[Federal Register Volume 73, Number 245 (Friday, December 19, 2008)]
[Pages 77788-77790]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-29810]



Office of the Secretary

[Docket No. DHS-2008-0138]

Privacy Act of 1974; United States Coast Guard-016 Adjudication 
and Settlement of Claims System of Records

AGENCY: Privacy Office; DHS.

ACTION: Notice of Privacy Act system of records.


SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Homeland Security is giving notice that it proposes to issue DHS/USCG-
016 Adjudication and Settlement of Claims System system of records 
notice. This system of record was covered previously by the DOT/CG 526 
Adjudication and Settlement of Claims System, but was inadvertently 
retired in the Federal Register on October 7, 2008. 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 United States Coast Guard's adjudication and settlement of 
claims 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. This new system will be effective January 20, 2009.

ADDRESSES: You may submit comments, identified by docket number DHS-
2008-0138 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), United States Coast Guard 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.


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 its components and 
offices have relied on preexisting Privacy Act systems of records 
notices for the collection and maintenance of records that concern the 
adjudication and settlement of claims concerning the amounts of pay 
received by United States Cost Guard (USCG) military personnel.
    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 adjudication and 
settlement of claims concerning the amounts of pay received by USCG 
military personnel. This record system will allow DHS/USCG to collect 
and preserve the records regarding military personnel salary claims. 
The collection and maintenance of this information will assist DHS/USCG 
in meeting its obligation to adjudicate and settle salary claims 
received by USCG military personnel.
    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 526 Adjudication and Settlement 
of Claims System (65 FR 19476, 4/11/2000) as a DHS/USCG system of 
records notice titled, Adjudication and Settlement of Claims System. 
This system of records was covered previously by the DOT/CG, 
Adjudication and Settlement of Claims System, but was inadvertently 
retired in the Federal Register on October 7, 2008.

[[Page 77789]]

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 DHS/USCG adjudication and settlement of 
claims record system. 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' 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 both 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 
    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 Adjudication and 
Settlement of Claims 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

System name:
    United States Coast Guard Adjudication and Settlement of Claims 

Security classification:

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 active 
duty, reserve, retired active duty, and retired reserve military 
personnel who submit a claim against USCG relates to disputes 
concerning monetary matters.

Categories of records in the system:
    Categories of records in this system include:
     Individual's name;
     Social security number or employee ID Number (EMPLID);
     Leave and earnings statements; and
     Other related information regarding claims arising out of 
disputes concerning amounts of pay received.

Authority for maintenance of the system:
    5 U.S.C. 301, 5512-5514; 10 U.S.C. 939, 1442, 1453, 2774-2775; 14 
U.S.C. 461; 31 U.S.C. 3716; 37 U.S.C. 1007; the Federal Records Act, 44 
U.S.C. 3101; Debt Collection Act of 1982, Public Law 97-276, Section 
124; Debt Collection Improvement Act of 1996, Public Law 104-132; 
Federal Claims Collection Standards, 31 CFR Chapter IX.

    The purpose of this system is to adjudicate and settle claims 
related to such activities as salary claims, overpayments resulting 
from travel and transportation entitlement, claims from spouses, former 
spouses or widows of military personnel involving an annuity, and other 
similar activities when submitted by USCG active duty, reserve, and 
retired active duty and retired reserve military personnel.

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 Unites States Attorney 
Offices) or other Federal agencies 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 the 
Department of Justice of 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 
    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.

[[Page 77790]]

    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 
    H. To authorized officials of the Internal Revenue Service, General 
Accountability Office (GAO), and the Civil Service Commission, as 
required, to address salary claims submitted by USCG military and 
civilian personnel.
    I. To a court, magistrate, or administrative tribunal in the course 
of presenting evidence, including disclosures to opposing counsel or 
witnesses in the course of civil discovery, litigation, or settlement 
negotiations or in connection with criminal law proceedings or in 
response to a subpoena.
    J. 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:
    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.

    Records may be retrieved by claimant's name, employee ID (EMPLID), 
or social security number.

    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 individual 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:
    Records are retained until adjudication and settlement. Most 
submissions are retained for present setting value, as required. 
Records are retained for 10 years, 3 months after the year in which the 
Government's right to collect first accrued. (AUTH: GRS 6, Item 
10b(2)(a)) ( Records Officer).

System Manager and address:
    Commandant (CG-12), 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 USCG, Commandant (CG-611), 2100 2nd 
St., SW., Attn: FOIA Coordinator, 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 to 
you 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 
     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 will 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:
    Individual, USCG payroll offices, legal staff, investigators, 
Director of Personnel and Management, Comptroller General, GAO, and 
congressional correspondence.

Exemptions claimed for the system:

    Dated: December 10, 2008.
Hugo Teufel III
Chief Privacy Officer, Department of Homeland Security.
 [FR Doc. E8-29810 Filed 12-18-08; 8:45 am]