[Federal Register Volume 76, Number 154 (Wednesday, August 10, 2011)]
[Notices]
[Pages 49500-49503]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-20229]


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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

[Docket No. DHS-2011-0053]


Privacy Act of 1974; Department of Homeland Security United 
States Coast Guard--020 Substance Abuse Prevention and Treatment 
Program 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--020 Substance Abuse Prevention and 
Treatment Program System of Records.'' This system of records notice 
allows the Department of Homeland Security/United States Coast Guard to 
collect and maintain the United States Coast Guard's Substance Abuse 
Prevention and Treatment Program records. As a result of a biennial 
review of this system, categories of individuals, categories of 
records, and the purpose of the system have been updated. This updated 
system will replace the previously published system of records in the 
Department of Homeland Security's inventory of record systems.

DATES: Submit written comments on or before September 9, 2011. This new

[[Page 49501]]

system will be effective September 9, 2011.

ADDRESSES: You may submit comments, identified by docket number DHS-
2011-0053 by one of the following methods:
    <bullet> Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
    <bullet> Fax: 1-703-483-2999.
    <bullet> Mail: Mary Ellen Callahan, Chief Privacy Officer, Privacy 
Office, Department of Homeland Security, Washington, DC 20528.
    <bullet> 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.
    <bullet> 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: 
Marilyn Scott-Perez (202-475-3515), Privacy Officer, United States 
Coast Guard, 2100 2nd Street, SW., Stop 7101 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. 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-020 Substance Abuse Prevention and Treatment Program 
System of Records.'' This system allows the USCG to collect and 
maintain the USCG's Substance Abuse Prevention and Treatment Program 
records.
    As a result of the biennial review of this system, records have 
been updated in the categories of individuals covered by the system 
section to specifically identify Coast Guard personnel, active duty and 
reserve receiving substance abuse treatment (inpatient or outpatient), 
and those requiring follow-up or aftercare substance abuse treatment 
services. Records in the categories of records in the system have been 
updated to include member responses to alcohol screening questions. The 
purpose of the system has been updated to reflect the fact the Coast 
Guard will use prevalence samples, an estimate of how common substance 
abuse is in the service.

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/United States Coast Guard--020 
Substance Abuse Prevention and Treatment Program 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 (OMB) and 
to Congress.

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.

System of Records
    Department of Homeland Security (DHS)/USCG-020.

System name:
    DHS/USCG-020 Substance Abuse Prevention and Treatment Program.

Security classification:
    Unclassified.

System location:
    Records are maintained at the USCG Headquarters in Washington, DC 
and field offices.

Categories of individuals covered by the system:
    Categories of individuals covered by this system include Coast 
Guard personnel, active duty and reserve receiving substance abuse 
screening, those receiving substance abuse treatment (inpatient or 
outpatient), and those requiring follow-up or aftercare substance abuse 
treatment services.

Categories of records in the system:
    Categories of records in this system include:
    <bullet> Individual's name;
    <bullet> Employee ID Number (EMPLID);
    <bullet> Rate/Rank;
    <bullet> History of substance abuse;
    <bullet> Operation facility code;
    <bullet> Treatment center;
    <bullet> Diagnosis;
    <bullet> Dates of treatment;
    <bullet> Member responses to alcohol screening questions;
    <bullet> Treatment records;
    <bullet> Notes on aftercare; and
    <bullet> Final disposition and type.

Authority for maintenance of the system:
    5 U.S.C. 301; 5 U.S.C. 7901; 14 U.S.C. 93(a)(17); 14 U.S.C. 632; 42 
U.S.C. 4541; COMDTINST M6200.1A, Coast Guard Health Promotion Manual.

Purpose(s):
    The purpose of this system is to administer the USCG Substance 
Abuse Prevention and Treatment program, including to identify alcohol 
and drug abusers within the USCG; to treat, counsel, and rehabilitate 
individuals who participate in the USCG Substance Abuse Program; as a 
management tool to identify trends, to understand through prevalence 
samples the impact on the service, to judge the magnitude of drug and 
alcohol abuse in the service; and to measure the effectiveness and 
efficacy of drug and alcohol prevention efforts in the USCG.

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, irrespective of whether or when he/
she ceases to be a 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, 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. The routine uses set forth below do not apply to this 
information. This statute takes precedence over the Privacy Act of 
1974 to the extent that disclosure is more limited. However,

[[Page 49502]]

access to the record by the individual to whom the record pertains 
is governed by the Privacy Act.


    Note:  For those records not described 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 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 (DOJ), including U.S. 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 the DOJ 
or DHS has agreed to represent the employee; or
    4. the U.S. 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 and with the consent of the individual to whom the record 
pertains in accordance with 42 U.S.C. 290dd-2(g).
    C. To the National Archives and Records Administration (NARA) 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 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.
    E. To appropriate State and local authorities to report, under 
State law, incidents of suspected child abuse or neglect to the extent 
described under 42 CFR 2.12 and in accordance with 42 U.S.C. 290dd-
2(e).
    F. To any person or entity to the extent necessary to prevent an 
imminent and potential crime that directly threatens loss of life or 
serious bodily injury.
    G. To report to appropriate authorities when an individual is 
potentially at risk to harm himself/herself or others.
    H. To health care components of the Department of Veterans Affairs 
furnishing health care to veterans.

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 by individual name, EMPLID, or unit 
operation facility code.

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 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 in this system are stored electronically in secure 
facilities behind a locked door. The records are stored on an 
electronic server. Military Substance abuse records are not scheduled. 
Records will be retained indefinitely.

System Manager and address:
    Commandant (CG-11), United States Coast Guard Headquarters, 2100 
2nd Street, SW., Stop 7902, Washington, DC 20593.

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-11), United States 
Coast Guard Headquarters, 2100 2nd Street, SW., Stop 7902, Washington, 
DC 20593.
    When seeking records about yourself from this system of records or 
any other Departmental system of records, your request must conform to 
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:
    <bullet> An explanation of why you believe the Department would 
have information on you;
    <bullet> Identify which component(s) of the Department you believe 
may have the information about you;
    <bullet> Specify when you believe the records would have been 
created;
    <bullet> Provide any other information that will help the FOIA 
staff determine which DHS component agency may have responsive records; 
and
    <bullet> 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 personnel who submit to drug and alcohol 
testing, DHS and its components and offices, and testing and treatment 
facilities.

Exemptions claimed for the system:
    None.


[[Page 49503]]


    Dated: July 13, 2011.
Mary Ellen Callahan,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2011-20229 Filed 8-9-11; 8:45 am]
BILLING CODE 9110-04-P