[Federal Register Volume 76, Number 96 (Wednesday, May 18, 2011)]
[Notices]
[Pages 28795-28798]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-12029]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0035]


Privacy Act of 1974; Department of Homeland Security United 
States Coast Guard-024 Auxiliary Database 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/United States Coast Guard-024 Auxiliary Database (AUXDATA) 
System of Records.'' This system of records will allow the Department 
of Homeland Security/United States Coast Guard to track and report 
contact, activity, performance, and achievement information about the 
members of its volunteer workforce element, the United States Coast 
Guard Auxiliary. As a result of the biennial review of this system, 
records have been updated in the ``Retention and Disposal'' category to 
reflect the specific retention schedules for personal information, 
Auxiliary qualifications information, Auxiliary activities information, 
information on facilities, and Auxiliarists. This updated system will 
be included in the Department of Homeland Security's inventory of 
record system.

DATES: Submit comments on or before June 17, 2011. This system will be 
effective

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0035 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 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.

[[Page 28796]]

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: 
Eileen Yenikaliotis (202-475-3515), Privacy Officer, United States 
Coast Guard, 2100 2nd Street, SW., 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.Sec.  552a the 
Department of Homeland Security (DHS) United States Coast Guard (USCG) 
proposes to update and reissue an existing DHS system of records 
titled, ``DHS/USCG-024 Auxiliary Database (AUXDATA) System of 
Records.''
    The AUXDATA system is the USCG's information system that tracks and 
reports contact, activity, performance, and achievement information 
about the members of its volunteer workforce element, the USCG 
Auxiliary. To become an Auxiliarist, an individual must be at least 17 
years of age, be a U.S. citizen, and successfully complete an 
enrollment process that includes a background check conducted through 
the Coast Guard Security Center (SECCEN) and the Office of Personnel 
Management (OPM). Vessel ownership, aircraft ownership, radio station 
ownership, or special skills are desirable, but not mandatory. When an 
applicant's Auxiliary enrollment package is forwarded to the Coast 
Guard District Director of Auxiliary office, the information about the 
applicant is entered into the AUXDATA system. This places the applicant 
in an Auxiliary membership status of ``Approval Pending'' until the 
completion of the required background check. During this time, the 
applicant is issued an Employee Identification number and identified as 
an Auxiliarist with a membership status prior to the completion of the 
background check. The applicant can begin participating in training, 
Auxiliary activities, and get limited credit for the participation 
until the completion of the background check. The majority of 
applicants ultimately receive favorable background check results and 
their membership status is changed to ``Initially Qualified'' or 
``Basically Qualified'' in AUXDATA depending upon their personal 
training history. If an applicant receives an unfavorable background 
check, the individual is disenrolled from the Auxiliary. The handling 
and retention of applicant information in AUXDATA is the same 
regardless of the duration of the membership and is archived until the 
record is destroyed/deleted 30 years after disenrollment.
    As a result of the biennial review of this system, the ``Retention 
and disposal'' category has been amended as follows:
    Information collected by AUXDATA is stored for a minimum of five 
years after the record is created, then retained and destroyed in 
accordance with USCG Commandant Instruction M5212.12 (series), 
Information and Life Cycle Management Manual, approved by the National 
Archives and Records Administration (NARA).
     Personal information (name, employee identification 
number, address, birth date, phone number) is destroyed/deleted 30 
years after disenrollment or death of a member. (AUTH: N1-26-05-10)
     Item 2a Information on facilities (boats, radio stations 
or aircraft owned by Auxiliarists as well as facility identification 
numbers (e.g. boat license number) destroy/delete data 5 years after 
facility becomes inactive or is withdrawn from service. (AUTH: N1-26-
05-10) Item 2c(1)
     Item 2b Auxiliary qualifications information (formal 
designations in program disciplines that result from successful 
completion of training regimens, for example: Class instructor, vessel 
examiner, boat coxswain, and certifications and licenses); Training 
Management Tool destroy/delete data 30 years after disenrollment or 
death of a member. (AUTH: N1-26-05-10)
     Item 2d Auxiliary activities information (patrols 
conducted, classes taught); destroy/delete data when no longer needed 
for administrative use or 5 years after final action is completed. 
(AUTH: N1-26-05-10)
    Consistent with DHS' information sharing mission, information 
stored in the DHS/USCG Auxiliary Database (AUXDATA) System of Records 
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 occur 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' 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 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-024 Auxiliary 
Database System of Records.
    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-024

System name:
    United States Coast Guard Auxiliary Database (AUXDATA).

Security classification:
    Unclassified.

System location:
    Records are maintained at the USCG Headquarters in Washington, DC, 
the USCG Operations Systems Center in Martinsburg, WV, and field 
offices.

Categories of individuals covered by the system:
    As of January 2011, the Auxiliary had approximately 30,400 members 
in active status and approximately 7,000 members in retired status 
(i.e., members who have 15 years of recorded Auxiliary membership but 
no longer desire to engage in Auxiliary activities). Categories of 
individuals covered by this system include all current and former USCG 
Auxiliarists, the volunteer workforce element of the USCG. This 
includes applicants who have submitted requisite information to the 
USCG as part of the enrollment process. The enrollment process entails 
submission of this information, verification of

[[Page 28797]]

proper age and U.S. citizenship, and completion of a background check 
conducted through the Coast Guard Security Center (SECCEN) and the 
Office of Personnel Management (OPM). Auxiliary enrollment ends upon 
disenrollment, retirement, or death. An Auxiliarist's AUXDATA records 
are archived upon the end of their enrollment.

Categories of records in the system:
    Categories of records in this system include:
     Personal information (name, employee identification 
number, address, birth date, phone number);
     Auxiliary qualifications information (formal designations 
in program disciplines that result from successful completion of 
training regimens, for example: class instructor, vessel examiner, boat 
coxswain, and certifications and licenses);
     Auxiliary activities information (patrols conducted, 
classes taught); and
     Information on facilities (boats, radio stations or 
aircraft-owned by Auxiliarists as well as facility identification 
numbers (e.g. boat license number).

Authority for maintenance of the system:
    5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 14 U.S.C. 
632, 830, and 831; COMDTINST M16790.1 (series).

Purpose(s):
    This system is the primary information management tool for the USCG 
Auxiliary program. As the repository for personal and activity data for 
Auxiliarists and the units they comprise, AUXDATA is routinely used at 
local, regional, and national USCG levels to measure and monitor the 
levels of support that the Auxiliary provides to USCG missions and to 
recognize Auxiliarists for their service. It also provides an inventory 
of Auxiliary surface, air, and radio facilities that are offered to and 
accepted for use by the USCG.

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, 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.

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 tape at the USCG Operations Systems Center in 
Martinsburg, WV.

Retrievability:
    Information may be retrieved by an individual's name and employee 
identification number (EMPLID).

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.

Retention and disposal:
    Information collected by AUXDATA is stored for a minimum of five 
years after the record is created, then retained and destroyed in 
accordance with Coast Guard Commandant Instruction M5212.12 (series), 
Information and Life Cycle Management Manual, approved by the National 
Archives and Records Administration (NARA).
     Personal information (name, employee identification 
number, address, birth date, phone number) is destroyed/deleted 30 
years after

[[Page 28798]]

disenrollment or death of a member. (AUTH: N1-26-05-10)
     Item 2a Information on facilities (boats, radio stations 
or aircraft-owned by Auxiliarists as well as facility identification 
numbers (e.g. boat license number) destroy/delete data 5 years after 
facility becomes inactive or is withdrawn from service. (AUTH: N1-26-
05-10) Item 2c(1)
     Item 2b Auxiliary qualifications information (formal 
designations in program disciplines that result from successful 
completion of training regimens, for example: Class instructor, vessel 
examiner, boat coxswain, and certifications and licenses); Training 
Management Tool Destroy/Delete data 30 years after disenrollment or 
death of a member. (AUTH: N1-26-05-10)
     Item 2d Auxiliary activities information (patrols 
conducted, classes taught); Destroy/Delete data when no longer needed 
for administrative use or 5 years after final action is completed. 
(AUTH: N1-26-05-10)

System Manager and address:
    United States Coast Guard, Office of Command, Control, 
Communications, Computers, and Sensors Capabilities (CG-761), United 
States Coast Guard, 2100 2nd Street, SW., Washington, DC 20593-0001. 
United States Coast Guard, Office of Auxiliary and Boating Safety (CG-
542), United States Coast Guard, 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 United States Coast Guard, Office of 
Command, Control, Communications, Computers, and Sensors Capabilities 
(CG-761), United States Coast Guard, 2100 2nd Street, SW., Washington, 
DC 20593-0001. United States Coast Guard, Office of Auxiliary and 
Boating Safety (CG-542), United States Coast Guard, 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:
    Records are obtained from forms completed by USCG Auxiliary 
members.

Exemptions claimed for the system:
    None.

    Dated: April 19, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-12029 Filed 5-17-11; 8:45 am]
BILLING CODE 9110-04-P