1625-NEW PIA - 024_Direct Access

Privacy Impact Assessment
for

Direct Access
DHS/USCG/PIA-024
November 9, 2016
Contact Point
Michael Fijalka
Commandant (CG-631)
HR Systems Management Division
United States Coast Guard (USCG)
202-475-3678
Reviewing Official
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security
(202) 343-1717

Privacy Impact Assessment
USCG, Direct Access
Page 1

Abstract
Direct Access is the primary system for Human Resources and payroll for over 50,000
Department of Homeland Security, United States Coast Guard, Department of Health and
Human Services, United States Public Health Service, and Department of Commerce, National
Oceanic and Atmospheric Administration active duty and reserve personnel. It also provides
human resources and pay support to a customer base of approximately 68,000 U.S. Coast Guard,
Public Health Service, and National Oceanic and Atmospheric Administration retirees,
annuitants and Former Spouse Protection Act recipients, while providing non-pay customer
service support to an additional 2,500 personnel.

Overview
The United States Coast Guard (USCG) Direct Access system is a full-lifecycle military
Human Resources (HR) and payroll solution using commercial/government off-the-shelf
products from Oracle and PeopleSoft. It is internet-accessible and web-based, providing USCGwide access. Direct Access is the primary system for HR and payroll for over 50,000 USCG,
Department of Health and Human Services, United States Public Health Service (USPHS), and
Department of Commerce, National Oceanic and Atmospheric Administration (NOAA) active
duty and reserve personnel. It also provides HR and pay support to a customer base of
approximately 68,000 USCG, PHS, and NOAA retirees, annuitants and Former Spouse
Protection Act (FSPA) recipients 1, while providing non-pay customer service support to an
additional 2,500 personnel.
The purpose of the United States Coast Guard Direct Access system is to provide full
lifecycle HR and payroll support (i.e., recruiting through death) for active duty, reserve, and
retired active duty and retired reserve personnel. 2
Direct Access:

1

•

provides military assignment processing;

•

aids in the management of personnel housing and occupancy;

•

posts official positions of the USCG;

•

supports recruitment and accession processes;

•

schedules training, manages personnel assets and readiness;

Pub. L. 97-252 (96 Stat. 718, 1982, codified at 10 U.S.C. § 1408 et seq.).
Direct Access is required to meet personnel tracking requirements and military payroll requirements documented
predominately in Titles 10 and 14 of the U.S. Code.

2

Privacy Impact Assessment
USCG, Direct Access
Page 2

•

processes promotions and disciplinary actions;

•

maintains all personnel attributes (personal identifiers such as name, address, etc.);

•

tracks and processes retirements; and

•

provides military payroll.

The USCG may also use the data collected for accountability and assessment reporting exercises,
and the system is also used to administer USCG civilian personnel and USCG auxiliary members
formal USCG training course management; maintain security clearance data, competency, and
accomplishment data; as well as track housing; information technology (IT) training; and IT
system accounts, roles, and permissions for military, civilian, and contractor personnel. The
system is used to provide necessary information to: the Department of Commerce for NOAA
Officers; and to the Department of Health and Human Services for Officers of the Commissioned
Corps of the PHS to administer their respective pay and personnel/HR management.
Information is entered by Direct Access end users (i.e., individuals who have an
approved login account and associated privileges and access within the system) and information
is also received via encrypted data feeds from the Department of Veterans Affairs (VA),
Department of Treasury (IRS), Defense Manpower Data Center (DMDC), and third-party
benefits providers for military employees. Interfaces from these external entities is not received
for applicant information. Applicants do not have a login/password access to Direct Access.
Attachment A presents detailed descriptions of the Direct Access Roles and Attachment C
presents details regarding Responsibilities.
DHS/USCG-014, titled Military Pay and Personnel System of Records Notice (SORN)3
delineates the external sharing allowed under Direct Access. The main privacy risk associated
with Direct Access is the improper handling or use of Personally Identifiable Information.
Access to Personally Identifiable Information from the general public (i.e., applicants) such as
name, address, and phone number is prohibited since members of the public do not have
accounts in the system. Access to this PII is limited to users with a need to know and is
considered for official use only. Individuals who require access to organizational information
and information systems must complete appropriate access agreements (e.g., nondisclosure
agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements)
before authorizing access, which help mitigate improper handling of PII.

3

DHS/USCG-014 - Military Pay and Personnel, 76 FR 66933 (October 28, 2011).

Privacy Impact Assessment
USCG, Direct Access
Page 3

Section 1.0 Authorities and Other Requirements
1.1

What specific legal authorities and/or agreements permit and
define the collection of information by the project in question?

10 U.S.C. 503; 1043; 1147 and 14 U.S.C. 92(I) 92(r); 93(g); 350-373; 475; 512; 620;
632; 645; 681; 687. In addition, further authority is provided in 5 U.S.C. 301; 5 U.S.C. 55015597; 37 U.S.C. 406; 42 U.S.C. 213; 253; 49 CFR 1.45, 1.46; and COMDTINST M1100.2F,
Coast Guard Recruiting Manual.

1.2

What Privacy Act System of Records Notice(s) (SORN(s)) apply
to the information?

DHS/USCG-014 Military Pay and Personnel System of Records Notice covers the
information retained by Direct Access. 4

1.3

Has a system security plan been completed for the information
system(s) supporting the project?

Yes, Direct Access has a three (3) year Authority to Operate (ATO) dated September 10,
2013. It completed the Security Assessment Process (SAP) in early September 2015, underwent
a subsequent SAP in the summer of 2016, and a new 3 year ATO will be issued once this PIA is
approved by the DHS Privacy Office. Direct Access has a FIPS 199 categorization of ModerateModerate-Moderate and its Systems Security Plan (SSP) underwent an annual review and is
dated July 2016.

1.4

Does a records retention schedule approved by the National
Archives and Records Administration (NARA) exist?

No, a Request for Records Disposition Authority (SF-115) has been completed and
submitted to NARA on September 11, 2015, and is pending approval.

1.5

If the information is covered by the Paperwork Reduction Act
(PRA), provide the OMB Control number and the agency number
for the collection. If there are multiple forms, include a list in an
appendix.

There is only one official form covered by the PRA and an OMB Control number has not
been issued as of the date of this PIA. As part of this proposed collection, the system only
collects information from potential applicants via the GOCOASTGUARD.COM website in order
for the applicant to begin the screening and qualification process.
4

DHS/USCG-014 Military Pay and Personnel, 76 FR 66933 (October 28, 2011).

Privacy Impact Assessment
USCG, Direct Access
Page 4

Section 2.0 Characterization of the Information
The following questions are intended to define the scope of the information requested
and/or collected, as well as reasons for its collection.

2.1

Identify the information the project collects, uses, disseminates, or
maintains.

Direct Access collects information from active service applicants, reserve service
applicants, prospective applicants, civilian personnel, active duty, reserve, retired active duty,
retired reserve USCG military personnel (and their annuitants and dependents), separated
military personnel, USCG auxiliary members, USCG exchange workers, and contractor
personnel. Also included are active duty and retired NOAA Officers and their annuitants and
dependents, as well as Officers of the Commissioned Corps of the USPHS, their annuitants and
dependents, and their civilian supervisors.
Direct Access collects and processes the following information for applicants (who
may be members of the public):
•

Name;

•

Phone number and e-mail address;

•

Address;

•

Interests;

•

Physical Characteristics;

•

Date of birth;

•

Marital Status and number of dependents;

•

Education;

•

Citizenship;

•

Prior Service Information;

•

Minority designation and nationality;

•

Background investigation and security clearance-related information;

•

Limited medical-related information;

Direct Access may collect, generate, or process the following information for nonapplicants (e.g., civilian personnel, active duty, reserve, retired active duty, retired reserve USCG

Privacy Impact Assessment
USCG, Direct Access
Page 5

military personnel (and their annuitants and dependents), separated military personnel, USCG
auxiliary members, USCG exchange workers, and contractor personnel). Also included are
active duty and retired NOAA Officers and their annuitants and dependents, as well as Officers
of the Commissioned Corps of the USPHS, their annuitants and dependents, and their civilian
supervisors):

5

•

Name;

•

Social Security number (SSN);

•

Employee identification number (EMPLID);

•

Electronic Data Interchange Personal Identifier (EDIPI);

•

Date and place of birth;

•

Gender;

•

Minority designation and nationality;

•

Marital status;

•

Limited medical related information to include dates of physical examinations, color
blindness, immunizations, weight, and body mass index (and compliance to standards);

•

Other Health Insurance Portability and Accountability Act (HIPAA) related/protected
data; 5

•

Addresses;

•

Phone number and e-mail address;

•

Total current monetary earnings, including overtime, computed to the nearest dollar;

•

Number of hours worked;

•

Leave accrual rate;

•

Leave requests and balances;

•

Health and life insurance requests and eligibility;

•

Payroll deduction requests;

•

Information for the purpose of validating legal requirements for garnishment of wages;

•

Salary rate;

Pub. L. 104-191 (110 Stat. 1936, 1996, codified at 42 U.S.C. § 1320d); see generally 45 CFR Part 160, 164
subparts A and E.

Privacy Impact Assessment
USCG, Direct Access
Page 6

•

Cash awards;

•

Retirement withholdings;

•

Background information to include work experience;

•

Education records, including: highest level achieved; specialized education or training
obtained in and outside of military service; non-traditional education support records;
achievement and aptitude test results; academic performance records; correspondence
course rate advancement records; military performance records; admissions processing
records; grade reporting records; academic status records; and transcript maintenance
records;

•

Military duty assignments;

•

Ranks held;

•

Allowances;

•

Personnel actions such as promotions, demotions, or separations;

•

Record of instances of Uniform Code of Military Justice infractions;

•

Performance evaluations;

•

Background investigation, and security clearance information;

•

Government credit card status;

•

Individual’s desires for future assignments, training requested, and notations by
assignment officers;

•

Information for determinations of waivers and remissions of indebtedness to the U.S.
Government;

•

Travel claims, transportation claims, Government bills of lading, and applications for
shipment of household effects;

•

USCG housing records, including: housing surveys, computer data summaries, and
correspondence from the individual seeking housing;

•

Information regarding IT training, IT system accounts, roles, permissions;

•

Names, dates of birth, addresses, SSNs, and gender of annuitants and dependents of
active duty, reserve, and retired active duty and reserve military and uniformed members;
and

Privacy Impact Assessment
USCG, Direct Access
Page 7

•

Total current monetary earnings, including overtime, computed to the nearest dollar –
calculated by the application based upon configuration of payroll rules to include
eligibility, effective pay rate, hours worked, etc.

2.2

What are the sources of the information and how is the
information collected for the project?

Information is entered by Direct Access end users (i.e., individuals who have an approved
login account and associated roles and privileges and access within the system which are
presented in Attachment B Direct Access Application and Database Roles). Information is also
received via encrypted data feeds from the Department of Veterans Affairs (VA), Department of
the Treasury (IRS), Defense Manpower Data Center (DMDC), and third-party benefits providers
for military employees. The inbound data for the below organizations is not received for
applicants, these inbound data feeds are for “employees” only.
The shared information consists of the following external data feeds:
Veteran’s Affairs (VA): Salary offset amounts for disability and other information needed
to determine eligibility for other earnings.
•

U.S. Department of the Treasury (IRS): Account number and amount to support
distribution of payee net, allotment recipients, tax payments, and bond purchases.

•

Defense Manpower Data Center (DMDC): Demographic data on payees such as
electronic data interchange personal identifier (EDIPI), gender, age, marital status, and
home address (city and state).

•

Third-Party Benefits Providers: Participant information such as start date, stop date,
change date, and premiums paid.
2.3

Does the project use information from commercial sources or publicly

available data? If so, explain why and how this information is
used.
No, the system does not use information from commercial sources or publicly available
data.

2.4

Discuss how accuracy of the data is ensured.

Direct Access uses commercial/government off-the-shelf products from Oracle and
PeopleSoft that have built in integrity controls that are used at time of input (e.g., validation of
screen entry fields when the data is entered), during processing (e.g., codified business rules are
executed by the system when the data is being processed), and post processing (e.g.,
reconciliation reports can be run to verify any changes to the data). End user self-service

Privacy Impact Assessment
USCG, Direct Access
Page 8

accounts allow users to correct their personal information (e.g., mailing address, phone number).
The underlying Oracle database also has implemented numerous database controls to prevent
unauthorized changes to the data stored in the database (i.e., database integrity controls).
Information within the system is also checked for consistency and accuracy against the external
feeds from the Department of Veterans Affairs (VA), Department of Treasury (IRS), Defense
Manpower Data Center (DMDC), and third-party benefits providers for military employee data.

2.5

Privacy Impact Analysis: Related to Characterization of the
Information

Privacy Risk: There is a privacy risk that applicant information is not accurate,
complete, and current.
Mitigation: GOCOASTGUARD.COM collects the applicant information directly from
the individual. The applicant confirms this information before it is officially submitted to the
Coast Guard. The applicant data is transmitted via a secure encrypted feed into Direct Access
without other Coast Guard or external user intervention. It is an automated process with no
public (applicant) user login to Direct Access. The applicant may also change the information
after submission by contacting a Coast Guard recruiter or filing a request under the Privacy Act
to amend her or his responsive record. Coast Guard also verifies the applicant information
during the subsequent recruiting process.
Privacy Risk: There is a privacy risk that information received from partner agencies
may not be accurate.
Mitigation: The information received from external partners, the IRS, VA, and DMDC,
is from Privacy Act systems of records covering the respective source data compiled by those
agencies. As such the requirements for data integrity, security, and accountability imposed upon
DHS systems of records by the Privacy Act are also required to be met by systems of records for
these partner federal agencies. Similarly, should a Direct Access user identify inaccuracies in
their data, they may seek redress to correct their information through a Privacy Act access and
amendment request as cited in Sections 7.1 and 7.2 of this PIA; additionally, users may submit
Privacy Act access and amendment requests to the IRS, VA, or DMDC to address inaccurate
information maintained in those agencies respective systems.

Section 3.0 Uses of the Information
The following questions require a clear description of the project’s use of information.

Privacy Impact Assessment
USCG, Direct Access
Page 9

3.1

Describe how and why the project uses the information.

The system collects and manages the data elements presented in Section 2.1 to support
full lifecycle HR and payroll processing. Direct Access reporting and analysis products
containing PII are based on documented USCG requirements, USCG reporting policies, and
DHS and congressional inquiries. SSNs are used within the system for employee, retiree, and
annuitant payroll processing, leave approvals by supervisors, and for the purposes of
transmission of payment information to federal and state taxing authorities. SSNs are sent to
DMDC and VA in accordance with existing laws and instructions governing the sharing of
military employee data. SSNs are also used during the hiring and screening processes for
applicants and potential applicants to determine citizenship status as well as during background
investigation screenings. Use of SSN for citizenship verification is a manual external process
performed by Coast Guard military recruiters during the applicant review and processing step.
There are no interfaces from Direct Access to other DHS systems that use SSN to verify
citizenship.

3.2

Does the project use technology to conduct electronic searches,
queries, or analyses in an electronic database to discover or locate
a predictive pattern or an anomaly? If so, state how DHS plans to
use such results.

No.

3.3

Are there other components
responsibilities within the system?

with

assigned

roles

and

No.

3.4

Privacy Impact Analysis: Related to the Uses of Information

Privacy Risk: There is a risk that users with elevated roles/permissions could exceed
their authority and access or use data for unofficial purposes.
Mitigation: The accounts of users with elevated roles/permissions are reviewed under
the direction of the Direct Access security administrators on an annual basis as part of the
account recertification process. Whenever a user has a change of employment status (e.g.,
position change, transfer) all of the roles are revoked and a new set of roles associated with the
changed status are applied. Finally, all of the roles in the system are reviewed on an annual basis
to ensure that the roles are limited to those functions required for the specific job function
associated with each role.

Privacy Impact Assessment
USCG, Direct Access
Page 10

Section 4.0 Notice
The following questions seek information about the project’s notice to the individual
about the information collected, the right to consent to uses of said information, and the right to
decline to provide information.

4.1

How does the project provide individuals notice prior to the
collection of information? If notice is not provided, explain why
not.

A Privacy Act Notice is displayed on the login page of Direct Access and applies
throughout the user’s entire session. The GOCOASTGUARD.COM web site displays a similar
Privacy Act Notice to a potential applicant who might enter information into the applicant page
(see http://www.gocoastguard.com/privacy-policy). USCG also provides notice through the
publication of this PIA and the DHS/USCG-014 Military Pay and Personnel SORN.

4.2

What opportunities are available for individuals to consent to
uses, decline to provide information, or opt out of the project?

There are two categories of individuals: those with an approved user account with
information in Direct Access and a potential applicant using the GOCOASTGUARD.COM web
site. For Direct Access users, individuals do not have the opportunity to consent to particular
uses of the information they provide nor can they withhold a specific portion of the information.
Information in Direct Access is used in accordance with Titles 10 and 14 of the U.S. Code,
USCG personnel and pay policy, which covers members of the uniformed services including
PHS and NOAA uniformed services. If a member of the public voluntarily submits applicant
information during the recruitment process via GOCOASTGUARD.COM and declines to
provide the required information, the application is considered incomplete and the applicant is
dropped from consideration. The required fields are clearly stated on the applicant page “Please
note: all fields are required unless marked "optional".”

4.3

Privacy Impact Analysis: Related to Notice

Privacy Risk: Potential applicants may be unaware that Direct Access is collecting and
using their data.
Mitigation: Direct Access only collects information from potential applicants via the
GOCOASTGUARD.COM website in order for the applicant to begin the screening and
qualification process. The GOCOASTGUARD.COM web site displays a Privacy Act Notice to
potential applicants who might enter information into the applicant page (see
http://www.gocoastguard.com/privacy-policy). As noted in the Privacy Act Statement,
submission of this data is voluntary for applicants, however should the applicant decline to

Privacy Impact Assessment
USCG, Direct Access
Page 11

submit the required information, the application is considered incomplete and the applicant will
be dropped from consideration. The required fields are clearly stated on the applicant page
“Please note: all fields are required unless marked "optional".” USCG also provides notice
through the publication of this PIA and the DHS/USCG-014 Military Pay and Personnel SORN.

Section 5.0 Data Retention by the project
The following questions are intended to outline how long the project retains the
information after the initial collection.

5.1

Explain how long and for what reason the information is retained.

Direct Access follows the Information Life Cycle and Management Manual,
COMDTINST M5212.12 (series), Standard Subject Identification Code (SSIC) 1070, Item 1,
and SSIC 1100 as described below:
The Official Military Personnel File (OMPF) record documents the career of each officer
and enlisted member of the military (including civilian personnel or contractual groups who were
later accorded military status under the provisions of Public Law 95-202 (see 38 U.S.C. § 1682
et seq.)) from time of entry into service until final separation. During service (active, guard, or
reserve) these records are used by the Coast Guard to manage the member’s assignment, training,
advancement, and separation. After the OMPF record becomes inactive at the completion of the
service member’s obligated service, they are retained for a period of 62 years and are used for a
variety of purposes, but primarily to protect the legal and financial rights of veterans, their
families and survivors, and the U.S. Government. Depending on the period of service, OMPF
records of officers and enlisted military service members are maintained in three different
formats: paper, microfiche, and digital (including images). Current active, reserve, or guard
OMPF records are maintained in Direct Access.
The Individual Personnel Applicant Record documents an applicant’s initial screening
information. An applicant is a person who expresses a desire to join the Coast Guard by
completing and signing a USMEPCOM Form 680-3A-E. An Applicant Record provides the
qualifications, medical, Delayed Entry Program (DEP), and accession data of an applicant.
Records are retained for a period of 12 years after submission of the application and are used for
tracking purposes and coordination with recruiting efforts by the other U.S. Military branches.
Information on selected applicants (those who accessed) is forwarded for inclusion in an OMPF
record.

Privacy Impact Assessment
USCG, Direct Access
Page 12

5.2

Privacy Impact Analysis: Related to Retention

Privacy Risk: USCG may retain data in Direct Access for longer than is necessary to
perform mission functions.
Mitigation: Ownership of paper, microfiche, and/or electronic OMPF records will
transfer in blocks to the National Archives for permanent retention in accordance with the
pending NARA retention schedules:
•
•

•

62 years after the date of retirement to the storage facility of the newest record within the
block. Applicable to pre-Registry blocks.
62 years after the date of OMPF record retirement to the storage facility. Such ownership
transfers to the National Archives will be accomplished in annual increments and are
applicable to Registry blocks maintained at NPRC.
62 years after the completion of service member's obligated service. Such ownership
transfers will be accomplished in annual increments and are applicable to OMPF records
in electronic format.

Individual Personnel Applicant records will transfer in blocks to the National Archives for
permanent retention in accordance with the pending NARA retention schedule:
•

12 years after the date of record retirement to the storage facility. Such ownership
transfers to the National Archives will be accomplished in annual increments.

Information on selected applicants (those who accessed) is forwarded for inclusion in OMPF.
Privacy Risk: There is a risk that users may not follow the retention schedules because
they require manual action.
Mitigation: This risk is partially mitigated. Direct Access does not automatically transfer
or purge data, so USCG staff must manually move data in order to adhere to retention schedule
requirements. To ensure that this process is maintained, USCG has written rules for manually
moving PII contained in the Information Life Cycle and Management Manual, COMDTINST
M5212.12 (series). Additionally, users are trained to follow the retention schedules.

Section 6.0 Information Sharing
The following questions are intended to describe the scope of the project information
sharing external to the Department. External sharing encompasses sharing with other federal,
state and local government, and private sector entities.

Privacy Impact Assessment
USCG, Direct Access
Page 13

6.1

Is information shared outside of DHS as part of the normal
agency operations? If so, identify the organization(s) and how the
information is accessed and how it is to be used.

Yes, Direct Access shares Military employee data externally with other federal agencies,
state agencies, and insurance companies, in order to support full lifecycle HR and payroll
processing as required by Title 10 and Title 14 of the U.S. Code and USCG personnel and pay
policy. Direct Access shares with:
•

Department of Commerce (DOC) for NOAA Officers and the Department of
Health and Human Services (HHS) for Officers of the Commissioned Corps of
the USPHS to administer their respective pay and personnel/HR management.

•

USDA National Finance Center

•

Veteran’s Affairs

•

U.S. Department of the Treasury / IRS

•

Defense Manpower Data Center (DMDC), and

•

Federal Retirement Thrift Investment Board (FRTIB).

The shared information consists of the following subject matter:
•

USDA National Finance Center: HR and payroll information

•

Veteran's Affairs (VA): Salary offset amounts for disability and other information
needed to determine eligibility for other earnings.

•

U.S. Department of the Treasury: Account number and amount to support distribution
of payee net, allotment recipients, tax payments, and bond purchases.

•

Defense Manpower Data Center (DMDC): Demographic data such as gender, age,
marital status, home address (city and state), and other readiness information.

•

Third-Party Benefit Providers: Participant information such as start, stop, change, and
premiums paid.

•

USPHS: Billet data, license data, awards data, applicant data, administrative code data,
course information data, and fitness and medical data.

•

FRTIB: USCG and NOAA (and eventually PHS military member) TSP contribution and
loan payment data.

Privacy Impact Assessment
USCG, Direct Access
Page 14

6.2

Describe how the external sharing noted in 6.1 is compatible with
the SORN noted in 1.2.

The information contained in Direct Access as described above may be shared with
entities outside of DHS in support of the requirements associated with full lifecycle HR/ Payroll
processing and is compatible with the SORN which allows:
•

DOC and HHS in order to administer their respective pay and personnel systems for
NOAA Officers and Officers of the Commissioned Corps of the PHS, respectively.

•

DoD and VA for determinations of benefit eligibility for military members and their
dependents.

•

Department of the Treasury (DOT) for the purpose of disbursement of salary, U.S.
Savings Bonds, allotments, or travel claim payments.

•

Appropriate insurance agencies/companies for the purpose of health and life insurance
requests and eligibility.

•

Federal, state, and local government agencies to disclose earnings and tax information,
including the IRS and the Social Security Administration (SSA), as required by law.

•

DoD for manpower and readiness planning (including preparing for and during actual
emergencies, exercises or COOP tests for the purpose of responding to emergency
situations, or to allow emergency service), and preparing the Register of Officers and
Register of Reserve Officers, which is provided to all USCG officers.

6.3

Does the project place limitations on re-dissemination?

Yes, all external sharing agreements are governed by a memorandum of understanding
(MOU), memorandum of agreement (MOA), public law/regulation, or other contractual
arrangement, which have strict data usage and dissemination clauses protecting any transferred
information. These agreements are reviewed as part of the system’s security accreditation
process (SAP), with the most recent being completed in September 2015. External agencies are
prohibited from sharing the information provided by the USCG unless the MOA, MOU, public
law /regulation, or other contractual arrangement specifies that they are allowed to share this
information.

6.4

Describe how the project maintains a record of any disclosures
outside of the Department.

Any organization disclosing the information records the disclosures manually.
Depending upon the type and scope of disclosure, application and/or database audit logs may
also capture the disclosure event, such as a change request for a specific data query. All requests

Privacy Impact Assessment
USCG, Direct Access
Page 15

for data access are managed through the Program Sponsor’s Office, CG-1, based on
Congressional, Government Accountability Office (GAO), Office of Personnel Management
(OPM), Office of Management and Budget (OMB), Freedom of Information Act (FOIA), or
servicing agency (USPHS and NOAA) requests.
Records released through FOIA are tracked by the USCG Management Programs and
Policy Division, Commandant (CG-611) STOP 7710, 2703 Martin Luther King Jr. Avenue SE,
Washington D.C. 20593.

6.5

Privacy Impact Analysis: Related to Information Sharing

Privacy Risk: The primary risk in collecting and storing PII is the possibility of
information being improperly accessed, used, or externally shared beyond the reason for which it
was collected.
Mitigation: In addition to MOUs/MOAs/ISAs, Direct Access mitigates these risks
through internal and external controls. Internally, Direct Access uses a role-based security model
for both the application and the underlying database. This security employs logical access
controls that are codified based upon business processes to allow users access to only those
functions and information required for their official duties. Externally, Direct Access protects
against the unauthorized access of information by employing confidentiality controls, such as
data encryption, for the protection of data in transit and at rest. Finally, Direct Access has the
capability of generating audit trails to assist in identifying any misuse of the system.

Section 7.0 Redress
The following questions seek information about processes in place for individuals to seek
redress which may include access to records about themselves, ensuring the accuracy of the
information collected about them, and/or filing complaints.

7.1

What are the procedures that allow individuals to access their
information?

Individuals seeking notification and access to any record contained in Direct Access, or
seeking to contest its content, may submit a Privacy Act access request in writing to
COMMANDANT (CG-611), 2703 Martin Luther King Jr. Avenue SE, STOP 7710, ATTN:
FOIA Coordinator, Washington, D.C. 20593-7710. A request may also be submitted to
[email protected].

Privacy Impact Assessment
USCG, Direct Access
Page 16

7.2

What procedures are in place to allow the subject individual to
correct inaccurate or erroneous information?

Members of the public (i.e., applicants) may seek to correct their information through a
Privacy Act request as cited in Section 7.1 above. For Direct Access end users with accounts in
the system, the easiest method for accessing and correcting their records is by using the selfservice function, contacting the help desk, or direct interaction with a Coast Guard Personnel
Servicing Office; individuals may also formally request access or correction by making a Privacy
Act request.

7.3

How does the project notify individuals about the procedures for
correcting their information?

Formal notice is given to the individual through the publication of this PIA and the
DHS/USCG-014 Military Pay and Personnel SORN.

7.4

Privacy Impact Analysis: Related to Redress

Privacy Risk: There is a risk that individuals may not be able to correct or access their
records.
Mitigation: Members of the public (i.e., applicants who are not end users of the system)
can correct their information through a Privacy Act request as cited in Section 7.1 above. Direct
Access end users (i.e., individuals who have an approved login account and associated privileges
and access within the system) can access and correct those portions of their HR data allowed
through self service permissions by using the self-service function, contacting the help desk and
submitting a service request ticket to correct data, or direct interaction with a Coast Guard
Personnel Servicing Office; individuals may also formally request access or correction by
making a Privacy Act request.

Section 8.0 Auditing and Accountability
The following questions are intended to describe technical and policy based safeguards
and security measures.

8.1

How does the project ensure that the information is used in
accordance with stated practices in this PIA?

Direct Access employs a defense in-depth security strategy to better ensure the
information is used in accordance with stated practices in this PIA. Roles are mapped to
positions and provide a least-privilege approach to access. The default role is self service, in

Privacy Impact Assessment
USCG, Direct Access
Page 17

which an individual can only access and modify his/her own records. Other roles must be
requested and approved and recertified on a regular basis by the respective business process
owner. A privileged user program is in place and followed. Overlapping role-based access
controls at the web interface, application, and database levels restrict access to information based
upon an individual’s role/position within the organization. Automated audit logging and analysis
is performed at the application, database, and operating systems and is used for after the fact
event/violation analysis.
Direct Access is a Chief Financial Officer (CFO)-designated system in addition to being
a privacy designated system. As a result, it undergoes a Chief Information Security Officer
(CISO) required annual security control self-assessment, annual internal controls assessment by
the USCG CFO’s Office, and an annual integrated financial audit by the DHS Office of the
Inspector General (OIG). Since Direct Access provides services to entities external to Coast
Guard, it undergoes an annual Statement on Standards for Attestation Engagements (SSAE) No.
16, Reporting on Controls at a Service Organization audit (SSAE-16). Any findings are
documented and mitigation strategies are implemented.
In addition, the PIA and the DHS/USCG-014, titled Military Pay and Personnel SORN
are reviewed and updated on a regular basis.

8.2

Describe what privacy training is provided to users either
generally or specifically relevant to the project.

Direct Access users 6 follow a robust IT security training program. Computer security
awareness and training, in various forms, is used to elevate and sustain personnel awareness of
proper operational, and security-related risks and procedures. Security training encompasses
instruction on individual responsibilities under the Privacy Act of 1974 and specific guidance is
provided to personnel who design, implement, use, or maintain Direct Access resources.
Training also includes annual instruction on personal duties and responsibilities under the
privacy and security provisions of HIPAA.
Furthermore, Direct Access users are trained that appropriate administrative action
consistent with their respective organization’s policies will be taken against individuals found
responsible for unauthorized disclosure of information in violation of Privacy Act and/or HIPAA
provisions. Individuals found responsible for unauthorized disclosure of sensitive information
protected under the Privacy Act of 1974 and HIPAA may be faced with civil and/or criminal
action.

6

This training is not required for Retirees or Annuitants since they can only use self service functionality nor is it
required for potential applicants since they do not have accounts in the system.

Privacy Impact Assessment
USCG, Direct Access
Page 18

DHS USCG, NOAA, and USPHS users receive annual privacy and security training from
their respective organizations. These organizations track and report on training compliance
through their respective training management systems (e.g., the USCG Learning Management
System (LMS)). Tracking includes the role-based training programs conducted for contractors
and privileged users.
All USCG personnel must complete annual mandated trainings titled, DHS Protecting
Personal Information and DHS Records Management for Everyone.

8.3

What procedures are in place to determine which users may
access the information and how does the project determine who
has access?

Direct Access’s access control policies (e.g., identity-based, role-based, and business
rule-based policies) and associated access enforcement mechanisms (e.g., access control lists) are
employed by Direct Access to control access between users (or processes acting on behalf of
users) and objects (e.g., devices, files, records, processes, programs, domains) in the information
system. Access to the security aspects of the operating system, database, and application is
restricted to trusted administrators (i.e., privileged users) who have received additional security
training and have signed Non-Disclosure Agreements (NDA). End-users do not have access to
the security portions of the system. Access levels are designated based on roles and privileges.
Direct Access accounts are role-based accounts. Permissions are granted to roles and not to
individual user accounts. In addition to controlling access at the information system level, access
enforcement mechanisms are employed at the application level, when necessary, to provide
increased information security.
For Coast Guard active duty and reserve employees, the user account is automatically
created as part of the hire process within Direct Access. The initial account is created and
assigned the Member Self Service role only. No user access is required for creation of this
account or assignment of the role - read-only access accounts for self-service activities are
automatically granted upon joining the Coast Guard.
For civilian employees, the user account is automatically created as part of the hire
process. The initial account is created and assigned the “Civilian Self Service” role only. No user
access is required for creation of this account or assignment of the role.
Non-Coast Guard employees/user accounts are created manually using the process
described below:
•

The user initiates the Direct Access User Access Authorization/Revocation process.

•

Supplied information is reviewed and acted on (approved/disapproved) by the Chief,
Retiree and Annuitant Services Branch, Chief, Military Accounts Support Branch, PPC

Privacy Impact Assessment
USCG, Direct Access
Page 19

Topeka, or Government employee assigned to the Human Resource Management
Systems Division.
•

If approved, the Direct Access Security Administrator is then contacted via email by the
Chief, Retiree and Annuitant Services Branch, Chief, Military Accounts Support Branch,
PPC Topeka, or Government employee assigned to the Human Resource Management
Systems Division, of the accounts to be created and the roles for each account.

•

If not approved, the request is deleted and no further processing is performed.

•

When completed, the Direct Access security administrator advises the approval authority
of the account creation.

The addition of specific roles required to perform specific HR and payroll-related
business functions for non-Coast Guard employees / accounts are created / updated manually
using the process described above.

8.4

How does the project review and approve information sharing
agreements, MOUs, new uses of the information, new access to the
system by organizations within DHS and outside?

Current Direct Access information sharing MOUs / MOAs have been reviewed by the
program manager, system owner, counsel, and authorizing official. Any revised MOUs / MOAs
will be sent to the USCG Privacy Officer for review.

Responsible Officials
Marilyn Scott-Perez
Chief, Office of Information Management
Commandant (CG-61)
(202) 475-3515

Approval Signature
________________________________
Jonathan R. Cantor
Acting Chief Privacy Officer
Department of Homeland Security

Privacy Impact Assessment
USCG, Direct Access
Page 20

Attachment A
Direct Access User Roles
Access to Direct Access is limited to greatest extent possible to prevent access to personally
identifying information and other sensitive information. To achieve this, many different roles
are available for users.

Command User Role
The Command User Role provides the user with the ability to access the Self Service role for
Commands functions in Direct Access. It is a powerful, multi-purpose role, intended for use by
trusted, mature, and responsible members of the command cadre. Command Users must be
designated by the Commanding Officer CO, Officer in Charge (OinC), Ex e cut i v e Of fi c e r
(XO), or Executive Petty Officer (XPO). The Direct Access command user:
•

Schedules reserve Inactive Duty Training (IDT) drills.

•

Initiates and views enlisted evaluations.

•

Accesses the Airport Terminal, which provides a list of personnel in receipt of
orders to or from the unit (both Permanent Change of Station (PCS) and
Temporary Duty (TDY) and the ability to view and print travel orders.

•

Generates and views member competency reports.

•

Prints BAH/Dependency and Emergency Contacts reports.

•

Views command information including rosters, absence reports, and personnel
allowance lists.

•

Views member service record information (USCG Member Info) including
assignment history, competencies, training history, contact telephone numbers,
and addresses.

Each unit must designate at least one Command User. Additional Command Users are
designated based on the need to access the information listed above. Commands can designate
as many Command Users as necessary to meet the unit’s need and maintain a smooth workflow.
However, designations of Command Users in pay grades E-6 and below are subject to
review and approval by Pay and Personnel Center (PPC) and/or Commandant (COMDT) (CG-1).
There are alternative access roles available for personnel who do not need access to all of the
Command User functions.

Privacy Impact Assessment
USCG, Direct Access
Page 21

Direct Access allows a Command User access to ALL command functions. Any
Command User has the ability to enter comments and approve an employee review, enter IDT
drills, or view transfer information.
COs/OinCs/XOs/XPOs clearly define an individual’s role when making Command User
designations.
When considering Command User designations, does the individual need to have the
Commands authorization to:
• View enlisted evaluations?
•

Initiate enlisted evaluations?

•

View pending transfer information?

•

Run reports and rosters?

•

Input reserve Inactive Duty for Training / Active Duty for Training (IDT/ADT)
information?

Granting full command access is not always necessary or appropriate. Granting one or more of
the following roles in lieu of full command access may be more appropriate.
Role

Functions

Suggested Users

Airport Terminal Only
(CGAIRTRM)

Allows access to the Airport
Terminal.

Housing Officers/staffs and
Relocation Specialists.

Reserve Orders Manager
(CGRSVMGR)

Create, review, and endorse
requests for reserve orders.

Allows supervisors to initiate
requests for reserve orders on
behalf of the member who
cannot access Self-Service and
allows the user to review and
endorse requests for orders.

Human Resource Site View
(CGHRSVW)

Allows view only access to
Servicing Personnel Office
SPO functions.

Pay and Allowance (P&A)
Office personnel, unit
administration staff. This is a
restricted role available only
for those needing view access
to SPO functions.

Field Admin

User can act as proxy for
absence requests (leave), view

Unit administrative staff and

Privacy Impact Assessment
USCG, Direct Access
Page 22

Role
(CGFIELDADMIN)

Global Workforce Inquiry
Solution (CGGWIS)

Employee Review
(CGEMPREV)

Functions
member, run reports,
competencies, view Basic
Allowance for Housing
(BAH) /Dependency Data and
Emergency Contact reports,
view and print travel orders,
and most other non-pay
related personnel actions.
Enter awards and honors,
competencies, and training.
Allows view-only access to
member and unit data.
Includes access to Airport
Terminal.

Users can initiate, route, and
approve enlisted employee
reviews.

Suggested Users
P&A Offices.

HR managers (Command
Officer / Officer in
Charge)(CO/OinC), Executive
Officer / Executive Petty
Officer (XO/XPO), Admin
Officers, Headquarters / Coast
Guard Personnel Services C
ommand (HQ/CGPSC) staffs.
Supervisors (E-6
and above) and
Marking Officials.
Note: A user with
Command User Role can
enter final data entry into
Direct Access. It is not
necessary for every
person in the chain of
command to use Direct
Access to complete an
employee review.

CGHRS Role
The CGHRS role permits a Direct Access user to create transactions that effects changes in a
member’s pay entitlements. They can also access and maintain non-payroll data, such as
competencies, awards, enlisted employee reviews, etc. This role duplicates the Self-Service for

Privacy Impact Assessment
USCG, Direct Access
Page 23

Employees and Self-Service for Commands roles to allow SPO users to service members and
commands that do not have access to Direct Access or are administratively limited.
CGHRSUP Role
The CGHRSUP (Supervisor/Auditor) role permits the Direct Access user to approve Direct
Access transactions that require approval for payment to the member. CGHRSUP users are also
designated as PAOs. Certain Direct Access entitlement transactions require review and approval
before they can be released for processing. Authority to approve these transactions is limited to
properly designated PAOs. PAOs are assigned the CGHRSUP role in Direct Access.
SPO Staffs
Active duty, reserve, and civilian employees permanently assigned to a position in a SPO can be
granted CGHRS or CGHRSUP roles in Direct Access. SPO staff assignments and approval
authorities must be documented. SPOs must maintain a “SPO Authorized Personnel Roster”
showing the full name, initials, signature (in cursive), their role, and date arrived and departed to
the SPO. The roster must be stored locally and continually updated with a historical chronology
maintained to substantiate the approval authorities executed by these members.

Privacy Impact Assessment
USCG, Direct Access
Page 24

Attachment B
Direct Access Application / Database Roles
The following is the list of application / database roles that may be assigned to a user.
ROLE NAME
CG_PHYCHR_V
CG_ACG_SELF_SERVICE
CG_WEIGHIN_V
CG_HON_AWD_U
CG_HON_AWD_V
CG_LANG_U
CG_LANG_V
CG_LICCERT_U
CG_MEMBERSHIPS_U
CG_MEMBERSHIPS_V
CG_OSC_U
CG_OSC_V
CG_READINESSROLES_U
CG_READINESSTEAMS_U
CG_READINESSTEAMS_V
CG_COMP_V
CG_LICCERT_V
CG_ADMINFLAGS_V
CG_BLS_U
CG_COMP_U
CG_SWEWAIVERS_U
CG_SWEWAIVERS_V
CG_READINESSWAIVERS_U
CG_READINESSWAIVERS_V
CG_RESIGWAIVER_U
CG_RESIGWAIVER_V
CG_RETIREWAIVER_U
CG_RETIREWAIVER_V
CG_PHYCHR_U
CG_RSVWAIVERS_U
CG_RSVWAIVERS_V
CG_WEIGHIN_U
CG_MEDICALWAIVERS_U
CG_MEDICALWAIVERS_V
CG_EDUC_U
CG_EDUC_V
CG_EMPLRVWWAIVERS_U
CG_EMPLRVWWAIVERS_V
CG_ADMINFLAGS_U
CG_ADMINWAIVERS_U
CG_ADMINWAIVERS_V
CG_TESTS_U

DESCRIPTION
Physical Characteristics View only
Member SS access Person Profile
Employee View of Weigh-In data
Honors and Awards Update
Honors and Awards View
Languages Update
Languages View
Licenses and Certifications Update
Memberships Update
Memberships View
Officer Specialty Code Update
Officer Specialty Codes View
Readiness Roles Update
Readiness Teams Update
Readiness Teams View
Competencies View
Licenses and Certifications View
Administrative Flags View
Basic Life Support Update
Competencies Update
Servicewide Exam (SWE) Waivers Update
Servicewide Exam (SWE) Waivers View Only
Readiness Waivers Update
Readiness Waivers View Only
Resignation Waiver Update
Resignation Waiver View Only
Retirement Waivers Update
Retirement Waivers View Only
Physical Characteristics Update
Reserve Waivers Update
Reserve Waivers View Only
Weigh-In Update
Medical Waivers Update
Medical Waivers View Only
Education (Degrees) Update
Education (Degrees) View
Employee Review Waivers Update
Employee Review Waivers View Only
Administrative Flags Update
Admin Waivers Update
Admin Waivers View Only
Test and Exams update access

Privacy Impact Assessment
USCG, Direct Access
Page 25

ROLE NAME
CG_TESTS_V
CG_ADDLTRNG_U
CG_CRSE_V
CG_CRSE_U
CG_ADDLTRNG_V

DESCRIPTION
Tests and Exams - View only
Additional Training - Update
Courses and Training View only
Courses and Training
Additional Training – View Only

Privacy Impact Assessment
USCG, Direct Access
Page 26

Attachment C
Responsibilities
Seven entities within Direct Access have a responsibility to ensure the system functions
properly. These entities interact to perform the personnel and pay functions for the Coast Guard.
Below are their responsibilities such as, but not limited to:
Entity
Member

Responsibility
Members are to:
•

Report changes in mailing address (including allotments), phone
numbers, and e-mail addresses.

•

Understand their Leave and Earnings Statement (referred to as the
Payslip) and report any discrepancies via the chain of command.

•

Understand their Retirement Point Statement (referred to as the
Reserve Member Balances) (reservists).

•

Report changes in family/dependent status.

•

Report occasions of moving into or out of Government-owned or
leased quarters.

•

Submit changes in allotments or direct deposit in Direct Access.

•

Advise the Commanding Officer (CO)/Officer in Charge (OinC) of
reenlistment/extension intentions.

•

Submit an E-Resume.

•

Provide any other personnel data and supporting documentation as
requested.
File travel claims for self and dependents, if applicable, within three
days of reporting to a new Permanent Duty Station (PDS) or
returning from Temporary Duty (TDY).

•

•

Maintain a file of historical travel, personnel, and pay transactions.
Should a member challenge a travel, pay, or personnel action, the
member must produce the necessary documentation to substantiate

Privacy Impact Assessment
USCG, Direct Access
Page 27

Entity

Responsibility
the member’s contention.
•

Unit CO/OinC

Reserves Members – Enter IDT drills and ADT order requests.
Submit timely Annual Screening Questionnaires (ASQ).
Unit CO’s/OinC’s are to:
•

Complete Enlisted Employee Reviews (EER) and ensure they are
completed on time in accordance with reference (a).

•

Prepare correspondence for the unit.

•

Authorize and submit leave authorizations.

•

Endorse E-Interviews.

•

Conduct pre-discharge interviews.

•

Maintain unit Personnel Data Records (PDR) in accordance with
reference (b).

•

Provide data and supporting documentation in support of
personnel/pay actions for members in accordance with reference (b).

•

Conduct annual review of Basic Allowance for Housing
(BAH)/Dependency Form and emergency data as prescribed in this
publication.

•

Ensure compliance with Coast Guard weight and body fat standards
in accordance with reference (e).

•

Review orders on the Airport Terminal in Direct Access for attached
members.

•

Review and forward/release travel claims within two days of receipt
from member.

•

Conduct overseas screening for departing members, if applicable.

Note: Units with insufficient administrative capability (see “nonadministrative shore unit” in Section 7-1-1-c of reference (c)) should
seek assistance from their parent command in completing these tasks. In
accordance with Section 3-1-7-b of reference (c), the Sector or Group
Commander is responsible for providing “support” for the functions

Privacy Impact Assessment
USCG, Direct Access
Page 28

Entity
Personnel and
Administrative (P&A)
Offices

Responsibility
performed by assigned subordinate units.
P&A Offices (Admin Offices) are to:
•

Coordinate and provide expertise in unit administration and
personnel actions for active duty, reserve, auxiliary, and civilian
members assigned to the unit.

• Serve as primary pay, allowances, and benefits counselor for all
personnel.
• Review, support, and initiate all USCG-mandated pay and/or
personnel transactions submitted to the Servicing Personnel Office.
• Mail or scan and email any documents authorized by Enclosure (1)
of reference (b) for inclusion in the Electronically Imaged Personnel
Data Record (EI-PDR) and provide originals to the Servicing
Personnel Office.
• Manage Temporary and Permanent Change of Station orders for all
personnel.
• Act as Common Access Card (CAC) issuing authority; perform CAC
pin resets.
• Provide Defense Enrollment Eligibility Reporting System/Real-Time
Automated Personnel Identification System DEERS/RAPIDS
services and ID card services to eligible personnel.
• Provide travel and transportation administrative support and
counseling, including assistance with travel claim submission for the
unit and supported units.
• Act as Direct Access coordinator for the unit and supported units.
• Oversee and promote unit training and personnel development
programs including administration of unit Mandatory Training
program.
• On a collateral duty basis, when no full-time Educational Services
Officer (ESO) is assigned or in support of full-time ESO, manage
and oversee delivery of ESO services, including processing tuition
assistance, administration of voluntary education testing programs

Privacy Impact Assessment
USCG, Direct Access
Page 29

Entity

Responsibility
(College-Level Examination Program (CLEP), Armed Services
Vocational Aptitude Battery (ASVAB), College exam, Dantes
Subject Standardized Test (DSST), etc.), managing and processing
end of course and correspondence tests, processing Coast Guard
Foundation/Mutual Assistance educational grants and loans,
processing Educational Assessment requests; and facilitating and
supporting educational achievement through voluntary education.
• Act as ADT orders-issuing authority as directed by the appropriate
level staff. Provide administrative services by coordinating Reserve
mobilization administrative support, and the documentation of
reserve drills. Maintain file copies of all original signed reserve
orders issued to Sector reservists.
• Serve as Decedent Affairs Officer (DAO) within Area of
Responsibility (AOR). Oversee and coordinate all USCG funeral
actions, including Burials at Sea, per the Military Funeral Honors
(MFH) program. Maintain Military Funeral Honors Database.
•

Provide Casualty Assistance Calls Officer (CACO) guidance and
support in AOR when responding to a death in the line of duty.
Providing training to CACOs.

•

Manage and oversee the urinalysis and weight standards program for
unit and supported units.

•

Manage and oversee the Government Travel Charge Card (GTCC)
program for the unit and supported units; assist units with GTCC
issues. Issue funds advances, as appropriate.

•

Manage and oversee the Mass Transit benefit program for the unit
and supported units.

•

Oversee financial assistance and grants management including Coast
Guard Foundation (CGFDN) Grant applications and Mutual
Assistance (CGMA) loans or grants.

•

Serve as the Passport Acceptance Agent (PAA) for the unit and
supported units.

•

Manage and oversees entry approval.

Privacy Impact Assessment
USCG, Direct Access
Page 30

Entity

Servicing Personnel
Office

Responsibility
•

Oversee workforce good order and discipline by coordinating
administration of military justice processes.

•

Manage unit directives program including award preparation, filing,
and completing Direct Access personnel transaction entries.

•

Manage unit directives program including maintenance of unit
directives library and promulgation of unit-generated directives.

•

Provide other personnel services as required by current directives.

• Liaison with Servicing Personnel Office organization.
Servicing Personnel Offices (SPOs) provide support to COs/OinCs by
recording complex pay and personnel events in Direct Access. Even
though the SPO has responsibility for DA data entry, the unit CO/OinC
is not relieved of authority or responsibility for personnel management
functions. The event that results in the generation of Direct Access
transactions must still originate at the member’s parent unit and must be
accurately communicated to the SPO through the P&A Office staff.
SPO members that are designated Payment Approving Officials (PAOs)
in accordance with (d), certify transactions for payment by the
Authorized Certifying Officer (ACO) at PPC.
SPOs are to:
• Oversee the responsibilities of Military Pay management ensuring all
pay and personnel policies and procedures outlined in service
directives are properly followed.
•

Carry out auditor responsibilities of a Payment Approving Official
as required by reference (d).

•

Ensure all Direct Access transactions affecting military pay and
allowances (including, but not limited to, enlistments, retirements,
discharges, and separations) are first supported by required
documentation as outlined in service directives, the transactions are
entered accurately, and processed within prescribed timelines.

•

Process all pay and personnel transactions for active duty and
reserve permanent change of station (PCS) orders.

•

Process and pay and personnel transactions for Reserve recall for

Privacy Impact Assessment
USCG, Direct Access
Page 31

Entity

Responsibility
mobilization and Reserve mobilization(s) including continuance of
Reservists on Active Duty.
•

Prepare and process appropriate documentation as required for
administrative and disciplinary actions.

•

Pay & Personnel
Center Topeka

Maintain and process SPO PDRs, in accordance with reference (b),
to manage the day to day activities and transactions, to support
members’ military payroll and benefits in Direct Access, and to
conduct and respond to personnel review and financial audits.
• Main or scan and email any documents authorized by reference (b)
for the EI-PDR.
• Liaison with the Personnel Services organization.
PPC will:
• Provide feedback to SPOs when transactions are correctable.
•

Take corrective action on errors which cannot be corrected by SPOs.

•

Provide written notice of due process rights to members who are
overpaid.

•

Provide timely and accurate personnel and pay service to all
members of the Coast Guard.

•

Administer leave and retirement point accounting for active and
reserve military personnel.

•

Arrange for settlement of claims on behalf of deceased or separated
members and collect out of service debts.

•

Process application for allotments and garnishments for certain
support obligations as set forth in 5 CFR 581, 32 CFR 63 and 33
CFR 50.
Administer the Servicewide Examination (SWE) program and
provide enlisted advancement lists to CG Personnel Service Center
(PSC) for official issuance.

•

•

Develop procedures to support all areas of personnel and pay policy.

•

Process travel claims.

•

The ACO at PPC certifies transactions/vouchers prior to release of
funds by the U.S. Treasury.

Privacy Impact Assessment
USCG, Direct Access
Page 32

Entity

Responsibility

Coast Guard
Personnel Service
Center (CG PSC)

CG PSC:
• Issues normal promotion/advancement authorizations and eligibility
lists.

CG Institute

•

Approves retirements.

•

Considers all personnel waivers.

• Issues assignment orders.
CG Institute:
• Distributes and scores all U.S. Coast Guard correspondence courses.
•

Distributes educational funding.

•

Conducts military education credit evaluation.

References:
(a) Enlisted Accessions, Evaluations, and Advancements, COMDTINST M1000.2 (series)
(b) Military Personnel Data Records (PDR) System, COMDTINST M1080.10 (series)
(c) United States Coast Guard Regulations 1992, M5000.3 (series)
(d) U.S. Coast Guard Certifying and Disbursing Manual, COMDTINST M7210.1 (series)
(e) Coast Guard Weight and Body Fat Standards Program, COMDTINST M1020.8 (series)