[Federal Register Volume 79, Number 211 (Friday, October 31, 2014)]
[Pages 64809-64812]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-25909]



Office of the Secretary

[Docket No. DHS-2014-0053]

Privacy Act of 1974; Department of Homeland Security/United 
States Coast Guard--010 Physical Disability Evaluation System Files 
System of Records

AGENCY: Privacy Office, Department of Homeland Security.

ACTION: Notice of Privacy Act System of Records.


SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security proposes to update and reissue a current Department 
of Homeland Security system of records titled, ``Department of Homeland 
Security/United States Coast Guard Physical Disability Evaluation 
System Files System of Records.'' This system of records allows the 
Department of Homeland Security/United States Coast Guard to collect 
and preserve the records regarding physical disability evaluation 
proceedings. As a result of the biennial review of this system, the 
system manager and address category has been updated. This updated 
system will be included in the Department of Homeland Security's 
inventory of record systems.

DATES: Submit comments on or before December 1, 2014. This updated 
system will be effective December 1, 2014.

ADDRESSES: You may submit comments, identified by docket number DHS-
2014-0053 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-343-4010.
     Mail: Karen L. Neuman, 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, please visit http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Marilyn Scott-Perez (202-475-3515), Privacy Officer, Commandant (CG-
61), United States Coast Guard, Mail Stop

[[Page 64810]]

7710, Washington, DC 20593. For privacy questions, please contact: 
Karen L. Neuman, (202) 343-1717, Chief Privacy Officer, Privacy Office, 
Department of Homeland Security, Washington, DC 20528.


I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Homeland Security (DHS) United States Coast Guard 
proposes to update and reissue a current DHS system of records titled, 
DHS/United States Coast Guard-010 Physical Disability Evaluation System 
Files System of Records.'' The DHS/USCG-010 Physical Disability 
Evaluation System Files System of Records will allow the Department of 
Homeland Security/United States Coast Guard to collect and preserve the 
records regarding physical disability evaluation proceedings. As a 
result of a biennial review of the system, the system manager and 
address category has been updated to reflect the new mail stop.
    Consistent with DHS's information-sharing mission, information 
stored in the DHS/USCG-010 Physical Disability Evaluation System Files 
System of Records may be shared with other DHS components that have a 
need to know the information to carry out their national security, law 
enforcement, immigration, intelligence, or other homeland security 
functions. In addition, information may be shared with appropriate 
federal, state, local, tribal, territorial, foreign, or international 
government agencies 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 Federal Government 
agencies collect, maintain, use, and disseminate 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 from 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 U.S. citizens and lawful 
permanent residents. As a matter of policy, DHS extends administrative 
Privacy Act protections to all individuals when systems of records 
maintain information on U.S. citizens, lawful permanent residents, and 
    Below is the description of the DHS/USCG-010 Physical Disability 
Evaluation System Files System of Records.
    In accordance with 5 U.S.C. 552a(r), DHS has provided a report of 
this system of records to the Office of Management and Budget and to 
System of Records
Department of Homeland Security (DHS)/USCG-010

System name:
    DHS/USCG-010 Physical Disability Evaluation System Files System of 

Security classification:

System location:
    Records are maintained at the United States Coast Guard 
Headquarters in Washington, DC, and in field offices. Case Matter 
Management Tracking System (CMMT) is the information technology (IT) 
system in which records associated with this function are maintained.

Categories of individuals covered by the system:
    All USCG active duty and reserve personnel who are referred for 
potential separation or retirement for physical disability.

Categories of records in the system:
    Categories of records in this system include:
     Social Security number (SSN) and/or Employee ID (EmpID);
     Informal Physical Evaluation Board files;
     Formal Physical Evaluation Board files;
     International Classification of Diseases code (ICD);
     Physical Review Council files;
     Physical Disability Appeal Board files; and
     Physical Disability Board of Review files.

Authority for maintenance of the system:
    Departmental Regulations 5 U.S.C. 301; 14 U.S.C. 632; the Federal 
Records Act, 44 U.S.C. 3101; 10 U.S.C. Chapter 61.

    The purpose of this system is to document physical disability 
evaluation proceedings and ensure equitable application of the 
provisions of Title 10, United States Code, Chapter 61, which relates 
to the separation or retirement of military personnel by reason of 
physical disability.

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

    Note: For records of identity, diagnosis, prognosis, or 
treatment of any client/patient maintained in connection with the 
performance of any alcohol or drug abuse prevention and treatment 
function conducted, requested, or directly or indirectly assisted by 
any department or agency of the United States, irrespective of 
whether or when he/she ceases to be a client/patient, shall except 
as provided therein, be confidential and be disclosed only for the 
purposes and under circumstances expressly authorized in 42 U.S.C. 
290dd-2. This statute takes precedence over the Privacy Act of 1974 
to the extent that disclosure is more limited. The routine uses set 
forth below do not apply to this information. However, access to the 
record by the individual to whom the record pertains is governed by 
the Privacy Act. These alcohol and drug abuse patient records may be 

    A. To medical personnel to the extent necessary to meet a bona fide 
medical emergency;
    B. To qualified personnel for the purpose of conducting scientific 
research, management audits, financial audits, or program evaluation 
provided that employees are individually identified;
    C. To the employee's medical review official;
    D. To the administrator of any Employee Assistance Program in which 
the employee is receiving counseling or treatment or is otherwise 
    E. To any supervisory or management official within the employee's 
agency having authority to take adverse personnel action against such 
employee; or
    F. Pursuant to the order of a court of competent jurisdiction when 
required by the United States Government to defend against any 
challenge against any adverse personnel action. See 42 U.S.C. 290dd, 
290ee, and Public Law 100-71, Section 503(e).

    Note: For all other records besides those noted above, 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 
protected health information.

    In addition to those disclosures generally permitted under 5 U.S.C.

[[Page 64811]]

552a(b) of the Privacy Act, all or a portion of the records or 
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 Offices of the 
U.S. Attorney, or other federal agency conducting litigation or in 
proceedings before any court, adjudicative, or administrative body, 
when it is relevant or necessary to the litigation and one of the 
following is a party to the litigation or has an interest in such 
    1. DHS or any component thereof;
    2. Any employee or former employee of DHS in his/her official 
    3. Any employee or former employee of DHS in his/her individual 
capacity when DOJ or DHS has agreed to represent the employee; or
    4. The United States or any agency thereof.
    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 
General Services Administration pursuant to records management 
inspections being conducted under the authority of 44 U.S.C. 2904 and 
    D. To an agency or organization 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 
    2. DHS has determined that as a result of the suspected or 
confirmed compromise, there is a risk of identity theft or fraud, harm 
to economic or property interests, harm to an individual, 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.
    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, when 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 
    H. To the Department of Veterans Affairs for assistance in 
determining the eligibility of individuals for benefits administered by 
that agency, and available to the U.S. Public Health Service or the 
Department of Defense medical personnel in connection with the 
performance of their official duties.
    I. 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:

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
    USCG stores records in this system electronically or on paper in 
secure facilities in a locked drawer behind a locked door. The records 
may be stored on magnetic disc, tape, digital media.

    USCG retrieves records by name, social security number, employee 
identification number, command, date, and the diagnosis or 
International Classification of Diseases (ICD) code.

    USCG safeguards records in this system in accordance with 
applicable rules and policies, including all applicable DHS automated 
systems security and access policies. DHS imposes strict controls 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.

Retention and disposal:
    USCG transfers records to the National Personnel Records Center, 
Military Personnel Records NPRC (MPRC) three years after last activity. 
USCG destroys records 50 years from the date of the latest document in 
the record. (AUTH: NC1-26-82-5, Item 2a2).

System Manager and address:
    Commander (CG-PSC), United States Coast Guard, 4200 Wilson 
Boulevard, Mail Stop 7200, Arlington, VA 20598-7200.

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 the Commandant (CG-611), United 
States Coast Guard, Mail Stop 7710, Washington, DC 20593. If an 
individual believes more than one component maintains Privacy Act 
records concerning him or her, the individual may submit the request to 
the Chief Privacy Officer and Chief Freedom of Information Act (FOIA) 
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 Departmental 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,

[[Page 64812]]

http://www.dhs.gov/foia or 1-866-431-0486. In addition, you should:
     Explain 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; and
     Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records; 
    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 the above information, the component(s) 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:
    Records are obtained from information in records developed through 
proceedings of administrative bodies listed in ``Categories of 
records'' above.

Exemptions claimed for the system:

    Dated: October 17, 2014.
Karen L. Neuman,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2014-25909 Filed 10-30-14; 8:45 am]