[Federal Register Volume 73, Number 245 (Friday, December 19, 2008)]
[Notices]
[Pages 77802-77804]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-29844]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2008-0141]


Privacy Act of 1974; United States Coast Guard--021 Appointment 
of Trustee or Guardian for Mentally Incompetent Personnel Files 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 and as part of the 
Department of Homeland Security's ongoing effort to review and update 
legacy system of records notices, the Department of Homeland Security 
is giving notice that it proposes to update and reissue the following 
legacy record system DOT/CG 637 Appointment of Trustee or Guardian for 
Mentally Incompetent Personnel (April 11, 2000) as a Department of 
Homeland Security system of records notice titled, DHS/USCG--021 
Appointment of Trustee or Guardian for Mentally Incompetent Personnel. 
Categories of individuals, categories of records, and the routine uses 
of this legacy system of records notice have been reviewed and updated 
to better reflect the Department of Homeland Security, United States 
Coast Guard's Appointment of Trustee or Guardian for Mentally 
Incompetent Personnel record system. This new system will be included 
in the Department of Homeland Security's inventory of record systems.

DATES: Written comments must be submitted on or before January 20, 
2009.

ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0141 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 1-866-466-5370.
     Mail: Hugo Teufel III, 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 and may be read at 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: 
David Roberts (202-475-3521), Privacy Officer, United States Coast 
Guard. For privacy issues please contact: Hugo Teufel III (703-235-
0780), Chief Privacy Officer, Privacy Office, U.S. Department of 
Homeland Security, Washington, DC 20528.

SUPPLEMENTARY INFORMATION:

I. Background

    Pursuant to the savings clause in the Homeland Security Act of 
2002, Public Law 107-296, Section 1512, 116 Stat. 2310 (Nov. 25, 2002), 
the Department of Homeland Security (DHS) and its components and 
offices have relied on preexisting Privacy Act systems of records 
notices for the maintenance of records that concern the appointment of 
a trustee or guardian for mentally incompetent United States Coast 
Guard (USCG) personnel and for their dependents who are eligible for 
annuities.
    As part of its efforts to streamline and consolidate its record 
systems, DHS is updating and reissuing a USCG system of records under 
the Privacy Act (5 U.S.C. 552a) that deals with the appointment of a 
trustee or guardian for mentally incompetent USCG personnel and for 
their dependents who are eligible for annuities. This record system 
will allow DHS/USCG to collect and preserve the records regarding the 
appointment of a trustee or guardian for mentally incompetent USCG 
personnel. The collection and maintenance of this information will 
assist DHS/USCG in meeting its obligation to maintain information on 
incompetent USCG military personnel, their dependents and survivors for 
the purpose of determining eligibility for DHS/USCG benefits such as 
military retired pay or the Survivor Benefit Plan for dependents, and 
the closely-related Veterans Affairs benefits.
    In accordance with the Privacy Act of 1974 and as part of the 
Department of Homeland Security's ongoing effort to review and update 
legacy system of records notices, the Department of Homeland Security 
is giving notice that it proposes to update and reissue the following 
legacy record system DOT/CG 637 Appointment of Trustee or Guardian for 
Mentally Incompetent Personnel (65 FR 19476 4/11/2000) as a Department 
of Homeland Security/United States Coast Guard system of records notice 
titled, Appointment of Trustee or Guardian for Mentally Incompetent 
Personnel. Categories of individuals and categories of records have 
been reviewed, and the routine uses of this legacy system of records 
notice have been updated to better reflect the Department of Homeland 
Security and the United States Coast Guard's Appointment of Trustee or 
Guardian for Mentally Incompetent Personnel record system. This new 
system will be included in the Department of Homeland Security's 
inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information principles in a statutory 
framework governing the means by which the United States Government 
collects, maintains, uses and

[[Page 77803]]

disseminates personally identifiable information. 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 from which information is stored and retrieved by the name of 
the individual or by some identifying number such as property address, 
mailing address, or symbol assigned to the individual. In the Privacy 
Act, an individual is defined to encompass United States citizens and 
lawful permanent residents. DHS extends administrative Privacy Act 
protections to all individuals where information is maintained on U.S. 
citizens, lawful permanent residents, and visitors. Individuals may 
request their own records that are maintained in a system of records in 
the possession or under the control of DHS by complying with DHS 
Privacy Act regulations, 6 CFR 5.21. An approved trustee or guardian 
may do the same on behalf of an individual.
    The Privacy Act requires each agency to publish in the Federal 
Register a description denoting the type and character of each system 
of records that the agency maintains, and the routine uses that are 
contained in each system in order to make agency record keeping 
practices transparent, to notify individuals regarding the uses to 
which personally identifiable information is put, and to assist 
individuals to more easily find such files within the agency. Below is 
the description of the Appointment of Trustee or Guardian for Mentally 
Incompetent Personnel Files System of Records.

III. Health Insurance Portability and Accountability Act

    This system of records contains individually identifiable health 
information. The Health Insurance Portability and Accountability Act of 
1996, applies to most of such health information. Department of Defense 
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-021.

System name:
    United States Coast Guard--021 Appointment of Trustee or Guardian 
for Mentally Incompetent Personnel.

Security classification:
    Unclassified.

System location:
    Records are maintained at the United States Coast Guard 
Headquarters in Washington, DC and field offices.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include Coast 
Guard military personnel (regular, reserve, active duty and retired) 
and their dependents or survivors who are mentally incompetent and the 
guardian or trustee.

Categories of records in the system:
    Categories of records in this system include:
     Individual's name;
     Guardian trustee's name and contact information;
     Information relating to the mental incompetence of certain 
Coast Guard personnel, their dependents or survivors;
     Records used to assist USCG officials in appointing 
guardian trustees to mentally incompetent USCG personnel.

Authority for maintenance of the system:
    5 U.S.C. 301; 10 U.S.C. 1448, 1449; 14 U.S.C. 632; 37 U.S.C. 601-
604; 33 CFR 49.05; 49 CFR 1.45, 1.46.

Purpose(s):
    The purpose of this system is to maintain information on mentally 
incompetent USCG military personnel, their dependents and survivors to 
determine eligibility for DHS/USCG benefits such as military retired 
pay or the Survivor Benefit Plan for survivors, and the closely-related 
Veterans Affairs benefits.

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 Health Insurance Portability and Accountability 
Act of 1996, applies to most of such health information. Department of 
Defense 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 or other Federal agency conducting 
litigation or in proceedings before any court, adjudicative or 
administrative body, when:
    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 United States 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 or by the 
individual's approved trustee or guardian.
    C. To the National Archives and Records Administration 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) 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.

[[Page 77804]]

    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 prospective or approved guardian trustees or appointees, 
including but not limited to relatives, lawyers, and physicians or 
other designated representatives;
    I. To the Department of Veteran's Affairs upon request for the 
determination of eligibility for benefits administered by that agency.

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, and CD-ROM.

Retrievability:
    Records may be retrieved alphabetically by name.

Safeguards:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. Access to the computer system containing the records in this 
system is limited to those individuals who have a need to know the 
information for the performance of their official duties and who have 
appropriate clearances or permissions. The system maintains a real-time 
auditing function of individuals who access the system. Additional 
safeguards may vary by component and program.

Retention and disposal:
    Records are retained for five years after action is complete, then 
destroyed. (AUTH: NC1-26-76-2, Item 577)

System Manager and address:
    Director, Personnel Management Directorate, CG-12, United States 
Coast Guard Headquarters, 1900 Half St., SW., Washington, DC 20593-
0001.

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 USCG, Commandant (CG-611), 2100 2nd 
St., SW., Attn: FOIA Coordinator, Washington, DC 20593-0001.
    When seeking records about yourself or on behalf of a mentally 
incompetent person for whom you have been appointed trustee or guardian 
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 to you under 28 U.S.C. 1746, a law that permits statements 
to be made under penalty or perjury as a substitute for notarization. 
While no specific form is required, you may obtain forms for this 
purpose from the Director, Disclosure and FOIA, 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 or an incompetent person for whom you have been 
appointed trustee or guardian,
     Specify when you believe the records would have been 
created,
     If your request is seeking records pertaining to another 
living individual for you to access his/her records, you must include a 
statement from that individual certifying his/her agreement or 
documentation that confirms your authority to act on behalf of that 
individual.
    Without this bulleted information the USCG will not be able to 
conduct an effective search, and your request may be denied due to lack 
of specificity, lack of compliance with applicable regulations, or 
insufficient authority to act on behalf of an incompetent individual.

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

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

Record source categories:
    Coast Guard officials, legal representatives of individuals and/or 
individuals concerned, medical personnel, and complainants.

Exemptions claimed for the system:
    None.

    Dated: December 10, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. E8-29844 Filed 12-18-08; 8:45 am]
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