[Federal Register Volume 73, Number 245 (Friday, December 19, 2008)]
[Notices]
[Pages 77782-77785]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-29808]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2008-0140]


Privacy Act of 1974; United States Coast Guard-028 Family 
Advocacy Case Records 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 
United States Coast Guard legacy record system DOT/CG 631 Family 
Advocacy Case Records System (April 11, 2000) as a Department of 
Homeland Security system of records notice titled Family Advocacy 
United States Coast Guard Case Records. This system will allow the 
Department of Homeland Security to administer the United States Coast 
Guard Family Advocacy Program. Categories of individuals, categories of 
records, and the routine uses of this legacy system of records notice 
have been reviewed updated to better reflect the Department of Homeland 
Security/United States Coast Guard's--028 Family Advocacy Case Records 
system of records. Elsewhere in today's Federal Register, the 
Department is publishing a notice of proposed rulemaking to exempt this 
system of records from certain portions

[[Page 77783]]

of the Privacy Act. 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. This new system will be effective January 20, 2009.

ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0140 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 (November 25, 
2002), the Department of Homeland Security (DHS) and United States 
Coast Guard (USCG) have relied on previous Privacy Act systems of 
records notices for the collection and maintenance of records that 
concern the USCG-028 Family Advocacy Case Records system of records.
    As part of its efforts to streamline and consolidate its record 
systems, DHS is updating and reissuing a DHS/USCG system of records 
under the Privacy Act (5 U.S.C. 552a) that deals with USCG Family 
Advocacy Program. The collection and maintenance of this information 
will assist DHS/USCG in meeting its obligation to administer the DHS/
USCG Family Advocacy Program.
    In accordance with the Privacy Act of 1974 and as part of DHS's 
ongoing effort to review and update legacy system of records notices, 
DHS is giving notice that it proposes to update and reissue the 
following legacy record system DOT/CG 631 Family Advocacy Case Record 
System (65 FR 19476 April 11, 2000) as a DHS/USCG system of records 
notice titled DHS/USCG-028 Family Advocacy Case Records. This system 
will allow DHS/USCG to administer the USCG Family Advocacy Program. 
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 DHS/USCG-028 Family Advocacy Case Records system 
of records. This new system will be included in DHS'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 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 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 United States 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. Individuals may request access to 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 
part 5. When information about an adult dependent is contained in a 
Family Advocacy Case Record, that dependent may request access to the 
record maintained in a system of records in the possession or under the 
control of DHS by complying with DHS Privacy Act regulations, 6 CFR 
part 5. Information about individuals, other than the individual 
requesting access, will be redacted.
    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 of 
their records, and to assist individuals to more easily find such files 
within the agency. Below is the description of the Family Advocacy Case 
Records 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-028

System name:
    United States Coast Guard Family Advocacy Case Records.

Security classification:
    Unclassified.

System location:
    Records are maintained at the USCG Headquarters in Washington, DC, 
and servicing Work-Life Offices.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include active 
duty, reserve, and retired active duty and retired reserve military 
personnel and their dependents entitled to care at a USCG or other 
military or dental facility whose abuse or neglect is brought to the 
attention of appropriate authorities. Also included are persons 
suspected of abusing or neglecting such beneficiaries and persons 
presenting a need for preventive services.

Categories of records in this system include:
     Individual's name;
     Name of the suspected or confirmed abuser/neglecter or 
person in need of preventive services;
     Employee Identification Number and/or Social Security 
Number;
     Medical records of suspected and confirmed cases of family 
member abuse or neglect;
     Interviews and intake reports;
     Investigative reports;
     Correspondence;
     Family Advocacy Incident Determination Committee reports;

[[Page 77784]]

     Clinical assessment reports;
     State and/or local child protective services reports;
     Follow-up and evaluation reports; and
     Other supportive data assembled relevant to individual 
Family Advocacy Program files.

Authority for maintenance of the system:
    5 U.S.C. 301; 14 U.S.C. 632; the Federal Records Act; 42 U.S.C. 
5101, 5102; 44 U.S.C. 3101; COMDTINST 1750.7C.

Purpose(s):
    The purpose of this system is to administer the USCG Family 
Advocacy program, including to maintain records that identify, monitor, 
track and provide treatment to alleged offenders, eligible victims and 
their families of substantiated spouse/child abuse and neglect; and to 
manage prevention programs to reduce the incidence of abuse throughout 
the USCG military communities.

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

    Note: Disclosures generally permitted under 5 U.S.C. 552a(b) of 
the Privacy Act limit access to those individuals within the Coast 
Guard who have a ``need to know'' in order to perform their official 
duties. Confidential information contained in Family Advocacy Case 
Records should generally be limited to the servicing Family Advocacy 
Specialist, with access permissible to the Family Advocacy Program 
Manager and direct supervisor of the Family Advocacy Specialist, on 
a ``need to know'' basis. When direct and complete access to the 
record is given to any other personnel within the agency who does 
not have a ``need to know'' in order to perform their official 
duties, written permission of the service member and any identified 
adult dependent is required.


    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 (including United States 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 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.
    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) or harm to the 
individual who relies 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 Federal, State, or local government or private agencies, or 
approved researchers for coordination of family advocacy programs, 
medical care, mental health treatment, and research into the causes and 
prevention of family domestic violence and trends within the USCG.
    I. To Federal, State, or local governmental agencies when it is 
deemed appropriate to use civilian resources in counseling and treating 
individuals or families involved in child abuse or neglect or spouse 
abuse; or when appropriate or necessary to refer a case to civilian 
authorities for civil or criminal law enforcement; or when a state, 
county, or municipal child protective service agency inquires about a 
prior record of substantiated abuse for the purpose of investigating a 
suspected case of abuse.
    J. To victims and witnesses of a crime for purposes of providing 
information consistent with the requirements of the Victim and Witness 
Assistance Program, regarding the investigation and disposition of an 
offense.
    K. 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 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.

[[Page 77785]]

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 electronically on magnetic disc, tape, digital media, and 
CD-ROM.

Retrievability:
    Individual's name, social security number, types of incidents, 
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. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. Access to the computer system and/or paper files 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. Those individuals 
routinely granted full access are Family Advocacy Program staff. When 
appropriate, those individuals may share information with persons 
outside the Family Advocacy Program, which is generally limited to a 
summary of the incident; names of individuals involved, when 
appropriate; and overview of assessment, disposition and treatment 
recommendations.

Retention and disposal:
    Records are maintained at the servicing Work-Life Office until the 
case is closed or the service member is separated from the Coast Guard. 
Upon closure of the case or separation of the sponsor, the paper record 
will be transferred to Commandant, CG-1112, or retained at the 
servicing Work-Life Office. The record is retained for five years from 
case closure or last date of action. At the end of five years the 
record is destroyed, except for information concerning certain minor 
USCG dependents who are victims of child abuse, neglect, or sexual 
abuse. These records are retained until the dependent turns 18 years-
old. (AUTH: N1-26-05-8, Items, 1, 2, 3)

System Manager and address:
    Commandant, CG-111, Office of Work-Life-WP, Director, Personnel 
Management Directorate, United States Coast Guard Headquarters, 2100 
2nd Street, 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 Commandant, CG-111, Office of Work-
Life G-WP, Director, Personnel Management Directorate, United States 
Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
0001.
    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 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,
     Specify when you believe the records would have been 
created,
     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:
    Reports from medical personnel, educational institutions, law 
enforcement agencies, public and private health and welfare agencies, 
USCG personnel and private individuals.

Exemptions claimed for the system:
    The Secretary of Homeland Security has exempted this system from 
subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and 
(f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).

    Dated: December 10, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of Homeland Security.
 [FR Doc. E8-29808 Filed 12-18-08; 8:45 am]
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