with a compatible
sponsor to allow the student to develop and benefit from
informal exchanges with civilian and military members in
Annapolis and its adjacent communities.
The Naval Academy Information Program for the limited purpose
of assigning candidates with a Naval Academy Information
Program officer to help the candidates through the admissions
process.
The United States Naval Institute for the limited purpose of
notifying midshipmen and their parents about benefits and
opportunities provided by the United States Naval Institute.
The Naval Academy Athletic Association for the limited
purpose of promoting and funding the Naval Academy
Intercollegiate Athletic Program and for the purpose of
supporting its activities related to the mission of the Naval
Academy.
The United States Naval Academy Foundation for the limited
purpose of sponsoring midshipmen candidates who were not
admitted in previous years.

The United States Naval Academy Alumni Association for the
limited purpose of supporting its activities related to the
mission of the Naval Academy.
The DoD Blanket Routine Uses set forth at the beginning of
the Department of the Navy’s compilation of systems of
records notices may apply to this system. The complete list
of DoD blanket routine uses can be found online at:
http://dpcld.defense.gov/Privacy/SORNsIndex/BlanketRoutineUse
s.aspx.
Policies and practice for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders, electronic storage media.
Retrievability:
Applicants and Candidates records: name, candidate number, and
SSN.
Sponsor records: name, sponsor number, and alpha number.
Information program records: name and SSN.
MIDS records: name and alpha number.
Safeguard:
Paper records are stored in locked file containers, cabinets,
vaults, or secured rooms with restricted access. Information
maintained electronically requires role-based file access,
Common Access Card (CAC), Public Key Infrastructure (PKI),
and/or User ID and password. Data in transit is encrypted.
Backup files are secured in fire proof vault in Ward Hall.
Retention and disposal:
Primary Program Records are Permanent and transferred to the
United States Naval Academy Archives when no longer needed for
current business operation.
Administrative records retain on board and destroyed when
superseded, obsolete, or no longer needed for reference.
Midshipman records are retain on board and destroyed 2 years
after verification of microfilm.
Databases consisting of official transcripts, class grade files,
admission files, and other similar files are permanent and
copies are transferred to the Naval Academy archives three years
after the class graduates.

Records are destroyed by shredding, degaussing, and/or erasing.
System manager(s) and address:
Superintendent, United States Naval Academy (USNA), 121 Blake
Road, Annapolis, MD 21402-1300.
Notification procedure:
Individuals seeking to determine whether information about
themselves is contained in this system should address written
inquiries to the Superintendent, U.S. Naval Academy, 121
Blake Road, Annapolis, MD 21402-1300.
Written requests should contain full name, current mailing
address, and SSN. Requester’s should include candidate number
and alpha number if applicable.
The system manager may require a notarized signature as a means
of proving the identity of the individual requesting access to
the records.
Record access procedures:
Individuals seeking access to information about themselves
contained in this system should address written inquiries to
the Superintendent, U.S. Naval Academy, 121 Blake Road,
Annapolis, MD 21402-1300.
Written requests should contain full name, current mailing
address, and SSN. Requester’s should include candidate number
and alpha number if applicable.
The system manager may require a notarized signature as a means
of proving the identity of the individual requesting access to
the records.
Record Source Categories:
From the individual; members of congress; school transcripts;
evaluations; other educational institutions; College Entrance
Examination Board and American College Testing scores; medical
reports/physical exam results; faculty and staff evaluations;
law enforcement agencies; Academic Board; evaluations from
current or former employers, mentors, teachers, supervisors or
coaches; grades; tests; conduct; performance; examinations;
peers; awards; DoD; counseling; parents; and records of
disclosure.
Exemptions claimed for the system:

Parts of the system may be exempt under 5 U.S.C 552a(k)(5),
(k)(6), or k(7), as applicable.
An exemption rule for this record system has been promulgated in
accordance with 5 U.S.C. 553(b)(1), (2), and 3, (c) and (e) and
published in 32 CFR part 701.128. For additional information
contact the system manager.