1625-0119 SORN-USCG-014 Military Pay and Personnel



[Federal Register Volume 76, Number 209 (Friday, October 28, 2011)]
[Notices]
[Pages 66933-66937]
From the Federal Register Online via the Government Publishing Office [http://www.gpo.gov/]
[FR Doc No: 2011-27881]

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0072]

Privacy Act of 1974; Department of Homeland Security U.S. Coast
Guard DHS/USCG--014 Military Pay and Personnel System of Records

AGENCY: Privacy Office, DHS.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Homeland Security proposes to update and reissue an existing Department
of Homeland Security system of records titled, ``Department of Homeland
Security U.S. Coast Guard--014 Military Pay and Personnel System of
Records.'' This system of records allows the Department of Homeland
Security U.S. Coast Guard to collect and maintain records regarding pay
and personnel. As a result of a biennial review of this system, records
have been updated in the categories of individuals, categories of
records, purpose, and routine uses. This updated system will be
included in the Department of Homeland Security's inventory of record
systems.

DATES: Submit comments on or before November 28, 2011. This new system
will be effective November 28, 2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0072 by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov/.
Follow the instructions for submitting comments.
Fax: 1 (703) 483-2999.
Mail: Mary Ellen Callahan, Chief Privacy Officer, Privacy
Office, Department of Homeland Security, Washington, DC 20528.
Instructions: All submissions received must include the
agency name and docket number for this rulemaking. All comments
received will be posted without change to http://www.regulations.gov/,
including any personal information provided.
Docket: For access to the docket, to read background
documents, or comments received, go to http://www.regulations.gov/.

FOR FURTHER INFORMATION CONTACT: For general questions please contact:
Marilyn Scott-Perez ((202) 475-3515), Privacy Officer, U.S. Coast
Guard, 2100 2nd Street SW., Mail Stop 7101, Washington, DC 20593. For
privacy issues please contact: Mary Ellen Callahan ((703) 235-0780),
Chief Privacy Officer, Privacy Office, U.S. Department of Homeland
Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the
Department of Homeland Security (DHS) U.S. Coast Guard (USCG) proposes
to update and reissue an existing DHS/USCG system of records titled,
``DHS/USCG-014 Military Pay and Personnel System of Records'' 73 FR
77743, December 19, 2008. This system of records notice allows the USCG
to collect and maintain records regarding pay and personnel. As a
result of the biennial review of this system, categories of individuals
covered by the system have been updated to include active and reserve
service applicants and prospective applicants, civilian personnel, USCG
Auxiliary members, USCG exchange employees, and contractor personnel.
Records in the categories of records in the system have been updated to
include other Health Insurance Portability and Accountability Act
(HIPAA) related/protected data, background investigation and security
clearance information, government credit card status, data related to
information technology (IT) training, and information technology system
accounts, roles, and permissions. The purpose category has been updated
to include active and reserve service applicants and prospective
applicants, and separated military personnel, USCG civilian personnel,
USCG Auxiliary members, USCG exchange employees, and USCG contractor
personnel in addition to the continuity of operations (COOP)/personnel
accountability function. Lastly, routine uses of records maintained in
the system, including categories of users and the purposes of such uses
have been updated to include relevant insurance companies for the
purpose of health and life insurance requests and eligibility and to
the Department of Defense (DoD) for the purpose of preparing for and
during actual emergencies, exercises or continuity of operations tests
for the purpose of responding to emergency situations or to allow
emergency service personnel to locate the individual(s).

[[Page 66934]]

Consistent with DHS's information sharing mission, information
stored in the DHS/USCG-014 Military Pay and Personnel System may be
shared with other DHS components, as well as appropriate federal,
state, local, tribal, territorial, foreign, or international government
agencies. This sharing will only take place after DHS determines that
the receiving component or agency has a need to know the information to
carry out national security, law enforcement, immigration,
intelligence, or other functions consistent with the routine uses set
forth in this system of records notice. This updated system will be
included in DHS's inventory of record systems.

II. Privacy Act

The Privacy Act embodies fair information practice principles in a
statutory framework governing the means by which the U.S. Government
collects, maintains, uses, and disseminates individuals' records. The
Privacy Act applies to information that is maintained in a ``system of
records.'' A ``system of records'' is a group of any records under the
control of an agency for which information is stored and retrieved by
the name of an individual or by some identifying number, symbol, or
other identifying particular assigned to the individual. In the Privacy
Act, an individual is defined to encompass U.S. citizens and lawful
permanent residents. As a matter of policy, DHS extends administrative
Privacy Act protections to all individuals where systems of records
maintain information on U.S. citizens, lawful permanent residents, and
visitors.
Below is the description of the DHS/USCG-014 Military Pay and
Personnel System of Records.

III. Health Insurance Portability and Accountability Act

This system of records contains individually identifiable health
information. The HIPAA of 1996 applies to most of such health
information. DoD 6025.18-R may place additional procedural requirements
on the uses and disclosures of such information beyond those found in
the Privacy Act of 1974 or mentioned in this system of records notice.
In accordance with 5 U.S.C. 552a(r), DHS has provided a report of
this new system of records to the Office of Management and Budget and
to Congress.
System of Records
DHS/USCG-014

System name:
DHS/USCG-014 Military Pay and Personnel System

Security classification:
Unclassified.

System location:
Records are maintained at USCG Headquarters in Washington, DC and
field offices.

Categories of individuals covered by the system:
Categories of individuals covered by this system include active and
reserve service applicants and prospective applicants, civilian
personnel, active duty, reserve, retired active duty and retired
reserve USCG military personnel and their annuitants and dependents,
separated military personnel, USCG auxiliary members, USCG exchange
workers, and contractor personnel. Also included are active duty and
retired National Oceanic and Atmospheric Administration (NOAA) Officers
and their annuitants and dependents, as well as Officers of the
Commissioned Corps of the U.S. Public Health Service (PHS) and their
annuitants and dependents.

Categories of records in the system:
Categories of records in this system include:
Individual's name;
Social security number;
Employee identification number;
Date and place of birth;
Gender;
Minority designation and nationality;
Marital status;
Limited medical related information to include dates of
physical examinations, color blindness, immunizations, weight and body
mass index (and compliance to standards);
Other HIPAA related/protected data;
Addresses;
Total current monetary earnings, including overtime,
computed to the nearest dollar;
Number of hours worked;
Leave accrual rate;
Leave requests and balances;
Health and life insurance requests and eligibility;
Payroll deduction requests;
Information for the purpose of validating legal
requirements for garnishment of wages;
Salary rate;
Cash awards;
Retirement withholdings;
Background information to include work experience;
Education records, including: highest level achieved;
specialized education or training obtained in and outside of military
service; non-traditional education support records; achievement and
aptitude test results; academic performance records; correspondence
course rate advancement records; military performance records;
admissions processing records; grade reporting records; academic status
records; and transcript maintenance records;
Military duty assignments;
Ranks held;
Allowances;
Personnel actions such as promotions, demotions, or
separations;
Record of instances of Uniform Code of Military Justice
infractions;
Performance evaluations;
Background investigation, and security clearance
information;
Government credit card status;
Individual's desires for future assignments, training
requested, and notations by assignment officers;
Information for determinations of waivers and remissions
of indebtedness to the U.S. government;
Travel claims, transportation claims, government bills of
lading, and applications for shipment of household effects;
USCG housing records, including: housing surveys, computer
data summaries, and correspondence from the individual seeking housing;
Information regarding IT training, IT system accounts,
roles, permissions; and
Names, dates of birth, addresses, social security numbers,
and gender of annuitants and dependents of active duty, reserve, and
retired active duty and reserve military members.

Authority for maintenance of the system:
5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 5 U.S.C.
5501-5597; 10 U.S.C. 1043, 1147; 14 U.S.C. 92(I) 92(r), 93(g), 475,
512, 620, 632, 645, 681, 687; 37 U.S.C. 406; 42 U.S.C. 213, 253; 49 CFR
1.45, 1.46.

Purpose(s):
The purpose of this system is to administer the USCG active duty,
reserve, and retired active duty and retired reserve military pay and
personnel system. To accomplish personnel accountability for USCG
affiliated personnel in a natural or man-made disaster or when directed
by the USCG Commandant. The USCG may also collect information about
Service members and their dependents and civilian employees and their
dependents as well as all personnel

[[Page 66935]]

assigned to USCG for regular performance of duties including Officers
of the Commissioned Corps of the U.S. PHS and personnel in exchange or
reimbursable positions (per COOP requirements for personnel
accountability), and for needs assessment as a result of the natural or
man-made disaster.
The USCG may also use this accountability data for accountability
and assessment reporting exercises. The system is also used to
administer USCG civilian personnel formal USCG training course
management, security clearance data, competency, and accomplishment
data as well as tracking IT training, IT system accounts, roles, and
permissions for military, civilian, and contractor personnel.
Additionally, the system is used to provide necessary information to
the Department of Commerce (DOC) for NOAA Officers and to Department of
Health and Human Services (HHS) for Officers of the Commissioned Corps
of the U.S. PHS to administer their respective pay and personnel
system.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:

Note: This system of records contains individually identifiable
health information. The HIPAA of 1996, applies to most of such
health information. DoD 6025.18-R may place additional procedural
requirements on the uses and disclosures of such information beyond
those found in the Privacy Act of 1974 or mentioned in this system
of records notice. Therefore, routine uses outlined below may not
apply to such health information.

In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records of
information contained in this system may be disclosed outside DHS as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
A. To the Department of Justice (DOJ), including U.S. Attorney
Offices, or other federal agency conducting litigation or in
proceedings before any court, adjudicative or administrative body, when
it is necessary to the litigation and one of the following is a party
to the litigation or has an interest in such litigation:
1. DHS or any component thereof;
2. any employee of DHS in his/her official capacity;
3. any employee of DHS in his/her individual capacity where DOJ or
DHS has agreed to represent the employee; or
4. the U.S. or any agency thereof, is a party to the litigation or
has an interest in such litigation, and DHS determines that the records
are both relevant and necessary to the litigation and the use of such
records is compatible with the purpose for which DHS collected the
records.
B. To a congressional office from the record of an individual in
response to an inquiry from that congressional office made at the
request of the individual to whom the record pertains.
C. To the National Archives and Records Administration (NARA) or
other federal government agencies pursuant to records management
inspections being conducted under the authority of 44 U.S.C. 2904 and
2906.
D. To an agency, organization, or individual for the purpose of
performing audit or oversight operations as authorized by law, but only
such information as is necessary and relevant to such audit or
oversight function.
E. To appropriate agencies, entities, and persons when:
1. DHS suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised;
2. The Department has determined that as a result of the suspected
or confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether
maintained by DHS or another agency or entity) or harm to the
individual that rely upon the compromised information; and
3. The disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with DHS's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
F. To contractors and their agents, grantees, experts, consultants,
and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for DHS, when necessary to
accomplish an agency function related to this system of records.
Individuals provided information under this routine use are subject to
the same Privacy Act requirements and limitations on disclosure as are
applicable to DHS officers and employees.
G. To an appropriate federal, state, tribal, local, international,
or foreign law enforcement agency or other appropriate authority
charged with investigating or prosecuting a violation or enforcing or
implementing a law, rule, regulation, or order, where a record, either
on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal,
civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the
disclosure.
H. To the Department of Treasury (DOT) for the purpose of
disbursement of salary, U.S. Savings Bonds, allotments, or travel claim
payments.
I. To appropriate insurance agencies/companies for the purpose of
health and life insurance requests and eligibility.
J. To the DOC and HHS to administer their respective pay and
personnel systems for NOAA Officers and Officers of the Commissioned
Corps of the PHS, respectively.
K. To Federal, State, and local government agencies to disclose
earnings and tax information, including the Internal Revenue Service
(IRS) and the Social Security Administration (SSA).
L. To DoD and Veterans Administration (VA) for determinations of
benefit eligibility for military members and their dependents.
M. To DoD for manpower and readiness planning.
N. To the Comptroller General for the purpose of processing waivers
and remissions.
O. To an individual's spouse, or person responsible for the care of
the individual concerned when the individual to whom the record
pertains is mentally incompetent, critically ill, or under other legal
disability for the purpose of assuring the individual is receiving
benefits or compensation they are entitled to receive.
P. To a requesting government agency, organization, or individual
the home address and other relevant information on those individuals
who, it is reasonably believed, might have contracted an illness, been
exposed to, or suffered from a health hazard while a member of
government service.
Q. To other government agencies for the purpose of earnings
garnishment.
R. To DoD for the purpose of preparing the Register of Officers and
Register of Reserve Officers, which is provided to all USCG officers.
S. To education institutions or training facilities for purposes of
enrollment and verification of employee attendance and performance.
T. To DoD for the purpose of preparing for and during actual
emergencies, exercises or COOP tests for the purpose of responding to
emergency situations or to allow emergency service.
U. To the news media and the public, with the approval of the Chief
Privacy Officer in consultation with counsel, when there exists a
legitimate public interest in the disclosure of the information or when
disclosure is

[[Page 66936]]

necessary to preserve confidence in the integrity of DHS or is
necessary to demonstrate the accountability of DHS's officers,
employees, or individuals covered by the system, except to the extent
it is determined that release of the specific information in the
context of a particular case would constitute an unwarranted invasion
of personal privacy.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored electronically or on paper in
secure facilities in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, CD-ROM, and DVD.

Retrievability:
Records may be retrieved by name, social security number, or
employee identification number.

Safeguards:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DHS automated
systems security and access policies as well as those of the USCG. A
defense in depth strategy has been employed. Overlapping and
complimentary management, operational and technical security controls
have been implemented and followed to minimize the risk of compromising
the confidentiality or adversely impacting the integrity of the
information that is being stored, processed, and/or transmitted. Access
to the computer system(s) containing the records in this system is
limited to those individuals who have a verified need to know the
information for the performance of their official duties and who have
appropriate clearances or permissions.

Retention and disposal:
In accordance with General Records Schedule (GRS) 9, Item 1c and 3,
travel and transportation of household effects records are temporary
and are destroyed seven years after the period covered by account.
In accordance with NC1-26-76-2, item 359 and NC1-26-80-4, item 151,
PHS Commissioned Officer Corps staffing and recruiting records are
temporary and are transferred to the PHS Commission Personnel Operation
Division upon completion of the USCG assignment.
In accordance with NC1-26-76-2, items 559 and 561 and NC1-26-80-4,
item 338b, military training and education records are temporary,
including training courses and related material, school and training
files containing correspondence, reports and related paper on USCG and
Navy schools and trainee index cards. These records are destroyed when
five years old. In accordance with GRS 2, item 29 b, civilian training
education records are destroyed after five years.
In accordance with NC1-26-80-4, items 338b, 338c, 338d and 338e,
class folders containing military personal and service history, muster
card files, and recruit training record cards are destroyed when one
year old.
In accordance with N1-330-04-1, item 1, military personnel system
(Official Military Personnel File (OMPF)) records are permanent and
folders are transferred to the National Personnel Records Center (NPRC)
six months after separation. OMPF records are transferred to NARA 62
years after the date of retirement or separation.
In accordance with NC1-26-76-2, items 583a and 584a and N1-330-04-
1, item 1, officer selection and appointment system records, officer
candidates and direct commission program application for selected
applicants are filed in the OMPF.
In accordance with NC1-26-76-2, item 583b, non-selected officer
candidate applicant's records are destroyed six months after deadline
dates for class which application is made.
In accordance with NC1-26-79-2, item 584b, non-selected direct
commission program applicants records are destroyed one year from date
of board by which considered.
In accordance with NC1-26-80-4, item 337b, Officer Candidates
School and direct commission officer applicant files containing copies
of applications for appointment in the USCG reserve, interviews,
reports, and medical examination are destroyed when one year after
period covered by account.
In accordance with NC1-26-76-2, item 587, applicant files are
destroyed one year after the period covered by account.
In accordance with GAO-SCHED/5/1 and NC1-26-80-4, item 99d,
military pay records are destroyed 56 years after the period covered by
account.
In accordance with SSIC 7400, item 1 and NC1-26-76-2, items 184 and
99s, military personnel FICA wage credit, federal income tax listings,
leave and earnings statements and pay records are microfilmed and
retained onsite for four years, then archived at the Federal Record
Center, and destroyed 50 years after the period covered by account.
In accordance with GRS 15, item 3, USCG family housing records are
temporary and destroyed two years after the period covered by account.
In accordance with GRS 25, item 1a, outside employment of active
duty USCG personnel records are temporary and destroyed when three
years old or when superseded or obsolete, whichever is later.
Duplicate magnetic copies of the pay and personnel record are
retained at an offsite facility for a useful life of seven years.
In accordance with GRS 24, item 61, information regarding IT
training, IT system accounts, roles, permissions, Automatic
Identification System user access authorization/revocation, and
password files are destroyed one year after user account is terminated,
password altered, or when no longer needed for investigative or
security purposes.
Paper records for waivers and remissions are retained on site and
destroyed six years three months after the determination.
In accordance with GRS 2, item 18, paper records to determine legal
sufficiency for garnishment are destroyed six years three months after
the period covered by account when the member separates from service or
garnishment is terminated. Federal employee records are destroyed three
years after garnishment is terminated.
Records concerning congressional correspondence are maintained
indefinitely because they have been determined to be of historical
value.

System Manager and address:
For active duty military personnel, civilian personnel, and
separated personnel of the USCG: Chief, Office of Personnel, USCG
Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. For USCG
reserve military personnel and retired USCG reserve military personnel
waiting pay at age 60: Chief, Office of Reserve Affairs, USCG
Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. For USCG
waivers and remissions: Chief, Personnel Services Division, Office of
Military Personnel, USCG Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593-0001. For records used to determine legal
sufficiency for garnishment of wages and pay records: Commanding
Officer, USCG, Personnel Services Center, 444 SE., Quincy Street,
Topeka, KS 66683-3591. For data added to the decentralized data segment
the commanding officer, officer-in-charge of the unit handling the
military

[[Page 66937]]

personnel's pay and personnel record, or Chief, Administrative Services
Division for individuals whose records are handled by USCG Headquarters
2100 2nd Street, SW., Washington, DC 20593-0001.
For active and reserve service applicants and prospective
applicants: Commanding Officer, USCG Recruiting Command, STOP 7500,
2300 Wilson Blvd. Suite 500, Arlington, VA 20598-7500.
For retired active USCG military personnel and their annuitants and
dependents: Commanding Officer, USCG, Personnel Services Center, 444
SE., Quincy Street, Topeka, KS 66683-3591.
For USCG auxiliary members: Director of Auxiliary, USCG, 2100 2ND
ST, SW., STOP 7581, Washington, DC 20593-7581.
For USCG exchange workers: Commandant (G-WPX), USCG Exchange
System, CGES & MWR Headquarters, 870 Greenbrier Circle, Greenbrier
Tower II, Suite 502, Chesapeake, VA 23320-2681.
For contractor personnel: Commandant (USCG-9), USCG Headquarters,
1900 Half Street, SW., Washington, DC 20593.
For NOAA members: National Oceanic and Atmospheric Administration,
Commissioned Personnel Division, 11400 Rockville Pike, Rockville, MD
20852.
For Officers of the Commissioned Corps: U.S. Public Health Service
Office of Commissioned Corps Operations, 1100 Wootton Parkway, Suite
100, Rockville, MD 20852.

Notification procedure:
Individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content,
may submit a request in writing to: For active duty military personnel
of the USCG: Chief, Office of Personnel, USCG Headquarters, 2100 2nd
Street, SW., Washington, DC 20593-0001. For USCG reserve military
personnel and retired USCG reserve military personnel awaiting pay at
age 60: Chief, Office of Reserve Affairs, USCG Headquarters, 2100 2nd
Street, SW., Washington, DC 20593-0001. For USCG waivers and
remissions: Chief, Personnel Services Division, Office of Military
Personnel, USCG Headquarters, 2100 2nd Street, SW., Washington, DC
20593-0001. For records used to determine legal sufficiency for
garnishment of wages and pay records: Commanding Officer, USCG,
Personnel Services Center, 444 SE., Quincy Street, Topeka, KS 66683-
3591. For data added to the decentralized data segment the commanding
officer, officer-in-charge of the unit handling the individual's pay
and personnel record, or Chief, Administrative Services Division for
individuals whose records are handled by USCG Headquarters, 2100 2nd
Street, SW., Washington, DC 20593-0001.
For NOAA members: National Oceanic and Atmospheric Administration,
Commissioned Personnel Division, 11400 Rockville Pike, Rockville, MD
20852.
For Officers of the Commissioned Corps: U.S. Public Health Service,
Office of Commissioned Corps Operations, 1100 Wootton Parkway, Suite
100, Rockville, MD 20852. If an individual believes more than one
component maintains Privacy Act records, the individual may submit the
request to the Chief Privacy Officer and Chief Freedom of Information
Act Officer, Department of Homeland Security, 245 Murray Drive, SW.,
Building 410, STOP-0655, Washington, DC 20528.
When seeking records about yourself from this system of records or
any other USCG system of records your request must conform with the
Privacy Act regulations set forth in 6 CFR part 5. You must first
verify your identity, meaning that you must provide your full name,
current address and date and place of birth. You must sign your
request, and your signature must either be notarized or submitted under
28 U.S.C. 1746, a law that permits statements to be made under penalty
of perjury as a substitute for notarization. While no specific form is
required, you may obtain forms for this purpose from the Chief Privacy
Officer and Chief Freedom of Information Act Officer, http://www.dhs.gov/ or 1-(866) 431-0486. In addition you should provide the
following:
An explanation of why you believe the Department would
have information on you;
Identify which component(s) of the Department you believe
may have the information about you;
Specify when you believe the records would have been
created;
Provide any other information that will help the FOIA
staff determine which DHS component agency may have responsive records;
and
If your request is seeking records pertaining to another
living individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records.
Without this bulleted information the USCG may not be able to
conduct an effective search, and your request may be denied due to lack
of specificity or lack of compliance with applicable regulations.

Record access procedures:
See ``Notification procedure'' above.

Contesting record procedures:
See ``Notification procedure'' above.

Record source categories:
Individuals, USCG personnel officials, NOAA personnel officials,
DoD, PHS personnel officials, previous employers, educational
institutions, court records, and test results.

Exemptions claimed for the system:
None.

Dated: September 22, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-27881 Filed 10-27-11; 8:45 am]
BILLING CODE 9110-04-P