<?xml version="1.0" encoding="UTF-8"?>
<pai>
<agency toc="yes">
<name>Department of Transportation</name>
<abbrev>
DOT
</abbrev>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17697.pdf </url>
<title> New General Routine Uses </title>
<date year="2012" month="7" day="20"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-04-23/pdf/2012-9624.pdf </url>
<title> DOT/FMCSA 009; National Registry of Certified Medical Examiners (National Registry)</title>
<date year="2012" month="4" day="23"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-07-19/pdf/2012-17597.pdf </url>
<title> DOT/FMCSA 007, Pre-Employment Screening Program </title>
<date year="2012" month="7" day="19"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-03-01/pdf/2012-4964.pdf </url>
<title> DOT/RITA 001; Vehicle and Driver Research, Test, and Evaluation Records </title>
<date year="2012" month="3" day="1"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-07-20/pdf/2012-17696.pdf </url>
<title> OST-100, Investigative Record System </title>
<date year="2012" month="7" day="20"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-05-08/pdf/2013-10842.pdf</url>
<title> Department of Transportation (DOT)/ALL-25; Biographies System of Records</title>
<date year="2013" month="5" day="8"/>
</previouslyPublished>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-09-25/pdf/2013-23131.pdf</url>
<title> DOT/FMCSA-001, Motor Carrier Management Information System </title>
<date year="2013" month="9" day="25"/>
</previouslyPublished>
<routineUses id="routine" toc="yes">
<xhtmlContent>
<p><b>Notice of Systems of Records</b></p>
<p>The identification of the operating unit or units within the Department to which the particular system of records pertains appears as ‘DOT’ followed by a designating abbreviation. The abbreviations and their meanings are as follows:
</p><p>OST--Office of the Secretary of Transportation.
</p><p>CG--United States Coast Guard.
</p><p>FAA--Federal Aviation Administration.
</p><p>FHWA--Federal Highway Administration.
</p><p>FMCSA--Federal Motor Carrier Safety Administration
</p><p>FRA--Federal Railroad Administration.
</p><p>MARAD--Maritime Administration.
</p><p>NHTSA--National Highway Traffic Safety Administration.
</p><p>RSPA--Research and Special Programs Administration.
</p><p>SLS----Saint Lawrence Seaway Development Corporation.
</p><p>STB-- Surface Transportation Board
</p><p>TSC--Transportation Systems Center.
</p><p>FTA--Federal Transit Administration.
</p>
<p><b>General Routine Uses Under the Privacy Act of 1974
</b></p><p>The following routine uses apply, except where otherwise noted or where obviously not appropriate, to each system of records maintained by the Department of Transportation, DOT.
</p><p>1. In the event that a system of records maintained by DOT to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation, or order issued pursuant thereto.
</p><p>2. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to a DOT decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>3. A record from this system of records may be disclosed, as a routine use, to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>4a. <i>Routine Use for Disclosure for Use in Litigation.</i> It shall be a routine use of the records in this system of records to disclose them to the Department of Justice or other Federal agency conducting litigation when--
</p><p>(a) DOT, or any agency thereof, or
</p><p>(b) Any employee of DOT or any agency thereof (including a member of the Coast Guard), in his/her official capacity, or
</p><p>(c) Any employee of DOT or any agency thereof (including a member of the Coast Guard), in his/her individual capacity where the Department of Justice has agreed to represent the employee, or
</p><p>(d) The United States or any agency thereof,
</p><p>where DOT determines that litigation is likely to affect the United States, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or other Federal agency conducting the litigation is deemed by DOT to be relevant and necessary in the litigation, provided, however, that in each case, DOT determines that disclosure of the records in the litigation is a use of the information contained in the records that is compatible with the purpose for which the records were collected.
</p><p>4b. <i>Routine Use for Agency Disclosure in Other Proceedings.</i> It shall be a routine use of records in this system to disclose them in proceedings before any court or adjudicative or administrative body before which DOT or any agency thereof, appears, when--
</p><p>(a) DOT, or any agency thereof, or
</p><p>(b) Any employee of DOT or any agency thereof (including a member of the Coast Guard) in his/her official capacity, or
</p><p>(c) Any employee of DOT or any agency thereof (including a member of the Coast Guard) in his/her individual capacity where DOT has agreed to represent the employee, or
</p><p>(d) The United States or any agency thereof,
</p><p>where DOT determines that the proceeding is likely to affect the United States, is a party to the proceeding or has an interest in such proceeding, and DOT determines that use of such records is relevant and necessary in the proceeding, provided, however, that in each case, DOT determines that disclosure of the records in the proceeding is a use of the information contained in the records that is compatible with the purpose for which the records were collected.
</p><p>5. The information contained in this system of records will be disclosed to the Office of Management and Budget, OMB, in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>6. Disclosure may be made to a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual. In such cases, however, the Congressional office does not have greater rights to records than the individual. Thus, the disclosure may be withheld from delivery to the individual where the file contains investigative or actual information or other materials which are being used, or are expected to be used, to support prosecution or fines against the individual for violations of a statute, or of regulations of the Department based on statutory authority. No such limitations apply to records requested for Congressional oversight or legislative purposes; release is authorized under 49 CFR 10.35(9).
</p><p>7. One or more records from a system of records may be disclosed routinely to the National Archives and Records Administration in records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.
</p><p>8. <i>Routine Use for disclosure to the Coast Guard and to Transportation Security Administration.</i> A record from this system of records may be disclosed as a routine use to the Coast Guard and to the Transportation Security Administration if information from this system was shared with either agency when that agency was a component of the Department of Transportation before its transfer to the Department of Homeland Security and such disclosure is necessary to accomplish a DOT, TSA or Coast Guard function related to this system of records.
</p><p>9. DOT may make available to another agency or instrumentality of any government jurisdiction, including State and local governments, listings of names from any system of records in DOT for use in law enforcement activities, either civil or criminal, or to expose fraudulent claims, regardless of the stated purpose for the collection of the information in the system of records. These enforcement activities are generally referred to as matching programs because two lists of names are checked for match using automated assistance. This routine use is advisory in nature and does not offer unrestricted access to systems of records for such law enforcement and related antifraud activities. Each request will be considered on the basis of its purpose, merits, cost effectiveness and alternatives using Instructions on reporting computer matching programs to the Office of Management and Budget, OMB, Congress, and the public, published by the Director, OMB, dated September 20, 1989.
</p><p>10. It shall be a routine use of the information in any DOT system of records to provide to the Attorney General of the United States, or his/her designee, information indicating that a person meets any of the disqualifications for receipt, possession, shipment, or transport of a firearm under the Brady Handgun Violence Prevention Act. In case of a dispute concerning the validity of the information provided by DOT to the Attorney General, or his/her designee, it shall be a routine use of the information in any DOT system of records to make any disclosures of such information to the National Background Information Check System, established by the Brady Handgun Violence Prevention Act, as may be necessary to resolve such dispute.
</p><p>11. DOT may disclose records from this system, as a routine use, to appropriate agencies, entities, and persons when (1) DOT suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) DOT 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 DOT or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DOT’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>12. DOT may disclose records from this system, as a routine use, to the Office of Government Information Services for the purpose of (a) resolving disputes between FOIA requesters and Federal agencies and (b) reviewing agencies’ policies, procedures, and compliance in order to recommend policy changes to Congress and the President.
</p><p>13. DOT may disclose records from this system, as a routine use, to contractors and their agents, experts, consultants, and others performing or working on a contract, service, cooperative agreement, or other assignment for DOT, when necessary to accomplish an agency function related to this system of records.
</p><p>14. DOT may disclose records from this system, as a routine use, to an agency, organization, or individual for the purpose of performing audit or oversight operations related to this system of records, but only such records as are necessary and relevant to the audit or oversight activity. This routine use does not apply to intra-agency sharing authorized under Section (b)(1) of the Privacy Act.
</p><p>15. DOT may disclose from this system, as a routine use, records consisting of, or relating to, terrorism information (6 U.S.C. 485(a)(5)), homeland security information (6 U.S.C. 482(f)(1)), or Law enforcement information (Guideline 2 Report attached to White House Memorandum, "Information Sharing Environment, November 22, 2006) to a Federal, State, local, tribal, territorial, foreign government and/or multinational agency, either in response to its request or upon the initiative of the Component, for purposes of sharing such information as is necessary and relevant for the agencies to detect, prevent, disrupt, preempt, and mitigate the effects of terrorist activities against the territory, people, and interests of the United States of America, as contemplated by the Intelligence Reform and Terrorism Prevention Act of 2004 (Pub. L. 108-458) and Executive Order 13388 (October 25, 2005).
</p></xhtmlContent></routineUses>
<section id="dot" toc="yes">
<systemNumber>/ALL-</systemNumber>
<subsection type="systemName">DOT Grievance Records Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the personnel office that services the aggrieved employee if the grievance was processed under Departmental Personnel Manual, DPM 771-1, Agency Administrative Grievance System, pursuant to 5 CFR part 771. If processed under a negotiated grievance procedure from an approved labor agreement on behalf of a member, of a group of members, of a recognized collective bargaining unit, or if processed by the union, the grievance record is maintained in the office of the official administering the labor agreement pertaining to the collective bargaining unit. Addresses of servicing personnel offices are as follows: USCG Civilian Personnel Office, CGPC-CPM, 2100 2nd Street SW., Room 6224, Washington, DC 20593-00001; Federal Highway Administration, Office of Human Resources, 400 7th Street, SW., Room 4317,Washington, DC 20590; Federal Railroad Administration, Office of Human Resources, 1120 Vermont Ave, NW, RAD-10, Stop 30, Washington, DC 20005; Federal Transit Administration, Office of Human Resources, TAD-30, Room 9113, Washington, DC 20590; Office of Inspector General, Office of Human Resources, JM-20, Room 7107, Washington, DC 20590; Maritime Administration, Office of Personnel, MAR-360, Room 8101, Washington, DC 20590; National Highway Traffic Safety Administration, Office of Human Resources, NAD-20, Room 5306, Washington, DC 20590; Departmental Office of Human Resource Management, Departmental Director, M-10, Room 7411,Washington, DC 20590; Transportation Administrative Service Center, Human Resource Services, SVC-190, Room 2225, Washington, DC 20590; Research and Special Programs Administration, Office of Human Resources Management, DMA-40, Room 7108, Washington, DC 20590; Research and Special Programs Administration, VOLPE National Transportation Systems Center, Human Resources Management Division, DTS-84, Room 2-122, 55 Broadway, Cambridge, MS 02142-1093; Saint Lawrence Seaway Development Corporation, Office of Administration, PO Box 520, 180 Andrews Street, Massena, NY 13662-0520; Surface Transportation Board, 1925 K Street, NW., Suite 880, Washington, DC 20423; Federal Aviation Administration, National Headquarters, Office of Personnel, AHP-1, Room 500E, 800 Independence Avenue, SW., Washington, DC 20591; Federal Aviation Administration, Alaskan Region, 222 West 7th Avenue, PO Box 14, Anchorage, AK 99513-7587; Federal Aviation Administration, Western Pacific Region, PO Box 92007, World Postal Center, Los Angeles, CA 90009; Federal Aviation Administration, Southern Region, PO Box 20636, Atlanta, GA 30320; Federal Aviation Administration, Great Lakes Region, O’Hare Lake Office Center, 2300 East Devon Avenue, Des Plaines, IL 60018; Federal Aviation Administration, New England Region; 12 New England Executive Park, Burlington, MA 01803; Federal Aviation Administration, Central Region, 601 East 12th Street, Kansas City, MO 64106; Federal Aviation Administration, Eastern Region, Fitzgerald Federal Building, JFK International Airport, Jamaica, NY 11430; Federal Aviation Administration, Southwest Region, 2601 Meacham Blvd., Fort Worth, TX 76137-4298; Federal Aviation Administration, Northwest Mountain Region, 1601 Lind Avenue SW., Renton, WA 98055-4056; Federal Aviation Administration, William J. Hughes, Technical Center, Atlantic City Intl Airport, Atlantic City, NJ 08405; Federal Aviation Administration; Mike Monroney Aeronautical Center, PO Box 25082, Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former DOT employees who have submitted grievances with their respective administrations under OPM Letter 771-1, or grievances pertaining to members of DOT Collective Bargaining Units which were submitted in accordance with negotiated grievance procedures.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains records relating to grievances filed by or on behalf of DOT: statements of employees, witnesses, reports of interviews and hearings, fact-finders and/or arbitrator’s findings and recommendations, copies of decisions and correspondence and exhibits.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 7121; 5 CFR part 771.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Determine validity of grievance.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclose information to officials of the Merit Systems Protection Board, including the Office of the Special Counsel; the Federal Labor Relations Authority and its General Counsel; or the Equal Employment Opportunity Commission when requested in performance of their authorized duties. Provide information to officials of labor organizations recognized under the Civil Service Reform Act when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Names of the individuals on whom they are maintained, or by names and local identification of unions.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are maintained in lockable metal filing cabinets to which only authorized personnel have access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records may be disposed of 3 years after closing of the case. Disposal is by shredding or burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Human Resource Management, M-10, United States Department of Transportation, 400 7th Street, SW., Room 7411, Washington, DC 20590
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual on whom the records is maintained. Testimony of witnesses. Agency officials. Related correspondence from organization or persons.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-</systemNumber>
<subsection type="systemName">Employee Counseling Services Program Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Employee Counseling Service, which provides counseling to the employee. Other Federal, state, or local government, or private sector agency or institution providing counseling services.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former DOT employees who have been counseled or otherwise treated regarding alcohol or drug abuse or for personal or emotional health problems.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Documentation of visits to employee counselors (Federal, state, local government, or private) and the diagnosis, recommended treatment, results of treatment, and other notes or records of discussions held with the employee made by the counselor. Documentation of treatment by a private therapist or a therapist at a Federal, state, local government, or private institution.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 3301 and 7901, 21 U.S.C. 1101, 42 U.S.C. 4541 and 4561, and 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Document the nature of the individual’s problem and progress made and to record an individual’s participation in and the results of community or private sector treatment or rehabilitation programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclose information to qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or program evaluation, but such personnel may not identify, directly or indirectly, any individual patient in any report or otherwise disclose patient identities in any manner (when such records are provided to qualified researchers employed by DOT, all patient identifying information shall be removed). Disclose information, when an individual to whom a record pertains is mentally incompetent or under legal disability, to any person who is responsible for the care of the individual. DOT’s General Routine Uses do not apply to this system. Whenever possible, a partial disclosure will be made or a summary of the contents of the record will be disclosed.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by the name or social security number of the individual on whom they are maintained or by a unique case file identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are maintained in locked file cabinets with regular access strictly limited to employees directly involved in the DOT’s Employee Counseling Services Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained for three to six years after the employee’s last contact with DOT’s Employee Counseling Services Program.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Personnel, Office of the Secretary, M-10, Department of Transportation, Room 7411, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Contact the DOT Employee Counseling Services Program coordinator who arranged for counseling or treatment.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual to whom it applies, the supervisor of the individual if the individual was referred by the Supervisor, the Employee Counseling Service Program staff member who records the counseling session, and therapists or institutions providing treatment.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-6</systemNumber>
<subsection type="systemName">Workers’ Compensation Information System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> These records are maintained at the Departmental Office of Human Resource Management, Office of the Secretary, in Washington, DC; at the operating administration human resource management offices in Washington, DC, and in their in regional offices and centers; and at the Departmental Personnel and Policy Division at the Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> All current and former DOT employees who file (d) claims for Federal Employees’ Compensation, FEC, or report work-related injuries or occupational health-related illnesses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> The system consists of information that is derived from DOT personnel and payroll records, and from Federal Employees’ Compensation claims records maintained by the Department of Labor/Office of Workers’ Compensation Programs, OWCP. OWCP records include information regarding claims filed by DOT employees, members of the US Coast Guard Auxiliary, and students at the US Merchant Marine Academy.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 5 U.S.C. Chapter 8101 et seq., 20 CFR 1.1 et seq., 5 U.S.C. 552a, and Department of Labor and DOT implementing regulations.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to establish and maintain an automated data/information base that is used to improve claims management of the Federal Employees Compensation program within the Department; develop policy guidance; and promote training programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> These records are maintained in accordance with law and regulation in order to ensure proper and efficient management of the Federal Employees Compensation program within DOT. These records are required to assure compliance with the law and regulations and for maintaining program cost analysis and comparison information. These records provide occupation-related data including personnel data for the purpose of determining patterns of injury or illness and determining case disposition information. They are a source of information for purposes of controverting claims when appropriate, monitoring recovery of injured employees and offering of light duty assignments. Records in this system may also be integrated with other DOT program-related personnel information as required for the sound policy or fiscal management of the program and the agency’s mission, or in response to legislative and/or administrative initiatives or requirements. These records may be used as a source of information for the development of policy guidance and/or training programs, for program review and evaluation purposes, and for the provision of management information on an as required or ad hoc basis. Users include DOT human resource management officials, safety and health officials, supervisors, and managers.
</p><p>These records are to be held in confidence and no information shall be disclosed except:
</p><p>a. To the Department of Labor, OWCP, OSHA, the DOT Office of Inspector General, and/or OPM for review of appropriate case and/or investigative actions in collaboration with them.
</p><p>b. Also, see the Prefatory Statement of General Routine Uses.
</p><p> Disclosure to consumer reporting agencies:
</p><p> Not applicable.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> These records are maintained in file folders, magnetic tape and disk. Storage is at the geographic location of the servicing human resource management offices, the Headquarters human resource management policy offices, and the Departmental Personnel and Payroll Division at the Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Records are maintained by employee name, social security and FEC case numbers, and regional/location identifiers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Access to and use of these records are limited to those persons whose official duties require such access. Direct access to the automated database must be authorized by the Departmental Manager, Department of Transportation Workers’ Compensation Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> These records are maintained and disposed of in accordance FPMR 101 0911.4, General Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Departmental Manager, Department of Transportation Workers’ Compensation Program, Office of the Secretary, Departmental Office of Human Resource Management, 400 Seventh Street SW., Washington, DC 20590.
</p><p>Office of Labor and Employee Relations, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591.
</p><p>Chief, Office of Civilian Personnel, United States Coast Guard, 200 Second Street SW., Washington, DC 20593.
</p><p>Director, Office of Human Resources, Federal Highway Administration, 400 Seventh Street SW., Washington, DC 20590.
</p><p>Director, Office of Personnel, Federal Railroad Administration, 1120 Vermont Avenue NW, Washington, DC 20005.
</p><p>Director, Office of Human Resources, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 20590.
</p><p>Director, Office of Human Resources, Federal Transit Administration, 400 Seventh Street SW., Washington, DC 20590.
</p><p>Director, Office of Personnel, Maritime Administration, 400 Seventh Street SW., Washington, DC 20590.
</p><p>Director, Office of Human Resource Management, Research and Special Programs Administration, 400 Seventh Street SW., Washington, DC 20590.
</p><p>Principal, Human Resource Services, Transportation Administrative Service Center, 400 Seventh Street SW., Washington, DC 20590.
</p><p>Director, Office of Human Resources, Office of Inspector General, 400 Seventh Street SW., Washington, DC 20590.
</p><p>Director, Office of Administration, Saint Lawrence Seaway Development Corporation, 180 Andrews Street, Massena, NY 13662-1763.
</p><p>Department of Transportation, Regional Human Resource Management Officers.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Individuals wishing to know if their records appear in this system of records may inquire in person or writing to the system manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Individuals who desire information about themselves contained in this system of records should contact or address their inquiries to the system manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Individuals who desire to contest records about themselves contained in this system should contact or address their inquiries to the system manager.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Information contained in this system is received from DOT records or OWCP records received from and maintained on DOT and its employees, members of the US Coast Guard Auxiliary, and students at the US Merchant Marine Academy.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-7</systemNumber>
<subsection type="systemName">Departmental Accounting and Financial Information System (DAFIS)  and Delphi Accounting System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is located in Department of Transportation (DOT), DOT Accounting offices and selected program, policy, and budget offices. These offices are located within the Office of the Secretary, OST; the Research and Special Programs Administration, RSPA, the Federal Aviation Administration, FAA, the United States Coast Guard, USCG, the Federal Highway Administration, FHWA, the National Highway Traffic Safety Administration, NHTSA, the Federal Transit Administration, FTA, the Maritime Administration, MARAD,  the Federal Railroad Administration, FRA; the Federal Motor Carrier Safety Administration, FMCSA; the bureau of Transportation Statistics, BTS; Transportation Administrative Service Center, TASC, and the Transportation Security Administration TSA. These offices exercise systems and operational control over applicable records within the system. The system software is centrally maintained by the FAA’s Mike Monroney Aeronautical Center, Oklahoma City, Oklahoma. Some centralized reporting functions are performed at Oklahoma City.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The systems : All  employees of DOT, and only of DOT, which includes FAA, USCG, NHTSA, FHWA, OST, RSPA, FRA, FTA, MARAD, USCG, FMCSA, BTS, TASC, and TSA.  Any other Federal agencies that use the system are responsible for Privacy Act compliance for their own employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories include application service provider records and credit cards of government employees, and  payment records for non-payroll related expenses, payment records for payroll made offline, collection records for payroll offsets, and labor cost records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 322; 31 U.S.C. 3512(b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose for collecting the data in the DAFIS and Delphi System of Records is to control and facilitate the accounting and reporting of financial transactions for DOT.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Accounting office personnel use these records to: Provide employees with off-line paychecks, travel advances, travel reimbursements, travel processing, and other official reimbursements; Facilitate the distribution of labor charges for costing purposes; Track outstanding travel advances, receivables, and other non-payroll amounts paid to employees, etc; and, Clear advances that were made through the system in the form of off-line paychecks, payments for excess household goods made on behalf of the employee, garnishments, overdue travel advances, etc. See Prefatory Statement of General Routine Uses.
</p><p>Disclosures to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to "consumer reporting agencies" as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on magnetic tape, magnetic disk, microforms, and in file folders. Storage of file folders and microforms is at the geographic locations of the servicing accounting office. Magnetic tape and disk records are maintained at the central maintenance site in Oklahoma City.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Records are retrieved by employee name and social security number. Retrieval is accomplished by use of telecommunications.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Access to magnetic tape, disk records and website records is limited to authorized agency personnel through password, encryption, firewalls, and secured operating system. Hard copy files are accessible to authorized personnel and are kept in locked file cabinets during non-duty hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Original payment vouchers and supporting documentation are retained and disposed in compliance with the General Records Schedules, National Archives and Records Administration, Washington, DC 20408.  The following schedules apply: General Records Schedule (GRS) 1, Civilian Personnel Records; GRS 2, Payrolling and Pay Administration Records; GRS 3, Procurement, Supply and Grant Records; GRS 4, Property Disposal Records; GRS 5, Budget Preparation Presentation, and Appointment Records; GRS 6, Accountable Officers’ Accounts Records; GRS 7, Expenditure Accounting Records; GRS 8, Stores, Plant and Cost Accounting Records; and GRS 9, Travel and Transportaiton Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Director, Office of Financial Management (B-30), Office of the Secretary, Office of Financial Management, 400 Seventh Street SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Inquiries should be directed to the managers of the accounting office supporting the employee’s agency. Agency officials will contact the System Manager listed above if any centralized support is required for responses.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Information is provided by the employee directly or through the DOT Consolidated Uniform Payroll System.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-8</systemNumber>
<subsection type="systemName">Employee Transportation Facilitation.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Transportation Administrative Service Center, TASC, Facilities Service Center, Parking Management Office, 400 Seventh Street, SW., Room P2-0327, Washington, DC 20590. Field installations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Holders of parking permits and members of carpools and vanpools. Applicants for ridesharing information. Recipients of match letters for carpooling. Applicants and recipients of fare subsidies issued by DOT.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of holders of parking permits and records of carpool and vanpool members. Records and reports of status of rideshare applications. Copies of applications and match letters received by rideshare applicants. Applications and certifications of fare subsidy recipients. Records and reports of disbursements to fare subsidy recipients. Information on local public mass transit facilities and fare subsidy programs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Parking management and fare subsidy management.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Carpool listing produced for use in creating or enlarging carpools or vanpools. Used for production of listings and reports. Used for periodic review or revalidation. Used as part of a program designed to ensure eligibility for, and receipt of, fare subsidy. See Prefatory Statement of General Routine Uses.
</p><p>Disclosures to consumer reporting agencies:</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made from this system to consumer reporting agencies (collecting on behalf of the United States Government) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in hard copy or electronically, depending on the number of entries at each installation. Storage is at the geographic location of the servicing office.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records can be retrieved by name or by ZIP code of residence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Except for carpool listings, access is accorded only to parking and fare subsidy management offices. Printout of carpool listing used in matching program has name, agency, DOT permit number, and work telephone number only and is available upon request.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Data are deleted and not retained on ADP once the individual leaves the system for any reason (i.e., is no longer on the ridesharing listing, is no longer a member of a carpool or vanpool, or no longer receives a fare subsidy). Record copies of monthly reports and listings are retained at each installation, headquarters and field, for three years, forwarded to the Federal Records Center for two more years, and then destroyed. Consolidated reports of all installations are retained at headquarters for three years, forwarded to the Federal Records Center for two more years, and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Transportation Services Section, TASC Facilities Services Center, Department of Transportation, 400 Seventh Street, SW., Room P2-0327, Washington, DC 20590. Field installations.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as System manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as System manager.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Applications submitted by individuals for parking permits, carpool and vanpool membership, ridesharing information, and fare subsidies; from notifications from other Federal agencies in the program; and from periodic certifications and reports regarding fare subsidies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-9</systemNumber>
<subsection type="systemName">Identification Media Record Systems.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is located in the:
</p><p>a. Office of Security and Administrative Management, M-40, 400 7th Street, SW., Washington, DC 20590; (for Office of the Secretary of Transportation and all DOT Agencies other than those listed below).
</p><p>b. Commandant, United States Coast Guard Headquarters, G-O, Washington, DC 20593 and District and Area Offices.
</p><p>c. Federal Aviation Administration, Office of Security and Investigations, 800 Independence Avenue, SW., Washington, DC 20591; and all FAA Regional Offices and Centers.
</p><p>d. Federal Highway Administration, Operations and Services Divisions, 400 7th Street, SW., Washington, DC 20590, and all FHWA Regional Offices.
</p><p>e. Transportation Security Administration, 400 7th Street, SW., Washington, DC 20590, and Federal Security Directors at various airports.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present and former employees, contractor employees, consultants, and other individuals or personnel that require access to DOT facilities, information, resources or information-based systems in any element of DOT.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applications, photographs, receipts for DOT identification and verification media and official credentials, temporary building passes, security badges, security clearance level and type, date of clearance, clearance basis, entry on duty information, current duty assignment information, routing symbols, limited relevant portions of the background investigation date of background investigation, investigating agency and follow-up investigation data, date of birth, social security number, position title and position sensitivity, assignment to sensitive duty positions, facility access, gender, designations, automated information systems access designations, records of access authorizations granted, biometric data (fingerprint or other biometric data as determined by current standards), PKI certificates and encryption information, digital signature codes and verification data, personal information number (pin)/identification and verification media password, or identification record number and expiration date, applications for other identification needed for official duties, and other fields as dictated by the Governmental SmartCard Interoperability Standard.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 322; 49 U.S.C. 114(d); 49 U.S.C. 106(f)(2); 49 U.S.C. 40122.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>&#149; To control access to DOT facilities, information or information-based systems by authenticating the identity of each person using the system; the system will not be used to monitor or track individuals or their usage habits.
</p><p>&#149; To provide a ready concentration of employee personal data to facilitate issuance, accountability, and recovery of required identification media issued to employees, contractor employees, consultants, and other individuals or personnel who require access to DOT facilities, information or information-based systems in the performance of their duties.
</p><p>&#149; To provide for universal and positive verification and control for DOT employees, contractor employees, consultants, and other individuals or personnel needed to perform their official duties.
</p><p>&#149; To control and account for DOT identification and verification media, credentials, and security badges issued to DOT employees, former employees, contractors, and other individuals who require access to DOT facilities and information or information-based systems in the performance of their DOT or other official duties.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>&#149; Records may be disclosed to contractors for the limited purpose of assisting the Department or one of its elements in issuing, controlling and accounting for DOT identification and verification media, credentials and security badges and maintaining associated databases.
</p><p>&#149; Records may be disclosed to Departmental contractors concerning their own current and former employees to facilitate the control and accountability of DOT identification and verification media, credential and security badges issued to contract employees.
</p><p>&#149; See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in an electronic database and may be on computer disks/chips, magnetic tape, and paper forms in file folders. The items of information set forth in the category of records section may be contained on an electronic computer chip or other media imbedded on the identification and verification medium of each employee, contractor, or other individual to whom the identification and verification media is issued.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Retrieval from the system is by name, social security number, date of birth, security clearance level, date of investigation, type of investigation, identification and verification media or record number, digital certificates, duty position location (POD), identification and verification media expiration or issue date, other fields as included in the Governmental SmartCard Interoperability Standard, or other category of records and can be accessed only by authorized individuals.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computers provide privacy and access limitations to records by requiring a user name and password match or equivalent safeguards such as biometrics and public key infrastructure (PKI) technology. Access to decentralized segments is similarly controlled. Only those personnel with a need to have access to the system are given user names and passwords or equivalent technology. Data are manually and/or electronically stored in a locked room with limited access.
</p><p>The protection of the data/information and of the identification and verification media complies with NIST Standards; at no time will any data/information be placed on the media in a manner less secure than its original source.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Hard copy of information including applications, photographs and identification media is destroyed immediately upon termination of employment and/or expiration of surrendered ID media. Inactive electronic records pertaining to applications, photographs, and identification media is removed from the video ID system monthly. The following schedules apply: General Records Schedule (GRS) 11, item 4, Space and Maintenance Records; and GRS 20, item 3a, Electronic Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>a. Office of Security and Administrative Management, M-40, Department of Transportation, 400 7th Street, SW., Washington, DC 20590 (for OST and all DOT agencies other than those listed below).
</p><p>b. Commandant, G-O United States Coast Guard, Washington, DC 20593.
</p><p>c. Director of Security and Investigations, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591.
</p><p>d. Chief, Operations and Services Division, Federal Highway Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as System Manager. Correspondence contesting records must include the full name and social security number of the individual concerned and documentation justifying the claim.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals about whom the record is maintained, automated personnel systems maintained by DOT or any of its elements, and background and clearance investigation systems of records maintained by the DOT or any of its elements.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-10</systemNumber>
<subsection type="systemName">Debt Collection File.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Aviation Administration, General Ledger Branch, Mike Monroney Aeronautical Center, and 6500 S. MacArthur Blvd., Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons currently or formerly associated with the Department of Transportation, DOT who are financially indebted to the United States Government under some particular service or program of the DOT other than under a contract. Individuals may include current, retired, or formerly employed DOT personnel or personnel from other Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information varies depending on the individual debtor, and includes the history of debt collection activity on the individual. Normally, the name, Social Security Number, SSN, address, amount of debt or delinquent amount, basis of the debt, date debt arose, office referring debt, collection efforts, credit reports, debt collection letters and correspondence to or from the debtor relating to the debt. Correspondence with employing agencies of debtors or Office of Personnel Management or Department of Defense, as appropriate, requesting that action begin to collect the delinquent debt through voluntary or involuntary offset procedures against the employee’s salary or compensation due a retiree.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Claims Collection Act of 1966 (Pub.L. 89-508), 31 U.S.C. Chapter 37, Subchapter I, General, and Subchapter II, Claims of the United States Government; Debt Collection Act of 1982, Pub.L. 97-365; 5 U.S.C. 5514, Installment Deduction for Indebtedness (salary offset); section 206 of Executive Order 11222; Executive Order 9397; and 49 CFR part 92, Salary Offset, DOT.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For the administrative management and collection of all delinquent debts, including past due loan payments, overpayments, fines, penalties, fees, damages, interest, leases, sales of real or personal property, etc., due to the DOT and debts due to other Federal departments and agencies that may be referred to the DOT for collection to the extent DOT controls funds due the debtor. This system provides for the implementation of the salary-offset provisions of 5 U.S.C. 5514, the administrative offset provisions of 31 U.S.C. 3716 and the provisions of the Federal Claims Collection Standards, FCCS. It applies to personal rather than contract debts. Guidance regarding contract debts is contained in the Federal Acquisition Regulation. Records in this record system are subject to use in authorized and approved computer matching programs regulated under the Privacy Act of 1974 (5 U.S.C. 552a), as amended, for debt collection purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To the United States General Accounting Office, GAO, Department of Justice, United States Attorney, or other Federal agencies for further collection action on any delinquent account when circumstances warrant. To a debt collection agency for the purpose of collection administered by the DOT. Debtor’s name, Social Security Number, the amount of debt, and the history of the debt may be disclosed to any Federal agency where the individual debtor is employed or receiving some form of remuneration for the purpose of enabling that agency to collect a debt owed the United States Government on DOT’s behalf by counseling the debtor for voluntary repayment or by initiating administrative or salary offset procedures under the provisions services to recover monies owed to the United States Government under certain programs or services of the Debt Collection Act of 1982 (Pub.L. 97-365). To the Internal Revenue Service, IRS, by computer matching to obtain the mailing address of a taxpayer for the purpose of locating such taxpayer to collect or to compromise a Federal claim by DOT against the taxpayer pursuant to 26 U.S.C. 6103(m)(2) and in accordance with 31 U.S.C. 3711, 3217, and 3718. Note: Redisclosure of a mailing address from the IRS may be made only for the purpose of debt collection, including to a debt collection agency in order to facilitate the collection or compromise of a Federal claim under the Debt Collection Act of 1982, except that a mailing address to a consumer reporting agency is for the limited purpose of obtaining a commercial credit report on the particular taxpayer. Any such address information obtained from the IRS will not be used or shared for any other DOT purpose or disclosed to another Federal, state, or local agency which seeks to locate the same individual for its own debt collection purpose. Data base information consisting of debtor’s name, Social Security Number, and amount owed may be disclosed to the Defense Manpower Data Center, DMDC, Department of Defense, the United States Postal Service or to any other Federal, state, or local agency for the purpose of conducting an authorized computer matching program in compliance with the Privacy Act of 1974 (5 U.S.C. 552a), as amended, so as to identify and locate delinquent debtors in order to start a recoupment process on an individual basis of any debt owed DOT by the debtor arising out of any administrative or program activities or services administered by DOT. Disclosure of personal and financial information from this system on current, retired, or former employees of DOT or United States Coast Guard members may be made to any creditor Federal agency seeking assistance for the purpose of that agency requesting voluntary repayment or implementing administrative or salary offset procedures in the collection of unpaid financial obligations owed the United States Government from an individual affiliated with the DOT. An exception to this routine use is an individual’s mailing address obtained from the IRS pursuant to 26 U.S.C. 6103(m)(2).
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made from this record system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)). The disclosure, once determined to be valid and overdue, is limited to information necessary to establish the identity of the individual, including name, address, and taxpayer identification number, (Social Security Number; the amount, status, and history of the claim; and the agency or program under which the claim arose for the sole purpose of allowing the consumer reporting agency to prepare a commercial credit report.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The storage for records on personal computers is kept on floppy disks. Storage on microcomputers is first downloaded onto a floppy disk and then locked in a file cabinet. Data kept in paper file folders are locked in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name or Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computers provide privacy and access limitation by requiring a user name and password match. These records are available only to those persons whose official duties require such access. Records are kept in limited access areas during duty hours and in locked cabinets at all other times.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are disposed of when ten years old except documents needed for an ongoing investigation in which case the record will be retained until no longer needed for the investigation. Data tracks on floppy disks are overwritten a minimum of three times.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Transportation, Director, Office of Financial Management, B-30, 400 Seventh Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the particular DOT operating administration or component in care of the System location above. Individual should furnish full name, Social Security Number, current address and telephone number.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is obtained from the individual, creditor agencies, Federal employing agency of debtor, collection agencies, Federal, state or local agencies furnishing identifying information and/or address of debtor, as well as other internal DOT records such as payroll information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-11</systemNumber>
<subsection type="systemName">Integrated Personnel and Payroll System, IPPS.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Department of Transportation, DOT, Office of the Secretary, OST, 400 7th Street, SW., Washington, DC 20590. Working copies of certain records are held by OST, all DOT Operating Administrations, Office of the Inspector General, OIG, and the National Transportation Safety Board, NTSB. DOT provides personnel and payroll services to NTSB on a reimbursable basis, although NTSB is not a DOT entity. This is done for economy and convenience since both organizations’ missions are transportation oriented and located in the same geographic areas.).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Prospective, present, and former employees in the Office of the Secretary of Transportation, OST, Bureau of Transportation Statistics, BTS, Federal Aviation Administration, FAA, Federal Highway Administration, FHWA, Federal Railroad Administration, FRA, Federal Transit Administration, FTA, Maritime Administration, MARAD, National Highway Traffic Safety Administration, NHTSA, Office of the Inspector General, OIG, Research and Special Programs Administration, RSPA, St. Lawrence Seaway Development Corporation, SLSDC, Transportation Administrative Service Center, TASC, National Transportation Safety Board, NTSB, and civilian employees of the United States Coast Guard, USCG.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains those records required to insure that an employee receives his or her pay and personnel benefits as required by law. It includes, as appropriate:  Service Record, Employee Record, Position Identification Strip, Claim for 10-Point Veteran Preference, Request for Referral Eligibles, Request and Justification for Selective Factors and Quality Ranking Factors, Certification of Insured Employee’s Retired Status, Federal Employees’ Group Life Insurance, FEGLI, Notification of Personnel Action, Notice of Short-Term Employment, Request for Insurance, FEGLI, Designation of Beneficiary, FEGLI, Notice of Conversion Privilege, Agency Certification of Insurance Status, FEGLI, Request for Approval of Non-Competitive Action, Appointment Affidavits, Declaration of Appointee, Agency Request to Pass Over a Preference Eligible or Object to an Eligible, Official Personnel Folder, Official Personnel Folder Tab Insert, Incentive Awards Program Annual Report, Application for Leave, Monthly Report of Federal Civilian Employment, Payroll Report of Federal Civilian Employment, Semi-annual Report of Federal Participation in Enrollee Programs, Request for Official Personnel Folder (Separated Employee), Statement of Prior Federal Civilian and Military Service, Personal Qualifications Statement, Continuation Sheet for Standard Form 171 "Personal Qualifications Statement", amendment to Personal Qualifications Statement, Job Qualifications Statement, Statement of Physical Ability for Light Duty Work, Request, Authorization, Agreement and Certification for Training, United States Government Payroll Savings Plan-Consolidated Quarterly Report, financial Disclosure Report, Information Sheet Financial Disclosure-Report, Payroll for Personal Services, Pay Receipt for Cash Payment to Transferable, Payroll Change Slip, Payroll for Personal Service payroll Certification and Summary--Memorandum, Record of Leave Data, Designation of Beneficiary--Unpaid Compensation of Deceased Civilian Employee, United States Savings Bond Issue File Action Request, Subscriber List for Issuance of United States Savings Bonds, Request for Payroll Deductions for Labor Organization Dues, Revocation of Voluntary Authorization for Allotment of Compensation for Payment of Labor Organization dues, Request by Employee for Payment of Salaries or Wages by Credit to Account at a Financial Organization, Designation of Beneficiary-- Unpaid Compensation of Deceased Civilian Employee, United States Savings Bond Issue File Action Request, Authorization for Purchase and Request for Change: United States Series EE Savings Bond, Request by Employee for Allotment of Pay for Credit to Savings Accounts with a Financial Organization, Application for Death Benefits--Civil Service Retirement System, Application for Retirement--Civil Service Retirement System, Superior Officer’s Statement in Connection with Disability Retirement, Physician’s Statement for Employee Disability Retirement Purposes, Transmittal of Medical and Related Documents for Employee Disability Retirement, Request for Medical Records (To Hospital or Institution) in Connection with Disability Retirement, Application for Refund of Retirement Deductions, Application to Make Deposit or Redeposit, Application to Make Voluntary Contribution, Request for Recovery of Debt Due the United States (Civil Service Retirement System), Register of Separations and Transfers--Civil Service Retirement System, Register of Adjustments--Civil Service Retirement System, Annual Summary Retirement Fund Transactions, Designation of Beneficiary Civil Service Retirement System, Health Benefits Registration Form--Federal Employees Health Benefits Program, Notice of Change in Health Benefits Enrollment, Transmittal and Summary Report to Carrier Federal Employees Health Benefits Program, Report of Withholding and Contributions for Health Benefits, Group Life Insurance, and Civil Service Retirement, Report of Withholdings and Contributions, Employee Service Statement, Election of Coverage and Benefits, Designation of Beneficiary, Position Description, Inquiry for United States Government Use Only, Application for Retirement--Foreign Service Retire System, Designation of Beneficiary, Application for Refund of Retirement Contributions (Foreign Service Retirement System), Election to Receive Extra Service Credit Towards Retirement (or Revocation Thereof), Application for Service Credit, Employee Suggestion Form, Meritorious Service Increase Certificate, Foreign Service Emergency Locator Information, Labor Distribution Data, Leave Record, Leave Summary, Individual Pay Card, Time and Attendance Report, Time and Attendance Report (For Use Abroad).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose for collecting the data in the IPPS System of Records is to control and facilitate payment of salaries to DOT civilian employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>1. Records are maintained for control and accountability of: Pay and allowances; permanent and temporary pay changes; pay adjustments; travel advances and allowances; leave balances for employees; earnings and deductions by pay periods, and pay and earning statements for employees; management information as required on an ad hoc basis; payroll checks and bond history; union dues; withholdings to financial institutions, charitable organizations and professional associations; summary of earnings and deductions; claims for reimbursement sent to the General Accounting Office, GAO; federal, state, and local taxes withholdings; and list of FICA employees for management reporting. 2. To the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services Federal Parent Locator System, FPLS and Federal Tax Offset System for use in locating individuals and identifying their income sources to establish paternity, establish and modify orders of support and for enforcement action. 3. To the Office of Child Support Enforcement for release to the Social Security Administration for verifying social security numbers in connection with the operation of the FPLS by the Office of Child Support Enforcement. 4. To Office of Child Support Enforcement for release to the Department of Treasury for purposes of administering the Earned Income Tax Credit Program (Section 32, Internal Revenue Code of 1986) and verifying a claim with respect to employment in a tax return.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to "consumer reporting agencies" as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Storage is on magnetic disks, magnetic tape, microforms, and paper forms in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Retrieval from the system is by social security number, employee number, organization code, or home address; these can be accessed only by individuals authorized such access.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computers provide privacy and access limitations by requiring a user name and password match. Access to decentralized segments is similarly controlled. Only those personnel with a need to have access to the system are given user names and passwords. Data are manually and/or electronically stored in locked rooms with limited access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The IPPS records are retained and disposed in compliance with the General Records Schedules, National Archives and Records Administration, Washington, DC 20408. The following schedules apply: General Records Schedule 1, Civilian Personnel Records, Pages 1 thru 22, Items 1 through 39; and General Records Schedule 2, Payrolling and Pay Administration Records, Pages 1 thru 6, Items 1 thru 28.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Contact Chief, Financial Management IT Deployment Staff (B-35) at the United States Department of Transportation, Office of the Secretary, 400 Seventh Street SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system of records may inquire in person or in writing to the system manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager." Correspondence contesting records must include the full name and social security number of the individual concerned and documentation justifying the claims.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data are collected from the individual employees, time and attendance clerks, supervisors, official personnel records, personal financial statements, correspondence with the debtor, records relating to hearings on the debt, and from the Departmental Accounting and Financial Information system of records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-12</systemNumber>
<subsection type="systemName">DOT Mentoring Records System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT TASC Computer Center, 400 7th Street, SW., Washington, DC 20590-0001
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>a. All DOT personnel registering to become mentors.
</p><p>b. All DOT personnel registering to be mentees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> All categories of records are electronic and/or paper, and may include identifying information, such as name, office routing symbol, office phone and fax numbers, e-mail address, last four digits of the social security number, grade, and employing administration. All records reflect:
</p><p>a. Name.
</p><p>b. Operating Administration.
</p><p>c. Last four digits of social security number.
</p><p>d. Routing Symbol.
</p><p>e. State employed.
</p><p>f. Age range.
</p><p>g. Pay plan.
</p><p>h. Series.
</p><p>i. Civilian or Military grade.
</p><p>j Work phone.
</p><p>k. Work Fax.
</p><p>l. Work e-mail address.
</p><p>m. Work skills (Optional narrative).
</p><p>n. Interests (Optional narrative).
</p><p>o. Hobbies (Optional narrative).
</p><p>Records for employees of the United States Coast Guard, both military and civilian may also include:
</p><p>1. Collateral duties.
</p><p>2. Coast Guard training Received.
</p><p>3. Coast Guard qualification codes.
</p><p>4. Commissioning source.
</p><p>5. Education level/Type of degree.
</p><p>6. Ethnicity.
</p><p>7. Marital status.
</p><p>8. Current OPFAC.
</p><p>This information is optional for USCG employees only.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 4103.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> This system will be used to match prospective DOT mentors with employees interested in becoming mentees. The system will also be used to monitor the number of employees participating in the DOT Mentoring Program, store participants pass words, contact participants for survey purposes, provide mentor names to senior departmental and human resource management officials, and measure the success of cross modal mentoring.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>a. To DOT HRM personnel to evaluate interest in the program.
</p><p>b. To DOT HRM personnel to transmit survey instruments to participants.
</p><p>c. To DOT HRM personnel to determine the amount of cross modal participation.
</p><p>d. To Senior Management Officials for review.
</p><p>Also, see the prefatory statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> The storage is on a DOT server, with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Retrieval from the system is by category (mentor/mentee), and can be accessed by the administrators of the DOT mentoring program database.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Computers provide privacy and access limitations by requiring a user name and password match. Access to decentralized segments is similarly controlled. Only those personnel administering the DOT Mentoring Program database are given user names and passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records disposition schedule as developed by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Jan B. Karicher, Departmental Office of Human Resources Management, M-13,  Department of Transportation 400 Seventh Street, SW., Washington, DC, 20590-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be directed to: United States Department of Transportation, Departmental Director of Human Resource Management (M-10), 400 7th Street, SW., Washington, DC 20590-001.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals may access their own data through Internet, to the DOT HRM Home Page.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>NA.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual registrants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-13</systemNumber>
<subsection type="systemName">Internet/Intranet Activity and Access Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is located in the Department of Transportation. These offices are located within the Office of the Secretary (OST), Federal Aviation Administration (FAA), the United States Coast Guard (USCG), the Research and Special Programs Administration (RSPA), the Federal Highway Safety Administration (FHWA), Federal Motor Carrier Safety Administration (FMCSA), the National Highway Safety Administration (NHTSA), the Federal Transit Administration (FTA), the Maritime Administration (MARAD), the Federal Railroad Administration (FRA), the Bureau of Transportation Statistics (BTS), the St. Lawrence Seaway Development Corporation (SLSDC), Transportation Administrative Service Center (TASC), and the Transportation Security Administration (TSA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All DOT employees, contractors, or other users authorized or unauthorized who access the Internet/Intranet through any of the authorized DOT network computers or mainframe/enterprise servers, including individuals who send and receive electronic communications, access Internet/Intranet sites, or access system databases, files, or applications from DOT computers or sending electronic communications to DOT computers. An "Internet/Intranet Access Point" is one of the authorized gateways, through which all Internet/Intranet traffic passes. For statistical purposes, the system monitors the amount of traffic using different Internet/Intranet protocols, but does not view the content of transmissions (e.g., it does not monitor the text of electronic mail messages).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records and reports in this system may include:
</p><p>1. The source Internet/Intranet Protocol (IP) address of the computer used to make the Internet/Intranet connection.
</p><p>2. The destination IP address of the site visited (could include URL address)
</p><p>3. The date and time of the connection
</p><p>4. The size of the transmission
</p><p>5. Keywords propagated by Internet/Intranet web sites
</p><p>6. Technical machine data as the system may generate (e.g., Machine-name field and Medium Access Control [MAC] address from the last device the machine traversed.)
</p><p>7. Electronic mail systems, including the email address of sender and receiver of the electronic mail message, subject, date, and time.
</p><p>8. Profile customization purposes to personalize levels of access.
</p><p>9. Records on user access to DOT’s office automation networks as well as denials of access.
</p><p>10. Records relating to mainframe/enterprise server access.
</p><p>11. Verification and authorization records.
</p><p>Logs of Internet/Intranet access and use from a DOT computer generally do not directly contain names or similar personal identifiers. However, for official government business purposes and through research or investigation, an individual whose PC was assigned an IP address at a given time may be identifiable by name.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 322, 49 U.S.C. 40122(g), 49 U.S.C. 40101, 40 U.S.C. 1441, 5 U.S.C. 302
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Data in the system of records is used by DOT systems and security personnel or persons authorized to assist these personnel, to plan and manage systems services and otherwise perform their official duties. Such services would include, but are not limited to, analyzing engineering and statistical use data to assist in making business decisions regarding upgrading hardware, software, and communications technology to meet changing Internet/Intranet use requirements.
</p><p>The system is also used to monitor for improper use.
</p><p>Authorized managers may use the records in the system to investigate improper use or other improper activity by an employee, contractor or other individual relating to DOT computer systems use or access; to initiate disciplinary or other such action; and/or where the record(s) may appear to indicate a violation or potential violation of law, to refer such record(s) to the appropriate investigative organization within the agency or the Department of Transportation, or to other law enforcement agencies for investigation.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>--To provide information to any person(s) authorized to assist in an approved investigation of improper access or usage of DOT computer systems.
</p><p>--To an actual or potential party or his or her authorized representative for the purpose of negotiation or discussion of such matters as settlement of the case or matter, or informal discovery proceedings.
</p><p>--To contractors, grantees, experts, consultants, detailees, and other non-DOT employees performing or working on a contract, service, grant cooperative agreement, or other assignment from the Federal government, when necessary to accomplish an agency function related to this system of records.
</p><p>--To other government agencies where required by law.
</p><p>--See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The information is collected at each monitoring location and the data may be merged into computers within DOT. Data may be stored on an internal hard disk and periodically backed up onto magnetic tape. The data on the systems are protected by passwords. Software may be maintained on the firewall server. The length of time of storage may be governed by available disk space on the server. When it is necessary to print a hard copy, copies will be stored in a locked file cabinet.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by user name, user ID, e-mail address, or other identifying search term employed, depending on the record category. The Department does not usually connect IP addresses with a person. However, in some instances, for official government business purposes, the Department may connect the IP address with an individual, and records may be retrieved by IP address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>To safeguard against the risk of unauthorized disclosure, the DOT maintains the information at secured facilities in limited access areas of the DOT data processing facilities. The systems are also software-protected by a set of multiple passwords. There is backup capability to address issues of availability and continuity of operations. Previous week’s backup tapes may be sent to an off-site storage location in some cases.
</p><p>DOT limits access to monitoring software of the computer(s) to authorized personnel only. In addition, DOT limits who can use the computer(s), and limits dissemination of any passwords used to operate the computer(s). DOT maintains any hard copies of sensitive information in secure file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The information is retained at DOT Headquarters by the system administrators and Regional Administrators. When there is no longer disk space available on the monitors’ hard disks, the files are released to the operating system for re-write. This means the files are "marked" internally as eligible for the computer operating system to overwrite with subsequent data. DOT will comply with requirements of the National Archives and Records Administration (NARA). NARA regulations state that electronic files created to monitor system usage are authorized for erasure or deletion when the agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes. Generally, these (and any associated hard copy) files will be authorized for deletion after 30 days unless needed for official purposes. Not all locations, HQ or regions, will be collecting information at all times.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>a. Department of Transportation, Office of the Secretary, Office of the Chief Information Officer, S-80, 400 7th Street, SW., Washington, DC 20590.
</p><p>b. Department of Transportation, Federal Aviation Administration, Assistant Administrator for Information Services and Chief Information Officer, AIO-1, FAA Headquarters, FOB-10A, 800 Independence Avenue, SW., Washington, DC 20591.
</p><p>c. Department of Transportation, United States Coast Guard Headquarters, Commandant, G-C, 2100 2nd Street, SW., Washington, DC 20593.
</p><p>d. Department of Transportation, Research and Special Programs Administration, Office of the Administrator, DRP-1, 400 7th Street, SW., Washington, DC 20590.
</p><p>e. Department of Transportation, Federal Highway Safety Administration, Office of the Federal Highway Administrator, HOA-1, 400 7th Street, SW., Washington, DC 20590.
</p><p>f. Department of Transportation, Federal Motor Carrier Safety Administration, Office of the Administrator, MC-A, 400 7th Street, SW., Washington, DC 20590.
</p><p>g. Department of Transportation, National Highway Safety Administration, Office of the Administrator, NOA-01, 400 7th Street, SW., Washington, DC 20590.
</p><p>h. Department of Transportation, Federal Transit Administration, Office of the Administrator, TOA-1, 400 7th Street, SW., Washington, DC 20590.
</p><p>i. Department of Transportation, Maritime Administration, Office of Maritime Administrator, MAR-100, 400 7th Street, SW., Washington, DC 20590.
</p><p>j. Department of Transportation, Federal Railroad Administration, The Administrator, ROA-1, 400 7th Street, SW., Washington, DC 20590.
</p><p>k. Department of Transportation, Bureau of Transportation Statistics, Office of the Director, K-1, 400 7th Street, SW., Washington, DC 20590.
</p><p>l. Department of Transportation, St. Lawrence Seaway Development Corporation, The Administrator, 400 7th Street, SW., Washington, DC 20590.
</p><p>m. Department of Transportation, Transportation Administrative Service Center, Director, SVC-1, 400 7th Street, SW., Washington, DC 20590.
</p><p>n. Department of Transportation, Transportation Security Administration (TSA), Under Secretary, TSA-1, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether the system may contain records relating to you, write to the System Manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure." Provide full name, assigned computer location, and a description of information that you seek, including the time frame during which the records(s) may have been generated. Individuals requesting access must comply with the Department of Transportation’s Privacy Act regulations on verification of identity (49 C.F.R. 10.37).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure" and "Record Access Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is collected from computers located at each of the Internet/Intranet Access locations. A software program installed on each of the machines retrieves the information from a hub or connection to the Internet/Intranet. Regional offices may be collecting information from time-to-time. Personal computers at data collection points are used to capture data in a passive mode. Most records are generated internally, i.e., computer activity logs; individuals covered by the system; and management officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-14</systemNumber>
<subsection type="systemName">Federal Docket Management System (FDMS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, non-sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is located in U.S. Department of Transportation, Office of Information Services, Docket Operations, M-30, New Jersey Ave., SE., Room W12-140, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who participate in proceedings at DOT that are covered by the Administrative Procedure Act (APA), and who provide information about their identities. These include proceedings conducted by DOT and by the Department of Homeland Security’s U.S. Coast Guard (USCG) and Transportation Security Administration (TSA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>DOT, USCG, and TSA rulemaking and related documents issued in informal rulemakings, and public comments thereon; non-rulemaking and related documents, and public comments thereon; in formal rulemakings, motions, petitions, complaints, and related documents and formal responses thereto.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 551 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To facilitate involvement of the public in APA and related proceedings. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronically on a publicly-accessible website.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Documents are retrievable through FDMS by name of individual submitting comment, and by docket number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are freely available to anyone.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper copies are returned to the originating office upon transfer to electronic medium. Electronic version is retained indefinitely at the discretion of DOT, USCG, or TSA, as appropriate.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>U.S. Department of Transportation, Dockets Program Manager, Office of Information Services, Docket Operations, M-30, 1200 New Jersey Ave., SE., Room W12-140, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals participating in DOT, USCG, or TSA APA proceedings who provide information about their identities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-16</systemNumber>
<subsection type="systemName">Mailing Management Systems.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, non-sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department of Transportation (DOT) in Washington, DC, the Volpe National Transportation Systems Center in Cambridge, Massachusetts, the Transportation Safety Institute in Oklahoma City, Oklahoma and the Saint Lawrence Seaway Development Corporation in Massena, New York.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members of the public and Department of Transportation and other government agency employees who have requested to receive one-time or periodic mailings from DOT.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual name, contact information, title and organization, if applicable, details regarding the requested publication and payment information for those publications for sale.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide individuals and other government agencies, at their request, with mailed copies of publicly available information about DOT and its operating administrations’ programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) The address portion of the records is compared against a master address list of the United States Postal Service to verify valid addresses; (2) to printing services that are contracted by DOT to print and mail the reports and other publications.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored manually in file folders and electronically in mailing management system applications and databases.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by customer number, customer name, customer address, mailing list title and publication ID number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system is limited to individuals responsible for distributing mailings of publications and the system administrator through the use of user IDs and passwords. Physical access to the system and manual records is restricted through security guards and access badges to enter the facility where equipment and records are located. Records received in hard copy (e.g., requests submitted by letter or fax) are kept in files stored in locked file cabinets, with access limited to those who conduct the distribution or administer the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>System records, with the exception of those at the VOLPE center, are retained until either the request has been met, the individual requests removal from the system, or the individual’s address cannot be verified as valid by the United States Postal Service, depending on the database. Payment information associated with publication requests for which there is a charge is retained for 30 days or less. Records maintained at the Volpe center are retained for up to five years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of the Secretary of Transportation Information Services, Department of Transportation, 400 Seventh Street, SW., Washington, DC 20590; Federal Highway Administration Office of Information Management, 400 Seventh Street, SW., Washington, DC 20590; Director, Office of Administration, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142; Director, Transportation Safety Institute, 6500 South MacArthur Blvd., Oklahoma City, Oklahoma 73169; Director, Office of Administration, Saint Lawrence Seaway Development Corporation at 180 Andrews Street, Massena, New York 13662-0520.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether their information is contained in this system should address written inquiries to the Department of Transportation Freedom Of Information Act and Privacy Act Office at 400 Seventh Street, SW., Washington DC 20590. Requests should include name, address and telephone number and describe the records you seek.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals provide their name and mailing address directly as part of the request to obtain copies of publications. These requests are accepted by the Department of Transportation, its operating administrations, and its contractors by telephone, fax, public Web site, postal mail, and e-mail.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-17</systemNumber>
<subsection type="systemName">Freedom of Information Act and Privacy Act Case Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, non-sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are located at Department of Transportation (DOT) Freedom of Information Act (FOIA) and Privacy Act (PA) offices located in Washington, DC, as well as FOIA Coordination offices at regional locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who submit FOIA and PA requests and administrative appeals to DOT.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains records and related correspondence on individuals who have filed requests for information under the provisions of the Freedom of Information Act and Privacy Act of 1974, including requests for review of initial denials of such requests; copies of requested records and records under administrative appeal.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 552, Freedom of Information Act, as amended, and 5 U.S.C. 552a, the Privacy Act of 1974, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are maintained to process individuals’ requests made under the provisions of the Freedom of Information Act and Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To another Federal agency (a) with an interest in the record in connection with a referral of a Freedom of Information Act (FOIA) request to that agency for its views or decision on disclosure, or (b) in order to obtain advice and recommendations concerning matters on which the agency has specialized experience or particular competence that may be useful to DOT in making required determinations under the FOIA. See also Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored manually in file folders and electronically in databases.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of the individual who made the request or FOIA case tracking or control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computer records are maintained in a secure, password protected computer system. Paper records are maintained in lockable file cabinets. All records are maintained in secure, access-controlled areas or buildings.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained according to the National Archives’ General Records Schedule 14 for FOIA request, appeal, control, reports and administrative files and Privacy Act request, amendment case, accounting of disclosure, control and administrative files.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Freedom of Information Act Officer, Department of Transportation, 400 7th Street, SW., Room 5432, Washington, DC 20590, for all elements of the Department of Transportation except the Federal Aviation Administration; Freedom of Information Act Officer, Federal Aviation Administration, 800 Independence Avenue, Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Those individuals who submit initial requests and administrative appeals pursuant to FOIA and PA, the agency records obtained in the process of responding to such requests and appeals, and DOT personnel who handle such requests and appeals.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>During the course of a FOIA or PA action, exempt materials from other systems of records may in turn become part of the case records in this system. To the extent that copies of exempt records from those ‘other’ systems of records are entered into the FOIA/PA case file, the same exemptions apply for those records, as are claimed for the original systems of records which they are a part.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-18</systemNumber>
<subsection type="systemName">International Freight Data System (IFDS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Server: The server hosting the records will be housed at Integrated Communication Systems Inc., which is located at 5260 West View Drive, Frederick, Maryland 21703. Portal Location: This system of records will be accessed via a portal located at the Research and Innovative Technology Administration of the U.S. Department of Transportation, Room #E36-120, 1200 New Jersey Avenue, SE., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on members of the public who:
</p><p>&#149; Engage in international commerce and hold licenses, registrations and/or other certifications that Federal statutes authorize the Department of Transportation to monitor and/or regulate,
</p><p>&#149; Own, ship or transport international shipments of hazardous materials--whether by import, export or in-transit,
</p><p>&#149; Import automobiles or automobile parts made outside of the U.S.,
</p><p>&#149; Serve as crew on international commercial maritime vessels, or
</p><p>&#149; Ship Government Impelled Cargoes on international maritime vessels. Government Impelled Cargoes are cargo for which a Federal agency contracts directly for shipping by water or for which a Federal agency provides financing, including financing by grant, loan or loan guarantee, resulting in shipment of the cargo by water.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>In addition to transaction-level shipment and conveyance information on international freight flows into, from or transiting the U.S., the categories of records in IFDS include: Corporate and individual names and addresses (home addresses and telephone numbers are collected for those shippers and consignees who operate from home), their contact information (including telephone numbers, fax numbers and e-mail addresses) and titles; commercial drivers’ license numbers and issuers; electronic signatures and signers’ name, title, related information and date of signature; travel document numbers and issuing countries; nationalities of commercial parties such as conveyance owners and/or operators; and commercial operators’ and/or crew members’ dates of birth. Social security numbers are not collected in IFDS.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 112 (section 7301, P.L. 109-59); 19 U.S.C. 1411(d) (section 405, P.L. 109-347)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The U.S. Department of Transportation (DOT) has a variety of international missions that are carried out by its Operating Administrations (OAs) and have a direct impact on the movement of international freight. The International Freight Data System (IFDS) is an automated system that will provide participating DOT Operating Administrations (OAs) with international commercial information to perform their enforcement, statistical, analytical, modeling and policy responsibilities. The IFDS will interface with the U.S. Customs and Border Protection’s (CBP) Automated Commercial Environment (ACE) program as well as the government-wide International Trade Data System. This will be a joint project of the following DOT OAs: Research and Innovative Technology Administration (RITA) (IFDS system manager): the National Highway Traffic Safety Administration (NHTSA); the Maritime Administration (MARAD); the Federal Aviation Administration (FAA); the Pipeline and Hazardous Materials Safety Administration (PHMSA); the Federal Motor Carrier Safety Administration (FMCSA); and the Federal Highway Administration (FHWA). Access to the IFDS will be limited to the statutory authority of each DOT OA to view and use the information. The IFDS is scheduled to deploy in 2008 and 2009.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records maintained in the IFDS will be used as follows:
</p><p>(1) <i>RITA:</i> perform statistical, analytical, modeling and policy activities;
</p><p>(2) <i>FAA:</i> provide support for oversight of international hazardous materials shipments by air as well as statistical, analytical, and policy activities;
</p><p>(3) <i>FHWA:</i> perform statistical, analytical, modeling, and policy activities;
</p><p>(4) <i>FMCSA:</i> provide enforcement support for commercial truck and bus safety and related requirements as well as statistical, analytical, modeling, and policy activities;
</p><p>(5) <i>MARAD:</i> provide enforcement of crewing and Government-Impelled Cargoes requirements as well as statistical, analytical, and policy activities;
</p><p>(6) <i>NHTSA:</i> provide enforcement of auto safety for non-U.S. vehicles and parts as well as statistical, analytical, and policy activities; and
</p><p>(7) <i>PHMSA:</i> provide enforcement support for international hazardous materials shipments oversight as well as statistical, analytical and policy activities.
</p><p>(8) See Prefatory Statement of General Routine Uses.
</p>
<p>Disclosure to consumer reporting agencies: None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records will be stored in the International Freight Data System Database located at the System Manager site as well as at each participating DOT OA site. Any IFDS paper records will be stored at the Research and Innovative Technology Administration, Room E36-120, U.S. DOT Headquarters Building. There is one database (IFDS), which contains international freight data for use by DOT and maintained by RITA. The IFDS obtains its data for the Department of Transportation via an interface with the Department of Homeland Security, U.S. Customs and Border Protection, International Trade Data System.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by an individual’s name and the categories listed in "Categories of records in the system."
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system is limited to authorized users of IFDS and the system administrator managing user IDs and passwords. Physical access to the system and manual records is restricted through security guards and access badges required to enter the facility where IFDS equipment and records are located. The manual records storage location, Room E36-120, is locked when not in use.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records maintained in the IFDS cover the most recent two to three year period depending upon the participating OA’s particular needs and authorities. Historical data will be archived and maintained in a secure manner in accordance with federal regulations governing electronic data records retention and disposal in accordance with the National Archives and Records Administration’s record retention schedule. Standard Form 115 will be used to gain authority for the disposition of the records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>FDS Program Manager, Bureau of Transportation Statistics, Research &amp; Innovative Technology Administration, Department of Transportation, Room #E32-342, 1200 New Jersey Avenue, SE., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether their information is contained in this system should address written inquiries to IFDS Program Manager, Bureau of Transportation Statistics, Research &amp; Innovative Technology Administration, Department of Transportation, Room #E32-342, 1200 New Jersey Avenue, SE., Washington, DC 20590. Requests should include name, address and telephone number and describe the records you seek.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information on individuals is provided to IFDS by the Department of Homeland Security through Customs and Border Protection’s Automated Commercial Environment (ACE) and the ITDS. International traders and carriers or their agents provide this information to ACE in order to facilitate Federal pre-clearance of international cargoes, including their compliance with all Federal regulations governing import into, export from or transiting of the United States and its territories.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-19</systemNumber>
<subsection type="systemName">Federal Personnel and Payroll System (FPPS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of record is in the National Business Center, U.S. Department of the Interior, 7301 West Mansfield Avenue, MS D-2400, Denver, CO 80235-2230.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Prospective, present, and former employees in the Office of the Secretary of Transportation, OST; Federal Aviation Administration, FAA; Federal Highway Administration, FHWA; Federal Railroad Administration, FRA; Federal Transit Administration, FTA; Maritime Administration, MARAD; National Highway Traffic Safety Administration, NHTSA; Office of the Inspector General, OIG; St. Lawrence Seaway Development Corporation, SLSDC; Federal Motor Carrier Safety Administration, FMCSA; Pipeline and Hazardous Materials Safety Administration, PHMSA; Research and Innovative Technology Safety Administration, RITA; and the Surface Transportation Board, STB.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee name, Social Security number, and organizational code; pay rate and grade, retirement, and location data; length of service; pay, leave, time and attendance, allowances, and cost distribution records; deductions for Medicare or FICA, savings bonds, FEGLI, union dues, taxes, allotments, quarters, charities, health benefits, and Thrift Savings Fund contributions; awards, shift schedules, pay differentials, IRS tax lien data, commercial garnishments, child support and/or alimony wage assignments; and related payroll and personnel data. Also included is information on debts owed to the Government as a result of overpayment, refunds owed, or a debt referred for collection on a transferred employee. The payroll, attendance, retirement, and leave records described in this notice form a part of the information contained in DOI’s integrated Federal Personnel Payroll System (FPPS). Personnel, but not payroll, records contained in the system are covered under the Government-wide system of records notice published by the Office of Personnel Management (OPM/GOVT-1).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5101, <i>et seq.</i>; 31 U.S.C. 3512.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose for collecting the data in the FPPS System of Records is to control and facilitate payment of salaries to DOT civilian employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The primary uses of the records are for fiscal operations for payroll, attendance, leave, insurance, tax, retirement, budget, and cost accounting programs; and to prepare related reports to other Federal agencies including the Department of the Treasury and the Office of Personnel Management. Disclosures outside DOT and DOI may be made:
</p><p>(1) To the Department of the Treasury for preparation of payroll (and other) checks and electronic funds transfers to Federal, State, and local government agencies, non-governmental organizations, and individuals.
</p><p>(2) To the Internal Revenue Service and to State, local, tribal, and territorial governments for tax purposes.
</p><p>(3) To the Office of Personnel Management in connection with programs administered by that office.
</p><p>(4) To any other Federal agency to which an employee has transferred.
</p><p>(5) To the Department of Justice, or to a court, adjudicative or other administrative body, or to a party in litigation before a court or adjudicative or administrative body, when:
</p><p>(a) One of the following is a party to the proceeding or has an interest in the proceeding:
</p><p>(1) The Department or any component of the Department;
</p><p>(2) Any Departmental employee acting in his or her official capacity;
</p><p>(3) Any Departmental employee acting in his or her individual capacity where the Department or the Department of Justice has agreed to represent the employee; or
</p><p>(4) The United States, when the Department determines that the Department is likely to be affected by the proceeding; and
</p><p>(b) The Department deems the disclosure to be:
</p><p>(1) Relevant and necessary to the proceeding; and
</p><p>(2) Compatible with the purpose for which it compiled the information.
</p><p>(6) To the appropriate Federal, State, tribal, local or foreign governmental agency that is responsible for investigating, prosecuting, enforcing or implementing a statute, rule, regulation order or license, when the Department becomes aware of an indication of a violation or potential violation of the statute, rule, regulation, order or license.
</p><p>(7) To appropriate Federal and State agencies to provide required reports including data on unemployment insurance.
</p><p>(8) To the Social Security administration to report FICA deductions.
</p><p>(9) To labor unions to report union dues deductions.
</p><p>(10) To insurance carriers to report withholdings for health insurance.
</p><p>(11) To charitable institutions to report contributions.
</p><p>(12) To a Federal agency for the purpose of collecting a debt owed the Federal government through administrative or salary offset.
</p><p>(13) To provide addresses obtained from the Internal Revenue Service to debt collection agencies for purposes of locating a debtor to collect or compromise a Federal claim against the debtor.
</p><p>(18) To the Federal Retirement Thrift Investment Board with respect to Thrift Savings Fund contributions.
</p><p>(19) To disclose debtor information to the Internal Revenue Service or to another Federal agency or its contractor solely to aggregate information for the Internal Revenue Service, to collect debts owed to the Federal Government through the offset of tax refunds.
</p><p>(20) To disclose the names, social security numbers, home addresses, dates of birth, dates of hire, quarterly earnings, employer identifying information, and State of hire of employees to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services for the purposes of locating individuals to establish paternity, establishing and modifying orders of child support, identifying sources of income, and for other child support enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act (Welfare Reform Law, Pub. L. 104-193).
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosure pursuant to 5 U.S.C. 552a (b)(12). Disclosures may be made from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Act of 1966 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:
</p><p>Records are maintained in manual, microfilm, microfiche, electronic, imaged and computer printout form. Current records are stored on magnetic media at DOI’s central computer processing center; historic records are stored on magnetic media at DOI’s central computer center. Original input documents are stored in standard office filing equipment and/or as imaged documents on magnetic media at all locations which prepare and provide input documents and information for data processing.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, Social Security number, and organizational code.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to all records in the system is limited to authorized personnel whose official duties require such access. Paper or micro format records are maintained in locked metal file cabinets in secured rooms. Electronic records are maintained with safeguards meeting the security requirements of 49 CFR 10.3.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records contained in this system of records have varying retention periods as described in General Records Schedule 2, (available on-line at <i>http://www.nara.gov</i>), issued by the Archivist of the United States, and are disposed of in accordance with the National Archives and Records Administration Regulations, 36 CFR part 1228 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The following system manager is responsible for the payroll records contained in the Federal Personnel Payroll System (FPPS). Personnel records contained in the system fall under the jurisdiction of the Office of Personnel Management as prescribed in 5 CFR part 253 and 5 CFR part 297: Chief, FPPS Management Division, National Business Center, U.S. Department of the Interior, 7301 West Mansfield Avenue, Denver, CO 80235-2230.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries regarding the existence of records should be addressed to the System Manager. The request must be in writing, signed by the requester, and meet the content requirements of 49 CFR 10.31.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>A request for access may be addressed to the System Manager. The request must be in writing, signed by the requester, and meet the content requirements of 49 CFR 2.63.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>A petition for amendment should be addressed to the System Manager.
</p><p>The request must be in writing, signed by the requester, and meet the content requirements of 49 CFR 10.41.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals on whom the records are maintained, official personnel records of individuals on whom the records are maintained, supervisors, timekeepers, previous employers, and the Internal Revenue Service.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-20</systemNumber>
<subsection type="systemName">On-line Accommodation Tracking System (OATS)
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p><i>Servers:</i> The Servers hosting OATS are maintained in a secure government facility in Frederick, MD, which is staffed 24 hours a day, 7 days a week.
</p><p><i>Portals:</i> Supervisors, modal OATS administrators, and the Departmental Office of Civil Rights’ system manager may access the system via desktop computers that are in the secure DOT computer network.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and applicants who request reasonable accommodation for a disability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Once a request for accommodation is received by a supervisor/decision maker, the supervisor/decision maker enters the request, including the date it is received, the name of the individual making the request, the type of request made, and other relevant information into OATS.
</p><p>PII in the system consists of: employee’s or applicant’s name, functional limitation caused by the disability, reasonable accommodation (RA) requested, explanation of how RA would assist the applicant in the application process or the employee in performing his/her job or receiving the benefits and privileges of employment, dates when the required interactive discussions were held, notes from discussion regarding the request, action by deciding official, whether medical documentation was sought, justification for requesting medical documentation, any sources of technical assistance that were consulted, and if the request was denied, the reason for denial (but not medical documentation, which will be kept in a separate file).
</p><p>Non-PII in the system includes: The employee’s or applicant’s occupational series and grade or pay equivalent, operating administration, division or office, position title, office location and address and office telephone number; and the deciding official’s name, title and office telephone number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Rehabilitation Act of 1973, as amended, 29 U.S.C. 791; Executive Order 13164.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose for which the system collects information is to implement government-wide requirements and uniform DOT procedures to track and monitor reasonable accommodation requests. The system makes data available to DOT personnel involved in processing and monitoring reasonable accommodation requests. The system of records will serve as the agency’s record of the administrative events pertaining to the approval or disapproval of each requested accommodation and will provide aggregate data on the number and type of requests and timelines for approving or disapproving the requests.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records, and the information in these records, may be disclosed outside of DOT as follows:
</p><p>(1) To a congressional office from the record of an individual in response to an Inquiry from the congressional office made at the request of the individual.
</p><p>(2) To an authorized appeal grievance examiner, formal complaints examiner, administrative judge, equal employment opportunity investigator, arbitrator or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal filed by an employee.
</p><p>(3) To another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency when the Government is a party to the judicial or administrative hearing.
</p><p>Other possible routine uses of the information, applicable to all DOT systems, are published in the <i>Federal Register</i> at 65 FR 19476 (April 11, 2000), under "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices/</i>).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Data files are maintained on servers in a secure government facility located in Frederick, MD 21703, staffed twenty-four hours per day, seven days a week.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the date of the reasonable accommodation request, the name of the deciding official, the name of the employee or employment applicant’s name, record number, and operating administration or office.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Designated, approved Federal employees have access to this system according to job roles and responsibilities for use in their respective jobs. These employees are fully aware of the need to keep the information confidential and already have duties in the area of reasonable accommodation. Each supervisor can see only the records that s/he entered.
</p><p>All IT support staff and contractors are briefed on IT security requirements and associated responsibilities.
</p><p>Access to the system is controlled by user credentials maintained in a secure database.
</p><p>All personally identifiable information maintained in the system is encrypted via availability, economics, and solutions technology. The system uses Secure Socket Layer to ensure secure data transmission over the internet. Access to records in OATS is limited to specific DOT personnel. Electronic access to PII is limited according to job function. DOT controls access privileges according to a documented roles matrix, with each individual receiving the minimum necessary access to PII and permissions. In addition, access to PII requires access to a secure site with complex password requirements. Password and account procedures comply with the following basic guidelines:
</p><p>&#149; Account holders are required to possess a valid DOT email address to use the system.
</p><p>&#149; All reasonable accommodation requests are protected through a Secure Socket Layer connection.
</p><p>&#149; Data fields containing the First Name, Last Name, Phone Number, and Email address of the requestor are encrypted in the database.
</p><p>&#149; Minimum length of passwords is eight characters.
</p><p>&#149; Passwords must be a combination of letters and numbers.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records related to specific individuals are to be maintained for the duration of employment. Aggregate data used to track the agency’s performance are to be maintained for five years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Christy Compton, Disability Program Manager, Departmental Office of Civil Rights, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals or business entities wishing to know if their records appear in this system should direct their requests to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should follow the same procedure as indicated under "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should follow the same procedure as indicated under "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information relating to the accommodation process will be supplied by the individual requesting accommodation(s), the individual’s supervisor, and occasionally the modal OATS Administrator.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-21</systemNumber>
<subsection type="systemName">Close Call Confidentiality Reporting System (C[3]RS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is housed on a stand-alone desktop in the C[3]RS secure room located in room E36-311 at the Bureau of Transportation Statistics, United States Department of Transportation, 1200 New Jersey Ave., SE., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Railroad employees who report close calls to BTS, either by telephone or mail, as part of a five-year demonstration/research project are covered by this system of records. These individuals are employees of three rail carriers participating in the C[3]RS demonstration project. The rail carriers are: Union Pacific Railroad, Canadian Pacific Railroad, and New Jersey Transit.
</p><p>The C[3]RS demonstration project is a research effort to improve safety by using information from close call events to prevent serious accidents in the rail industry. A close call or near miss is an unsafe event with the potential for a more serious incident resulting in greater injury to personnel or damage to equipment above FRA’s reportable threshold level.
</p><p>Employees can report about a near miss event that happened to their crew or an event they witnessed about another crew (third party reporting). In the case of third party reporting, the employee does not provide any PII information on those involved in the reported close call. Reporting employees are not allowed to make anonymous close call reports.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in the C[3]RS system contain information pertinent to an actual close call event submitted to BTS in a C[3]RS report. The following PII data elements are included in every C[3]RS report accepted into the system: The reporting employee’s name, age, job classification, home address, and home and mobile telephone number(s) (if available).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), which was enacted August 10, 2005 as Public Law 109-59.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The C[3]RS collects name, home address, and telephone number(s) of railroad employees reporting close calls events to BTS. Qualified BTS/C[3]RS staff will use the contact information as follows:
</p><p>&#149; The employee’s name and home telephone number will be used to generate and give the employee his/her unique confirmation number, upon receiving the employee’s close call phone message;
</p><p>&#149; The employee’s name and home telephone number will be used to notify the employee that BTS has received the employee’s C[3]RS report and to schedule an interview time with the employee for further discussion of the close call incident;
</p><p>&#149; The employee’s name and home telephone number will be used to initiate the close call interview;
</p><p>&#149; The employee’s name and home address will be used to create and mail out a confirmation/rejection letter notifying the employee about the status of his/her close call report; and
</p><p>&#149; The employee’s job classification will be used to understand the employee’s role in the close call incident.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>BTS does not share PII information collected for the C[3]RS study with other entities. A primary goal of the C[3]RS is to protect the identity of any employee who reports a close call incident to BTS. Reports collected and maintained in the C[3]RS are protected from disclosure as provided in the BTS confidentiality statute (49 U.S.C. 111(k)) and the Confidential Information Protection and Statistical Efficiency Act (CIPSEA) of 2002.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The C[3]RS Demonstration Project stores all data in an electronic database in a stand-alone desktop computer attached to a non-network printer. The computer and printer are in a secure data collection room. Hard-copy documents (work papers) are stored in the secure room and shredded after project completion.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved from the C[3]RS database by confirmation number, which uniquely identifies individual reports and by employee identification numbers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All the information BTS obtains, including the PII data, is kept in a secure room in the Department of Transportation Headquarters building in Washington, DC. Only members of the C[3]RS team who have taken confidentiality training and signed a non-disclosure agreement have access to the secure room. The door of the secure room is kept closed during work hours and kept locked when the room is not in use. The stand-alone workstation that contains the database is password protected. All paper working documents are stored in the secure room and shredded immediately after case completion.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The C[3]RS project is a five-year research/feasibility study subject to availability of funds. BTS will retain the entire C[3]RS database for up to ten years after completion of the project (<i>i.e.</i>, up to fifteen years total). The system is currently unscheduled; pending approval of a retention schedule by the National Archives and Records Administration (NARA), the records must be kept indefinitely. The retention periods that will be proposed to NARA are as follows: upon project completion, all PII data fields will be destroyed, and all non-PII data will be retired to the Federal Records Center (FRC). The non-PII data will be destroyed 10 years after completion of the study.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>C[3]RS Data Collection Officer, Bureau of Transportation Statistics, Research &amp; Innovative Technology Administration, Department of Transportation, 1200 New Jersey Ave., SE., RTS-31, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether their information is contained in this system should address written inquiries to: C[3]RS Data Collection Officer, Bureau of Transportation Statistics, Research &amp; Innovative Technology Administration, Department of Transportation, 1200 New Jersey Ave., SE., RTS-31, Washington, DC 20590. Requests should include name, address and telephone number and a description of the request.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained directly from the individuals who report close call incidents to BTS.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-22</systemNumber>
 <subsection type="systemName">Emergency Contact Records (ECR)--Not Covered by Notices of Other Agencies.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are maintained at all Department of Transportation (DOT) Headquarters offices and field locations, for all DOT components. Locations are available from <i>http://www.dot.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Record subjects are current and former DOT employees, detailees and contractor personnel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system includes emergency contact records not covered by OPM/GOVT-1, including but not limited to records that particular DOT offices create for emergency-related programs (such as emergency response, building evacuation and continuity of operations); that DOT supervisors and administrative assistants create for their general office administrative purposes; and that DOT components use to provide mass notifications to employees. The records contain personal contact information for employees, detailees and contractor personnel and for their designated contacts (<i>e.g.,</i> relatives, friends), and may include the following personally-identifiable information (PII) about them:
</p><p>&#149; Personal cell phone number, home telephone number, home fax number, home address, home e-mail address;
</p><p>&#149; Information about the personnel member’s skills, position, and assignment to or membership on an emergency response team (such as a continuity of operations cadre or a field incident response team), to facilitate their deployment in an emergency;
</p><p>&#149; Work location information, which may include zip code or geophysical information system data to facilitate mapping of locations where the personnel member is working;
</p><p>&#149; Special needs information such as medical conditions or mobility requirements (such information is not routinely collected but may be included if a personnel member provides it voluntarily); and
</p><p>&#149; The personnel member’s relationship to any third-party contacts he or she designates.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The National Security Act of 1947, as amended; the Homeland Security Act of 2002 (Pub. L. 107-296), dated November 25, 2002; Executive Order 12148, Federal Emergency Management, dated July 20, 1979, as amended; Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, dated November 18, 1988, as amended; Executive Order 13286, Establishing the Office of Homeland Security, dated February 28, 2003.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Emergency contact records are used by DOT human resources specialists, security, safety and emergency response coordinators, members of emergency response teams and other work units, and supervisors and administrative assistants, on a need to know basis, for the reasons such as the following:
</p><p>&#149; To identify and locate emergency personnel to work during emergencies, office dismissal or closure situations;
</p><p>&#149; To identify and locate mission-critical emergency personnel to participate in continuity of operations exercises and to provide continuity of operations during national security, natural disaster, pandemic flu and similar situations;
</p><p>&#149; To account for and maintain communication with personnel during an office closure, building evacuation, natural disaster, pandemic flu or other office emergency (<i>e.g.,</i> to make telework or leave arrangements), or to contact them about an urgent work matter (<i>e.g.,</i> during off-duty hours);
</p><p>&#149; To notify designated third-party contact(s) to help locate a personnel member who is absent without leave, or to assist a personnel member in an evacuation or if he or she is injured, ill or incapacitated at work; and
</p><p>&#149; To deliver an identical automated message to all of the component’s or office’s personnel, alerting them to conditions such as power outages, road closings and extreme weather.
</p><p>Any special needs, medical condition or similar information contained in the records is maintained and used in accordance with relevant provisions of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 791, <i>et seq.,</i> and implementing regulations at 29 CFR parts 1614 and 1630, and the Genetic Information Nondiscrimination Act of 2008 at 42 U.S.C. 2000ff <i>et seq..</i>
</p><p>Contractor personnel and detailees assisting DOT may have access to and use information in these systems; for example, DOT may use contractors to provide emergency notification and communication services or system administrative services for databases containing the records.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>DOT shares contact information about emergency personnel and mission-critical emergency personnel who are assigned to DOT emergency-related programs with Federal, State and local governmental agencies or executive offices, relief agencies, 501c3s, and non-governmental organizations, when disclosure is appropriate for proper coordination of security, protective, and other official operations and functions in response to or in preparation for emergency situations.
</p><p>Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the <i>Federal Register</i> at 65 FR 19476 (April 11, 2000), under "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices).</i>
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic databases and paper file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the individual record subject’s name, location, telephone number, special identification numbers or codes assigned only for these records, and/or other personal identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Only personnel with a need to know are authorized to access the records. Access to electronic records is controlled by password and limited according to job function. Personnel may be allowed access to their own entries, to edit or update them. Access to hard-copy records is controlled by lock and key or by access to a secure area.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Pursuant to General Records Schedule 18, Item 27, contact records maintained for emergency-related programs are destroyed 3 years after issuance of a new emergency plan or directive. Pursuant to General Records Schedule 1, Item 18, other emergency contact records (such as those maintained by supervisors and administrative assistants) are destroyed when superseded or obsolete or within one year after separation or transfer of the personnel member.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The DOT Office of Intelligence, Security and Emergency Response, the Human Resources Office, the Head of the individual record subject’s employing office, or the supervisor or administrative assistant for the work group or unit.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>At any time, the record subject (the individual personnel member) may contact the System Manager to request access to review his or her personal information in the system and request changes, as appropriate. A requester must provide suitable identification and may be required to sign a written request, including but not limited to the requester’s name, mailing address, telephone number and/or e-mail address, a description of the records requested, and a sworn statement (either a signed, notarized statement or a statement signed under penalty of perjury) that the requester is the individual who he or she claims to be.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual personnel members provide their own emergency contact information. Supervisors designate employees to serve as emergency employees or mission critical emergency employees. Emergency personnel, security specialists, human resources specialists, supervisors and administrative assistants may provide other information (<i>e.g.,</i> skill data, work location information, job titles, occupational code/series, and information that describes the emergency response group or work unit to which the individual is assigned).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-23</systemNumber>
 <subsection type="systemName">Information Sharing Environment (ISE) Suspicious Activity Reporting (SAR) Initiative System of Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive, and law enforcement sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department of Transportation (DOT) Headquarters on the DOT Nationwide Suspicious Activity Report Initiative (NSI) Shared Space Server in Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this system include:
</p><p>&#149; DOT employees and contractors who have submitted ISE-SAR data to the NSI Shared Space.
</p><p>&#149; DOT employees and contractors who use the NSI Shared Space for conducting research and analysis with a potential terrorism nexus.
</p><p>&#149; Federal, State, local, Tribal, territorial and private sector officials whose agency or organization is part of the NSI and have submitted a ISE-SAR that meets the ISE-SAR Functional Standard and whose information DOT personnel have a need to know for the performance of their official duties.
</p><p>&#149; Federal, State, local, Tribal, territorial, and private sector officials whose agency or organization is an NSI participant and who use the NSI Shared Space for conducting research and analysis with a potential terrorism nexus.
</p><p>&#149; Individuals whose behavior is reasonably indicative of pre-operational planning related to terrorism or other criminal activity associated with terrorism.
</p><p>&#149; Witnesses who have observed individuals whose behavior reasonably is indicative of pre-operational planning related to terrorism or other criminal activity associated with terrorism.
</p><p>&#149; Individuals who have a material relationship to the activity or behavior reported in an ISE-SAR (<i>e.g.,</i> the owner of a particular vehicle that was observed in a SAR, where it is unclear whether the person was actually driving the vehicle).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>As described in the ISE-SAR Functional Standard Version 1.5 published in May 2009, the information listed below may be maintained in this system. The ISE-SAR Functional Standard identifies privacy fields, which are also noted below.
</p><p>&#149; Aircraft descriptions, including:
</p><p>&#9675; Aircraft engine quality.
</p><p>&#9675; Aircraft fuselage color.
</p><p>&#9675; Aircraft wing color.
</p><p>&#9675; Aircraft ID (privacy field).
</p><p>&#9675; Aircraft make code.
</p><p>&#9675; Aircraft model code.
</p><p>&#9675; Aircraft style code.
</p><p>&#9675; Aircraft tail number.
</p><p>&#149; Attachment:
</p><p>&#9675; Attachment type text.
</p><p>&#9675; Binary image.
</p><p>&#9675; Capture date.
</p><p>&#9675; Description text.
</p><p>&#9675; Format type text.
</p><p>&#9675; Attachment URI.
</p><p>&#9675; Attachment privacy field indicator.
</p><p>&#149; Contact information for the submitter of the ISE-SAR:
</p><p>&#9675; Person first name.
</p><p>&#9675; Person last name.
</p><p>&#9675; Person middle initial/name.
</p><p>&#9675; E-mail address.
</p><p>&#9675; Organization/Affiliation.
</p><p>&#9675; Full telephone number.
</p><p>&#149; Driver License:
</p><p>&#9675; Expiration date (privacy field).
</p><p>&#9675; Expiration year.
</p><p>&#9675; Issuing authority text.
</p><p>&#9675; Driver license number (privacy field).
</p><p>&#9675; Driver license endorsements, such as Hazardous Materials, Commercial Driver’s License, Motorcycle.
</p><p>&#149; Follow-up Action:
</p><p>&#9675; Activity date.
</p><p>&#9675; Activity time.
</p><p>&#9675; Assigned by text.
</p><p>&#9675; Assigned to text.
</p><p>&#9675; Disposition text.
</p><p>&#9675; Status text.
</p><p>&#149; Location:
</p><p>&#9675; Location description (privacy field).
</p><p>&#149; Location Address:
</p><p>&#9675; Building description.
</p><p>&#9675; County name.
</p><p>&#9675; Country name.
</p><p>&#9675; Cross street description.
</p><p>&#9675; Floor identifier.
</p><p>&#9675; International Civil Aviation Organization (ICAO) airfield code for departure.
</p><p>&#9675; ICAO airfield code for planned destination.
</p><p>&#9675; ICAO for actual destination.
</p><p>&#9675; ICAO airfield for alternate.
</p><p>&#9675; Mile marker text.
</p><p>&#9675; Municipality name.
</p><p>&#9675; Postal code.
</p><p>&#9675; State name.
</p><p>&#9675; Street name.
</p><p>&#9675; Street number (privacy field).
</p><p>&#9675; Street post directional.
</p><p>&#9675; Street pre directional.
</p><p>&#9675; Street type.
</p><p>&#9675; Unit ID (privacy field).
</p><p>&#149; Location Coordinates:
</p><p>&#9675; Altitude.
</p><p>&#9675; Coordinate datum.
</p><p>&#9675; Latitude degree.
</p><p>&#9675; Latitude minute.
</p><p>&#9675; Latitude second.
</p><p>&#9675; Longitude degree.
</p><p>&#9675; Longitude minute.
</p><p>&#9675; Longitude second.
</p><p>&#9675; Conveyance track/intent.
</p><p>&#149; Observer:
</p><p>&#9675; Observer type text.
</p><p>&#9675; Person employer ID (privacy field).
</p><p>&#149; Owning organization:
</p><p>&#9675; Organization item.
</p><p>&#9675; Organization description.
</p><p>&#9675; Organization ID (privacy field).
</p><p>&#9675; Organization Local ID.
</p><p>&#149; Other Identifier:
</p><p>&#9675; Person identification number (PID) (privacy field).
</p><p>&#9675; PID effective date (privacy field).
</p><p>&#9675; PID effective year.
</p><p>&#9675; PID expiration date (privacy field).
</p><p>&#9675; PID expiration year.
</p><p>&#9675; PID issuing authority text.
</p><p>&#9675; PID type code.
</p><p>&#149; Passport:
</p><p>&#9675; Passport ID (privacy field).
</p><p>&#9675; Expiration date (privacy field).
</p><p>&#9675; Expiration year.
</p><p>&#9675; Issuing country code.
</p><p>&#149; Person:
</p><p>&#9675; AFIS FBI number (privacy field).
</p><p>&#9675; Age.
</p><p>&#9675; Age unit code.
</p><p>&#9675; Date of birth (privacy field).
</p><p>&#9675; Year of birth.
</p><p>&#9675; Ethnicity code.
</p><p>&#9675; Maximum age.
</p><p>&#9675; Minimum age.
</p><p>&#9675; State identifier (privacy field).
</p><p>&#9675; Tax identification number (privacy field).
</p><p>&#149; Person Name:
</p><p>&#9675; First name (privacy field).
</p><p>&#9675; Last name (privacy field).
</p><p>&#9675; Middle name (privacy field).
</p><p>&#9675; Full name (privacy field).
</p><p>&#9675; Moniker (privacy field).
</p><p>&#9675; Name suffix.
</p><p>&#9675; Name type.
</p><p>&#149; Physical descriptors:
</p><p>&#9675; Build description.
</p><p>&#9675; Eye color code.
</p><p>&#9675; Eye color text.
</p><p>&#9675; Hair color code.
</p><p>&#9675; Hair color text.
</p><p>&#9675; Person eyewear text.
</p><p>&#9675; Person facial hair text.
</p><p>&#9675; Person height.
</p><p>&#9675; Person height unit code.
</p><p>&#9675; Person maximum height.
</p><p>&#9675; Person minimum height.
</p><p>&#9675; Person maximum weight.
</p><p>&#9675; Person minimum weight.
</p><p>&#9675; Person sex code.
</p><p>&#9675; Person weight.
</p><p>&#9675; Person weight unit code.
</p><p>&#9675; Race code.
</p><p>&#9675; Skin tone code.
</p><p>&#9675; Clothing description text.
</p><p>&#149; Physical feature:
</p><p>&#9675; Feature description.
</p><p>&#9675; Feature type code.
</p><p>&#9675; Location description.
</p><p>&#149; Registration:
</p><p>&#9675; Registration authority code.
</p><p>&#9675; Registration number (privacy field).
</p><p>&#9675; Registration type.
</p><p>&#9675; Registration year.
</p><p>&#149; ISE-SAR Submission:
</p><p>&#9675; Additional details indicator.
</p><p>&#9675; Data entry date.
</p><p>&#9675; Dissemination code.
</p><p>&#9675; Fusion center contact first name.
</p><p>&#9675; Fusion center contact last name.
</p><p>&#9675; Fusion center contact e-mail address.
</p><p>&#9675; Fusion center contact telephone number.
</p><p>&#9675; Message type indicator.
</p><p>&#9675; Privacy purge data.
</p><p>&#9675; Privacy purge review date.
</p><p>&#9675; Submitting ISE-SAR Record ID.
</p><p>&#9675; ISE-SAR submission date.
</p><p>&#9675; ISE-SAR title.
</p><p>&#9675; ISE-SAR version.
</p><p>&#9675; Source agency case ID.
</p><p>&#9675; Source agency record reference name.
</p><p>&#9675; Source agency record status code.
</p><p>&#9675; Privacy information exists indicator.
</p><p>&#149; Sensitive Information Details:
</p><p>&#9675; Classification label.
</p><p>&#9675; Classification reason text.
</p><p>&#9675; Sensitivity level.
</p><p>&#9675; Tearlined indicator (information that indicates the report does not contain classified information).
</p><p>&#149; Source Organization:
</p><p>&#9675; Organization name.
</p><p>&#9675; Organization ORI.
</p><p>&#9675; System ID.
</p><p>&#9675; Fusion center submission date.
</p><p>&#9675; Source agency contact first name.
</p><p>&#9675; Source agency contact last name.
</p><p>&#9675; Source agency contact e-mail address.
</p><p>&#9675; Source agency contact phone number.
</p><p>&#149; Suspicious Activity Report:
</p><p>&#9675; Community description.
</p><p>&#9675; Community URI.
</p><p>&#9675; LEXS version.
</p><p>&#9675; Message date/time.
</p><p>&#9675; Sequence number.
</p><p>&#9675; Source reliability code.
</p><p>&#9675; Content validity code.
</p><p>&#9675; Nature of source-code.
</p><p>&#9675; Nature of source-text.
</p><p>&#149; Submitting organization:
</p><p>&#9675; Organization name.
</p><p>&#9675; Organization ID.
</p><p>&#9675; Organization ORI.
</p><p>&#9675; System ID.
</p><p>&#149; Suspicious Activity:
</p><p>&#9675; Activity end date.
</p><p>&#9675; Activity end time.
</p><p>&#9675; Activity start date.
</p><p>&#9675; Activity start time.
</p><p>&#9675; Observation description text.
</p><p>&#9675; Observation end date.
</p><p>&#9675; Observation end time.
</p><p>&#9675; Observation start date.
</p><p>&#9675; Observation start time.
</p><p>&#9675; Threat type code.
</p><p>&#9675; Threat type detail text.
</p><p>&#9675; Suspicious activity code.
</p><p>&#9675; Weather condition details.
</p><p>&#149; Target:
</p><p>&#9675; Critical infrastructure indicator.
</p><p>&#9675; Infrastructure sector code.
</p><p>&#9675; Infrastructure tier text.
</p><p>&#9675; Structure type code.
</p><p>&#9675; Target type text.
</p><p>&#9675; Structure type text.
</p><p>&#9675; Target description text.
</p><p>&#149; Vehicle:
</p><p>&#9675; Color code.
</p><p>&#9675; Description.
</p><p>&#9675; Make name.
</p><p>&#9675; Model name.
</p><p>&#9675; Style code.
</p><p>&#9675; Vehicle year.
</p><p>&#9675; Vehicle identification number (privacy field).
</p><p>&#9675; US DOT number (privacy field).
</p><p>&#9675; Vehicle description.
</p><p>&#149; Related ISE-SAR:
</p><p>&#9675; Fusion center ID.
</p><p>&#9675; Fusion center ISE-SAR Record ID.
</p><p>&#9675; Relations description text.
</p><p>&#149; Vessel:
</p><p>&#9675; Vessel official Coast Guard number identification (privacy field).
</p><p>&#9675; Vessel ID (privacy field).
</p><p>&#9675; Vessel ID issuing authority.
</p><p>&#9675; Vessel IMO number identification (privacy field).
</p><p>&#9675; Vessel MMSI identification.
</p><p>&#9675; Vessel make.
</p><p>&#9675; Vessel model.
</p><p>&#9675; Vessel model year.
</p><p>&#9675; Vessel name.
</p><p>&#9675; Vessel hailing port.
</p><p>&#9675; Vessel national flag.
</p><p>&#9675; Vessel overall length.
</p><p>&#9675; Vessel overall length measure.
</p><p>&#9675; Vessel serial number (privacy field).
</p><p>&#9675; Vessel type code.
</p><p>&#9675; Vessel propulsion text.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Homeland Security Act of 2002, as amended; and the Intelligence Reform and Terrorism Prevention Act of 2004, as amended; Executive Order 13388.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The ISE-SAR Functional Standard is designed to support the sharing, specifically through the NSI, of information about suspicious activities that have a potential terrorism nexus throughout the ISE. The NSI participants include DOT; the Department of Justice; other Federal agencies carrying out counterterrorism mission function; State, local, and Tribal entities, including law enforcement agencies, represented at State, regional, major urban area fusion centers; and the private sector to the extent authorized by applicable law. In addition to providing specific indicators of possible terrorism-related crimes, ISE-SARs can be used to look for patterns and trends by analyzing information at a broader level than would typically be recognized within a single jurisdiction, State, or territory. Standardized and consistent sharing of suspicious activity information regarding potential terrorist threats and possible criminal activity associated with terrorism among State and major urban area fusion centers and Federal agencies is vital to assessing, deterring, preventing, or prosecuting those involved in criminal activities associated with terrorism.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:
</p><p>1. DOT or any operating administration thereof;
</p><p>2. Any employee of DOT in his/her official capacity;
</p><p>3. Any employee of DOT in his/her individual capacity where DOJ or DOT has agreed to represent the employee; or
</p><p>4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DOT 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 DOT collected the records.
</p><p>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.
</p><p>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.
</p><p>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.
</p><p>E. To appropriate agencies, entities, and persons when:
</p><p>1. DOT suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
</p><p>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 DOT or another agency or entity) or harm to the individuals that rely upon the compromised information; and
</p><p>3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DOT efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>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 DOT, 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 DOT officers and employees.
</p><p>G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other appropriate public or private sector organization who is a participant in the Nationwide SAR Initiative and authorized access through the NSI Shared Space for the purpose of supporting an authorized law enforcement, counterterrorism, national security, or homeland security function.
</p><p>H. To Federal government counterterrorism agencies where DOT becomes aware of an indication of a threat or potential threat to national or international security, and where such use is to assist in anti-terrorism efforts.
</p><p>I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life, property or other vital interests of a data subject and disclosure is proper and consistent with the official duties of the person making the disclosure.
</p><p>J. See DOT Prefatory Statement of General Routine Uses published in the <i>Federal Register</i> on December 29, 2010 (75 FR 82132).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically. The records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Much of the data within this system does not pertain to an individual; rather, the information pertains to locations, geographic areas, facilities, and other things or objects not related to individuals. However, personal information may be captured. Personal data may be retrieved by name, Social Security number, any privacy fields noted under Categories of Records, and other identifiers listed under the Categories of Records section.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DOT automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>DOT is in the process of developing a retention schedule for DOT ISE-SAR data. This retention schedule will be based upon the underlying retention schedules of the information identified in existing operating administrations’ retention schedules. DOT operating administrations maintain the authority to withdraw and/or edit any and all ISE-SAR data that they have entered into the NSI Shared Space in accordance with their respective policies. The NSI Shared Space does not have any internal retention mandates independent of the retention policies of the DOT operating administrations that enter their information into the NSI Shared Space.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Lawrence V. Hopkins, (202) 366-6285), Associate Director for Intelligence, Department of Transportation, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Transportation has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DOT will consider individual requests to determine whether or not information may be released. Thus, individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the appropriate FOIA Requester Service Center, for which contact information can be found at <i>http://www.dot.gov/foia</i> under "Contact Us."
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 49 CFR part 10. You must verify your identity by providing either a notarized statement or a statement signed under penalty of perjury stating that you are the person that you say you are. You may fulfill this requirement by: (1) Having your signature on your request letter witnessed by a notary; or (2) including the following statement immediately above the signature on your request letter: "I declare under penalty of perjury that the foregoing is true and correct. Executed on [date]." If you request information about yourself and do not follow one of these procedures, your request cannot be processed.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from ISE-SARs submitted by Federal, State, local, Tribal, and territorial agencies and private sector organizations who are NSI participants. The respective mission sets of DOT operating administrations are varied and entail coverage across multiple modes. DOT operating administrations use a standardized technical approach across the Department to incorporate SAR data into the NSI Shared Space. DOT personnel, trained in the ISE-SAR program, will review operating administration SARs and submit only those SAR data that meet the ISE-SAR Functional Standard to the NSI Shared Space.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>The Secretary of Transportation has exempted this system from the following subsections of the Privacy Act, 5 U.S.C. 552, to the extent that this system contains investigatory material compiled for law enforcement purposes, in accordance with 5 U.S.C. 552a(k)(2): a(c)(3) (Accounting of Certain Disclosures); (d) (Access to Records); (e)(4)(G), (H), and (I) (Agency Requirements); and (f) (Agency Requirements).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-24</systemNumber>
 <subsection type="systemName">Departmental Office of Civil Rights System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained by the DOT Departmental Office of Civil Rights, and DOT component civil rights offices. The electronic records systems are maintained on a server that is physically located at a contractor facility in Sterling, Virginia. The server is hosted and maintained by Micropact Engineering, Inc., headquartered in Herndon, Virginia. The system owner is the Departmental Office of Civil Rights (DOCR), S-30, U.S. Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room W78-320, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members of the public (including DOT employees filing complaints pursuant to sections 504 and 508 of the Rehabilitation Act of 1973, as amended) who have submitted inquiries, complaints, or appeals to DOT, alleging discrimination by DOT or by third parties pertaining to DOT Federally-assisted or DOT Federally-conducted programs or activities; individuals who are the subjects of external civil rights inquiries, complaints and appeals; and witnesses who are interviewed concerning same.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of civil rights discrimination inquiries, complaints, and appeals received by DOT from members of the public, DOT employees, small businesses or representatives of these groups; records compiled during the investigation of the complaints and appeals; and records of responsive actions taken by DOT, including complaint information, statements, exhibits, reports and correspondence; records concerning applications for certification as a disadvantaged business enterprise, including business name, contact information, and name of business owners. The records may contain the following personally identifiable information (PII):
</p><p>&#8226; Personal contact information for individual complainants, complaint subjects, DBE appellants, and/or witnesses who are involved in particular discrimination claims, such as name, home address, email address, and home telephone number;
</p><p>&#8226;  Identification information and descriptive details about individual complainants, such as the last four digits of the complainant’s Social Security Number, date of birth, race, color, national origin, sex, religion, age (40 or over), disability, sexual orientation, parental status, and/or genetic information; and
</p><p>&#8226; Financial information pertaining to individual owners of small businesses that have been denied "disadvantaged business enterprise" (DBE) certification.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>42 U.S.C. 2000d <i>et seq.,</i> &#167; 12101 <i>et seq.,</i> 42 U.S.C. 6101 <i>et seq.;</i> 29 U.S.C. 794, 749d; 49 U.S.C. 47113; and Executive Order 13160.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>DOT Civil Rights personnel use the contact information, identification information, and descriptive details to document, investigate, and respond to civil rights complaints, inquiries, and DBE appeals, and to conduct reviews of Federally-funded recipients to assess their compliance with civil rights laws. In DBE appeal cases, DOT/DOCR staff use financial information when necessary to make personal net worth determinations about sole proprietors claiming DBE status. DOT may utilize contractors to assist with certain tasks; for example, contractors may help DOCR analyze financial information for personal net worth determinations in DBE appeal cases.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 of DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3), as follows:
</p><p>A. To the United States Department of Justice (DOJ), including United States Attorneys 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:
</p><p>1. DOT or any component thereof;
</p><p>2. Any employee of DOT in his/her official capacity;
</p><p>3. Any employee of DOT in his/her individual capacity where the DOJ or DOT has agreed to represent the employee; or
</p><p>4. The United States, or any agency thereof, is a party to the litigation or has an interest in such litigation and DOT determines that the records are both necessary and relevant to the litigation and the use of such records is compatible with the purpose for which DOT collected the records.
</p><p>B. To recipients of Federal financial assistance, witnesses, or consultants if necessary to assist DOCR in resolving civil rights complaint or in obtaining additional information or expert advice relevant to the investigation of a civil rights complaint.
</p><p>C. To an adjudicative body before which DOT or one of its components is authorized to appear or to an individual or entity designated by the DOT or otherwise empowered to resolve or mediate disputes to the extent that the disclosure is necessary and relevant to the litigation or alternative dispute resolution (ADR).
</p><p>D. To a party, counsel, representative or witness in a litigation or ADR if relevant and necessary to the litigation or ADR.
</p><p>E. To a congressional office in response to an inquiry from that congressional office made at the request of the individual to whom the record pertains.
</p><p>F. To the National Archives and Records Administration (NARA) or other Federal government agencies pursuant to records management inspections being conducted under the authority of Title 44 of the United States Code.
</p><p>G. To an agency, organization, or individual for the purpose of performing audit or oversight operations authorized by law, but only to the extent that such information is necessary and relevant to the audit of oversight function.
</p><p>H. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement or other assignment for DOT, when necessary to accomplish and 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 DOT officers and employees.
</p><p>I. To another Federal agency with responsibility for labor or employment relations or other issues, including Equal Employment Opportunity issues, when that agency has jurisdiction over issues reported to the DOT Departmental Office of Civil Rights, or component civil rights and civil liberties staff, and staff of components who do not have a designated civil rights and civil liberties office, but who perform related functions.
</p><p>J. To States, DOT Federal-funding recipients, and members of the public, the following information regarding entities determined ineligible for DBE certification: Business name, the business owner(s), type and date of the denial, and name of the entity that made the decision.
</p><p>K. See "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices</i>).
</p><p>Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the <i>Federal Register</i> at 75 FR 82132, December 29, 2010, under "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices</i>).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in an electronic database and in paper files. Certain records are maintained only in paper files (for example, financial documents, photographs, and audio recordings).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the complainant’s, inquirer’s, or DBE appellant’s name or case number, address, telephone number, or email address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Electronic files are stored in secure, password-protected databases. Users must sign a Rules of Behavior document prior to being granted access to the electronic systems. Any paper files and system-generated reports containing PII are labeled as containing PII and are stored in locked file cabinets and/or in a locked file room. Only the System Administrator and authorized Civil Rights personnel in DOCR and in each DOT component are allowed access to the files, and on a "need-to-know" basis.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>DOT is preparing a new records disposition schedule (Standard Form 115) for submission to the National Archives and Records Administration (NARA), which will include the following proposed retention periods:
</p><p>&#8226; <i>General Information:</i> Destroy/delete 3 years after inquiry date, unless needed longer for legal or audit purposes.
</p><p>&#8226; <i>Complaints and DBE Appeals:</i> Destroy/delete 5 years after final decision, unless needed longer for legal or audit purposes. A redacted copy of the final decision (with PII removed) may be retained longer for reference purposes.
</p><p>&#8226; <i>De-certifications and Denials:</i> Delete immediately if decision to de-certify or deny certification is reversed or rescinded.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Departmental Office of Civil Rights (DOCR), S-30, U.S. Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room W78-320, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>At any time, an individual inquirer, complainant, or DBE appellant may contact the System Manager to request access to review his or her personal information in the system and request changes, as appropriate. During the pendency of the investigation, DOT may deny the individual access to the investigation files if necessary to avoid compromising the investigation. The investigator may require that the request be submitted in writing and include the requester’s name, mailing address, telephone number, and/or email address, a description of the records requested, and a sworn statement (either a notarized statement or a statement signed under penalty of perjury) that the requester is the individual who he or she claims to be.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from individuals making inquiries; correspondents; complainants; complaint subjects; DBE appellants; interviewees; investigation reports; and review of records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a), because this system will contain investigatory material compiled for law enforcement purposes, a Notice of Proposed Rulemaking (NPRM) is pending to revise DOT’s Privacy Act regulations (49 CFR part 10, Appendix, part II) to exempt this system from the requirements of the following Privacy Act subsections, for the reasons stated in the proposed revision: (c)(3) (Accounting of Certain Disclosures), (d) (Access to Records), (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) to the extent that DOCRS contains investigatory material compiled for law enforcement purposes.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/ALL-25</systemNumber>
 
<subsection type="systemName">Department of Transportation (DOT)/ALL--25, Biographies System of Records</subsection>
<subsection type="securityClassification"><xhtmlContent><p>
Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Department of Transportation and in component offices of the Department of
Transportation in both Washington, DC and field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any individual, including Department of Transportation senior leadership, past and present, whose biographical
information is collected and distributed by DOT.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in the system may include but are not limited to:
</p><p>&#149; Individual’s name;
</p><p>&#149; Individual’s place of birth;
</p><p>&#149; Individual’s photo;
</p><p>&#149; Individual’s work history and experience;
</p><p>&#149; Individual’s education;
</p><p>&#149; Individual’s military experience;
</p><p>&#149; Individual’s civil duties and awards;
</p><p>&#149; Individual’s hometown;
</p><p>&#149; Individual’s other relevant areas of information that may be collected and distributed to the
public.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 49 U.S.C. 301
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to collect biographical information of individuals, primarily DOT employees and
senior leadership, in order to provide information to the media and the public.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>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 or information contained in this system may be disclosed outside DOT as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To individuals or organizations, both public and private, for the purpose of introduction at speaking
engagements, meetings and other events;
</p><p>2. To professional societies, civil clubs, industrial and other organizations, Federal, state and local
government agencies, representatives of the news media, researchers, authors, Congress, and members of the public
by posting such information on the Internet or in DOT publications to further of DOT mission and activities;
</p><p>3. To professional societies, civil clubs, industrial and other organizations, state and local governments,
representatives of the news media, and other Federal, state and local government agencies for publications
related to DOT’s mission and activities;
</p><p>4. See "Prefatory Statement of General Routine Uses" (available at <i>
http://www.dot.gov/privacy/privacyactnotices</i>). Other possible routine uses of the information, applicable to
all DOT Privacy Act systems of records, are published in the <i>Federal Register</i> at 75 FR 82132,
December 29, 2010, and 77 FR 42796, July 20, 2012 (available at <i>http://www.dot.gov/privacy</i>).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically and/or on paper in secure facilities. Electronic records may
be stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by individual’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all
applicable DOT 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 records in this system is limited to those
individuals who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>DOT is preparing a new records disposition schedule (Standard Form 115) for submission to the National
Archives and Records Administration (NARA), which will include the following proposed retention periods: Records
at the executive level (e.g. Secretary, Deputy Secretary, and Chief of Staff) are permanent. These records are
cut off when superseded or obsolete, and are transferred to NARA one year after cut off. Other records will be
retained for two years from the date of collection and then disposed.
</p><p>DOT will retain all records until a disposition schedule is approved by NARA.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For office of the secretary components of DOT, the system manager is the Director, Public Affairs, Department
of Transportation, 1200 New Jersey Ave. SE., Washington, DC, 20590. For Operating Administrations of DOT, the
System Manager can be found at <i>http://www.dot.gov/briefingroom</i> under "Press
Offices."
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking
to contest its content, may submit a request in writing to the modal Privacy Officer where the records are kept
whose contact information can be found at <i>http://www.dot.gov/foia</i> under "Contact Us."
If an individual believes more than one component maintains Privacy Act records concerning him or her, the
individual may submit the request to the Departmental Freedom of Information Act Office, U.S. Department of
Transportation, Room W94-122, 1200 New Jersey Ave. SE., Washington, DC 20590, ATTN: FOIA request.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records
your request must conform with the Privacy Act regulations set forth in 49 CFR part 10. You must sign your
request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits
statements to be made under penalty of perjury as a substitute for notarization. While no specific form is
required, you may obtain forms for this purpose from the Chief Freedom of Information Act Officer, <i>
http://www.dot.gov/foia</i> or 202.366.4542. In addition you should provide the following:
</p><p>An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DOT component agency
may have responsive records; and
</p><p>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.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your
request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from DOT employees and other individuals who are the subject of such records. Collection
and use of all records is voluntary and individuals may decline from providing such information for the purposes
described within this notice.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/CG-528</systemNumber>
 <subsection type="systemName">Centralized Reserve Pay and Retirement System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Coast Guard, Human Resources Service and Information Center, 444 SE Quincy St., Topeka, KS 66683-3591. District Offices and other Field Units.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Coast Guard Reservists.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Master Pay and Retirement Point Credits Record. Master Personnel Data Accounting Record.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 10 U.S.C. 1331; 10 U.S.C. 12731; 14 U.S.C. 632; 49 CFR 1.45, 1.46
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Prepare monthly payroll and all associated listings.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Preparation of budgets. Accounting. Compute pay and points. Compilation of data. Report earnings to state and city taxing authorities. Used by authorized Coast Guard, IRS, GAO, and other Agency Officials as required. See Prefatory Statement of General Routine Uses; 3 through 5 do not apply.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures may be made from this system to "Consumer reporting agencies" (collecting on behalf of the United States Government) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Microfilm of payroll retained in Reserve Pay Branches and Districts. Records are filed manually in filing cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Alphabetically by name of Reservist and CG Unit Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is regularly limited to user staff members. Records are stored in secured building after duty hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Microfilm and records are retained until member is discharged or retired. Three years subsequent to retirement or discharge, records are transferred to a Federal Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, G-WT, Director, Reserve and Training Directorate, United States Coast Guard, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure".
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "Notification procedure".
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>District Commander and Office of Reserve, Individual Unit Commanding Officers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/CG-533</systemNumber>
<subsection type="systemName">Retired Pay and Personnel System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Coast Guard, CG, Human Resources Service and Information Center, 444 SE. Quincy St., Topeka, KS 66683-3591.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Annuitants. Lighthouse Keeper Retirees. Honorary Retirees. USCG Retirees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Pay and Personnel data of military retirees, annuitants, lighthouse keepers and retirees. Personnel data of honorary retirees. Accounts receivable and accounts payable.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 10 U.S.C. 421-424, 1201, 1401; 14 U.S.C. 632; 49 CFR 1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Make payments.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>W-2 wage and federal tax reporting to the Internal Revenue Service. Reports of earnings to State and city taxing authorities. Listing of currently retiring officers, home addresses and mailing labels used by authorized USCG and USCG affiliated organizations. Reports and information exchanged with the Veterans Administration, Office of Personnel Management, Social Security Administration, Department of Defense, and the Red Cross. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made from this system to "consumer reporting agencies" (collecting on behalf of the United States Government) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are filed manually in file folders. Microfilm is stored in the retired pay branch. Check tapes are filed in tape library.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records and microfilm are indexed alphabetically, check tapes are indexed by tape number. Retrieved by name/number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is regularly limited to user staff members under supervisory control. Stored in government building having roving security guard after duty hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in the Retired Pay Branch for 3 years subsequent to retiree’s or annuitant’s death, and then forwarded to a Federal Records Center. Magnetic tapes are retained 18 months, microfilm for 6 years (required by GAO) then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Management Directorate, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. Notification procedure: Department of Transportation, Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. Written request must be signed by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Procedure may be obtained by writing to or visiting Commandant, G-SII at the address in "Notification Procedure" or the local Coast Guard District or unit office for the area in which an individual’s duty station is located. Proof of identity will be required prior to affording an individual access to records. A military identification card, a driver’s license, or similar document will be considered suitable identification.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "Record access procedures".
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Individuals, Coast Guard personnel and payroll offices.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/CG-612</systemNumber>
<subsection type="systemName">Port Security Card System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Commandant, G-O-CGIS, United States Coast Guard Headquarters, CG, 2100 2nd Street, SW., Washington, DC 20593-0001. District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons regularly employed on vessels and water front facilities, or persons having regular public or private business with the operation, maintenance, or administration of vessels and cargoes or waterfront facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applications for port security cards awaiting processing. Processed applications indicating those granted or denied port security cards.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C. 2, 91, 632; 33 CFR 125; 49 CFR 1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Determine eligibility for issuance of Port Security Cards.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper files, 3x5 cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Maintained in file cabinets in secure areas. Personnel are screened prior to granting access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained for 8 years, then destroyed by mutilating, shredding or burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, G-O, Chief, Operations, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as  `Notification Procedure’ or the local Coast Guard District or unit office.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedures."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual applications. National Agency checks. Other records already at Coast Guard Headquarters, if any.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system of records may be exempt from disclosure under the provisions of 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/CG-624</systemNumber>
<subsection type="systemName">Personnel Management Information System, PMIS.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Coast Guard, Commanding Officer Human Resources Service and Information Center, 444 SE Quincy St., Topeka, KS 66683-3591.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All regular Coast Guard personnel on active duty. All reserve Coast Guard personnel on extended active duty and Reserve personnel on initial active duty for training.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>A single computer record that currently contains about 450 data elements on each member. Some data elements are used only for enlisted, others only for officers. The file contains personal information such as name, place of birth, rank, location, etc. The file also contains pay date elements which will form the basis for deriving pay entitlements for Coast Guard military personnel under the Joint Uniform Military Pay System, JUMPS.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 14 U.S.C. 92(I), 632; 49 CFR 1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Produce a number of personnel reports used throughout the Coast Guard.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses, 3 through 5 do not apply.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to ‘consumer reporting agencies’ (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The storage is on computer disks with tape backups. The file is updated once a week. Once a month the file is dumped to a tape file for historical purposes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name or Social Security Number or a combination of personal and non-personal characteristics.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The computer provides privacy and access limitations by requiring a user name and password match. In addition each element of the file has its own level of accessibility which must be held by the user. Only those staff components at Headquarters with a need to have access to the file are given user names and passwords. Access to the "Time Share" extract is similarly controlled. The backup tapes and monthly dumps also have limited access in that users must justify the need before they are provided the tape numbers.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>End-of-Year system backup tapes and day-to-day transaction tapes are retained indefinitely. Statistical and other report extract tapes are recycled into the system and consequently destroyed. Paper working files are disposed of in accordance with current record disposal instructions.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant, G-WP, United States Coast Guard Headquarters, Director, Personnel Management Directorate, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure".
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure".
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Official service record entries prepared by field units.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/CG-642</systemNumber>
<subsection type="systemName">Joint Maritime Information Element, JMIE, Support System, JSS.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Coast Guard, Operations Systems Center, Martinsburg, WV 25401.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals with established relationship(s)/association(s) to maritime vessels that are included in the Joint Maritime Information Element, JMIE, Support System, JSS: Ship owners, passengers and crew.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Maritime vessels and vessel characteristics including: Performance data, vessel identification data, registration data, movements, reported locations, activity and associate information (data pertaining to people or organizations associated with vessels) for owners, passengers, and crew members. Reports submitted by Coast Guard crews relating to boardings and/or overflights, as well as any violations of United States law, along with enforcement actions taken during boarding. Such reports could contain names of passengers on vessels, as well as owners and crew members. Vessels and associates known, suspected or alleged to be involved in contraband trafficking. Within the JMIE Support System, contraband is meant to refer to any item that is illegally imported/exported to/from the United States via maritime activity.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>United States Coast Guard, 14 U.S.C. 89. United States Customs Service, 19 U.S.C. 1589A(2). Drug Enforcement Administration, 21 U.S.C. 800--900. Immigration and Naturalization Service, 8 U.S.C. 1551.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Maintaining suspect lists, enforcing United States laws dealing with items such as counter narcotics, fisheries, and boating safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Ship location and associated information such as declared cargo, ownership, crew members, passengers, reported historical profiles relating to travel, cargo and ports of call may be reported to federal, state, and/or local law enforcement officials for purposes of intercepting ships and inspecting cargo and ship structures. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Storage of all records is in an ADP database operated and maintained by the United States Coast Guard. Privacy Act data are stored and controlled separately from other information in the database. Classified and non-classified information from consortium members and other sources is merged into a classified database. Dynamic information on vessel location and movements is obtained daily and stored on-line (disk resident) for a period of two (2) years. Other information such as characteristics, identification status and associate records is updated at prescribed intervals of three (3) months to one year to remain current and is retained indefinitely. Classified information, downloaded from the host and then extracted from the PC workstations and recorded on paper (or magnetic media), may be stored at user sites in classified storage containers or on secured magnetic media. Unclassified information is stored in accordance with each user sites’ handling procedures. All records provided to a JSS subscriber in response to a "specific name" query, will be kept in an audit record and retained for a minimum of five (5) years or the life of the system, whichever is longer.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Matching individual name, Social Security Number, passport number, or the individual’s relationship to the vessel (e.g., owner, shipper, consignee, crew member, passenger, etc.). Controls have been installed to ensure information on individuals is not retrievable or accessed by members of the intelligence community.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>JMIE has its own approved System Security Plan.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records relating to ship characteristics are retained indefinitely. Records of a transitory nature (relative to ship locations, and individuals identified as passengers or crew, etc.) are maintained on line for a minimum of two (2) years, then purged per General Records Schedule 23. Audit records, maintained to document JSS user access to information relating to specific individuals, are maintained for five (5) years, or the life of the system, whichever is longer. Access to audit records will only be granted to authorized personnel approved by the Executive Agent. Information retrieved from the host and stored at user sites will be disposed of in accordance with the requirements for classified and sensitive information.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Law Enforcement and Defense Operations, United States Coast Guard, 2100 Second Street, SW., Washington, DC 20593-0001 ATTN: JMIE Program Manager.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Commanding Officer, United States Coast Guard Operations Systems Center, Martinsburg, WV 25401.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure".
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as record access procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Federal, State and local law enforcement agencies, other Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Under subsections (j)(2) and (k)(1) and (2) of the Privacy Act (5 U.S.C. 552a), portions of this system of records are exempt.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/CG-677</systemNumber>
<subsection type="systemName"> Coast Guard Reserve Personnel Mobilization System
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> Commandant, G-WT, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. Commander, Reserve in each Coast Guard District Office (except 17th). Each District and Headquarters Unit.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Reserve officer and enlisted personnel (not on extended active duty) in an Active or Retired status, including those Reservists released from extended active duty to fulfill a specified term of obligated inactive Reserve service.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Mobilization and qualification cards and orders. Initial, Annual, and Retired Screening and Qualification Questionnaires.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 5 U.S.C 301; 10 U.S.C 10207, 12301, 12321; 14 U.S.C 632; 49 CFR 1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> Fulfillment of normal administrative procedures including the examining and screening for completeness and accuracy of records, correspondence pertaining thereto as a basis for assignment to active duty for training, special active duty for training or extended active duty and mobilization billets.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> Records maintained on paper, punched cards and magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name and/or social security account number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Safeguards and controls afforded this system of records are similar to those normally employed "For Official Use Only" material, both at Headquarters and District Offices. Records are maintained in locked secure areas when not in use and personnel screening is employed prior to granting access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> The majority of records in this system (in any form) are generally destroyed immediately after the expiration of their useful life, except those retained in the aforementioned "dead files" (which are subsequently destroyed one year after placement in the file). The major exceptions to this policy are the Screening and Qualification Questionnaires, which are filed in the Reservists District Service Record. Records are destroyed by mutilating, shredding or burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Commandant, G-WT, United States Coast Guard Headquarters, Director, Reserve and Training Directorate, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual, CG Headquarters and CG District Offices.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/CG-678</systemNumber>
<subsection type="systemName"> Reserve Personnel Management Information System, Automated.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> Commandant, G-WT, Director, Reserve and Training Directorate, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Reserve officers and enlisted personnel in an active or inactive status, including retired reservist, and those reservists released from extended active duty to fulfill a specific term of inactive obligated service.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Name, social security number, present and last five grades or rates, educational background, civilian and military, foreign language and proficiency, history of unit assignments and dates assigned, duty status, date of birth, date of enlistment, appointment or extension, AFQT scores, source of entry, date of commission, prior service, date of expiration of obligation, anniversary data on pay base date, aviation pay and administrative pay, training rate, reserve category and class, training/pay category, data on ADT for last five years, number of dependents, Federal withholding exemptions, Selective Service induction certification, date of completion of Ready obligation, officer experience indicator, last screening date and result, civilian occupation, date of last National Agency Check, Background Investigation and security clearance, domestic emergency volunteer, date of last physical and immunization, data on special active duty for training and extended active duty, annual training date, total retirement points and satisfactory years of service for retirement purpose, current year retirement point accounting data, including inactive duty training participation, correspondence course activity, taxable wages paid and withholdings, uniform allowances, Servicemen’s Group Life Insurance, SGLI information, mailing address, and work and home phone number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 5 U.S.C. 301; 10 U.S.C. 12301-12321; 14 U.S.C. 632; 49 CFR 1.45, 1.46.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> Personnel administration of individual reservists and the overall management of the reserve program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> To the Treasury Department to complete payroll checks. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> Disclosures may be made from this system to "consumer reporting agencies" collecting on behalf of the United States Govt. as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> The storage is on computer disks with magnetic tape backups. The file is updated weekly.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> By Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Magnetic tapes are stored in locked storage areas when not in use and are accounted for at all times during actual use. Personnel screening prior to granting access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Magnetic tapes are used, corrected and updated until the tapes become physically deteriorated after which they are destroyed. A reservist’s address is maintained on file for approximately one year after discharge, to allow for processing of annual point statements and W-2 forms. Audit trails are maintained indefinitely and the Master Personnel file and Pay and Points file are continually updated.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Commandant, G-WT, Director, Reserve and Training Directorate, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Requests to determine if this system contains information on any individual should be made in person or in writing to: Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> The individual, Coast Guard Headquarters and district offices, and the various operating units of the Coast Guard.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.</p>
<p><b>Appendix I--Location of CG Districts and Headquarters Units</b></p>
<p>1. Commander, 1st Coast Guard District, 408 Atlantic Avenue, Boston, MA 02110-3350.
</p><p>2. Commander, 5th Coast Guard District, Federal Building, 431 Crawford Street, Portsmouth, VA 23704-5004.
</p><p>3. Commander, 7th Coast Guard District, 909 SE First Ave., Brickell Plaza Federal Bldg., Miami, FL 33131-3050.
</p><p>4. Commander, 8th Coast Guard District, Hale Boggs Federal Building, 500 Camp Street, New Orleans, LA 70130-3396.
</p><p>5. Commander, 9th Coast Guard District, 1240 East 9th St., Cleveland, OH 44199-2060.
</p><p>6. Commander, 11th Coast Guard District, Coast Guard Island, Alameda, CA 94501-5100.
</p><p>7. Commander, 13th Coast Guard District, Jackson Federal Bldg, 915 Second Ave., Seattle, WA 98174-1067.
</p><p>8. Commander, 14th Coast Guard District, Prince Kalanianaole, Federal Building, 300 Ala Moana Blvd., 9th Floor, Honolulu, HI 96580-4982.
</p><p>9. Commander, 17th Coast Guard District, PO Box 25517, Juneau, Alaska 99802-5517.
</p><p>10. Superintendent, United States Coast Guard Academy, 15 Mogehan Ave., New London, CT 06320-8100.
</p><p>11. Commanding Officer,  United States Coast Guard Yard, 2401 Hawkins Point Road, Bldg. 1, Baltimore, MD 21226-1797.
</p><p>12. Commanding Officer,  United States Coast Guard Training Center, 1 Munro Avenue, Cape May, NJ 08204.
</p><p>13. Commanding Officer,  United States Coast Guard Institute, 5900 SW 64th Street, Room 235, Oklahoma City, OK 73169-6990.
</p><p>14. Commanding Officer,  U.S Coast Guard, Aircraft Repair &amp; Supply Center, Elizabeth City, NC 27909-5001.
</p><p>15. Commanding Officer,  United States Coast Guard Aviation, 8501 Tanner Williams Road, Mobile, AL 36608-8322.
</p><p>16. Commanding Officer,  United States Coast Guard, 7323 Telegraph Rd., Alexandria, VA 22315-3940.
</p><p>17. Commanding Officer,  United States Coast Guard Reserve, Training Center, Yorktown, VA 23690-5000.
</p><p>18. Commanding Officer,  United States Coast Guard, Training Center, 599 Tomales Road, Petaluma, CA 94952-5000.
</p><p>19. Commanding Officer,  United States Coast Guard Aviation, Technical Training Center, Elizabeth City, NC 27909-5003.
</p><p>20. Commanding Officer,  U.S. Coast Guard, Research and Development Center, 1082 Shennecossett Road, Groton, CT 06340-6096.
</p><p>21. Commanding Officer,  U.S. Coast Guard, Human Resources Services and Information Center, Federal Bldg., 444 SE Quincy St., Topeka, KS 66683-3591.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-801</systemNumber>
<subsection type="systemName"> Aircraft Registration System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> Aircraft Registration Branch, Federal Aviation Administration, Mike Monroney Aeronautical Center, Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Aircraft owners, lien holders, and lessees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Aircraft types. Current registration status and ownership of aircraft. Aircraft to be registered, or aircraft that have been registered and are now temporarily de-registered. United States Registration Number assignment. Airworthiness of aircraft. Aircraft Registration. Major repair and alteration maintenance inspection forms. Revalidation and use forms. Lien and collateral documents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 49 U.S.C. 40101, 44103, 44107.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> Provide a register of United States civil aircraft to aid in the national defense and to support a safe and economically strong civil aviation system. To determine that aircraft are registered in accordance with the provisions of 49 U.S.C. 44103. To serve as a data source for management information for production of summary descriptive statistics and analytical studies in support of agency functions for which the records are collected and maintained. To provide data for internal FAA safety program purposes. To provide data for development of the aircraft registration statistical system.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> (a) Support investigative efforts of investigation and law enforcement agencies of Federal, State, and foreign governments. (b) Serve as a repository of legal documents used by individuals and title search companies to determine the legal ownership of an aircraft. (c) Provide aircraft owners and operators information about potential mechanical defects or unsafe conditions of their aircraft in the form of airworthiness directives. (d) Provide supporting information in court cases concerning liability of individuals in lawsuits. (e) Locate specific individuals or specific aircraft for accident investigation, violation, or other safety related requirements. (f) Prepare an Aircraft Registry in magnetic tape and microfiche form as required by ICAO agreement, containing information on aircraft owners by name, address, United States Registration Number, and type of aircraft. Make aircraft registration data available to the public, (g) See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> Records are maintained in file folders, and on digital read-write disks, magnetic tape, microfilm, and microfiche.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Records are filed by registration number, but may be retrieved by name of the current registered owner.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Records are stored in areas open only to authorized employees and by special permission.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> If records are microfiched: (1) Original Records. Destroy original records after microfiche is determined to be an adequate substitute for paper records; (2) Microfiche of Original Records. Destroy when it is determined that the aircraft is no longer in existence. If records are not microfiched: Destroy when it is determined that the aircraft is no longer in existence.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Manager, Aircraft Registration Branch, AFS-750, Federal Aviation Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, manufacturers of aircraft, maintenance inspectors, mechanics, and FAA officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-807</systemNumber>
<subsection type="systemName">Traffic Control at the Mike Monroney Aeronautical Center (formerly named Law Enforcement Records and Central Files).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Facility Management, AMP-1, Mike Monroney Aeronautical Center (MMAC), Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>MMAC employees, tenants, and visitors, with registered vehicles. Individuals cited for parking and/or traffic violations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Vehicle registration and traffic violations files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To carry out such functions as vehicle registration and traffic control; to control access and maintain an orderly traffic flow on a government facility.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in files and containers and in password protected electronic databases located in rooms secured with the FAA locking system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual name, other personal identifier, and/or registration number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Files are retained in a secured work area accessible only by consent of an on duty guard or by Office of Facility Management personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Identification credentials including parking permits: Destroy credentials three months after return to issuing office. Related identification credential papers such as vehicle registrations: Destroy after all listed credentials are accounted for. Reports, statements of witnesses, warning notices, and other papers relating to arrests and traffic violations: Destroy when 2 years old.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Office of Facility Management, AMP-1, Federal Aviation Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals registering/operating vehicles.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-811</systemNumber>
<subsection type="systemName">Employee Health Record System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>FAA Washington, regional, and center medical facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>FAA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Basic medical record of an FAA employee, including medical examination reports, laboratory findings, correspondence, health awareness program participation records, and related papers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pub. L. 79-658, Title 5 U.S.C. Section 7901.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Document employee health unit visits and nature of complaint or physical examination findings, treatment rendered and case disposition. Prepare analytical and statistical studies and reports.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In approved security files and containers, and in computer databases.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records in manual or automated form is protected by being physically located behind locked doors and computer access is password protected. Adding or deleting information to the file is limited to the medical staff, physician, nurse, or occupational health specialists.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are destroyed 6 years after the date of last entry.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Regional Flight Surgeon within region where the clinic is located. Manager, Clinical Specialties Division, AAM-200, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system comes from the employee and from attending physicians, nurses, and occupational health specialists, and from associated medical reports.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-813</systemNumber>
<subsection type="systemName">Civil Aviation Security.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Associate Administrator for Civil Aviation Security, in Washington, DC; the FAA Regional Civil Aviation Security Divisions; the Civil Aviation Security Division at the Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma; and the Civil Aviation Security Staff at the FAA Technical Center, Atlantic City, New Jersey; and various Federal records Centers located throughout the country.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons who have been involved or might be involved in crimes against civil aviation or air piracy/sabotage threats, data regarding K-9 handlers, and information regarding Federal Air Marshals, FAM.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Hijacking or attempted hijacking incidents at airports or aboard civil aviation aircraft; other civil aviation criminal acts; information of K-9 assignments to airports, K-9 handler evaluations; and information necessary to manage the FAM program.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 49 U.S.C., Chapter 449, Air Transportation Security, enacted as Pub. L. 103-272 on July 5, 1994; authority for funding FAA K-9 program is the Omnibus Consolidated Appropriations Act of 1997, Pub. L. 104-208.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Prepare alerts, bulletins, summaries, reports, and policy statements of incidents affecting civil aviation security.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Inform airport and air carrier security officials and officers regarding air piracy/civil aviation sabotage threats. Preparation of alerts, bulletins, and summaries of incidents regarding threats to civil aviation for distribution to authorized government and aviation recipients for use in affecting appropriate changes/modifications to civil aviation security. Prepare summaries, reports, and policy statements for development and change of security procedures in civil aviation, which will be distributed to appropriate government, and aviation-oriented organizations, which have direct civil aviation security responsibilities. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Approved security files and containers, in file folders, on lists and forms, and in computer processable storage media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or other personal identifying symbols.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access and use. Appropriate physical, technical, and administrative safeguards as prescribed by FAA security directives applicable to both manual and automated record systems reinforce this record management principle.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are destroyed or retired to the area Federal Records Center, FRC, and then destroyed in accordance with current version of FAA Order 1350.15, Records Organization, Transfer and Destruction Standards. The retention and destruction period for each record varies depending on the type of record, category of investigation, or significance of the information contained in the record. All records are destroyed by approved methods.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For the Washington Metropolitan area, excluding Eastern Region jurisdiction:
</p><p>Office of the Associate Administrator for Civil Aviation Security, 800 Independence Avenue, SW., Washington, DC 20591. Manager, Civil Aviation Security Division, of the appropriate region. For the jurisdiction of the FAA Technical Center:
</p><p>Manager, Civil Aviation Security Staff, FAA technical Center, Atlantic City International Airport, Atlantic City, NJ 08405. For the jurisdiction of the Mike Monroney Aeronautical Center:
</p><p>Manager, Civil Aviation Security Division, Mike Monroney Aeronautical Center, PO Box 25082, Oklahoma City, OK, 73125.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>FAA records; Federal, State, or local agencies; foreign sources; public record sources; first party; and third parties.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-815</systemNumber>
<subsection type="systemName">Investigative Record System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Associate Administrator for Civil Aviation Security in Washington, DC; the FAA regional Civil Aviation Security Divisions; the Civil Aviation Security Division at the Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma; the Civil Aviation Security Staff at the FAA Technical Center, Atlantic City, New Jersey; and the various Federal Records Centers located throughout the country.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former applicants for FAA employment. Current and former FAA employees. Individuals considered for access to classified information or restricted areas and/or security determinations such as current and former contractors, employees of contractors, experts, instructors, and consultants to federal programs. Aircraft owners. Flight instructors. Airport operators. Pilots, mechanics, designated FAA representatives. Other individuals certified by the FAA. Individuals involved in tort claims against the FAA. Employees, grantees, subgrantees, contractors, subcontractors, and applicants for FAA-funded programs. Other individuals who are of investigative interest to the FAA, law enforcement, or investigative agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Results of investigations and inquiries conducted by the Office of the Associate Administrator for Civil Aviation Security, the FAA regional Civil Aviation Security Divisions, the Mike Monroney Aeronautical Center Civil Aviation Security Division, and the FAA Technical Center, Civil Aviation Security Staff; information received in various formats as the result of investigations conducted by federal, state, local, and foreign investigative or law enforcement agencies, which relate to the mission and function of the Associate Administrator for the Office of Civil Aviation Security and field elements; and information received in various formats as the result of investigations conducted by authorized personnel of the FAA, other federal agencies, state and local drug enforcement agencies regarding the actual or probable violation by pilots, aircraft owners, or aircraft mechanics of civil and criminal laws regulating controlled substances.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 49 U.S.C., chapter 449, Air Transportation Security, enacted as Pub. L. 103-272 on July 5, 1994; Transportation Safety Act of 1974; FAA Drug Enforcement Assistance Act of 1988; Executive Order, E.O., 10450, Security Requirements for government Employment; E.O. 12968, Access to Classified Information; and E.O. 12829, National Industrial Security Program.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain in an orderly fashion the categories of records listed above, in order that the FAA may conduct its investigations and personnel security programs in an efficient manner and document official actions taken on the basis of information contained in these records.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To the Department of Justice when: (a) The agency, or any component thereof; or (b) any employee of the agency in his or her official capacity; or (c) any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee; or, (d) the United States, where the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to be relevant and necessary to the litigation, provided, however, that in each case, the agency determines that disclosure of the records to the Department of Justice is a use of the information contained in the records that is compatible with the purpose for which the records were collected. (2) To disclose the records in a proceeding before a court or adjudicative body, including an administrative tribunal or hearing, before which the agency is authorized to appear, when:
</p><p>(a) The agency, or any component thereof; or (b) any employee of the agency in his or her official capacity; or (c) any employee of the agency in his or her individual capacity where the agency has agreed to represent the employee; or, (d) the United States, where the agency determines the litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the agency determines that use of such records to be relevant and necessary to the litigation, provided, however, that in each case, the agency determines that disclosure of the records to the Department of Justice is a use of the information contained in the records that is compatible with the purpose for which the records were collected. (3) To authorized representatives of United States air carriers where air safety might be affected. (4) To authorized representatives of federal, state, local agencies and departments, including the District of Columbia, and foreign governments, who require access to the file pursuant to an investigation or inquiry conducted for use in law enforcement activities, either civil or criminal, or to expose fraudulent claims. (5) See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are stored in approved security file cabinets and containers, in file folders, on lists and forms, and in computer processable storage media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by name or other identifying symbols.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access and use. Computer processing of information is conducted within established FAA computer security regulations. A risk assessment of the FAA computer facility used to process this system of records has been accomplished.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are destroyed or retired to the area Federal Records Center and then destroyed in accordance with the current version of FAA Order 1350.15, Records Organization, Transfer and Destruction Standards. The retention and destruction period for each record varies depending on the type of record, category of investigation, or significance of the information contained in the record. All records are destroyed by approved methods.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For the Washington Metropolitan area, excluding Eastern Region jurisdiction: Office of the Associate Administrator for Civil Aviation Security, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591. For the geographical area under the jurisdiction of the various regions: Manager, Civil Aviation Security Division, of the appropriate region. (See the FAA Directory for addresses). For the jurisdiction of the FAA Technical Center: Manager, Civil Aviation Security Staff, FAA Technical Center, Atlantic City International Airport, Atlantic City, NJ 08405.
</p><p>For the jurisdiction of the Mike Monroney Aeronautical Center:
</p><p>Manager, Civil Aviation Security Division, FAA Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual, interviews, review of records, and other authorized applicable investigative techniques.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(1), (2) and (5).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-816</systemNumber>
<subsection type="systemName">Tort Claims and Personal Property Claims Record System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel, Litigation Division, AGC-400, Federal Aviation Administration, 400 7th Street, SW., Washington, DC 20590, and in the Office of the Assistant Chief Counsels and the Logistics Divisions in the regions and centers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Tort and property claimants who have filed claims against the Government/FAA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Reports, vouchers, witness statements, legal decisions, and related material pertaining to claims by or against the Government resulting from FAA transactions, other than litigation cases.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Tort Claims Act, 28 U.S.C. 2671, et seq.; Military Personnel and Civilian Employees Claims Act of 1964, 31 U.S.C. 3701, 3721.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Permit the administrative settlement of tort and Federal employees personal property claims against the government.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Investigation. Reference. Court action. Doubtful claims are sent by Accounting Division to GAO for adjudication. Some larger claims go to Department of Justice for approval or disapproval. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are stored in approved file cabinets and containers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Records are maintained on a computer system. The computer system is password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are destroyed 3 years after the final decision is rendered.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of the Assistant Chief Counsel, Litigation Division, Federal Aviation Administration, 400 Seventh Street, SW., Washington, DC, 20590. Regional and center counsels and regional and center Logistics Division Managers.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Claimant, investigation reports, and courts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-821</systemNumber>
<subsection type="systemName">Litigation Information Management Systems.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of records is maintained within the Office of the Assistant Chief Counsel for Litigation, FAA, 400 Seventh Street, SW., Washington, DC 20590, and at the Office of Assistant Chief Counsel for each Region and Center.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This file contains information on Litigants, Claimants, Decedents, Plaintiff’s Attorney, FAA Attorney and Department of Justice Attorney.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Litigation and claim pleadings, discovery material, related documents (including background data on individual, or decedent involved), memoranda, correspondence, and other material necessary to respond to claims or prepare for litigation or hearings. Types of claims or litigation:
</p><p>Aircraft accidents, auto accidents, personnel and general litigation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Tort Claims Act, 28 U.S.C. 2671, et seq.; Military Personnel and civilian Employees claims Act of 1964, 31 U.S.C. 3701, 3721.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Case management/record management.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>On computer database and password protected. Also, data are stored in lockable and unlockable file cabinets, individuals’ attorneys’ offices, binders, index files and in computers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Access is by name, location of accident, and/or docket number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Data from these files are retrievable only by persons within the Office of the Assistant Chief Counsel for Litigation or Regional Counsels. Access to offices is limited to agency employees and those accompanied by agency employees.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Litigation files are kept for 2 years after case is closed, then sent to the Federal Records Center. All other records in this system are retained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Chief Counsel, Litigation Division, AGC-400, Office of Chief Counsel, Federal Aviation Administration, 400 Seventh Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employees of the Office of Chief Counsel, Federal courts, individuals and their attorney, FAA records, litigation files, etc.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-822</systemNumber>
<subsection type="systemName">Aviation Medical Examiner System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Aeromedical Education Division, AAM-400, FAA Civil Aeromedical Institute, Federal Aviation Administration, Mike Monroney Aeronautical Center, 6500 S. MacArthur Blvd. P.O. Box 25082, Oklahoma City, OK 73125. Regional Flight Surgeons in all regional headquarters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Private civilian physicians (United States and foreign) designated as AMEs. Selected United States military flight surgeons designated as AMEs. Selected United States Federal medical officers designated as AMEs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system includes records necessary to: Determine professional qualifications of physicians designated (initially and subsequently) as AMEs; identify the type and location of AMEs within the AME program; monitor AMEs performance in support of the Medical Certification Program; and monitor AMEs compliance with mandatory training (initial and periodic) and other AME designation requirements.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C 44702.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Determine professional qualifications and designation authorization (initial and subsequent) of AMEs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Document the necessary information on AMEs whose designation has been revoked or retired. Support effective and efficient communications between the FAA and its designated AMEs. Maintain a database to support the management of the AME program. Provide the public with the names and addresses of AMEs who provide FAA medical certification services. Policy determination regarding the AME program. Locating and obtaining support of qualified AMEs. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Computer processable storage media and hard copy files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By AME name, AME number, region, state, county, and city.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>File rooms with restricted access by authorized personnel only. Computer processing of AME information is conducted within established FAA computer security regulations.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Hard copy files are retained by the Aeromedical Education Division on all active AMEs (civilian, military, and Federal), and on AMEs who have been inactive for less than 10 years. Hard copy files of AMEs who have been inactive for 10 years or more, but less than 25 years, are stored by the Federal Records Center. Hard copy files of AMEs who have been inactive for 25 or more years are destroyed by the Federal Records Center. Computerized AME records are updated continuously for all active AMEs. Computerized records of AMEs who have been inactive for less than 25 years are maintained in the system; and those AMEs inactive for 25 or more years are deleted. Hard copy files of United States civilian AMEs (excluding foreign civilian, military, and Federal AMEs) are also retained by the Regional Flight Surgeon Offices. When these regional AME files become inactive, they are immediately transferred to the Aeromedical Education Division.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Aeromedical Education Division, AAM-400, FAA Civil Aeromedical Institute, Federal Aviation Administration Mike Monroney Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125. Regional Flight Surgeons within Region where the AME is designated.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Aviation Medical Examiners. Additional background information on civilian AMEs may be obtained directly from the Federation of State Medical Boards of the United States.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-825</systemNumber>
<subsection type="systemName">Petitions for Rulemaking--Public Dockets.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel, Federal Aviation Administration, AGC-200, Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons petitioning for a change in the Federal Aviation Regulations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Petitions for rulemaking, correspondence, documents showing disposition of the petition, and public comments on any resulting NPRM.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 106(g), 40101, 40103, 40106, 40109, 40113, 44701, 44702, 44711.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Make available for public review documents concerning petitions for rulemaking.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Unlocked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Exemption number, docket number, or alphabetical listing of petitioner names.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access through request to Dockets Specialist.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Transferred to Federal Records Center when inactive; destruction not authorized.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Docket and Regulations Technician, Office of the Chief Counsel, AGC-200, FAA, 800 Independence Avenue, SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Petitions for rulemaking.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-826</systemNumber>
<subsection type="systemName">Petitions for Exemption, Other than Medical Exemption--Public Dockets.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel, AGC-200, Federal Aviation Administration, 800 Independence Ave. SW., Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons petitioning for an exemption (other than medical) under the Federal Aviation Regulations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Petitions for exemptions, supplementary information, correspondence and the grant or denial of the exemption.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 106(g), 40101, 40103, 40106, 40109, 40113, 44701, 44702, 44711.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Make available for public review documents concerning petitions for exemption (other than medical exemptions).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Original and copies of records stored in unlocked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Exemption number, docket number, or alphabetical listing of petitioner names.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access through request to Dockets Specialist.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Transferred to Federal Records Center when inactive; destruction not authorized.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Rules Docket Section, AGC-200, Office of the Chief Counsel, Federal Aviation Administration, 800 Independence Ave. SW., Washington DC 20591.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as System manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as System manager.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Petitions for exemptions.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-827</systemNumber>
<subsection type="systemName">Environmental Litigation Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel, FAA, Washington, DC, and Regional Counsel and airport divisions.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Litigants, witnesses, plaintiff’s attorney, FAA attorney, Department of Justice Attorney, etc.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information on litigation, pleadings, discovery material, related documents, (including background data on individual involved), memoranda, correspondence, and other material necessary to respond to claim or prepare for litigation or hearings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Environmental Policy Act of 1969, 42 U.S.C. 4321, Airport Environmental requirements, 49 U.S.C. 47106(c), Section 4(f) of the Department of Transportation Act, 49 U.S.C. 303, and other applicable environmental laws, regulations, and Executive Orders.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Litigation.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders stored in locked and unlocked file cabinets and individual attorney’s offices.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Caption of the particular litigation, which may include an individual’s name or corporation or trade association name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access regularly by Office of Chief Counsel personnel only; material is accessible only in facilities with building access controls and in storage retrieval regularly only by Office of the Chief Counsel personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files are kept for 2 years after case has been closed and then sent to Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Airports/Environmental Law Division, AGC-600, Office of the Chief Counsel, FAA, 800 Independence Avenue, SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Federal courts, individuals and their attorneys, FAA records, litigation files, etc.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-828</systemNumber>
<subsection type="systemName">Physiological Training System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Aeromedical Education Division, AAM-400, FAA Civil Aeromedical Institute, Mike Monroney Aeronautical Center, 6500 S. MacArthur Blvd., P.O. Box 25082, Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Certificated Airmen.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records necessary to establish qualifications of eligibility to receive physiological training, maintain accountability of funds required for training and transfer of funds to involved agencies, and to provide proper evidence of training.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 44703, and 14 CFR 61.31.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Maintain appropriate documentation on individuals who apply for and complete physiological training conducted by, or coordinated through the FAA Aeromedical Education Division.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Determine individual training qualifications. Receipt and transfer of training funds. Maintain individual records of training completion. See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Hard copy files and computer processable storage media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and location of training.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>File access is regularly restricted to Aeromedical Education Division personnel. The information is password protected. Passwords are changed every 30 days. The screen automatically closes if the computer is not used within 15 minutes, and would require a password to reopen the file.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed when 5 years old. (Applications, Hold Harmless Statements, Chamber Flight Records)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Aeromedical Education Division, AAM-400, FAA Civil Aeromedical Institute, Mike Monroney Aeronautical Center, PO Box 25082, Oklahoma City, OK 73125.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Covered individuals.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-830</systemNumber>
<subsection type="systemName">Representatives of the Administrator.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Aviation Administration. Mike Monroney Aeronautical Center, Regulatory Support Division, AFS-600, and Civil Aviation Registry, AFS-700, Oklahoma City, Oklahoma 73125. Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591. Flight Standards District Offices, FSDO. Manufacturing Inspection District Offices, MIDO. Aircraft Certification Divisions. Flight Standards Divisions. Aircraft Certification Offices, ACO. Air Traffic Headquarters. Regional or field offices that designate Air Traffic control Tower Operator Examiners. International Field Offices, IFO.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Designated Pilot Examiners, DPE. Designated Mechanic Examiners, DME. Designated Parachute Rigger Examiners, DPRE. Applicants for the technical personnel examiners for DPEs, DMEs, DPREs. Designated Engineering Representatives. Designated Manufacturing Inspection Representatives. Designated Airworthiness Representatives. Organizational Designated Airworthiness Representatives.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, date of birth, place of residence, company name (when delegated as an organization), mailing address, social security number (if applicable), certificate number, and work and/or home telephone number. Applications for designee. Records of qualification. Certification. Appointment authorization. Training. Dates of renewal and termination. Employment history. Reasons for termination (if applicable).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 40101, 40113, 44701, 44702, and 44703.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Required in connection with applications for and issuance of authorizations to be Representatives of the Administrator. Used to identify and maintain a list of applicants for future appointment, as necessary. Used to record validation and approval of new designees. To promote the standardization of designees by tracking training, accomplishments, and the limitations of current designees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Provide the public with the names and addresses of certain categories of representatives who may provide service to them. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders, on lists, on forms, and on computer-accessible storage media. Records are also stored in microfiche, microfilm, and electronic optical storage.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, birth date, social security number, or any other identification number of the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual records: Strict information handling procedures have been developed to cover the use, transmission, storage, and destruction of personal data in hard copy form. These procedures are periodically reviewed for compliance. Automated processing Computer processing of personal information is conducted within the guidelines of established FAA computer security regulations. A risk assessment of the FAA computer facility used to process this system of records has been accomplished.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records destroyed 5 years after designation becomes inactive, or when no longer needed, whichever is sooner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Federal Aviation Administration, Manager, Designee Standardization Branch, AFS-640, Mike Monroney Aeronautical Center, P.O. Box 25082, Oklahoma City, Oklahoma 73125. Aircraft Certification Divisions. Aircraft Certification Offices. Manufacturing Inspection District Offices. Flight Standards District Offices. Air Traffic Control Offices.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual to whom it applies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-833</systemNumber>
<subsection type="systemName">Quarters Management Information System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Aviation Administration, Alaskan Region, 222 W. 7th Ave., 14, Anchorage, AK 99513-7587.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees occupying FAA owned or leased housing. Employees and agencies that lease FAA housing in Alaska.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Housing records, leases.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5911(f), OMB Circular A-45.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Establish regional rental rates for quarters; maintain status of housing; maintain up-to-date list of persons occupying FAA units.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Establish and terminate payroll deductions for collection of housing rent through request to the appropriate payroll office. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Filing cabinet, Real Estate and Utilities Branch AAL-54.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Station location, unit numbers, name of employee, number of dependents, pay period rental rate.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Retrieved only by agency personnel and used only in the conduct of official business. Paper copy kept in a locked file cabinet with two people having access to the key. Quarters Management Information System, QMIS, is on only one person’s computer and it requires a password to access this computer.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>End of year reports are retained for 5 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Federal Aviation Administration, Housing Manager, AAL-50, 222 W. 7th Ave., 14, Anchorage, AK 99513-7587.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>FAA Employees. Employees of other agencies that lease housing from FAA.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-845</systemNumber>
<subsection type="systemName">Administrators Correspondence Control and Hotline Information System, ACCIS, Administrator’s Hotline Information System, AHIS, and Consumer Hotline Information System, CHIS, Formerly Administrators Correspondence Control and Hotline Information System."
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Correspondence files are located in the Office of the Executive Secretariat, AOA-3, and Hotline files are located in the Hotline Operations Program Office, AOA-20. Both categories of records in the Washington headquarters offices of the Federal Aviation Administration, 800 Independence Ave., SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who write, call (including HOTLINE calls), or are referred in writing by a second party, to the Administrator, to the Deputy Administrator, and their immediate offices; individuals who write, call, or are referred in writing by a second party to the Secretary, to the Deputy Secretary, and their immediate offices and the correspondence which has been referred to the Federal Aviation Administration; individuals who are the subject of an action requiring approval or action by one of the forenamed, such as appeals, actions, training, awards, foreign travel, promotions, selections, grievances, delegations, application of waivers from the Federal Aviation Administration, etc.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence files contain correspondence submitted by, or on behalf of, an individual including resumes, letters of reference, etc; responses to such correspondence and calls, staff recommendations on actions requiring approval or action by the Administrator, the Deputy Administrator, the Secretary, and the Deputy Secretary. Hotlines files contain call records, correspondence, reports, and related documents accumulated by the staff in the course of operation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Correspondence files: Documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency and designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency’s activities. Hotlines files: Documentation of calls made by agency employees and consumers.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Referral to the appropriate action office within or outside the Department or agency for preparation of a response. Referral, to the appropriate agency for actions involving matters or law, of regulations beyond the responsibility of the agency or Department, such as the Department of Justice in matters of law enforcement. As a data source for management information, such as briefing material on hearings, trend analysis, responsiveness, etc. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Computer processable media, microfilm, and hardcopy access to the records will be by means of identification numbers and passwords known only to the user and the system managers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Retrieved by control number, suspense date, correspondence date, subject matter, last name and location of originator and addressee, constituent’s name, action office, and type.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Terminal access through the system’s software for ACCIS is limited to the Office of the Administrator. Access to the records of the AHIS and CHIS is limited to the staff of the Hotline Operations Program Office. Information is retrieved by means of a user ID and password known only to each user.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Administrators Correspondence Control and Information System hard copies are destroyed after the material is microfilmed. Microfilm is retained permanently. The Administrator’s Hotline hard copies and magnetic records are destroyed after 5 years. The Consumer Hotline hard copies and magnetic records are destroyed after 2 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Administrator’s Correspondence control and Information System: Director, Executive Secretariat, Office of the Administrator, AOA-3, Administrator’s and Consumer Hotline Systems: Manager, Hotline Operations Program Office, AOA-20, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Correspondence, records of calls from individuals, including HOTLINE calls, their representatives, or sponsors. Responses to incoming correspondence and records of calls. Related material for background as appropriate.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-847</systemNumber>
<subsection type="systemName">Aviation Records on Individuals.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>&#149; <i>Federal Aviation Administration (FAA), Mike Monroney Aeronautical Center (MMAC), Oklahoma City, Oklahoma 73125:</i> Civil Aerospace Medical Institute, Aerospace Medical Certification Division, AAM-300; Regulatory Support Division, AFS-600; and Civil Aviation Registry, Airmen Certification Branch AFS-760.
</p><p>&#149; <i>Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591:</i> Drug Abatement Division, AAM-800 or the local Compliance and Enforcement Centers of the Drug Abatement Division; Office of Security and Hazardous Materials; Flight Standards District Offices (FSDO’s); Certificate Management Offices (CMO’s); Certificate Management Field Offices (CMFO’s); International Field Offices; Office of Security and Hazardous Materials Regional and Field Offices; FAA Regional Offices; and Chief Counsel, Regional Counsel, and Aeronautical Center Counsel Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on:
</p><p>(1) Current certificated airmen, airmen whose certificates have expired, airmen who are deceased, airmen rejected for medical certification, airmen with special certifications, and others requiring medical certification;
</p><p>(2) Air traffic controllers in air route traffic control centers, terminals, and flight service stations, and applicants for these positions;
</p><p>(3) Holders of and applicants for airmen certificates, airmen seeking additional certifications or additional ratings, individuals denied certification, airmen holding inactive certificates, and airmen who have had certificates amended, modified, suspended or revoked.
</p><p>(4) Persons involved in aircraft accidents and incidents, including crewmembers, passengers, persons on the ground, and witnesses.
</p><p>(5) Individuals performing safety-sensitive functions under FAA’s drug and alcohol testing regulations who have (a) tested positive on a Department Of Transportation (DOT)-required drug test; (b) tested 0.04 or greater for breath alcohol concentration on a DOT-required alcohol test; or (c) refused to submit to testing under a DOT-required testing program.
</p><p>(6) Individuals in their commercial capacities who work for companies conducting drug and alcohol testing.
</p><p>(7) Individuals who witness violations of FAA regulations.
</p><p>(8) Individuals against whom FAA has initiated informal action, administrative action or legal enforcement action for violating safety regulations and statutes or orders issued thereunder (<i>see generally</i> 49 U.S.C. 40101 <i>et seq.</i>, 44101 <i>et seq.</i>, 45101 <i>et seq.</i>, 46101 <i>et seq.</i>; FAA regulations, 14 CFR Parts 1-199; hazardous materials regulations, 49 CFR Parts 171-180; and drug and alcohol testing regulations, 49 CFR Part 40).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Name, date of birth, place of residence, mailing address, social security number, and airman certificate number.
</p><p>&#149; Records that are required to determine the physical or mental condition of an individual with respect to medical standards established by FAA.
</p><p>&#149; Records concerning drug or alcohol testing, test results, or refusals to submit to testing under a DOT-required testing program.
</p><p>&#149; Records concerning applications for certification, applications for knowledge examinations, results of knowledge tests, applications for inspection authority, certificates held, ratings, stop orders, and requests for replacement certificates.
</p><p>&#149; Reports of fatal accidents, autopsies, toxicological studies, aviation medical examiner reports, medical record printouts, nonfatal reports, injury reports, accident name cards, magnetic tape records of fatal accidents, physiological autopsy, and consulting pathologist’s summary of findings.
</p><p>&#149; Records of accident investigations, preliminary notices of accident injury reports, engineering analyses, witness statements, investigators’ analyses, and pictures of accident scenes.
</p><p>&#149; Records concerning safety compliance notices, informal actions, warning notices, oral or written counseling, letters of correction, letters of investigation, notices of proposed legal enforcement action, final action legal documents in enforcement actions, and correspondence of Regional Counsels, the Aeronautical Center Counsel, Chief Counsels, and others in enforcement cases.
</p><p>&#149; All records on individuals within FAA databases for which the Safety Performance Analysis System (SPAS) is a software interface (<i>i.e.,</i> inspection, surveillance, and investigation records concerning individuals, in systems including but not limited to: Accident/Incident Database System (AIDS), Air Transportation Oversight System (ATOS), Enforcement Information System (EIS), National Program Tracking and Reporting System (PTRS), National Vital Information System (VIS), and the Drug Abatement Division’s Compliance and Enforcement Tracking System (CETS)).
</p><p>&#149; SPAS-related enforcement records maintained in Chief Counsel, Regional Counsel, and Aeronautical Center Counsel offices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 40101, 40113, 44701-44703, 44709, 45101-106, 46301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system is the official repository of aviation records on individuals that are required to be maintained in connection with FAA’s oversight and enforcement of compliance with safety regulations and statutes and orders issued thereunder or that are required to be made available, upon request, to other agencies, certain members of the public (<i>e.g.,</i> Aviation Medical Examiners), or the public at large.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(a) Provide basic airmen certification and qualification information to the public upon request; examples of basic information include:
</p><p>&#149; The type of certificates and ratings held;
</p><p>&#149; The date, class, and restrictions of the latest physical airman’s certificate number;
</p><p>&#149; The status of the airman’s certificate (<i>i.e.,</i> whether it is current or has been amended, modified, suspended or revoked for any reason);
</p><p>&#149; The airman’s home address, unless requested by the airman to be withheld from public disclosure per 49 U.S.C. 44703(c);
</p><p>&#149; Information relating to an individual’s physical status or condition used to determine statistically the validity of FAA medical standards; and
</p><p>&#149; Information relating to an individual’s eligibility for medical certification, requests for exemption from medical requirements, and requests for review of certificate denials.
</p><p>(b) Use contact information to inform airmen of meetings and seminars conducted by the FAA regarding aviation safety.
</p><p>(c) Disclose information to the National Transportation Safety Board (NTSB) in connection with its investigation responsibilities.
</p><p>(d) Provide information about airmen to Federal, State, local and Tribal law enforcement agencies when engaged in an official investigation in which an airman is involved.
</p><p>(e) Provide information about enforcement actions or orders issued thereunder to government agencies, the aviation industry, and the public upon request.
</p><p>(f) Make records of delinquent civil penalties owed to the FAA available to the U.S. Department of the Treasury (Treasury) and the U.S. Department of Justice (DOJ) for collection pursuant to 31 U.S.C. 3711(g).
</p><p>(g) Make records of effective orders against the certificates of airmen available to their employers if the airmen use the affected certificates to perform job responsibilities for those employers.
</p><p>(h) Make airmen records available to users of FAA’s Safety Performance Analysis System (SPAS), including the Department of Defense Commercial Airlift Division’s Air Carrier Analysis Support System (ACAS) for its use in identifying safety hazards and risk areas, targeting inspection efforts for certificate holders of greatest risk, and monitoring the effectiveness of targeted oversight actions.
</p><p>(i) Make records of an individual’s positive drug test result, alcohol test result of 0.04 or greater breath alcohol concentration, or refusal to submit to testing required under a DOT-required testing program, available to third parties, including employers and prospective employers of such individuals. Such records will also contain the names and titles of individuals who, in their commercial capacity, administer the drug and alcohol testing programs of aviation entities.
</p><p>(j) Provide information about airmen through the airmen registry certification system to the Department of Health and Human Services, Office of Child Support Enforcement, and the Federal Parent Locator Service that locates non-custodial parents who owe child support. Records in this system are used to identify airmen to the child support agencies nationwide in enforcing child support obligations, establishing paternities, establishing and modifying support orders and location of obligors. Records named within the section on Categories of Records will be retrieved using Connect: Direct through the Social Security Administration’s secure environment.
</p><p>(k) Make personally identifiable information about airmen available to other Federal agencies for the purpose of verifying the accuracy and completeness of medical information provided to FAA in connection with applications for airmen medical certification.
</p><p>(l) Make records of past airman medical certification history data available to Aviation Medical Examiners (AMEs) on a routine basis so that AMEs may render the best medical certification decision.
</p><p>(m) Make airman, aircraft and operator record elements available to users of FAA’s Skywatch system, including the Department of Defense (DoD), the Department of Homeland Security (DHS), the Department of Justice (DOJ) and other authorized government users, for their use in managing, tracking and reporting aviation-related security events.
</p><p>(n) Provide information about airmen to Federal, State, local, and Tribal law enforcement, national security or homeland security agencies whenever such agencies are engaged in the performance of threat assessments affecting the safety of transportation or national security.
</p><p>(0) <i>See</i> Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in file folders, on lists and forms, and in computer processing storage media. Records are also stored on microfiche, on roll microfilm, and as electronic images.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, birth date, sex, Social Security number, airman certificate number, or other identification number of the individual on whom the records are maintained; or by medical identification number, accident number and/or incident number, and enforcement investigative report number or docket number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p><i>Manual records:</i> Strict information handling procedures have been developed to cover the use, transmission, storage, and destination of personal data in hard copy form. The procedures are periodically reviewed for compliance with applicable laws. <i>Automated Processing Records in FAA-Administered Systems:</i> Computer processing of personal information is conducted within established FAA computer security regulations. A risk assessment of the FAA facility is performed prior to the implementation of the system of records. <i>Automated Processing Records in Commercial Computer Contractor-Administered Systems:</i> Computer programs are operated on commercial security levels and record element restrictions to prevent release of data to unauthorized parties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are either destroyed or retired to the local Federal Records Center and then destroyed in accordance with the current version of FAA Order 1350.15C, Records Organization, Transfer and Destruction Standards. The retention and destruction period for each record varies depending on the type of record, but ranges between 30 days and 10 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Federal Aviation Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, 6500 South MacArthur Blvd., Oklahoma City, Oklahoma 73125--
</p><p>&#149; <i>Records concerning aviation medical certification:</i> Manager: Aerospace Medical Certification Division, AAM-300;
</p><p>&#149; <i>FAA certification records and general airman records:</i> Manager, Airmen Certification Branch, AFS-760;
</p><p>&#149; <i>Records concerning aircraft accidents and incidents, inspections, surveillance, and investigations:</i> Manager, Aviation Data Systems Branch, AFS-620;
</p><p>&#149; <i>Records in FAA-Administered databases concerning administrative actions and legal enforcement actions:</i> Manager, Aviation Data Systems Branch, AFS-620;
</p><p>&#149; <i>Records pertaining to legal enforcement actions maintained in Chief Counsel, Regional Counsel, and Aeronautical Center Counsel offices:</i> The address of the appropriate FAA regional or field office maintaining the official agency enforcement file may be obtained from AFS-620.
</p><p>&#149; <i>Records pertaining to administrative actions and informal actions:</i> The investigating FAA field office or regional office or the Drug Abatement Division, AAM-800, or the local Compliance and Enforcement Centers of the Drug Abatement Division, as appropriate. The address of the appropriate FAA regional or field office maintaining the official agency enforcement file may be obtained from AFS-620.
</p><p>&#149; <i>Electronic enforcement litigation tracking system records:</i> Chief Counsel, Regional Counsel, and Aeronautical Center Counsel offices.
</p><p>&#149; <i>Accounting files:</i> Office of Financial Operations (AMZ) at the Aeronautical Center, and Office of Financial Management (AFM) at headquarters.
</p><p>&#149; <i>Aviation medical certification records from headquarters and regional files:</i> Medical Specialties Division at headquarters, AAM-200, or the Regional Flight Surgeon within the region where examination was conducted (visit or call the local FAA office for proper Regional Office address).
</p><p>&#149; <i>Drug and alcohol testing records, and records of refusals to submit to testing required under a DOT-required testing program:</i> Drug Abatement Division, AAM-800, or the local Compliance and Enforcement Centers of the Drug Abatement Division, as appropriate.
</p><p>&#149; <i>Records pertaining to security and hazardous materials:</i> Office of Hazardous Materials, ADG-1
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system of records may make a request in person or in writing to the appropriate system manager. The request must include:
</p><p>&#149; Name;
</p><p>&#149; Mailing address;
</p><p>&#149; Telephone number and/or e-mail address;
</p><p>&#149; A description and, if possible, the location of the records requested; and
</p><p>&#149; A statement under penalty of perjury that the requester is the individual who he or she claims to be.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals who desire access to information in this system of records should make a written request to, or an appointment with, the appropriate system manager. Each request should describe the particular record to the fullest extent possible, including the subject matter of the record, and, if known, the date when it was made, where it was made, and the originating person or office. Each request must also include a statement under penalty of perjury that the requester is the individual who he or she claims to be.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals who desire to contest information about themselves contained in the system of records should make their request in writing, detailing the reasons why the records should be corrected, and submit the request to the attention of the FAA official responsible for the record at the address appearing in this notice. The request must include a statement under penalty of perjury that the requester is the individual who he or she claims to be.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>a. Medical Records are obtained from Aviation Medical Examiners (AME’s), the individual to whom the records pertain, consultants, hospitals, treating or examining physicians, and Federal/State/local/Tribal Government agencies.
</p><p>b. Airmen Certification Records are obtained from the individual to whom the records pertain, FAA aviation safety inspectors, and FAA designated representatives.
</p><p>c. General Aviation Accident/Incident Records and Air Carrier Incident Records are obtained from Aviation Medical Examiners, pathologists, accident investigation records, medical laboratories, Federal/State/local/Tribal law enforcement officials, and FAA employees. Data are also collected from manufacturers of aircraft and involved passengers.
</p><p>d. Informal Action, Administrative Action and Legal Enforcement Records are obtained from witnesses, the Offices of the Chief Counsel, Regional Counsels and Aeronautical Center Counsel, the National Transportation Safety Board, Office of Security and Hazardous Materials (ASH) personnel, Flight Standards personnel, Office of Aviation Safety (AVS) personnel and Aeronautical Center personnel.
</p><p>e. Drug and alcohol testing records and records relating to test results and refusals to submit to testing are obtained from the individual to whom the records pertain, current or previous employers, witnesses, FAA Drug Abatement inspectors, service agents providing drug and alcohol testing services for employers, and other Federal/State/local/Tribal Government agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records in this system that relate to administrative actions and legal enforcement actions are exempted from certain access and disclosure requirements of the Privacy Act of 1974, pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-851</systemNumber>
<subsection type="systemName">Administration and Compliance Tracking in an Integrated Office Network.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Aviation Administration, FAA, Office of Aviation Medicine, Drug Abatement Division, 800 Independence Avenue, SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Medical review officers, company anti-drug program managers, other contact names, and individuals who call the FAA to self-disclose, who are directly involved in the implementation and maintenance of drug and alcohol testing programs in conjunction with the aviation industry.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Names, company and office telephone numbers of program managers who are in charge of the everyday operation of drug and alcohol testing programs for aviation companies, other persons who are contacts for facilities directly involved in drug and alcohol testing for the aviation industry, medical review officers (physicians) who review test results for the aviation companies, and individuals with company name and telephone numbers who call the FAA to self-disclose non-compliance.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Omnibus Transportation Employee Testing Act of 1991 (49 U.S.C. 45101-45106), 14 CFR part 61, et al.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Support the information resource, reporting and archival needs of the Drug Abatement Division.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Maintained in an automated information system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of an individual or by a unique case file identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computer processing of information would be conducted within established FAA computer security regulations. A risk assessment of the FAA computer facility used to process this system of records has been accomplished.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The FAA has requested a retention and disposal schedule to destroy 5 years from creation date. That request is pending approval from the National Archives and Records Administration, NARA.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Drug Abatement Division, AAM-800, Office of Aviation Medicine, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>FAA records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-852</systemNumber>
<subsection type="systemName">Suspected Unapproved Parts (SUP) Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Federal Aviation Administration (FAA), Associate Administrator for Regulation and Certification, Suspected Unapproved Parts Program Office, Dulles, VA 20166. Records may also be temporarily located in FAA Regional Offices and Directorate Offices, as well as FAA Civil Aviation Security Offices during the time of the open investigation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Company representatives of air carriers, repair stations, mechanics, manufacturers, suppliers, brokers, or individuals who are otherwise directly or indirectly involved in suspected unapproved parts investigations. Individuals who contact the FAA regarding the manufacture, sale or use of suspected unapproved parts may also be included in the system of records.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include files and other investigatory material pertaining to a SUP investigation. Records may contain name and address, phone numbers, and certificate numbers of companies or individuals, their role in SUP investigations, information referencing enforcement actions, alert or notification actions, and investigation results.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 44701.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a primary collection point of SUP records and issues and provide technical support to FAA and industry on SUP; maintain a parts reporting information system for tracking SUP investigations and analysis of data; provide program oversight, and review of SUP related enforcement actions and audits.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>FAA will routinely provide relevant information to the Federal Bureau of Investigation, U.S. Customs Service, and Defense Criminal Investigative Services for their use in any civil/criminal investigations when a SUP case is initiated. Also see Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Hard copy documents are stored in locked file cabinets with restricted access; electronic records reside in a secure database system. The SUP Program Office operates in a secure office with limited access, key controls, and locks.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Hard copy investigative records are retrieved by SUP case number; electronic records are retrieved through automated searches such as by case number, company name, individual’s name, including source’s name, name of the subject of an investigation, part number, type of aircraft, or geographical location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Manual records and folders are stored in locked file cabinets with restricted access. Access to automated records is restricted by controlled user ID’s and passwords. A risk assessment plan and system security plan are in place.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained for a period of 5 years. National Archives and Records Administration (NARA) approval pending.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Transportation, Federal Aviation Administration, Manager, Suspected Unapproved Parts Program Office, 4500 Aviation Drive, Suite 214, Dulles, VA 20166.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is collected from individuals, including air carriers, repair stations, aircraft owners/operators, manufacturers, suppliers, brokers, mechanics, pilots, FAA, and DOT officials who believe for any reason a part is not approved.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt from disclosure under the provisions of 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FAA-853</systemNumber>
<subsection type="systemName">Cost Accounting System  Employee Labor Data.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>U. S. Department of Transportation, Federal Aviation Administration (FAA), Assistant Administrator for Financial Services, 800 Independence Avenue, SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present and former Federal employees of the Federal Aviation Administration.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records may include employee labor charging data containing FAA employee’s names, current pay period and year-to-date salaries, and hours worked by FAA organizations on a particular project.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 40101; 49 U.S.C. 40122(g)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This Cost Accounting System--Employee Labor Data System will enhance the agency’s ability to provide the cost of end-user services in support of user fees; measure and benchmark the agency’s financial and operational performance; support management decisions and plans based on reliable cost information; measure and control cost of resources consumed and outputs produced; track individual labor cost directly associated with projects/activities and facilitate the distribution of labor charges and actual operating expenses for costing purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To contractors, grantees, experts, consultants, detailees, and other non-FAA employees performing or working on a contract, service, grant, cooperative agreement, or other assignment from the Federal government, when necessary to accomplish an agency function related to this system of records.
</p><p>To other government agencies when required by law.
</p><p>See the Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are stored on Local Area Network drives, magnetic cartridges, diskettes, and may be in hardcopy format when required.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by the employee’s name, organization, and assigned project numbers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system of records is restricted to authorized users. Each user is granted access with his or her user name and security password. The user privileges of each user are based on his or her assigned access rights. User access to sensitive data is granted only to limited individuals with the approval of management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are retained and disposed of in accordance with FAA Order 1350.15 item number 2710 (2) (b), General Financial Records. Records are disposed of when 6 years and 3 months old.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Cost Accounting Division (APF-300), 800 Independence Avenue, SW., Washington, DC 20591.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Write to the System Manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Write to the System Manager. Provide full name and a description of information that you seek, including the time frame during which the records may have been generated. Individuals requesting access must comply with the Department of Transportation’s Privacy Act regulations on verification of identity (49 C.F.R. 10.37).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Write to the System Manager. Identify the information being contested, the reason for contesting it and the correction requested.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from current Privacy Act systems of records, DOT/ALL 11, Integrated Personnel Payroll System (IPPS) and DOT/ALL 7, Departmental Accounting and Financial Information System (DAFIS) and Delphi Accounting System--Management Information Reporting (MIR).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FHWA-078</systemNumber>
<subsection type="systemName">Correspondence Tracking System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is in the Office of Administration for the Federal Highway Administration (FHWA), 400 Seventh Street, SW., Room P2, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who submit letters, e-mail, and faxes (correspondence) to FHWA and to DOT about matters under FHWA’s purview.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains records and related correspondence on individuals and groups who have sent correspondence expressing opinions or concerns, or are requesting information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are maintained to track the receipt of and/or progress of replies to incoming correspondence. The records also track an electronic copy of incoming and outgoing correspondence.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To those entities/individuals within DOT and/or another Federal, state, tribal, or local agency, who can aid in responding to the issues and concerns raised in the incoming correspondence. Therefore, the routines uses are compatible with the purpose of collecting the information. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are stored in a database maintained under current FHWA application and hardware security requirements. Designated FHWA employees in each FHWA organization are granted access to the data for the purpose of downloading data to produce reports for local management use. These employees access the database through FHWA’s secure intranet. Data downloaded by FHWA organizations may be retained on Local Area Network drives and may be in hardcopy format when required.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of the individuals or groups who wrote the correspondence, the tracking control number, the subject matter, and the date of the incoming document.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computer records are maintained in a secure, password-protected computer system. Paper records are maintained in a lockable file cabinet in a lockable room. All records are maintained in a secure, access-controlled area of the building.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records in this system of records are retained and disposed of in accordance with the approved records disposition schedules in FHWA Order M 1324.1A, Files Management and Records Disposition Manual.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mary Peterson, FHWA Executive Secretariat, 400 Seventh Street, SW., Room 4207, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Write to the System Manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Write to the System Manager. Provide full name and a description of information that you seek, including the time frame during which the records may have been generated.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Write to the System Manager. Identify the information being contested, the reason for contesting it, and the correction requested.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The records are obtained from the individuals themselves who send correspondence, faxes or e-mails, etc.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FHWA-215</systemNumber>
<subsection type="systemName">Travel Advance File.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Federal Highway Administration, FHWA, Office of Budget and Finance, 400 Seventh Street, SW., Washington, DC 20590; Federal Aviation Administration, Southern Region, Travel and Transportation Section, ASO-22A, Campus Building, Room C-210E, 1701 Columbia Avenue, College Park, GA 30337; and the FHWA Federal Lands Division Offices (Eastern, Central, and Western).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees who are not eligible for the contractor-issued credit card and other groups of employees, and first-duty hires.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Record of travel advances and repayments.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5707; 41 CFR part 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Controlling the repayments of travel advances to FHWA personnel.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to "consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Open advances are maintained on a 5 x 8 inch form. In an automated travel management system, no advance is required (i.e., paperless).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Locked file cabinet.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The files are retained for 6 years and 3 months after period covered by account, pursuant to General Records Schedule 6.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Transportation, Federal Highway Administration, Office of Budget and Finance, HABF, Team Leader, Travel Policy and Operations, 400 Seventh Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FHWA-216</systemNumber>
<subsection type="systemName">Travel Authorization and Voucher--Relocation Allowances (First Duty or Permanent Change of Station).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Federal Highway Administration, FHWA, Office of Budget and Finance, HABF, 400 Seventh Street, SW., Washington, DC 20590; Federal Aviation Administration, MMAC Travel and Transportation Branch, AMZ-130, 6500 So. MacArthur Blvd., Oklahoma City, OK 73169.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>First duty and permanent change of station employees within the FHWA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Travel voucher(s), copies of third party payments (i.e., Government Bill of Lading, GBL, carrier bills, contractor invoice(s) for services, Administrative Notices (i.e., adjustment(s) to vouchered claim, taxable and non-taxable income, withholding tax allowance(s), if applicable, taxes withheld), and IRS 4782’s (Summary of Calendar Year of All Reimbursements, including taxes withheld).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5707; 41 CFR part 302.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Support the payments to employees and serves as support for updated employee earnings records.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to " consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Maintained on an 8 x 10 inch form in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The files are indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Supervised by the Team Leader, Travel Policy and Operations in FHWA and the Division Manager, Financial Operations in FAA.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Destroy after 6 years, pursuant to General Records Schedule 9.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Transportation, Federal Highway Administration, Office of Budget and Finance, HABF, Team Leader, Travel Policy and Operations, 400 Seventh Street, SW., Washington, DC 20590; and Division Manager, MMAC Travel and Transportation Branch, AMZ-130, 6500 MacArthur Blvd., Oklahoma City, OK 73169.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FHWA-217</systemNumber>
<subsection type="systemName">Accounts Receivable.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Federal Highway Administration, Office of Budget and Finance, HABF, 400 Seventh Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals indebted to the Federal Highway Administration.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Amount of indebtedness.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Monitor and control accounts receivable and support bills of collection issued to debtors of the Federal Highway Administration.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to "consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Maintained in file folders and loose-leaf binders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Supervised by Chief, Accounting Team.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Transfer to the Federal Records Center when 3 years old. Destroy 6 years and 3 months after period covered by the account.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Transportation, Federal Highway Administration, Office of Budget and Finance, HABF, Chief, Accounting Team, 400 Seventh Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employer.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FHWA-218</systemNumber>
<subsection type="systemName">Managerial Cost Accounting System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of records is located in the Federal Highway Administration (FHWA), Office of Policy, 400 7th Street, SW., Room 3312, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present employees of the FHWA, and individuals under contract with the Federal Highway Administration who provide services to the Agency that would otherwise be performed by a Federal employee.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records may include employee labor charging data containing employee names, current pay period, year-to-date salaries, hours worked by FHWA organizations and by established activity codes, and employee leave status. The system of records will also include financial data from the corporate accounting system, called Delphi (e.g., contract costs, travel costs, purchases of equipment) and financial data regarding grants management (e.g., Federal-aid funding amounts allocated to States or other Federal programs).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 902; 31 U.S.C. 3512.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Managerial Cost Accounting System established by the FHWA will enhance the Agency’s ability to: (1) Measure and benchmark the Agency’s financial and operational performance; (2) support management decisions and plans based on reliable cost information; (3) measure and control the cost of resources consumed and outputs produced; (4) track individual labor costs directly associated with projects/activities; and (5) facilitate the distribution of labor charges and actual operating expenses for costing purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>&#149; To contractors, consultants, and other non-FHWA employees performing or working on a contract, grant, cooperative agreement, or other assignment from the Federal government, when necessary to accomplish an Agency function related to this system of records.
</p><p>&#149; To other government agencies when authorized by law.
</p><p>&#149; See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are stored in a database maintained under current FHWA application and hardware security requirements. Designated FHWA employees in each FHWA organization are granted access to the data for the purpose of downloading data to produce reports for local management use. These employees access the database through FHWA’s secure intranet. Data downloaded by FHWA organizations may be retained on Local Area Network drives and may be in hardcopy format when required.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records may be retrieved by the employee’s name and organization, designated activity, or FHWA/DOT goal.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system of records is restricted to authorized users. Each user is granted access with his or her user name and security password.
</p><p>The user privileges are based on his or her assigned access rights. User access to sensitive data is granted only to limited individuals with the approval of FHWA management. All records are maintained in secure, access-controlled areas or buildings.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records in this system of records are retained and disposed of in accordance with the approved records disposition schedules in FHWA Order M 1324.1A, Files Management and Records Disposition Manual.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Strategic Initiatives Team Leader, Office of Policy, 400 7th Street, SW., Room 3312, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Write to the System Manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Write to the System Manager. Provide full name and a description of information that you seek, including the time frame during which the records may have been generated.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Write to the System Manager. Identify the information being contested, the reason for contesting it, and the correction requested.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from current Privacy Act systems of records, DOT/ALL 11, Integrated Personnel Payroll System (IPPS) and DOT/ALL 7, Fiscal Management Information System (FMIS), and the Delphi accounting system. Information contained in this system will also be obtained from CASTLE, the new DOT personnel system.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FHWA-219</systemNumber>
<subsection type="systemName">User Profile and Access Control System (UPACS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the Federal Highway Administration (FHWA), Office of Information and Management Services, 400 7th Street SW., Room 4331, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and contractors of DOT’s FHWA and Federal Motor Carrier Safety Administration, State DOT employees and contractors who require access to UPACS for their job duties, as well as other external users with specific needs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records may include user’s general profile information that identifies the user, <i>i.e.</i>, name, work address, work email address, and the full Social Security Number for FHWA employees, user’s application rights records, State, organization and routing symbol records, application information, log and session records and user-base review records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Managers Financial Integrity Act of 1982 as codified in 31 U.S.C. 3512.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The User Profile and Access Control System (UPACS) is the security control system that manages user authentication and associated access rights for individuals needing entry into any of FHWA’s applications.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Respond to user complaints; (2) reply to user feedback comments; (3) manage access to restricted applications; (4) manage access rights to information within an application; (5) provide information to any person(s) authorized to assist in an approved investigation of improper access or usage of FHWA computer systems; (6) provide access to other government agencies when required by law; and (7) fulfill requests for reports and other similar information. These reports would be generated for auditing purposes and consist of the following information (any combination thereof): user account approvals and removals, account transfers, failed login attempts, locked passwords and PINs, all resets of passwords and PINs, after-hour activity, a user’s successful or unsuccessful access and what FHWA application the user has accessed. See also the Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>All UPACS data is stored on a secure FHWA server. Database tables are setup to detect unauthorized access. FHWA employees and contractors who have access to UPACS information must protect sensitive FHWA data residing on any media, such as tapes, disks, and printouts. UPACS information is provided to only those who have a need to know and access to the information is controlled by the user’s level of access rights.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records of access may be retrieved by a user’s name or Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system of records is restricted to authorized users.
</p><p>Each user is granted access with his or her user name and security password. The user privileges of each user are based on his or her assigned access rights. User access to sensitive data is granted only to limited individuals with the approval of FHWA management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records in this system of records are retained and disposed of in accordance with the approved records disposition schedules in FHWA Order M 1324.1A, Files Management and Records Disposition Manual.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Information and Management Services, Federal Highway Administration, 400 7th Street, SW., Room 4423, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Write to the System Manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Write to the System Manager. Provide full name and a description of the information that you seek, including the time frame during which the records may have been generated. Individuals requesting access must comply with the Department of Transportation’s Privacy Act regulations on verification of identity (49 CFR 10.37).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Write to the System Manager. Identify the information being contested, the reason for contesting it, and the correction being requested. Individuals requesting access must comply with the Department of Transportation’s Privacy Act regulations on verification of identity (49 CFR 10.37).
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from users when they register for or change UPACS profile information and when they access different applications through UPACS.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p>OMB Control Number:
</p><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FHWA-220</systemNumber>
<subsection type="systemName">Dwight David Eisenhower Transportation Fellowship Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of records is in the Office of Professional and Corporate Development, Federal Highway Administration.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on students that participate in FHWA’s DDETFP.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The information in the system consists of documents related to the administration of the program that include the students’ name, home mailing address, e-mail address, date of birth, education records, home telephone number, race (optional), gender (optional), and citizenship.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109.59.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The DDETFP aims to attract qualified students to the field of transportation education and research and advance transportation workforce development. The DDETFP includes seven fellowship categories including the Graduate Fellowships, Historically Black Colleges and Universities Fellowships, Hispanic Serving Institutions Fellowships, Tribal Colleges Fellowships, People with Disabilities Fellowships, Grants for Research, and Intern Fellowships. DDETFP is supported by an automated system that allows for the centralized collection and analysis of vital program information. Information in this system is used to track student progress throughout the education pipeline, identify gaps and evaluate program performance and effectiveness in meeting federal transportation workforce recruitment and development goals. Records contained in this system only will be used for program analysis and evaluation purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To FHWA program staff and contractors directly involved in the administration of the program and system, and to other government agencies when authorized by law. See Prefatory Statement of Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Documents are stored in locked cabinets and secured electronically in a database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic information is limited to program staff and protected via password controls. Physical access to the server and paper files is limited to appropriate personnel through building key cards and room-access keypads. Other security measures include firewalls, routine scans and monitoring, back-up activities, and security background checks.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Pending approval by the National Archives and Records Administration, this system has a proposed record retention of five (5) years for paper and permanent for electronic records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Program Manager, Office of Professional and Corporate Development, Federal Highway Administration, 4600 N. Fairfax Drive, Suite 800, Arlington, VA 22203.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager".
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager".
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager".
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained via applications/forms that students complete and that come to FHWA directly or via their university.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FHWA-221</systemNumber>
<subsection type="systemName">National Highway Institute Web site (NHIW) and Course Management and Tracking System (CMTS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system is located in the National Highway Institute (NHI), Federal Highway Administration, 4600 N. Fairfax Drive, Suite 800, Arlington, VA 22203.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>CMTS contains information on customers and instructors who use or contribute services to the National Highway Institute. The NHIW does not contain any information about individuals, just course and session data that is stored in CMTS. When customers create accounts on NHIW to enroll in training, they are really creating an account in the User Profile and Access Control System (UPACS), and the information is stored in CMTS under the Customer module.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>CMTS contains records related to the administration of the training. Personally identifiable information in CMTS consists of customer names, work address, e-mail address, and work telephone number and instructor names and e-mail addresses. The NHIW contains training course and session information stored in CMTS that does not pertain to individuals and is available for public viewing.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109-59.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>FHWA has been given the responsibility of enhancing the highway movement of people and goods, while also ensuring the safety of the traveling public, promoting the efficiency of the transportation system, and protecting the environment. One vital component involved in reaching those goals is providing training pertaining to highway activities, particularly in making sure that professionals and members of the public have access to the best, most accurate information. Towards this goal, NHI develops and implements applicable training programs. To manage this increasingly complex task and to make the training process more accessible and useful NHI uses NHIW and a back-end database (CMTS) to support this public site. The NHIW, <i>http://www.nhi.fhwa.dot.gov,</i> is available to the general public and displays NHI’s training information. Through this site, members of the public can sign up for and take NHI-developed training, link to a separate government web site to pay for that training, schedule and participate in a Web conference, and download resources for developing courses. In addition, the NHIW offers the ability to purchase course materials. CMTS supports the NHIW by maintaining course development information, customer records, invoices, instructor records and contract data. There is a direct link between NHIW and CMTS.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The records are used to administer training and for program evaluation purposes. Only federal program staff and contractors directly involved in administering the program have access to the information stored in CMTS.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in an electronic database and in paper files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by participant name, course number, instructor name, contract number, and invoice number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to records in the electronic database is limited to program staff and protected via password controls. Physical access to the server and paper files is limited to appropriate personnel through building key cards and room-access keypads. Other security measures include firewalls, routine scans and monitoring, back-up activities, and security background checks.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records retention schedules for these systems are pending National Archives and Records Administration (NARA) approval. The proposed retention period for this system is for the information to be maintained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Training, Federal Highway Administration, 4600 N. Fairfax Drive, Suite 800, Arlington, VA 22203.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system may make a request in writing to the System Manager. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and the location of the records requested, and verification of identity.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should apply to the System Manager, following the same procedure as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should apply to the System Manager, following the same procedure as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The customer records are obtained from forms that customers complete at training sessions, that are then entered directly in the system by program personnel or transactions (weekly patches) that occur via NHIW. Instructor records are obtained directly from the instructors. Data is entered directly in the system by program staff or by transactions (weekly patches) that occur via NHIW.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-001</systemNumber>
<subsection type="systemName">Department of Transportation Federal Motor Carrier Safety Administration (FMCSA)--001 Motor Carrier
Management Information System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Volpe National Transportation Systems Center, U.S. Department of Transportation, Cambridge, MA 02142
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>MCMIS records may contain personally identifiable information (PII) on the following’s categories of
individuals which may be retrieved by unique identifier associated with the individual;
</p><p>1. Individuals who are the sole proprietor and/or owner of a motor carrier or hazardous material shipper
subject to Federal Motor Carrier Safety Regulations and who have provided a social security number (SSN) in
lieu of an employer identification number (EIN).
</p><p>MCMIS records may also include personally identifiable information on the following categories of
individuals, however this information is not retrieved by unique identifier associated with the individual.
</p><p>1. Individuals who are owner/operators officers, managers, and employees of a motor carrier or hazardous
material shipper subject to Federal Motor Carrier Safety Regulations.
</p><p>2. Drivers of commercial motor vehicles who:
</p><p>&#149; Were involved in a recordable crash;
</p><p>&#149; Were the subject of a roadside driver/vehicle inspection;
</p><p>&#149; Are the subjects of an investigatory action; or
</p><p>&#149; Are employed by a motor carrier which is the subject of an investigation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>MCMIS stores the following types of information:
</p><p>&#149; <i>Census Files</i>--These files contain the USDOT number, carrier identification,
carrier address, type and size of operation, commodities carried, and other characteristics of the operation
for interstate (and some intrastate) motor carriers, intermodal equipment providers, cargo tank facilities, and
shippers. They include motor carrier PII consisting of social security numbers (SSN) and employee
identification numbers (EIN).
</p><p>&#149; <i>Investigatory Files</i>--These files contain results of safety audits,
compliance review investigations, and enforcement actions conducted by federal, state, and local law
enforcement agencies. They include driver, co-driver, owner, officer, manager, and employee PII consisting of
SSN and EIN.
</p><p>&#149; <i>Driver/Vehicle Safety Violations and Inspection Data</i>--This data is collected
during roadside inspections of drivers and vehicles and includes driver and co-driver PII consisting of names,
dates of birth, vehicle license plate numbers, and state driver’s license numbers.
</p><p>&#149; <i>Crash Data</i>--This data is collected from state and local police crash reports
and includes driver and co-driver PII consisting of names, dates of birth, vehicle license plate numbers, and
state driver’s license numbers.
</p><p>MCMIS Shares PII with the Following Systems or System Components:
</p><p>&#149; <i>Driver Information Resource (DIR)</i>--The DIR creates a driver profile using
MCMIS crash data from the past five years and inspection data from the past three years. This profile shows PII
data for the driver regardless of the employing carrier. The DIR also includes driver/vehicle safety violations
and inspection data per the PSP description below. Access is restricted to FMCSA staff, FMCSA contractors and
Motor Carrier Safety Assistance Program (MCSAP) State lead agencies.
</p><p>&#149; <i>Pre-Employment Screening System (PSP)</i>--The specific objectives of the PSP
are aligned with the requirements of 49 U.S.C. 31150. The PSP will provide driver crash and inspection records
from the DIR to requesting motor carriers that have a driver’s consent. The PSP allows a driver to review
his/her own driver-related data in the DIR.
</p><p>&#149; <i>Driver Safety Measurement System (DSMS)</i>--FMCSA utilizes MCMIS data in the
DSMS to support the Compliance Safety Accountability (CSA) initiative and its Driver Safety Measurement System
(DSMS). The DSMS uses driver/vehicle safety violations and inspection data and crash data to evaluate the
safety performance of Commercial Motor Vehicle (CMV) drivers in seven categories. Access is restricted to FMCSA
enforcement personnel, FMCSA Headquarters (HQ) staff and MCSAP State lead agencies.
</p><p>&#149; <i>Carrier Safety Measurement System (CSMS)</i>--FMCSA utilizes MCMIS data in the
CSMS to support the CSA initiative and its DSMS. The CSMS uses driver/vehicle safety violations and inspection
data and crash data to evaluate the safety of motor carriers. Access is restricted to FMCSA enforcement,
federal and local law enforcement personnel, FMCSA HQ staff, MCSAP State lead agencies and law enforcement
agencies that are FMCSA grantees. The objective of CSMS is to provide an assessment of a carrier’s regulatory
compliance and safety performance.
</p><p>&#149; <i>Safety Fitness Electronic Records (SAFER)</i>--The SAFER Web site receives MCMIS
driver/vehicle safety violations and inspection data and census data on a daily basis for report generation.
Although SAFER receives driver-related PII from MCMIS, SAFER reports for the public users contain no PII. The
driver-related PII from MCMIS is included on the Company Safety Profile reports that are requested by
commercial motor carriers for their company and enforcement officers.
</p><p>&#149; <i>Enforcement Management Information System (EMIS)</i>--The EMIS is a web-based
application used to monitor, track, and store information related to FMCSA enforcement actions. It manages and
tracks enforcement actions associated with notifying the carrier, monitoring the carrier’s response,
determining whether further compliance action is required, and generating reports for various FMCSA
Headquarters, FMCSA Service Center, and FMCSA Division staff. It is an authoritative source for FMCSA
enforcement data. EMIS imports census files, investigatory files, driver/vehicle safety violations and
inspection data, and crash data from MCMIS for the purpose of automatically initiating UNFIT/UNSATISFACTORY
cases within EMIS resulting from Safety Rating letters generated by MCMIS.
</p><p>&#149; <i>Analysis &amp; information (A&amp;I) Online</i>--The A&amp;I is a web-based tool
designed to provide quick and efficient access to descriptive statistics and analyses regarding commercial
vehicle, driver, and carrier safety information. It is used by Federal, State and local law enforcement
personnel, the motor carrier industry, insurance companies, and the general public. A&amp;I imports census
files, investigatory files, driver/vehicle safety violations and inspection data, and crash data from MCMIS for
the purpose of processing a monthly data snapshot of the MCMIS database.
</p><p>&#149; <i>ProVu</i>--ProVu is an application that allows Federal and State enforcement
personnel and the motor carrier industry to electronically view standard motor carrier safety profile reports
available from the FMCSA. ProVu imports driver/vehicle safety violations and inspection data and crash data in
a standard report exported from MCMIS for the purpose of generating Company Safety Profile reports.
</p><p>&#149; <i>Compliance Analysis and Performance Review Information (CAPRI)</i>--CAPRI is
used by Federal and State enforcement personnel when conducting compliance reviews and safety audits,
specialized cargo tank facility reviews, household good investigations, and hazardous material (HM) shipper
reviews. CAPRI includes worksheets for collecting census files, investigatory files, driver/vehicle safety
violations and inspection data, and crash data from MCMIS to track (1) hours of service, (2) driver
qualifications, and (3) drug and alcohol compliance. It also creates the preliminary carrier safety fitness
rating and various reports for motor carriers.
</p><p>&#149; <i>Sentri</i>--Sentri (formerly known as the Mobile Client Application) SENTRI is
used by Federal and State enforcement personnel to access motor carrier and driver information. SENTRI combines
roadside inspection, investigative, and enforcement functions into a single interface.
</p><p>&#149; <i>McQuery</i>--The MCMIS database is copied into McQuery, creating an exact image
of the MCMIS database. The data in McQuery is used for responding to Freedom of Information Act (FOIA) requests
and other requests for public information, generating special data requests for FMCSA, and supporting the
operations of FMCSA.
</p><p>&#149; <i>GOTHAM</i>--GOTHAM is an internal FMCSA analysis system that utilizes selected
extracts of MCMIS data and is only accessible through the DOT/FMCSA Intranet. GOTHAM imports census files,
investigatory files, driver/vehicle safety violations and inspection data, and crash data from MCMIS for the
purpose of delivering standard reports via the Intranet.
</p><p>&#149; <i>Docket Management System (DMS)</i>--DMS is a National Transportation Safety
Board NTSB system that stores investigative material in one of two ways. Documents that are categorized in DMS
"For Official Use Only" ("OUO") are found only in the non-public side of the docket. In
these instances, the documents are accessible only by those NTSB employees that are allowed access to NTSB
Office of Highway Safety dockets. If a document is placed in the publicly available portion of DMS, NTSB
redacts any PII.
</p><p>&#149; <i>New Application Screening (NAS)</i>--NAS is an application, which is populated
by A&amp;I, that identifies potential "chameleon carriers" within the FMCSA past and present
carrier population. This tool provides you with the ability to search for specific carriers and identify
relationships to other past and present carriers." Currently, NAS is available to select FMCSA personnel.
It is searchable by motor carrier name, state, and address.</p>
<p>MCMIS SHARES NON-PII WITH THE FOLLOWING FMCSA SYSTEMS OR SYSTEM COMPONENTS:
</p><p>&#149; <i>Query Central (QC)</i>--QC is a secure web application that provides Federal and
State safety enforcement personnel with a single location where they can enter one query and obtain targeted
safety data on commercial motor vehicle (CMV) carriers, vehicles, and drivers from multiple sources in FMCSA
and Customs and Border Patrol. QC does not maintain a database of its own, but instead pulls data from the
authoritative sources in real-time. QC utilizes MCMIS to verify carrier information. QC displays privacy-
related information on drivers from MCMIS.
</p><p>&#149; <i>Licensing and Insurance System (L&amp;I)</i>--The L&amp;I system is used to
enter and display licensing and insurance information regarding authorized for-hire motor carriers, foreign
motor carriers, freight forwarders, and property brokers. It is the authoritative source for FMCSA licensing
and insurance data. L&amp;I is part of the registration process. L&amp;I imports information from MCMIS as
follows:
</p><p>--Data about carriers that received unsatisfactory ratings;
</p><p>--Data about Out-of-Service carriers; and
</p><p>--USDOT numbers for synchronization with docket numbers.
</p><p>&#149; <i>Hazmat Registration (HMReg)</i>--HMReg exports data from MCMIS to the Pipeline
and Hazardous Materials Safety Administration (PHMSA) database server in response to HAZMAT registration data
requests.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 502, 504, 506, 508, Chapter 139, and 49 CFR 1.73.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to provide a central collection point for records on some intrastate motor
carriers, interstate motor carrier, hazardous material shipper, freight brokers and freight forwarders in order
to facilitate the analysis of data required to administer and manage the agency’s safety and commercial
enforcement programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>1. 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 or information contained in this system may be disclosed outside DOT as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as follows: To federal, state, local, and foreign government agencies for the
purposes of enforcing motor carrier and Hazardous Materials shipper safety.
</p><p>2. To State lead agencies and other law enforcement grantees under the FMCSA Motor Carrier Safety Assistance
Grant Program and Border Enforcement Grant program, which is a federal grant program that provides financial
assistance to states for their work in reducing in the frequency and severity of CMV crashes and hazardous
materials incidents.
</p><p>3. To the National Transportation Safety Board (NTSB) in connection with NTSB investigations involving motor
carriers, interstate motor carriers, and hazardous material shippers.
</p><p>4. To Federal, State, and local government agencies for the purposes of household goods investigations (HHG)
and enforcing HHG statutes and regulations.
</p><p>5. To Federal, State and local government agencies for the purposes of driver, motor carrier, broker, and
freight forwarder investigations, and enforcing commercial operating statutes and regulations.
</p><p>6. See "Prefatory Statement of General Routine Uses" (available at <i>
http://www.dot.gov/privacy/privacyactnotices</i>). Other possible routine uses of the information, applicable
to all DOT Privacy Act systems of records, are published in the <i>Federal Register</i> at 75 FR 82132,
December 29, 2010, and 77 FR 42797, July 20, 2012 under "Prefatory Statement of General Routine
Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices</i>).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>MCMIS records are stored in an automated system operated and maintained at the Volpe National Transportation
Systems Center (Volpe Center) in Cambridge, MA.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by; individuals’ name, Social Security Number, Employer Identification Number,
company name, trade name, and geographical location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all
applicable DOT 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 records in this system is limited to
those individuals who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be retained and disposed in accordance with National Archives and Records Administration (NARA)
retention disposition schedule (RDS) NI-557-05-007 item #5. Master data files are
retained on a permanent basis. For a complete discussion of the RDS please see <i>www.nara.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The system manager is the Division Chief, IT Development Division; Office of Information Technology; Federal
Motor Carrier Safety Administration; U.S. Department of Transportation; 1200 New Jersey Avenue SE;
W68-330; Washington, DC 20590
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking
to contest its content, may submit a request in writing to the Tiffanie Coleman, FMCSA FOIA Officer whose
contact information can be found at <i>http://www.dot.gov/foia</i> under "Contact Us." If an
individual believes more than one component maintains Privacy Act records concerning him or her, the individual
may submit the request to the Departmental Freedom of Information Act Office, U.S. Department of
Transportation, Room W94-122, 1200 New Jersey Ave. SE., Washington, DC 20590, ATTN: FOIA request.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records
your request must conform with the Privacy Act regulations set forth in 49 CFR Part 10. You must sign your
request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits
statements to be made under penalty of perjury as a substitute for notarization. While no specific form is
required, you may obtain forms for this purpose from the Chief Freedom of Information Act Officer, <i>
http://www.dot.gov/foia</i> or 202.366.4542. In addition you should provide the following:
</p><p>An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DOT component
agency may have responsive records; and
</p><p>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 component(s) may not be able to conduct an effective search, and your request may be denied due
to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from roadside driver/vehicle inspections and crash reports submitted by state and local
law enforcement agencies and from investigations performed by state and federal investigators. State officials
and FMCSA field offices forward safety information to MCMIS immediately after it has been compiled and
processed locally.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a), portions of this system are exempt from
the requirements of subsections (c)(3), (d), (e)(4)(G)-(I) and (f) of the Act, for the reasons stated in
DOT’s Privacy Act regulation (49 CFR Part 10, Appendix, Part II, at A.8). See 66 FR 20406, April 23, 2001. A
copy of this Notice and accompanying Privacy Act Exemptions Final Rule may be found on the DOT Privacy Office
Web site--www.dot.gov/privacy.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-002</systemNumber>
<subsection type="systemName">Federal Motor Carrier Safety Administration (FMCSA) Motor Carrier Safety Proposed Civil and Criminal Enforcement Cases, DOT/FMCSA.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Enforcement (MC-EC); 400 7th Street, SW., Room 3419, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Officers, agents or employees of motor carriers, including drivers who have been the subject of investigation for Motor Carrier Safety regulation violations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Motor Carrier safety regulation violations and identifying features.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Motor Carrier Safety Act of 1984, 49 U.S.C. 521(b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Decide enforcement action, and for use as historical documents in case of appeal.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses. Routine use number 5 does not apply to this system of records.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders in the Field Legal Services’ offices
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Names of individuals.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Only Office of the Chief Counsel or Field Legal Services employees, and other FMCSA employees have regular access to the files.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are retained for one year and then are generally sent to the local Federal Records Centers for an additional three-year period. System manager(s) and address:  FMCSA, Office of the Chief Counsel, 400 7th Street, SW., Room 4217, Washington, DC 20590; FMCSA Service Centers, Field Legal Services.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, motor carrier files, OMCHS file information as gathered by OMCHS investigators, etc.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>5 U.S.C. 552 (c)(3), (d), (e)(4)(G), (H), and (I), (f) to the extent they contain investigative material compiled for law enforcement purposes in accordance with 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-003</systemNumber>
<subsection type="systemName">Driver waiver/exemption file.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Federal Motor Carrier Safety Administration (FMCSA), Office of Bus and Truck Standards and Operations, 400 7th Street, SW., Washington, DC 20590; FMCSA Service Centers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Operators of interstate commercial motor vehicles who transport certain commodities and have been granted waivers/exemptions from normally-applicable safety requirements.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applications for waiver, exemptions, final disposition of request for waiver/exemptions; and exemption renewal.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Motor Carrier Safety Act of 1984 (49 U.S.C. 31136(e) and TEA-21 (49 U.S.C. 31315).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Monitor drivers of commercial motor vehicles who operate in interstate commerce and have requested waivers to existing Federal Motor Carrier Safety Regulations (FMCSRs).
</p><p>The purpose of the information in these records is to make determinations concerning whether drivers who request exemptions from the medical standards in the FMCSRs should be permitted to operate a CMV in interstate commerce. The determination is based on drivers’ medical records describing the impairment for which they are requesting an exemption, the ability to manage the impairment, and the demonstrated ability to operate a CMV in a safe manner with the impairment. This information, with augmentation and updating, is also used every two years to determine if the exemption should be renewed as is specified in TEA-21 (49 U.S.C. 31315). The use of the information in the various determinations is focused on insuring that the program is as safe or safer than the circumstance present in the absence of the program as is required in TEA-21 (49 U.S.C. 31315).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The records are used to monitor the drivers’ performance throughout the period they have an exemption and are active in the program. Monitoring could be related to the drivers’ medical condition or their driving performance. The records are also used to respond to Congressional inquiries about individuals in the program. Those authorized to use the information are the managers at FMCSA and the members of the contracting project team that supports the program.
</p><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are currently stored in two locations. The physical records are stored at a secure site located at the contracting company which supports the exemption program. The records are also stored in an electronic format on a secure web-based information system. The information system is protected through the use of HTTPS and SSL (Secure Socket Links). All users of the system are required to obtain a client certificate which identifies the user to the web site. The company that supports the program has set up a certificate server, from which authorized users can request a client certificate. All client certificate requests are reviewed by company’s Information Systems Manager, who is responsible for providing access to the site. The Information System Manager works with the Project Manager and the FMCSA Project Officer to determine the user access to the site. Once a user is approved, the Information System Manager notifies the user via e-mail that their client certificate has been approved, and provides them with instructions on how to download and install the client certificate on the user’s personal computer. Currently, only the project staff and selected FMCSA Managers have access to the site.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by driver’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Files are classified as sensitive and are regularly accessible only by designated employees within the FMCSA Service Centers and FMCSA headquarters.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The files are retained while the driver waivers are active. The inactive driver waiver files are purged every three years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Federal Motor Carrier Safety Administration, Office of Bus and Truck Standards and Operations, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Application for Waiver or Waiver Renewal.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-004</systemNumber>
<subsection type="systemName">National Consumer Complaint Database (NCCDB).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Controlled Unclassified Information (CUI).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>The NCCDB and its Web site (<i>http://nccdb.fmcsa.dot.gov/HomePage.asp</i>) are administered and maintained by the facility listed below:
</p><p>John A. Volpe National Transportation Systems Center (Volpe Center), 55 Broadway, Cambridge, MA 02142.
</p><p>The Safety Violation and Household Goods Consumer Complaint Hotline (888-DOT-SAFT or 888-368-7238) is operated by the contractor listed below:
</p><p>Ecompex, Inc. (Ecompex), DTMC75-05-C-00008, 7926 Jones Branch Drive, Suite 560, McLean, VA 22102.
</p><p>The hotline and Web site are operated under a leasing agreement between Ecompex and the subcontractor listed below:
</p><p>Computing Technologies, Inc. (CoTs), DTFH61-99-Z-00073, 3028 Javier Road, Suite 400, Fairfax, VA 22031.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>1. Consumers and commercial motor vehicle drivers who report violations of Federal Motor Carrier Safety Regulations (FMCSRs).
</p><p>2. Consumers who contract with motor carriers and brokers to transport their household goods (HHG) in interstate operations.
</p><p>3. Motor carriers, employees, drivers and consumers who contract with Hazardous Materials motor carriers and Cargo Tank Facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records and reports in the NCCDB may include the following:
</p><p>1. HHG complaints (PII).
</p><p>Respondent names, tracking number, addresses, fax numbers, phone numbers, and e-mail addresses.
</p><p>2. Safety Violation complaints (PII).
</p><p>Respondent names, tracking number, addresses, fax numbers, phone numbers, and e-mail address.
</p><p>3. Hazardous Materials and Cargo Tank Complaints (PII).
</p><p>Respondent names, tracking number, addresses, fax numbers, phone numbers, and e-mail address.
</p><p>4. Acknowledgement letters to complainants (PII).
</p><p>Complainant’s name, tracking number, and address.
</p><p>5. Notification letters to motor carriers (PII).
</p><p>Respondent’s name, complaint number, and address.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 14701 note.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The major goal of NCCDB is to meet the requirements set forth in section 4214, Public Law 109-59, 119 Stat. 1144, 1759-1760, codified at 49 U.S.C. 14701 note, the Safe, Accountable Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), which requires FMCSA to establish:
</p><p>1. A system, database, and procedures for filing and logging consumer complaints relating to household goods motor carriers for the purpose of compiling or linking complaint information gathered by FMCSA and the States with regard to such carriers.
</p><p>2. Procedures to allow the public to have access, subject to 5 U.S.C. 552(a), to aggregated complaint information and a process for carriers to challenge duplicate or fraudulent information in the database.
</p><p>NCCDB is capable of recording the following types of complaints:
</p><p>1. <i>Safety Violation Complaints</i>--Consumers, commercial motor vehicle drivers, and others can report violations of Federal Motor Carrier Safety Regulations (FMCSRs).
</p><p>2. <i>Household Goods (HHG) Complaints</i>--Consumers can report complaints related to the contracting and moving of HHG.
</p><p>3. <i>Hazardous Materials and Cargo Tank Complaint</i>--Consumers can report complaints related to Hazardous Materials and Cargo Tank.
</p><p>The data collected by NCCDB can be used by FMCSA to identify problematic motor carriers in order to take enforcement actions and to promote compliance with FMCSRs. The NCCDB can also be used to alert consumers of those motor carriers with a history of complaints related to transporting HHG and to provide guidance to the public on how to avoid being victimized by unscrupulous moving companies.
</p><p>Motor carriers can use NCCDB to assist with complaint reconciliation. After being informed of a complaint, the respondent is encouraged to resolve the complaint with the complainant.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>&#149; Information may be shared with congressional offices and Federal, State, and local government agencies for the purposes of enforcing the safety of motor carriers and HHG transporters.
</p><p>&#149; Information may be shared with Federal, State, and local law enforcement programs to safeguard against and respond to the breach of personally identifiable information.
</p><p>&#149; Information may also be accessed by Federal contractors involved in the system support and maintenance of NCCDB.
</p><p>&#149; In addition to those disclosures generally permitted under 5 U.S.C. 552a(b)(3) of the Privacy Act, additional disclosures may be made in accordance with the DOT Prefatory Statement of General Routine Uses, published at 65 FR 19476 (April 11, 2000).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p><i>Storage</i>--NCCDB records are stored in an automated system operated and maintained at the Volpe National Transportation Systems Center (Volpe Center), U.S. Department of Transportation, 55 Broadway, Cambridge, MA 02142. Backup copies of NCCDB records are archived in a secure offsite facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>NCCDB records can be retrieved through automated searches on the following key words or identifying information:
</p><p>&#149; Complainant Name.
</p><p>&#149; Respondent Name.
</p><p>&#149; Address (Complainant and Respondent).
</p><p>&#149; Fax Number (Complainant and Respondent).
</p><p>&#149; Phone Number (Complainant and Respondent).
</p><p>&#149; State Name (Complainant and Respondent).
</p><p>&#149; Zip Code (Complainant and Respondent).
</p><p>&#149; E-mail Address (Complainant and Respondent).
</p><p>&#149; Secondary Respondent Name.
</p><p>&#149; Motor Carrier Number.
</p><p>&#149; USDOT Number.
</p><p>&#149; Complaint ID Number.
</p><p>&#149; Complaint Date.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to NCCDB is restricted to those authorized users with a specific "need to know" and requires authentication with a valid user name and password. Only authorized federal government personnel and contractors conducting system support or maintenance activities may access NCCDB records. The scope of access is limited to the official need of each authorized individual. NCCDB is housed in a secure data center, and access to NCCDB is restricted to authorized personnel only. Access to the building in which NCCDB is located is also restricted to authorized personnel only. FMCSA operates NCCDB in accordance with the E-Government Act of 2002 (Pub. L. 107-347), the Federal Information Security Management Act (FISMA) of 2002 (Title III of Pub. L. 107-347), and other required policies, procedures, practices, and security controls for implementing the Automated Information Systems Security Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Complaint files are retained at the John A. Volpe National Transportation Systems Center by the system administrator. All files received by the Safety Violation and Household Goods Consumer Complaint Hotline are retained in compliance with agency record control schedules. Complaints mailed from FMCSA to Ecompex are recorded online in NCCDB by Ecompex staff. The Volpe Center and Ecompex comply with all requirements of the National Archives and Records Administration (NARA) with respect to record retention and control. NARA regulations indicate that electronic files created to monitor system usage are authorized for erasure or deletion when the agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>James Dubose; Federal Motor Carrier Safety Administration; Commercial Enforcement Division; MC-ECC, M61300, W63-421; 1200 New Jersey Avenue SE; Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system may make a request in writing to the System Manager. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and the location of the records requested, compliant tracking number, and verification of identity. FMCSA’s requirement for verification of identify for NCCDB include the following:
</p><p>&#149; Complaint ID/tracking number of the complaint.
</p><p>&#149; Name address and telephone number.
</p><p>&#149; Date of compliant.
</p><p>&#149; Origin and destination of the complaint (If appropriate).
</p><p>&#149; Respondent’s name and DOT number (If appropriate).
</p><p>&#149; Description of the complaint.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should apply to the System Manager, following the same procedure as indicated under "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should apply to the System Manager, following the same procedure as indicated under "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>NCCDB complaints are obtained from consumers, motor carriers, brokers, and consumers who contract with Hazardous Materials motor carriers and Cargo Tank Facilities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a(k)(2)), portions of this system are exempt from the requirements of subsections (c)(3), (d), (e)(4)(G)-(I) and (f) of the Act, for the reasons stated in DOT’s Privacy Act regulation (49 CFR Part 10, Appendix, Part II at A.8.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-5</systemNumber>
<subsection type="systemName">Electronic Document Management System (EDMS)
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The input of information into EDMS is discretionary. Field users have been instructed to upload all compliance review, inspection and enforcement documents related to motor carriers generated after October 1, 2005, but some divisions have uploaded older documents in accordance with NARA’s FMCSA Field Records Schedule in order to destroy paper copies of documents covered by the schedule. Use of the administrative (non-carrier related) sections of EDMS are also at the discretion of the Division/Field Administrator and may or may not contain certain types of information including, but not limited to, sensitive personnel documents such as Travel Vouchers (which include Social Security Numbers). Therefore, there is the potential for the following categories of individuals to be covered by this system:
</p><p>&#149; All owners of interstate commercial motor vehicle operations, active or inactive.
</p><p>&#149; All operators of interstate commercial motor vehicles, licensed or unlicensed.
</p><p>&#149; All FMCSA employees.
</p><p>Operators and operators of interstate commercial motor vehicles; Federal Motor Carrier Safety Administration (FMCSA) employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The input of information into EDMS is discretionary. Field users have been instructed to upload all compliance review, inspection and enforcement documents related to motor carriers generated after October 1, 2005, but some divisions have uploaded older documents in accordance with NARA’s FMCSA Field Records Schedule in order to destroy paper copies of documents covered by the schedule. Use of the administrative (non-carrier related) sections of EDMS are also at the discretion of the Division/Field Administrator and may or may not contain certain types of information including, but not limited to, sensitive personnel documents such as Travel Vouchers (which include Social Security Numbers). Therefore, there is the potential for the following categories of documents to reside in this system:
</p><p>&#149; Carrier Related Documents include, but are not limited to: </p><p>&#9675; Carrier Enforcement Case Documents.
</p><p>&#9675; General Carrier Documents, including, but not limited to:
</p><p>&#2022; Compliance Reviews.
</p><p>&#2022; Correspondence, including e-mail.
</p><p>&#2022; Crash Reports.
</p><p>&#2022; Out of Service Orders.
</p><p>&#2022; Safety Audits.
</p><p>&#9675; Carrier Receipt Documents.
</p><p>&#9675; Driver Enforcement Case Documents, including, but not limited to:
</p><p>&#2022; Notice of Claim.
</p><p>&#2022; Receipts.
</p><p>&#2022; Correspondence, including e-mail.
</p><p>&#2022; Enforcement Cases.
</p><p>&#2022; Exhibits.
</p><p>&#2022; Final Agency Orders.
</p><p>&#9675; Roadside Inspection Certification.
</p><p>&#9675; Roadside Inspection Report.
</p><p>&#149; Administrative Documents including, but not limited to:
</p><p>&#9675; Delegations of Authority.
</p><p>&#9675; Non-personnel related Employee Documents.
</p><p>&#9675; Federal Programs.
</p><p>&#9675; Rules of Conduct.
</p><p>&#9675; Employee Work Schedules.
</p><p>&#9675; Time and Attendance Records.
</p><p>&#9675; Congressional Correspondence.
</p><p>&#9675; Suspicious Activity Reports.
</p><p>&#149; Management Documents including, but not limited to:
</p><p>&#9675; Financial Management documents including, but not limited to:
</p><p>&#2022; Budgets.
</p><p>&#2022; Invoices.
</p><p>&#2022; Procurement Requests.
</p><p>&#2022; Property.
</p><p>&#2022; Purchase Card documents.
</p><p>&#2022; Purchase Orders.
</p><p>&#2022; Travel (Authorizations, Voucher and Receipts).
</p><p>&#9675; Personnel Management documents including, but not limited to:
</p><p>&#2022; Performance Appraisals.
</p><p>&#2022; Award Nominations.
</p><p>&#2022; Position Descriptions.
</p><p>&#2022; Personnel Actions (SF-50).
</p><p>&#2022; Request for Personnel Actions (SF-52).
</p><p>&#2022; Telecommuting Agreements.
</p><p>&#2022; Within-Grade Step Increase documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S. C. 31136 (e), Motor Carrier Safety Act of 1984, 49 U.S.C. 31315, and the Transportation Equity Act for the 21st Century (TEA-21) which was enacted June 9, 1998 as Public Law 105-178.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide FMCSA personnel with a centralized document repository application for archiving and accessing documents relevant to FMCSA business processes. The mission of FMCSA is to improve the safety of commercial motor vehicles and save lives by enforcing the laws and regulations set forth to govern motor carrier operations. The business processes included in realizing this mission are the performance of compliance reviews and inspections on motor carrier operations and inspections of commercial motor vehicles, which may result in enforcement actions being taken against a motor carrier for failure to adhere to motor carrier laws and regulations. EDMS contains the documents related to these processes and allows all authorized users access to these documents in the performance of their duties.
</p><p>EDMS is also used in the administrative process as a central repository in the operation of a specific office within FMCSA. Travel, procurement, budget and other administrative documents are housed in this system to support the migration to a "paperless" work environment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Documents are stored on this system on a dedicated server. Metadata specific to each document is stored on a separate database server and is dynamically linked to each document.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by USDOT number, carrier census information (carrier name, DBA, address, etc.), Division, Service Center, Driver Name, Employee Name, Document Category, Document Date, Author, and Fiscal Year.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The electronic records uploaded to EDMS are stored in one server on a secure web-based system. The index data associated with these documents is stored on a database server. Both of these servers are physically protected by virtue of the fact that they are housed in a limited-access controlled server room. The entire EDMS application is electronically safeguarded through the use of HTTPS and SSL (Secure Socket Links) and is accessible only to users within the FMCSA network, or from specific IP addresses of authorized contractors. All users of the system are required to obtain a user name through FMCSA Technical Support, the contractor support group which provides technical support to the majority of FMCSA Information Technology systems. All applications for accounts must first be approved by the FMCSA Organizational Coordinator for the area in which the user works. All requests are then reviewed by FMCSA Technical Support to ensure conformance with FMCSA’s security standards. Once a user is approved, FMCSA Technical Support contacts the user via e-mail and requests that the user call FMCSA Technical Support to obtain their temporary password to the system. The temporary password is configured to expire and force the user to change his/her password upon first login attempt. All FMCSA employees are eligible for an account in EDMS, but access to certain libraries contained on the system is dependent upon the user’s role.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The files are retained and disposed of according to the FMCSA Field Records Schedule according to the National Archives and Records Administration, and FMCSA policy.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Transportation, Federal Motor Carrier Safety Administration, Office of Data Analysis and Information Systems, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p>OMB Control Number:
</p><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-06</systemNumber>
<subsection type="systemName">SAFETYNET.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are located at Federal Motor Carrier Safety Administration (FMCSA) field offices throughout the United States as well as the offices of State agencies responsible for the enforcement of interstate and intrastate motor carrier operations within their jurisdiction.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SAFETYNET covers companies and drivers of commercial motor vehicles (CMV) (i.e., trucks with a gross combination weight of 10,001 pounds or more, buses used to transport more than 9 passengers (including the driver), and vehicles transporting hazardous materials). It also includes information on shipping and freight-forwarding companies registered with FMCSA. SAFETYNET systems deployed and operated by State agencies may also contain information on motor carrier companies and operations residing in that State. Specific personal information related to individuals is maintained on:
</p><p>1. Drivers associated with vehicle inspections and crashes related to the motor carrier companies in the system;
</p><p>2. FMCSA and State officials with authorized access to SAFETYNET via personally assigned user accounts; and
</p><p>3. Federal and State Safety Investigators (SI) performing motor carrier enforcement duties.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records and reports in this system may include:
</p><p>1. <i>Registration Information:</i> Includes the USDOT Number, carrier identification, types of vehicles, number of drivers, and commodities carried for motor carriers and hazardous material shippers registered with FMCSA and the State within which the SAFETYNET instance is deployed.
</p><p>2. <i>Review and Rating Information:</i> The SAFETYNET system may contain compliance review records regarding companies’ motor carrier operations, safety performance, and adherence to Federal and State regulations.
</p><p>3. <i>Inspection Information:</i> Roadside inspection information about vehicles and drivers, including violations of safety regulations governing the driver, the vehicle, and those specifically related to hazardous materials.
</p><p>4. <i>Crash Information:</i> Individual States collect and maintain information on recordable motor carrier crashes, which includes date, time and location of crash, investigating agency, weather and road surface conditions, motor carrier ID, driver name, driver license number, power unit identification, and crash outcome, including number of people injured and/or killed.
</p><p>5. <i>Complaint Information:</i> Records of complaints received by Federal and State agencies from various sources against motor carrier companies, their drivers, and/or their operations.
</p><p>6. <i>Personal Identifier Information:</i> Drivers and co-drivers are identified by name, date of birth, and driver license number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 31136(e), Motor Carrier Safety Act of 1984; 49 U.S.C. 31315, Transportation Efficiency Act for the 21st Century, TEA-21.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>SAFETYNET is used to maintain records of the safety performance of interstate carriers and hazardous materials shippers that are subject to the Federal Motor Carrier Safety Regulations (FMCSR) or Hazardous Materials Regulations (HMR). SAFETYNET also contains information on intrastate carriers (carriers who collect, deliver, or transfer commodities within state boundaries only) that are registered with a State implementing the SAFETYNET system. A large subset of information, collected locally using the SAFETYNET systems, is uploaded to FMCSA centralized systems. Conversely, information collected by other States, and the centralized Federal systems, are distributed to the field-deployed SAFETYNET systems.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Notice of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>No.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored electronically in databases on physical systems located at FMCSA field offices throughout the United States as well as the offices of State agencies responsible for the enforcement of interstate and intrastate motor carrier operations within their jurisdictions.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the driver’s name, date of birth, vehicle identifier, mailing address, and phone number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>SAFETYNET information is accessible only to FMCSA and State enforcement personnel with specifically assigned user IDs and passwords. Some limited personnel under contract to FMCSA or State agencies responsible for carrying out enforcement activities or supporting the SAFETYNET system also have access via specifically assigned IDs and passwords. All SAFETYNET IDs and passwords are issued to users only after approval by local SAFETYNET System Managers, or their designees. All Federal and State enforcement related access to SAFETYNET is limited to FMCSA or State internal networks. The upload of data to centralized FMCSA systems is through the FMCSA internal network, specifically designated trusted source networks, or other approved encryption communication protocols. Physical security and access to the hosting facility is managed and maintained by the local SAFETYNET System Manager. FMCSA Division and Service Center offices keep their servers in a secure room. It is the responsibility of each participating state agency to properly secure the server within their facility.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>SAFETYNET records are currently undergoing scheduling with the National Archives.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Information Management, FMCSA, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information pertaining to them should write to the Privacy Officer, Office of Management Information and Services, FMCSA, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>In addition to individual user input through the client/server interface, SAFETYNET collects information from other enforcement systems such as ASPEN, which is roadside CMV inspection software, for vehicle and driver inspections. The SAFETYNET software may be configured at the State level to interface with and receive data from State inspection, crash, or carrier registration information systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p>OMB Control Number:
</p><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-007</systemNumber>
<subsection type="systemName">Department of Transportation Federal Motor Carrier Safety Administration Pre-Employment Screening Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the DOT Service Provider sites managed by AT&amp;T in Ashburn, VA and Allen, TX.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>PSP records will include personally identifiable information (PII) pertaining to Commercial Motor Vehicle (CMV) drivers, as defined by 49 CFR 390.5, (referred to in this system of records notice as operator-applicants). PSP will also include access transaction records. For CMV drivers, this will include personal information submitted by the CMV driver to access his or her personal PSP record. For motor carriers or authorized industry service provider, Access Transaction Records will include the unique username and password submitted by the user to access the PSP system and the CMV driver information submitted by the motor carrier or authorized industry service provider to retrieve a PSP record.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p><i>CMV crash and inspection records.</i> Data extract from the FMCSA Motor Carrier Management Information System (MCMIS) containing the most recent five years’ crash data and the most recent three years’ inspection information for operator-applicants including:
</p><p>&#8226; CMV driver name (last, first)
</p><p>&#8226; CMV driver date of birth
</p><p>&#8226; CMV driver license number
</p><p>&#8226; CMV driver license State
</p><p><i>Access transaction records.</i> In the case of a motor carrier or industry service provider accessing a CMV driver’s PSP record, transaction records include information about the subject of the electronic record request including:
</p><p>&#8226; CMV driver name (last, first, middle initial)
</p><p>&#8226; CMV driver date of birth
</p><p>&#8226; CMV driver license number
</p><p>&#8226; CMV driver license State
</p><p>Access Transaction Records also include information about the motor carrier or industry service provider accessing the record including:
</p><p>&#149; User unique system username
</p><p>&#149; User unique system password
</p><p>In the case of an operator-applicant requesting his or her own PSP record, the Access Transaction Record will include:
</p><p>&#149; CMV driver name (last, first, middle initial)
</p><p>&#149; CMV driver date of birth
</p><p>&#149; CMV driver license number
</p><p>&#149; CMV driver license State
</p><p>&#149; CMV driver address.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 31150, as added by section 4117 of Public Law 109-59 [Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU)].
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to make CMV crash and inspection records available to authorized operator-applicants, authorized industry service providers, and authorized motor carriers. Records maintained in the system will also support operational management of the PSP program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under Section (b) of the Privacy Act, 5 U.S.C. 552a(b), all or a portion of the records or information contained in this system may be disclosed outside of DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To authorized industry service providers and motor carriers as part of the operator-applicant’s PSP record; authorized industry service providers and motor carriers may use PSP records only for purposes of pre-employment safety screening of operator-applicants and must have the operator-applicant’s consent to access the PSP record;
</p><p>2. To the DOT Validation Authority (e.g., Lexis-Nexis) to verify and validate the presented identity of the individual operator-applicant requesting access to his or her own inspection and crash data.
</p><p>3. Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the <i>Federal Register</i> at 75 FR 82132, December 29, 2010, under "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices</i>).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities. Electronic records may be stored on magnetic disc, tape, digital media, and CD-ROM. Any paper records received or required for purposes of processing data requests will be stored in secure file folders at the DOT Service Provider’s secure storage facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records will be retrieved by using the operator-applicant’s last name, date of birth, license number, and license State.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All records in the system will be protected from unauthorized access through appropriate administrative, physical, and technical safeguards. Electronic files will be stored in a database secured by password security, encryption, firewalls, and secured operating systems, to which only authorized Service Provider or DOT/FMCSA personnel will have access, on a need-to-know basis. Paper files will be stored in file cabinets in a locked file room to which only the authorized Service Provider and DOT/FMCSA personnel will have access, on a need-to-know basis. All access to the electronic system and paper files will be logged and monitored. All PII data elements will be encrypted in the PSP system.
</p><p>The Service Provider will be subject to routine audits of the PSP program by FMCSA to ensure compliance with the Privacy Act, applicable sections of the Fair Credit Reporting Act and other applicable Federal laws, regulations, or other requirements.
</p><p>Access by external users (operator-applicants, authorized industry service providers and motor carriers) will be restricted within the system based upon the user’s role as an authorized industry service provider, motor carrier, or validated operator-applicant. An authorized industry service provider or motor carrier is an entity or person who has been provided a unique user identification and password and must use the unique identification and password to access data in PSP. External users will be able to query the CMV crash and inspection database only. The Service Provider will provide users with an advisory statement that authorized industry service providers and motor carriers could be subject to criminal penalties and other sanctions under 18 U.S.C. 1001 for misuse of the PSP system.
</p><p>In order for an authorized industry service provider or motor carrier to receive an individual operator-applicant’s crash and inspection data, the authorized industry service provider or motor carrier must certify, for each request, under penalty of perjury, that the request is for pre-employment purposes only and that written or electronic consent of the operator-applicant has been obtained. Upon completion of certification, the Service Provider will provide the individual operator-applicant data to the industry service provider or motor carrier via the secure PSP Web site. The authorized industry service provider or motor carrier will access this individual’s information by entering a unique identification username and password. Authorized industry service providers or motor carriers will be required to maintain each operator-applicant’s signed, written consent form or electronic signature for five years. Authorized industry service providers or motor carriers are subject to random audits by DOT to ensure that written or electronic consent of operator-applicants was obtained.
</p><p>The PSP system also allows validated operator-applicants to access their own crash and inspection data upon written or electronic request. Upon receipt of an operator-applicant’s request, the Service Provider will validate the identity of the requestor (operator-applicant) by using his or her full name, date of birth, driver license number, driver license State and current address against a validation authority.
</p><p>The contractor and FMCSA have established an ongoing, random-selection audit process to monitor compliance with the written consent obligation. The audit requirements and penalties process is incorporated by reference as part of the contract between FMCSA and the contractor. The purpose of the audit requirements and penalties process is to ensure that the account holder obtains a driver-signed consent form prior to completing a PSP driver record inquiry in accordance with the Fair Credit Reporting Act, 15 U.S.C. 1681 <i>et seq.,</i> and 49 U.S.C. 31150. The contractor will penalize an account holder, who fails to comply with the audit requirements. Based on the nature and frequency of these violations, the contractor may send a written warning, suspend, or terminate the account holder from the PSP.
</p><p>Individuals who access the PSP system via the iOS application are subject to the privacy policy integrated in the application.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p><i>1. CMV crash and inspection records:</i> Pursuant to General Records Schedule (GRS) 20 ("Electronic Records," February 2008, see <i>http://www.archives.gov/records-mgmt/ardor/grs20.html</i>), governing extract files, each monthly MCMIS extract in PSP is deleted approximately three months after being superseded by a current MCMIS extract, unless needed longer for administrative, legal, audit or other operational purposes.
</p><p><i>2. Access Transaction Records:</i> Pursuant to GRS 24, "Information Technology Operations and Management Records," Item 6, April 2010, see <i>http://www.archives.gov/records-mgmt/grs/grs24.html</i>) Access Transaction Records are retained for a period of five years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p><i>PSP System Manager:</i> Office of Information Technology; Federal Motor Carrier Safety Administration; U.S. Department of Transportation; 1200 New Jersey Avenue SE., W65-319; Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Operator-applicants wishing to know if their inspection and crash records appear in this system may directly access the PSP system or make a request in writing to the PSP System Manager identified under "System Manager Contact Information."
</p><p>Individual operator-applicants wishing to know if their Access Transaction Records appear in this system may make a written request to the following address: NIC Technologies, 4601 N. Fairfax Drive, Suite 1160, Arlington, VA 22203.
</p><p>Any other requests for records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 49 CFR part 10. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Freedom of Information Act Officer, <i>http://www.dot.gov/foia</i> or 202.366.4542. In addition you should provide the following:
</p><p>An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DOT component agency may have responsive records; and
</p><p>&#149; 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.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Operator-applicants seeking to contest the content of information about them in this system should apply to the System Manager by following the same procedures as indicated under "Notification Procedure." Operator-applicants may also submit a data challenge to FMCSA’s online system to record and monitor challenges to FMCSA data, DataQs. The system can be accessed via the DataQs Web site (<i>https://dataqs.fmcsa.dot.gov/login.asp</i>). The DataQs system, provides an electronic means for operator-applicants to file concerns about Federal and State data contained in the PSP report. Specifically, DataQs allows an individual to challenge data maintained by FMCSA on, among other things, crashes, inspections, registration, operating authority, safety audits and enforcement actions. Through this system, data concerns are automatically forwarded to the appropriate Federal or State office for processing and resolution. Any challenges to data provided by State agencies must be resolved by the appropriate State agency. Additionally, FMCSA is not authorized to direct a State to change or alter MCMIS data for violations or inspections originating within a particular State(s). Once a State office makes a determination on the validity of a challenge, FMCSA considers that decision as the final resolution of the challenge. FMCSA cannot change State records without State consent. The system also allows filers to monitor the status of each filing.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p><i>1. CMV crash and inspection records:</i> All commercial driver crash and inspection data in PSP is received from a monthly MCMIS data extract. The MCMIS SORN identifies the source(s) of the information in MCMIS. (FMCSA modified the MCMIS SORN to describe the system’s sharing of PII with the Driver Information Resource and PSP systems. See 74 FR 66391, December 15, 2009). All DOT SORNs may be found at <i>www.dot.gov/privacy.</i>
</p><p><i>2. Access transaction records:</i> An audit trail of those entities or persons that accessed the PSP (i.e. authorized motor carriers, authorized industry service providers, or validated operator-applicants) is automatically created when requests are initiated and when data is released by the Service Provider. These records are internal documents to be used by the Service Provider and FMCSA for auditing, monitoring and compliance purposes.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-008</systemNumber>

<subsection type="systemName">Medical Exemption Program.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Medical Exemption Program databases reside at the following locations:
</p><p>&#149; Volpe National Transportation Systems Center (Volpe Center), U.S. Department of Transportation, Cambridge, MA 02142.
</p><p>&#149; MANILA Consulting Group, Inc. (MANILA), McLean, VA 22101.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The Medical Exemption Program includes PII from CMV drivers applying for an exemption from the federal vision standard [49 CFR 391.41(b)(10)] or the federal diabetes standard [49 CFR 391.41(b)(3)] in the FMCSR.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>FMCSA has established the Medical Exemption Program to support the paper-based Federal Vision Exemption Program (FVEP), the paper-based Federal Diabetes Exemption Program (FDEP), and the web-based Med-Ex application managed by the FMCSA Office of Medical Programs.
</p><p><i>Federal Vision Exemption Database</i>--A legacy database that contains PII, including sensitive health information received from CMV drivers applying for a vision exemption from the federal vision standard [49 CFR 391.41(b)(10)] via mail, e-mail, and fax prior to the launch of Med-Ex. There are no external users of this database.
</p><p><i>Federal Diabetes Exemption</i> <i>Database</i>--A database that contains PII, including sensitive health information received from CMV drivers applying for a diabetes exemption from the federal diabetes standard [49 CFR 391.41(b)(3)] via mail, email, and fax. There are no external users of this database.
</p><p><i>Med-Ex Application</i>--A web-based application that collects and stores PII, including sensitive health information from CMV drivers applying for a vision exemption from the federal vision standard [49 CFR 391.41(b)(10)] via hardcopy applications mailed to FMCSA and electronic applications submitted through the Med-Ex Web site.
</p><p>The Medical Exemption Program collects the following PII or information containing PII from CMV drivers as part of the vision exemption application process:
</p><p>A. Applicant Information
</p><p>&#149; Name
</p><p>&#149; Home address
</p><p>&#149; Home/mobile phone number
</p><p>&#149; Gender
</p><p>&#149; Date of birth
</p><p>&#149; SSN
</p><p>B. CMV Driver Information
</p><p>&#149; Driver license number and issuing state
</p><p>&#149; Driver license classification code
</p><p>&#149; Driver license date of issuance and expiration date
</p><p>&#149; Restrictions and endorsements
</p><p>&#149; Copy of valid driver license
</p><p>&#149; List of all licenses held to operate CMVs in last three years
</p><p>&#149; Copy of motor vehicle record (MVR) covering last three years.
</p><p>(Florida drivers must supply official copy of complete driving record from state of Florida due to state citation and accident reporting requirements. Indiana drivers must supply copies of accident reports from state police in addition to MVR due to state accident reporting requirements.)
</p><p>C. Employment Information
</p><p>&#149; Current employer name, address, and phone number
</p><p>&#149; If employed by or leased to companies, driving history and name, address, and phone number for each company for past three years
</p><p>&#149; If self-employed, all customer names, addresses, and phone numbers for past three years
</p><p>&#149; Dates of employment
</p><p>D. Medical Information
</p><p>&#149; Optometrist/ophthalmologist letter stating the following:
</p><p>&#149; Date of examination
</p><p>&#149; Nature, duration, and stability of vision deficiency
</p><p>&#149; Corrected and uncorrected visual acuity for each eye
</p><p>&#149; Field of vision test results for each eye
</p><p>&#149; Color vision information
</p><p>&#149; Medical opinion regarding ability to operate CMVs with diagnosed visual deficiency
</p><p>The Medical Exemption Program collects the following PII or information containing PII from CMV drivers as part of the diabetes exemption application process:
</p><p>A. Applicant Information
</p><p>&#149; Name
</p><p>&#149; Home address
</p><p>&#149; Home/mobile phone number
</p><p>&#149; Gender
</p><p>&#149; Date of birth
</p><p>&#149; SSN
</p><p>B. CMV Driver Information
</p><p>&#149; Copy of valid driver license
</p><p>&#149; Copy of MVR from official state agency
</p><p>&#149; List of waivers, exemptions, and skill performance evaluation certificates
</p><p>C. Employment Information
</p><p>&#149; Current employer name, address, and phone number
</p><p>D. Medical Information
</p><p>&#149; Medical Examination Report
</p><p>&#149; Medical Examiner’s Certificate
</p><p>&#149; Endocrinologist Evaluation Checklist
</p><p>&#149; Vision Evaluation Checklist
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Motor Carrier Safety Act of 1984 [49 U.S.C. 31136(e)] and the Transportation Equity Act for the 21st Century (TEA-21) (49 U.S.C. 31315)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose for maintaining vision and diabetes exemption records in the Medical Exemption Program is to provide the FMCSA Office of Medical Programs with sufficient information to determine if CMV drivers are eligible for an exemption from the federal vision standard [49 CFR 391.41(b)(10)] or the federal diabetes standard [49 CFR 391.41(b)(3)] in the FMCSR. However, some of the CMV driver information that is collected during the exemption application process is used to ensure that duplicate applications are not submitted. The Medical Exemption Program also collects quarterly and annual medical monitoring information to determine if CMV drivers that have received a diabetes exemption are in compliance with the conditions of the exemption. During the exemption renewal process, updated application information is compared to application information stored in the Medical Exemption Program to determine if CMV drivers remain eligible for a vision or diabetes exemption.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>&#149; Information is accessed by FMCSA Office of Medical Programs employees and FMCSA contractors responsible for processing, monitoring, and reviewing exemption applications and by FMCSA employees and contractors responsible for system support and maintenance.
</p><p>Some applicant information (name, age, basic information related to applicant’s medical condition, and current driver license class) is published in the <i>Federal Register</i> in a notice requesting public comment upon receipt of an exemption request (49 U.S.C. 31315).
</p><p>See DOT Prefatory Statement of General Routine Uses published in the <i>Federal Register</i> on December 29, 2010 (75 FR 82132).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic records are stored in the Medical Exemption Program databases at the Volpe Center and MANILA. Vision exemption applications submitted via the web-based Med-Ex application are stored in a database in a secured area within the Volpe Center located in Cambridge, MA. Hardcopy vision exemption applications submitted via mail, email, or fax are entered and scanned into Med-Ex and stored in a secured area at MANILA until a disposition decision is made. MANILA destroys these hardcopy applications after FMCSA completes the disposition of the application. All hardcopy diabetes and vision exemption applications are stored in locked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic records are retrieved by using automated searches. Name, tracking number, application status, SSN, and date of birth may be used to retrieve records in the Medical Exemption Program.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All records in the Medical Exemption program at the Volpe Center and MANILA are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. Electronic files are stored in separate databases at MANILA and the Volpe Center that are secured by password security, encryption, firewalls, and secured operating systems and to which only authorized personnel with a specific "need to know" have access. Paper files are stored in file cabinets in a locked file room to which only authorized MANILA personnel with a specific "need to know" have access. Physical access to the Volpe Center and MANILA is restricted to authorized personnel. All access to the electronic system and paper files is logged and monitored. Access to electronic records is password protected, and the scope of access for each password is limited to the official need of each individual authorized access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The proposed Medical Exemption Program records schedule has been submitted to the U.S. National Archives and Records Administration (NARA) and is pending approval. Medical Exemption Program applications with a status of accepted are assigned a disposition date of 10 years. All other applications are assigned a disposition date of 3 years after the application date or 30 days after a status change to deceased, whichever occurs first. Medical Exemption Program applications are destroyed at the end of each calendar year following the disposition date. Hardcopy documents that have been entered and scanned into the Med-Ex application are assigned a 30-day disposition date following the disposition date assigned to the electronic record and destroyed at the end of the calendar year.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Medical Programs, Federal Motor Carrier Safety Administration, U.S. Department of Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system may make a request in writing to the System Manager. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and the location of the records requested, and verification of identity (such as a statement, under penalty of perjury, that the requester is the individual who he or she claims to be).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should apply to the System Manager by following the same procedures as indicated under "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should apply to the System Manager by following the same procedures as indicated under "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>CMV drivers requesting a vision or diabetes exemption are responsible for submitting the following documentation, as appropriate:
</p><p>&#149; Completed vision or diabetes exemption application.
</p><p>&#149; Copy of valid driver license.
</p><p>&#149; Copy of MVR from official state agency.
</p><p>&#149; Medical Examiner’s Certificate.
</p><p>&#149; Medical Examination Report.
</p><p>&#149; Endocrinologist Evaluation Checklist.
</p><p>&#149; Vision Evaluation Checklist or letter from optometrist/ophthalmologist.
</p><p>&#149; Letters from employers concerning employment history or customer information if self-employed.
</p><p>For vision exemption applications, authorized MANILA personnel use the Commercial Driver’s License Information System (CDLIS) to verify that convictions reported on MVR are accurate and up-to-date. Convictions that are included in CDLIS but missing from MVR are verified by requesting ticket information and police reports from CMV drivers. CDLIS information is reviewed several times during the application process and continues to be monitored after an exemption has been granted.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a), portions of this system are exempt from the requirements of subsections (c)(3), (d), (e)(4)(G)-(I), and (f) of the Privacy Act for the reasons stated in DOT’s Privacy Act regulations (49 CFR Part 10, Appendix, Part II, A.8).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FMCSA-009</systemNumber>
<subsection type="systemName">National Registry of Certified Medical Examiners (National Registry).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Volpe National Transportation Systems Center (Volpe Center), U.S. Department of Transportation, Cambridge, MA 02142. Records may also be maintained at authorized Test Delivery Organizations, addresses for which may be found on the FMCSA National Registry Web site.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this include:
</p><p>&#149; Medical Examiners (MEs) applying for FMCSA ME Certification.
</p><p>&#149; Certified MEs’ administrative personnel who have registered on the National Registry.
</p><p>&#149; Commercial Motor Vehicle (CMV) Drivers examined by FMCSA Certified MEs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The National Registry of Certified Medical Examiners system collects, processes, transmits, and stores the following types of information:
</p><p>(1) Information on Medical Examiners:
</p><p>&#149; Identity Verification
</p><p> &#149; Full name (first, last, middle initial)*
</p><p> &#149; Type of ME photographic identification document
</p><p> &#149; Expiration date of ME photographic identification document
</p><p> &#149; National Registry Number created by FMCSA*
</p><p>&#149; Contact Information/Place of Business (physical location where ME will perform licensed CMV driver medical exams)
</p><p> &#149; Business name*
</p><p> &#149; Business address
</p><p> &#149; Business telephone number
</p><p> &#149; Business email address
</p><p> &#149; Business Web site link information
</p><p> &#149; Medical Credential
</p><p> &#149; State Medical License Number*
</p><p> &#149; Medical License State of Issue
</p><p> &#149; State medical license expiration date
</p><p>&#149; Medical profession*
</p><p>&#149; Employer Contact (Health care provider that employs the ME)
</p><p> &#149; Name
</p><p> &#149; Address
</p><p> &#149; Telephone number
</p><p> &#149; Email address
</p><p>&#149; Training Information
</p><p> &#149; Training received/completed
</p><p> &#149; Provider name
</p><p> &#149; Training provider address
</p><p> &#149; Training completion date
</p><p>&#149; Certification Test Information
</p><p> &#149; Test Delivery Organization/Test Center name
</p><p> &#149; Date of certification test
</p><p> &#149; Certification test questions
</p><p> &#149; Certification test answers
</p><p> &#149; Test score (numeric)
</p><p> &#149; Test results (pass/fail)
</p><p> &#149; Certification Decision/Status
</p><p>Data elements marked with an asterisk "*" are collectively referred to as "National Registry Identity" information.
</p><p>(2) MEs’ Administrative Personnel:
</p><p>&#149; Identity Verification Information
</p><p> &#149; Full name (first, last, middle initial)
</p><p>&#149; ME Business Relationship
</p><p> &#149; Business address
</p><p> &#149; Business telephone number
</p><p> &#149; Business email address
</p><p> &#149; Business Web site link information
</p><p> &#149; Name of ME for whom the individual is acting as administrative personnel
</p><p> &#149; Certified ME National Registry number of ME for whom the individual is acting as administrative personnel
</p><p>(3) Commercial Motor Vehicle Drivers’ Information:
</p><p>&#149; Identity Verification
</p><p> &#9675; Full name
</p><p> &#9675; Date of birth
</p><p>&#149; State Driver’s License
</p><p> &#149; License number
</p><p> &#149; License issuing State
</p><p> &#149; Commercial Driver License (CDL) status
</p><p> &#149; CDL Interstate status
</p><p>&#149; Medical Examination
</p><p> &#149; Certificate expiration date
</p><p> &#149; Name of ME conducting Medical Exam
</p><p> &#149; Medical qualification decision
</p><p> &#149; Driver restrictions/variances
</p><p> &#149; Driver waiver/exemption type
</p><p> &#149; Supporting medical documentation for medical qualification decision making (collected only in event of FMCSA oversight/audit activity)
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>SAFETEA-LU sections 4116(a) (codified as amended at 49 U.S.C. 31149) and 4116(b) (codified as amended at 49 U.S.C. 31136(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>FMCSA will use the ME contact information, medical credentials, training, certification test and identification information to evaluate the ME’s eligibility for certification. FMCSA may request and review ME supporting documentation for eligibility of certification. FMCSA will compare the ME’s identity verification, contact and medical licensing information to the State’s medical licensing data provided by the ME during registration in order to ensure the data provided by the ME is valid. FMCSA reviews the ME test responses in order to validate the test grade and score provided by the Test Center and to ensure that the Test Center properly graded and scored the test. FMCSA will use the ME contact and ME employer information to list eligible FMCSA certified MEs on the publically available Web site for the general public to search for MEs.
</p><p>FMCSA will use the FMCSA ME contact information including that of their business and/or employer and/or their designated ME administrative personnel (if identified), to communicate with the ME regarding the ME’s application and certification status.
</p><p>FMCSA will use the CMV driver medical exam information to monitor the ME competence and performance in evaluating the CMV driver’s health and to detect irregularities in examination procedures.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords">><xhtmlContent><p>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 or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>&#149; To the Test Centers verify the ME’s identity and eligibility to take the ME Certification test, to make changes to ME information (at the direction of the ME) in the National Registry at the time Certification test, and to transfer Certification test information to the National Registry.
</p><p>&#149; To Test Development Contractors who will use the ME Certification test results, ME profession, and geographic location to analyze the certification test results to identify future improvements and modifications to the test questions and to identify potential patterns of fraud and abuse in the testing process by individual medical examiner candidates, testing organizations, testing centers, or proctors.
</p><p>&#149; To FMCSA Certified MEs or their Administrative Personnel to search for CMV drivers for whom they have performed medical examinations and submit/update CMV driver medical exam summary data to FMCSA.
</p><p>&#149; To the general public to perform searches of the publically available portion of the National registry for the purpose of identifying FMCSA Certified MEs and the location of medical examination facilities.
</p><p>&#149; 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.
</p><p>&#149; To contractors, consultants, and others performing or working on a contract, cooperative agreement, grant, or other assignment for DOT, 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 FMCSA employees.
</p><p>&#149; To State Medical Boards for the purposes of verifying ME license information and status. (State Medical Boards are the authoritative repositories for ME license information and, as such, already have access to ME licensing information and the verification of the same by the Department does not constitute a disclosure under the Privacy Act. This Routine Use is included in this Notice in an effort by the Department to be transparent to the public regarding the way it which it will use personal information maintained in the National Registry system of records.)
</p><p>&#149; In addition to those disclosures permitted under 5 U.S.C. 552a(b) of the Privacy Act of 1974, additional disclosures may be made in accordance with the U.S. Department of Transportation (DOT) Prefatory Statement of General Routine Uses published in the <i>Federal Register</i> on December 29, 2010 (75 FR 82132).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically in the National Registry system. The records are also stored on backup tapes and sent off-site weekly to a secure storage facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>FMCSA may retrieve ME information based on ME name, business name, employer address, medical profession, and/or National Registry number. FMCSA may retrieve information on CMV drivers based on: driver’s last name, and exam start and end date range. MEs may access information on CMV drivers for whom they have submitted exam results using the following criteria: driver’s last name, or exam start and end date range. Testing Delivery Organizations/Test Centers may access ME information for the purposes of verifying ME identity and certification eligibility using the ME Name, address and/or National Registry number to verify the ME’s eligibility and identification.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Federal and DOT automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances and permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The DOT/FMCSA records schedule for the National Registry program records is currently pending approval at the National Archives and Records Administration (NARA) under Job Number N1-557-11-2. All records maintained in this system of records will be treated as permanent records until the schedule is approved by NARA. The proposed schedule includes the following retention periods for records containing PII: National Registry Identity Information for all MEs granted National Registry status shall be retained for 60 years from the date that certification was granted. Records other than National Registry Identity information of MEs who are certified will be retained for 16 years (the duration of the certificate’s effectiveness, which is ten (10) years, plus an additional six (6) years to allow employers and investigators to verify the validity of CMV drivers’ medical certification and to allow FMCSA to process ME removals and Administrative Reviews of removals).
</p><p>National Registry applications of MEs who do not complete the certification process will be maintained for one year from initial application submission.
</p><p>National Registry applications of MEs who fail the qualification test or are deemed ineligible for certification by DOT will be maintained for one year from the date of the certification decision.
</p><p>Records of MEs who voluntarily request removal from the National Registry will be maintained for three years from the date the removal is finalized by DOT.
</p><p>National Registry Identity Information for all MEs involuntarily removed from the National Registry shall be retained for 60 years from the date that certification was granted. All other records related to these MEs shall be retained for 16 years (the duration of the certificate’s effectiveness, which is ten (10) years, plus an additional six (6) years to allow employers and investigators to verify the validity of CMV drivers’ medical certification and to allow FMCSA to process ME removals and Administrative Reviews of removals).
</p><p>Records of individual CMV Drivers will be maintained concurrently with the records of the ME who performed the driver’s medical examination.
</p><p>Records of the ME’s administrative personnel will be maintained concurrently with the records of the ME for whom they provide services or for one year from the date that the Department is notified that the individual is no longer authorized to perform duties in the system on behalf the ME, whichever is shorter.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Elaine Papp, Division Chief, Division of Medical Programs, Office of Carrier, Driver and Vehicle Safety, Federal Motor Carrier Safety Administration, U.S. Department of Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system may make a request in writing to the System Manager. The request must include the requester’s name, mailing address, telephone number, and/or email address; a description and the location of the records requested; and verification of identity (such as a statement, under penalty of perjury), that the requester is the individual who he or she claims to be. Requests must conform to the Privacy Act regulations set forth in 49 CFR part 10. You must verify your identity by providing either a notarized statement or a statement signed under penalty of perjury stating that you are the person that you say you are. You may fulfill this requirement by: (1) Having your signature on your request letter witnessed by a notary; or (2) including the following statement immediately above the signature on your request letter: "I declare under penalty of perjury that the foregoing is true and correct. Executed on [date]." If you request information about yourself and do not follow one of these procedures, your request cannot be processed. Requests not following these procedures will not processed.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as indicated under "Notification Procedure".
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as indicated under "Notification Procedure".
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>ME information is obtained from application submissions provided by the medical examiner. CMV driver information is provided by the driver at the time of medical examination to the ME for submission to FMCSA.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FRA-106</systemNumber>
<subsection type="systemName">Occupational Safety and Health Reporting System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Federal Railroad Administration, FRA, Office of Administration, Office of Safety, Office of Safety Assurance and Compliance, RRS-12, 1120 Vermont Avenue, NW., Stop 25 Washington DC 20590-0001
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>FRA employees (injuries and illnesses) FRA employees involved in government property accidents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Federal Occupation Injuries and Illnesses Survey (Standard Form OSHA-102) Departmental Accident/Injury Reports DOT Forms 3902 1.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Occupational Safety and Health Act of Employees, (Executive Order 12196); Basic Program Elements for Federal Employee Occupational Safety and Health Programs and Related Matters, (Title 29 CFR part 1960); Management of Building and Grounds, (Title 41 CFR parts 101-20); and Occupational Safety and Management Program (DOT Order 3902.7A).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track employees injuries, illnesses, and accidents involved in government property to develop causative trends, accident prevention policies, and correct safety items.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Maintain accident records per departmental orders. Provide data to Office of the Secretary. Develop causative trends Use for corrective accident prevention. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this System to Aconsumer reporting agencies (collecting on behalf of the United States Government) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1982(31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Maintained on copies of basic documents.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical security consists of file drawer with data; records provide to authorized individuals by FRA Safety Manager after physical Screening.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FRA Safety Manager, Department of Transportation Federal Railroad Administration, Office of Administration, Office of Safety Assurance and Compliance, RRS-12, 1120 Vermont Avenue, NW., Stop 25, Washington DC 20590-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Documents provided by the individual.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FRA-130</systemNumber>
<subsection type="systemName">Enforcement Case System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Federal Railroad Administration, Office of the Chief Counsel, Safety Law Division, RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001. Each Regional Office and Department of Transportation, DOT, Federal Railroad Administration, Office of Safety Assurance and Compliance, RRS-10, 1120 Vermont Avenue, NW., Stop 25, Washington, DC 20590-0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals that have allegedly failed to comply with certain railroad safety statutes and regulations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Facts and circumstances surrounding alleged rail safety violations by individuals; recommendations for enforcement actions; and enforcement cases.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Hazardous Materials Transportation Act (49 App. U.S.C. 1801 et seq.); Safety Appliance Acts, (45 U.S.C. 1-16); Locomotive Inspection Act, (45 U.S.C. 22-34); Accident Reports Act, (45 U.S.C. 38-43); Hours of Service Act, (45 U.S.C. 61-64a); Signal Inspection Act, (49 App. U.S.C. 26); Federal Railroad Safety Act of 1970 (45 U.S.C. 421 et seq.); 18 U.S.C. 1001; and Rail Safety Improvement Act of 1988 (Pub. L. 100-342).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide information concerning enforcement actions for violations of safety statutes and regulations to government agencies and the regulated industry in order to provide them with information necessary to carry out their responsibilities, and to the public in order to increase the deterrent effect of the actions and keep the public apprised of how the laws are being enforced. Determine whether cases should be forwarded to the Office of Chief Counsel for prosecution and to otherwise accomplish the mission of the Office of Safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclose pertinent information to any source from which additional information is requested in the course of conducting an investigation to the extent necessary to identify the purpose(s) of the request and identify the information requested. Provide notice of the investigation and its outcome to the individual’s employing railroad or shipper, or other railroad related to the case through joint facilities or trackage rights in order to give those entities information they may need to assist in preventing a recurrence of noncompliance. To be reviewed by the Safety Division and to form the basis, or support for, civil and/or criminal enforcement actions against the individuals involved. The general routine uses in the prefatory statement apply to all of these files.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to A consumer reporting agencies (collecting on behalf of the United States Government) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders, file cabinets and an automated tracking system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name of individual and/or his or her employer.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access limited to authorized officials. Manual records are maintained in file cabinets that are locked after working hours. Automated records are password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Appropriate records retention schedules will be applied and disposal will be by shredding. Certain automated records will be retained indefinitely to provide complete compliance histories.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Enforcement Case System Manager, Department of Transportation, Federal Railroad Administration, Office of the Chief Counsel, Safety Law Division, RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be directed to: Federal Railroad Administration, Assistant Chief Counsel, Safety Law Division, Office of the Chief Counsel, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact (202) 493-6053 or write to the System Manager for information on procedures for gaining access to records.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "record access procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained directly from the individual or from other persons with personal knowledge of the facts and circumstances involved.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FRA-131</systemNumber>
<subsection type="systemName">Engineer Certification Appeals Docket.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation (DOT), Federal Railroad Administration (FRA), Office of the Chief Counsel, Safety Law Division, RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001. Department of Transportation, Docket Management System, Room PL-401, 400 7th Street, SW., Washington, DC 20590, and on the Internet at http://www.dms.dot.gov and at http://www.fra.dot.gov.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals requesting FRA review, with or without administrative hearings, of employing railroad decisions to revoke or deny the individual’s engineer certification (collectively referred to as engineer certification appeals).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Submissions from individuals, railroads and the FRA relating to engineer certification appeals (petitions, hearing transcripts, correspondence between parties, and other filings, etc.) and decisions by the Locomotive Engineer Review Board (LERB), FRA Administrative Hearing Officer, and the FRA Administrator regarding these appeals.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Rail Safety Improvement Act of 1988 (Pub. L. 100-342).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain a public docket so that the LERB, FRA Administrative Hearing Officer, and the FRA Administrator can issue decisions pursuant to the dispute resolution procedures set forth in 49 CFR Part 240. Once issued, the decisions will be part of the public docket as well. Even though these decisions do not constitute precedent, how the LERB, FRA Administrative Hearing Officer, and FRA Administrator have resolved certain issues in past cases may add some predictability to the outcome of a potential case. Furthermore, greater public awareness of actions that can lead to loss of an engineer certification may help reduce such actions in the first place.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Posting of LERB, presiding officer, and Administrator final decisions on governmental Web sites, including FRA’s public Web site (http://www.fra.dot.gov) to inform the public of how safety laws are being enforced, and to inform those individuals or entities who may potentially become parties to these proceedings, or who are already parties to proceedings how FRA is implementing the dispute resolution procedures set forth in 49 CFR Part 240. Posting of documents submitted by the parties in a given case on governmental Web sites to make them more easily accessible.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders, file cabinets, and the Department of Transportation’s Docket Management System.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name of individual and/or his or her employer, keywords in the text, or by docket numbers assigned sequentially as the docket clerk receives them.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>None are necessary because all documents are a matter of public record.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Appropriate records retention schedules will be applied. Certain automated records will be retained indefinitely to provide a complete compliance history.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Docket Clerk, Department of Transportation, Federal Railroad Administration, Office of the Chief Counsel, Safety Law Division, RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001. Docket Clerk, Department of Transportation, Docket Management System, Room PL-401, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be directed to: Federal Railroad Administration, Safety Law Division, Office of the Chief Counsel, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact (202) 493-6053 or write to the System Manager for information on procedures for gaining access to records.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "record access procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained directly from the individual or from other persons with personal knowledge of the facts and circumstances involved.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p>OMB Control number:
</p><p>Not Applicable.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FRA-132</systemNumber>
<subsection type="systemName">Controlled Correspondence Manager (CCM).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Federal Railroad Administration (FRA), Office of Administration and Finance, Office of Information Technology, 1120 Vermont Ave., NW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who write, or are referred in writing by a second party, to the Administrator, Deputy Administrator, Associate Administrators, and/or their immediate offices and staff. Individuals who are the subject of an action requiring approval or action by one of the forenamed, such as appeal actions, training, awards, foreign travel, promotions, selections, grievances, and discipline.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence submitted by or on behalf of an individual and responses to such correspondence; and one-time movement and waiver requests from regulations submitted by railroads.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system is to provide history and internal tracking of correspondence addressed to and signed by the Administrator, Deputy Administrator, Associate Administrators, and their immediate offices and corresponding staff. The system provides FRA with the ability to track correspondence, one-time movements, waivers, and train horn rule to ensure timely response to the individual, public, or organization.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Referral to the appropriate action office within the agency for preparation of a response. Referral to the appropriate agency for actions involving matters of law or regulation beyond the responsibility of the agency. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>All data about the record is stored in a database and corresponding attachments are stored on a file server.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name or control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system is limited to individuals responsible for responding or tracking correspondence and the system administrator through the use of user IDs and passwords. Physical access to the system and manual records is restricted through security guards and access badges to enter the facility where equipment and records are located.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The office that owns the CCM records sets retention and disposal for the records. CCM is not an official record. The record owner keeps hard copy files of CCM records in accordance with National Archives and Records Administration (NARA) and agency record retention policies.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Transportation, Federal Railroad Administration, Office of Administration and Finance, Office of Information Technology, 1120 Vermont Ave., NW., Mail Stop 35, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether their information is contained within this system should address written inquiries to the Freedom of Information Act Coordinator, Office of Chief Counsel, Federal Railroad Administration, 1120 Vermont Ave., NW., Stop 10, Washington, DC 20590. Requests should include name, address and telephone number and describe the records you seek.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to records contained within this system can send their requests to the Freedom of Information Act Coordinator, Office of Chief Counsel, Federal Railroad Administration, 1120 Vermont Ave., NW., Stop 10, Washington, DC 20590. Requests should include name, address and telephone number and describe the records you seek.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Contact System Manager for information on procedures for contesting records at Department of Transportation, Federal Railroad Administration, Office of Administration and Finance, Office of Information Technology, 1120 Vermont Ave., NW., Mail Stop 35, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Correspondence from an individual or his/her representative or sponsor; responses to incoming correspondence; and related material provided for background as appropriate.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/FTA-802</systemNumber>
<subsection type="systemName">The Operational Assets and Information Security (OASIS) System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Non-Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of record is in the Office of Information Technology for the Department of Transportation/Federal Transit Administration, Integrated Communication Solutions data center located at 5260 Westview Drive, Frederick, MD 21703.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>FTA employees and contractors
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information maintained in this system consists of employee/contractor work information in the form of room number, work telephone number, and systems to which the employees have access. The system also stores employee/contractor home addresses and telephone numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 321.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Employee/contractor personal information is encouraged in case of emergency where the individual’s family may need to be reached. Input of this information is not mandatory and is provided at the individual’s option. Also, no record subject is able to see the information of any other record subject.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords">><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Documents are stored electronically in a SQL Server database on the internal network (behind departmental firewall).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by searching on an individual’s name or office symbol.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>OASIS is an FTA application that resides on the internal network behind the departmental firewall. Users are authenticated by their network user ID and password.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Data is kept in the system for the life of the system. Many of FTA’s applications interface with OASIS and individuals who are no longer working for FTA are in an inactive status. This is necessary in order to maintain historical traceability in our applications.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Information Technology (TAD-20), Federal Transit Administration, 1200 New Jersey Ave., SE., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Personal information is entered voluntarily by the individual at her/his own discretion for emergency procedures.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-1</systemNumber>
<subsection type="systemName">Attendance, Leave and Payroll Records of Employees and Certain Other Persons.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Maritime Administration, Division of Accounting Operations, MAR-330, 400 7th Street, SW., Room 7325, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Maritime Administration employees and certain other employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, date of birth, social security number and employee number, service computation date, grade, step, and salary; organization (code), retirement or FICA data, as applicable; federal, state, and local tax deductions, as appropriate; optional Government life insurance deduction(s), health insurance deduction and plan or code; cash award data; jury duty data; military leave data; pay differentials; union dues deductions; allotments, by type and amount; financial institution code and employee account number; leave status and leave data of all types (including annual, compensatory, jury duty, maternity, military retirement advisability, sick, transferred, absence without leave, and without pay); time and attendance records including number of regular, overtime, holiday, Sunday, and other hours worked; pay period number and ending date; cost of living allowances; mailing address; co-owner and/or beneficiary of bonds, marital status and number of dependents; and "Notification of Personnel Action." The individual records listed herein are included only as pertinent or applicable to the individual employee.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5101-5115, 31 U.S.C. 3512.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Transmittal of data to United States Treasury and employee-designated financial institutions to effect issuance of paycheck to employees and distribution of pay according to employee directions for saving bonds, allotments, and other authorized purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Reporting: Tax withholding to Internal Revenue Service and appropriate state and local taxing authorities; FICA deductions to the Social Security Administration; dues deduction to labor unions; withholding for health and life insurance to the insurance carriers and the United States Office of Personnel Management; charity contribution deductions to agents of charitable institutions; annual W-2 statements to taxing authorities and the individual; wage, employment, and separation information to state unemployment compensation agencies, to the Department of Labor to determine eligibility for unemployment compensation, and to housing authorities for low-cost housing applications; injury compensation claims to Office of Workers Compensation Program at the Department of Labor. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to `consumer reporting agencies’ (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual and automated.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical, technical, and administrative security is maintained, with all storage equipment and/or rooms locked when not in use. Admittance, when open, is restricted to authorized personnel only. All payroll personnel and computer operators and programmers are instructed and cautioned on the confidentiality of the records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained on site until after GAO audit, then disposed of, or transferred to Federal Records Storage Center in accordance with the fiscal record programs approved by GAO, as appropriate, or General Record Schedules of GSA. Dispose of when 3 years old
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Division of Accounting Operations, MAR-330, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual. Those authorized by individual to furnish information. Supervisors. Timekeepers. Personnel Offices. IRS.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-2</systemNumber>
<subsection type="systemName">Accounts Receivable.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Maritime Administration, Division of Accounting Operations, MAR-330, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Debtors owing money to MARAD, including employees, former employees, business firms, general public and institutions.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name and address; amount owed, and service, overpayment or other accounting therefore; invoice number, if any.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 5701-09, Federal Property Management Regulation 101-7, Treasury Fiscal Requirements Manual 31 U.S.C. 3711.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Billing debtors, reporting delinquent debts to credit bureaus, referrals to the General Accounting Office and the Department of Justice, reporting to Office of Personnel Management for liquidating debts from retirement and other benefits.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to `consumer reporting agencies’ (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, and invoice number as appropriate.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical security; handling by authorized personnel only.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained until payment is received and account is audited, and then disposed of in accordance with Records Control Schedule. Disposed of when 3 years old.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Division of Accounting Operations, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General Law and International Law, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual. Those authorized by the individual to furnish information. Contracting officer as appropriate. Accounting records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-3</systemNumber>
<subsection type="systemName">Freedom of Information and Privacy Request Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Division of General Law and International Law, Office of the Chief Counsel; and Office of the Secretary; Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have requested records under the Freedom of Information and/or Privacy Acts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Incoming requests; correspondence developed during processing of requests; initial and final determination letters; records summarizing pertinent facts about requests and action taken; copy or description of records released; description of records denied. Copies of records denied are often kept with these files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 552, 552a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Used by DOT and MARAD management and legal personnel to assure that each request receives an appropriate reply and to compile data for the required annual reports on activities under the Acts.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Chronologically by date of initial determination. By name of requester and date.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Privacy Act request records are stored in file cabinets in secured premises with access limited to those whose official duties require access. Freedom of Information Act request records are generally available to the public with the exception of records denied.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are disposed of in accordance with the appropriate record disposition authorization approved by the Archivist of the United States.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Division of General and International Law, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual. Records derived from processing Freedom of Information and Privacy Act requests.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-4</systemNumber>
<subsection type="systemName">Visitor Logs and Permits for Facilities Under MARAD Control.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Administrative Service and Procurement, United States Merchant Marine Academy, Kings Point, NY 11024. James River Reserve Fleet, Drawer "C", Fort Eustis Virginia 23604; Beaumont Reserve Fleet, PO Box 6355, Beaumont, Texas 77705; Suisun Bay Reserve Fleet, PO Box 318, Benicia, California 94510.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Non-Federal visitors, Federal personnel entering facilities after duty hours, and employees seeking parking and firearm permits.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, place of birth, citizenship, physical characteristics, type and number of firearms and amount of ammunition, purpose of visit, affiliation, time in and time out, license numbers, and records of violations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>50 App U.S.C. 1744, 46 App U.S.C. 1111, and 46 App U.S.C. 1114.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To keep records of non-Federal visitors, Federal personnel entering facilities after duty hours, and employees seeking parking and firearm permits.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by name, or date and time.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained on site for five years, then disposed of in accordance with unit’s Record Control Schedule. Destroy 5 years after final entry or 5 years after date of document, as appropriate.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Superintendent of respective Reserve Fleets and Chief, Fire and Security, United States Merchant Marine Academy, Kings Point, New York 11024-1699.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, Maritime Administration, MARB221, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual. Those authorized by the individual to furnish information. Employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-5</systemNumber>
<subsection type="systemName">Travel Records (Domestic and Foreign) of Employees and Certain Other Persons.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Division of Accounting Operations, Maritime Administration, MAR-330, 400 7th Street, SW., Washington, DC 20590; United States Merchant Marine Academy Travel Clerk, United States Merchant Marine Academy, Kings Point, New York 11024.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees, Consultants, Advisory Committee Members, and official requests of the Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, social security number, destination, itinerary, mode and purpose of travel; dates; expenses including amounts advanced (if any), amounts claimed, and amounts reimbursed; travel orders, travel vouchers, receipts, and passport record card.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>13 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Transmittal to United States Treasury for payment, to State Department for passports.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to ‘consumer reporting agencies’ (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by name, social security number, or travel order number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained according to GSA Federal Travel Regulations, and then disposed of according to unit’s Records Control Schedule. Destroy when 3 years old or upon separation of the bearer, whichever is sooner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Division of Accounting Operations, MAR-330, Maritime Administration, 400 7th Street, SW., Washington, DC 20590; United States Merchant Marine Academy Travel Clerk, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual. Those authorized by the individual to furnish information. Supervisors. Finance (or accounting) office standard references.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-6</systemNumber>
<subsection type="systemName">Executive Correspondence Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified--Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Maritime Administrator, MAR-100, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who correspond with top-level officials in MARAD and express views or seek information or assistance. Freedom of Information Act or Privacy Act requests is not indexed in this system.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system may include the name and address of correspondent, summary of subject matter, original correspondence, official response, referral letters, memoranda or notes concerning subject of the correspondence, or copies of any enclosures. The records in the system are arranged chronologically by date of official Agency action, numerically by control number assigned to each items of correspondence and by name of correspondent.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> To prepare statistical reports for management on correspondence volume or topics of public interest.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> Used by personnel in the Office of the Maritime Administrator and administrative offices to assure that each request receives an appropriate and timely reply. Information from or copies of the records may be provided to the original addresses of the original correspondence. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> Maintained in paper form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> By control number, by correspondent’s name, by subject, and by date.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Paper records are stored in file cabinets on secured premises with access limited to personnel whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records are disposed in accordance with the appropriate record disposition schedule approved by the Archivist of the United States. Transfer closed files to Records Center when 5 years old. Offer to archivist when the latest records are 20 years old.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Maritime Administrator, MAR-100, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> The correspondent, referral source, Department employees involved in processing the correspondence, and other individuals, as required to prepare an appropriate response.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-7</systemNumber>
<subsection type="systemName"> Litigation, Claims and Administrative Proceeding Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> Office of Chief Counsel, MAR-220, Maritime Administration, 400 Seventh Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Individuals the subject of any litigation which MARAD is involved; individuals who make administrative claims or appeals against MARAD; individuals who are the subjects of claims and administrative actions brought by MARAD; individuals who may have provided statements or other evidence with respect to any of the above.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Names, addresses, social security account numbers, statements of claims and analysis thereof, investigatory reports, opinion of law, and pleadings, motions, depositions, rulings, opinions citation particulars (description of vehicle, date of birth, physical characteristics, driving permit or license data, vehicle license data, etc.) and other litigation and claims documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 46 app U.S.C. 1114 and 1241a, and 50 app U.S.C. 1291a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> Records of individuals subject of any litigation and claims proceedings.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Filed alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Destroyed 5 years after date of document.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Chief Counsel, Maritime Administration, MAR-220, 400 Seventh Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, Maritime Administration, MAR-226, 400 Seventh Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject claimant or plaintiff. Those authorized by the foregoing to furnish information. Whatever other sources are pertinent to the nature of the case.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(1), (k)(2) and (k)(5), this system is exempt from portions of the act.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-8</systemNumber>
<subsection type="systemName">Property Accountability Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Management Services and Procurement Maritime Administration, 400 7th Street, SW., Washington, DC 20590. Department of Administrative Service and Procurement, United States Merchant Marine Academy, Kings Point, NY 11024. Office of Ship Operations, Division of Reserve Fleet, Maritime Administration, MAR-612, 400 7th Street, SW., Washington, DC 20590. James River Reserve Fleet, Drawer "C", Fort Eustis Virginia 23604; Beaumont Reserve Fleet, P.O. Box 6355, Beaumont, Texas 77705; Suisun Bay Reserve Fleet, P.O. Box 318, Benicia, California 94510; National Maritime Research Center, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees, general public, institutions, and anyone who charges out or signs for property or other materials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; telephone number; identification of property or equipment; home and business address; employee I.D. number; position; job title; grade; organization; explanation for items not accounted for, correspondence; clearances; and key number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>40 U.S.C. 483(b).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Tracking system for anyone who charges out or signs for property or other materials.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to "consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper copy of file folders and trays.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets, or lockable desks, or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained 2 years after property is accounted for.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Supply Operations Division, MAR-313, Maritime Administration, 400 7th Street, SW., Washington, DC 20590. Administrative Services Office, United States Merchant Marine Academy, Kings Point, NY 11024. Director, National Maritime Research Center, United States Merchant Marine Academy, Kings Point, NY 11024. Chief, Division of Reserve Fleet, MAR-612, Maritime Administration, 400 7th St, SW., Washington, DC 20590. Superintendent, James River Reserve Fleet, Drawer "C", Fort Eustis, Virginia 23604; Superintendent, Beaumont Reserve Fleet, PO Box 6355, Beaumont, Texas 77705; Superintendent, Suisun Bay Reserve Fleet, PO Box 318, Benicia, California 94510.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, MAR-220, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual. Those authorized by the individual to furnish information. Book cards. Supply person providing the equipment.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-9</systemNumber>
<subsection type="systemName">Records of Cash Receipts.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Director, Office of Accounting, MAR-330, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals paying for goods or services, reimbursing overpayments, or otherwise delivering cash to the Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual’s name, the goods or services purchased, amount, date, check number, division or office, bank deposit, treasury deposit number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1114.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>System for individuals paying for goods and or services, reimbursement of overpayments, delivery of cash to the Department.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual and machine-readable.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name and/or account or case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Permanently maintained.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Accounting, MAR-330, MARAD, 400 7th St., SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of Chief Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual. Those authorized by the individual to furnish information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-10</systemNumber>
<subsection type="systemName">Employee’s Personnel Files Not Covered by Notices of Other Agencies.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Director, Office of Personnel, Maritime Administration, MAR-360, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>All personnel records in MARAD which are subject to the Privacy Act but are not covered in the notices of systems of records published by the Office of Personnel Management, Merit Systems Protection Board, or Equal Employment Opportunity Commission. The records of this system may include, but are not limited to: Employee Development; Incentive Awards; Employee Relations; Grievance Records; Medical; Career Management Program; Ship Personnel; Employee Overseas Assignments; Minority Group Statistics Program; Work Performance and Appraisal Records; including supervisory records which have been disclosed; Re-Employment and Priority Placement Programs; Within-Grade Denials (Reconsideration File); and, Automated Employee Information System.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 App U.S.C. 1111.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide information to officials or labor organizations reorganized under the Civil Service Reform Act when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual and machine-readable.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by name and/or social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained according to Unit’s Records Control Schedule. Records are kept until employee retires and then 90 days after retirement records are sent to OPM and/or records center. If employees transfer to another government agency, the records are transferred to that government agency.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Personnel, Maritime Administration, MAR-360, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual and those authorized by the individual to furnish information. Others involved in references of the individual. Physicians. Employee’s supervisor.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-12</systemNumber>
<subsection type="systemName">Applications to United States Merchant Marine Academy (USMMA).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Admissions, United States Merchant Marine Academy, Kings Point, NY 11204.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Applicants for admission to the Academy.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; address; name of nominating Congressman and congressional district; social security number; citizenship; sex; marital status; scholastic background; names of relatives who attended the Academy; high school record; personality record (compiled by high school authorities); seaman’s experience; military service data; and biographical sketch. (Form: KP 2-65).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 App U.S.C. 1295b.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Determine admissions to the Academy.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Advise Member of Congress or other nominating authority of the outcome of an individual’s candidacy. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual and automated.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by last name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records is limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>If admitted, the application becomes part of the Midshipman’s Personnel Record for permanent retention. The file is transferred to the Federal Records Center after 5 years. If not admitted, it is retained for one year and destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Admissions, United States Merchant Marine Academy, Kings Point, NY 11204.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221. Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual, the individual’s high school officials, references, and those authorized by the individual to furnish information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from portions of the act.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-13</systemNumber>
<subsection type="systemName">Cadet Files, State Maritime Academies, "SIPSAM".
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Maritime Labor and Training, Maritime Administration, MAR-240, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former cadets enrolled in the Student Incentive Payments, SIP, Program at the State Maritime Academies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; service number; date of change in pay; re-enrollment or reinstatement; dis-enrollment; date of graduation; and service obligation. (Forms: MA-1005, MA-850 and MA-890).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Merchant Marine Act, 1936 (as amended) Title XIII B Maritime Education and Training (46 App. U.S.C. 1295c).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Monitor the service, employment and academic obligations of the SIP recipients.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by last name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are retained until six years after graduation and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Labor and Training, Maritime Administration, MAR-250, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The subject student. State Merchant Marine Academies. Those authorized by the student to furnish information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-14</systemNumber>
<subsection type="systemName">Citizenship Statements and Affidavits.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>For bidders on surplus vessels: Division of Ship Disposals and Foreign Transfers, MAR-630, Maritime Administration, 400 7th Street, SW, Washington, DC 20590. For all other purposes: Office of Chief Counsel, MAR-220, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Officers and shareholders of non-personal applicants and individual applicants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; date and place of birth; nationality, and naturalization data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 App U.S.C. 802, 803, 808, 1114 and 50 app U.S.C. 1744.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Keep track of officers and shareholders of non-personal applicants and individual applicants.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to "consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by applicant’s name, name of individual, or vessel name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are transferred to the Federal Records Center after five years where they are retained for twenty years or the time period of the ship mortgage, whichever is longer.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Division of Ship Disposals and Foreign Transfers, MAR-630, and Office of the Chief Counsel, MAR-220, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject applicant and individual. Those authorized by the foregoing to furnish information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-15</systemNumber>
<subsection type="systemName">General Agent’s Protection and Indemnity and Second Seaman’s Insurance: WSA and NSA.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Marine Insurance, Maritime Administration, MAR-575, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals (e.g., seamen, passengers, stevedores) filing claims against general agents for death, disability, loss of personal effects, detention and repatriation and property damage.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Claimant’s name; address; mariner’s document number; sea service record; disciplinary records; selective service classification; names of parents; marriage and divorce data; social security number; alien registration and citizenship data; medical information; next-of-kin; wages per month; birth date; witness statements; investigator’s report; names of counsel; and executors and administrators of estates (Forms: MA-574, MA-570, MA-269, MA-26 and 270).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1101, 1114, 191-1205 and 50 app U.S.C. 1744.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Evaluate filed claims, negotiate settlements, award money, contest or initiate lawsuits; and arrange for proper medical treatment by establishing seaman’s eligibility for acceptance under regulations of Public Health Service, United States Department of Health and Human Services, or other appropriate medical facilities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure for consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by seaman’s name and vessel’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are transferred to the Federal Records Center after one year where they are retained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Marine Insurance, Maritime Administration, MAR-575, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual. The individual’s attorney. Adjusters, investigators. Attorneys. Office of Marine Insurance. Witnesses. The Marine Index Bureau. Those authorized by the individual to furnish information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-16</systemNumber>
<subsection type="systemName">Marine Training School Registrants.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Maritime Administration regional offices: Eastern--26 Federal Plaza, New York, N.Y. 10007; Central--No. 2 Canal Street, New Orleans, LA 70130; Western--211 Main Street, RM 1112, San Francisco, CA 94105; and Great Lakes--2300 E. Devon Avenue, Des Plaines, IL 60018.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Each seafarer enrolling in an agency training course.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; address; position title; owner’s document number; social security number; certificate number; sponsoring organization; course completed; date of course completion; course grade; date of birth; and telephone number (Forms: MA-1005 and 1006).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1114, 1295b, 1295c, 1295d, and 1295g.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Verification of attendance and performance.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by student’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are transferred to the Federal Records Center one year after graduation or termination and disposed of 60 years after date of enrollment.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Training Facility Registrar in region where the training was taken; see System Location.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The student. The training instructors. Those authorized by the individual to furnish information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-17</systemNumber>
<subsection type="systemName">Waivers of Liability to Board Reserve Fleet Vessels and Other Craft Located at United States Merchant Marine Academy.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Beaumont Reserve Fleet, PO Box 6355, Beaumont, Texas 77705; James River Reserve Fleet, Drawer "C", Fort Eustis, Virginia 23604; and Suisun Bay Reserve Fleet, PO Box 318, Benicia, California 94510; United States Merchant Marine Academy, Kings Point, Long Island, New York 11024-1699.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All individuals boarding Reserve Fleet vessels.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, affiliation, date, and signature (Form: MA-118).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1295b, 1295g, and 50 app U.S.C. 1744.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Limit Governments liability for any damage suffered by certain persons aboard RRF/NDRF ships.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure of consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or metal file cabinets in secured rooms or in secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained for three years and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Superintendent of Respective Reserve Fleets; and United States Merchant Marine Academy, Kings Point, New York 11024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification Procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual. Those authorized by the individual to furnish information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-18</systemNumber>
<subsection type="systemName">National Defense Executive Reserve.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Division of National Security Plans, MAR-620, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Nominees and members of the National Defense Executive Reserve.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; home address; photograph; brief career history; names of close relatives; marital status; previous Government experience; previous residences; current and recent employment; citizenship; social security number; business and residence telephone numbers; security clearance; statement of understanding; request for appointment; appointment affidavits; secrecy agreement; sex; date and place of birth; education; and professional and other memberships.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1295e, 1295g and 1126-1.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Transferring data to the Federal Preparedness Agency pursuant to E.O. 11179.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by last name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained until one year after individual’s appointment is terminated or until death and then discarded.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Division of National Security Plans, MAR-620, Maritime Administration, same as above address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual. Those authorized by the individual to furnish information. The investigator performing personal and security investigation. Sources contacted by the investigator.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-20</systemNumber>
<subsection type="systemName">Seamen’s Awards for Service, Valor, etc.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Maritime Labor and Training, MAR-250, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Seamen given awards for service, valor, etc.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; address; mariner’s document number; social security number; and names of ships.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 App. U.S.C. 2001-2007.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Provide information to the seamen and family members upon request.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in paper copy in file folders and on magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Files are maintained alphabetically by name of seaman.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records containing letters of commendation, name of seamen, address, name of vessel and mariner’s document number are transferred to the Federal Records Center immediately, where they are retained for 75 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Maritime Labor and Training, MAR-250, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual. The individual’s co-workers. Witnesses to incidents. Those authorized by the individual to furnish information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-21</systemNumber>
<subsection type="systemName">Seaman’s Employment Analysis Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation Computer Center, SVC-172, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Merchant seamen who sailed the previous calendar year.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Social security number; date of birth; records of United States Coast Guard issued documents; voyage employment information (e.g., ship and date signed on); and maritime schools attended.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1295g.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To ensure an adequate supply of American mariners.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on computer disks.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>In addition to technical securities, the records are located in secured rooms or premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Refreshed and maintained only for current available calendar year.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Maritime Labor and Training, Maritime Administration, MAR-250, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>United States Coast Guard.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-22</systemNumber>
<subsection type="systemName">Seaman’s Unclaimed Wages (Vietnam Conflict).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Division of Accounting Operations, MAR-330, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Seamen owed wages for service aboard Government vessels operated by general agents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; social security number; employing general agent; and wages due and owing.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1114(B), 1241a, and 50 app U.S.C. 1291(a).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Reporting wages owed.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Paper records are filed alphabetically by name and by social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are secured in lockable metal file cabinets. Records are located in secured areas with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained until such time as claim is resolved or wages are disbursed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Division of Accounting Operations, MAR-330, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The general agents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-24</systemNumber>
<subsection type="systemName">USMMA Non-Appropriated Fund Employees.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Commandant of Midshipmen; Office of the Director of Athletics; Office of the General Manager, Ship’s Service; Officer’s Club; Junior Officer’s Mess; Petty Officers Club;  Fiscal Control Office; and Department of Administrative Services and Procurement, all at United States Merchant Marine Academy, Kings Point, N.Y. 11024.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All current and former employees of non-appropriated fund activities since 1970.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; telephone number; social security number; address; date of birth; height; weight; birthplace; employment history; special qualifications; education summary; references; personnel actions showing positions held and salary paid; insurance coverage; and letters of commendation or reprimand.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1295g.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Track information on non-appropriated fund employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12):
</p><p>Disclosures may be made from this systems to "consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by employee’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant of Midshipmen; Director of Athletics; General Manager, Ship’s Service; President, Officer’s Club; Manager, Junior Officers Mess; President, Petty Officers Club; Head, Department of Budget and Accounts; and Head, Department of Administrative Services and Procurement, all at United States Merchant Marine Academy, Kings Point, N.Y. 11024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject employee. Those authorized by the employee to furnish information. Past employers and references. The employee’s supervisor.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from portions of the act.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-25</systemNumber>
<subsection type="systemName">USMMA Graduates.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of External Affairs, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All graduates of USMMA, since 1942, and some parents of graduates.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; address (home and business); vocation; class year; social security number; employee’s name and address; years of maritime service, at sea and ashore; military service; maritime licenses; post-graduate education; honors and awards; and union affiliation. Graduate registration for job-placement also contains graduate’s preferred salary and job location.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1295g.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Make employment referrals, to compile statistical reports for Congress on the professional progress of the graduates, and to mail alumni publications, notices, and announcements. The users are the Director, Office of External Affairs and his immediate administrative staff, prospective employers, Congress and its Members, the United States Merchant Marine Academy Alumni Association, Inc., the United States Merchant Marine Academy Foundation, Inc. and the commercial contractor providing automated services for the United States Merchant Marine Academy Foundation, Inc.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The database is used for communication with alumni (e.g., magazine, homecoming, etc), placement opportunities for alumni, fundraising records, and congressional districts. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders and basic information are on magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by name, and by social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access. Records on tape also are subject to physical securities, including those maintained by contract.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are kept indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of External Affairs, United States Merchant Marine Academy, Kings Point, N.Y. 10024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>A questionnaire voluntarily returned by graduates every few years. Graduates asking to be registered for job-placement. Families of graduates. Public and private employment of graduates. Persons nominating graduates for alumni awards. United States Merchant Marine Academy Alumni Association, Inc. Published articles naming graduates.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-26</systemNumber>
<subsection type="systemName">USMMA Midshipmen Deposit Account Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Budgets and Accounts, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> All current midshipmen.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, social security number, and all midshipmen activity fee deposits to the Academy.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1295g.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Track activity fee deposits to the Academy.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed by class year and then alphabetically by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or in secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Maintained for one year after graduation or separation, and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Head, Department of Budgets and Accounts, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Midshipmen. Those authorized by midshipman to furnish information. Department of Budgets and Accounts personnel.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-27</systemNumber>
<subsection type="systemName">USMMA Midshipman Grade Transcripts.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Registrar’s Office, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All present and past midshipmen.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; social security numbers; courses taken; grades received; and cumulative average.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1295g.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Record academic status of past and present midshipmen.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Sent to other schools or employers when requested by the midshipman. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders, paper records in file drawers, microfilm records, and magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by midshipman’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Transfer to Federal Records Center five years after graduation. Destroy sixty years after graduation.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Registrar, United States Merchant Marine Academy, Kings Point, N.Y. 10024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The midshipman. Those authorized by the midshipman to furnish information. Faculty. Registrar’s staff.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-28</systemNumber>
<subsection type="systemName">USMMA Midshipman Medical Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Medical Department, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All midshipmen.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Complete medical history prior to and during enrollment at the Academy.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>46 app U.S.C. 1295g.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Maintain health of midshipmen.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Filed alphabetically by midshipman’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or in secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Radiographic file salvage five years after graduation. All other documents combine within MA-18 Midshipmen Personnel Records after graduation. If not appointed as Midshipman, the record is retained for one year and destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Medical Officer, United States Merchant Marine Academy, Kings Point, N.Y. 11024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as Notification procedure.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as Notification procedure.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject applicant or midshipman. Those authorized by foregoing to furnish information. Individual’s physician. Academy medical officers. Contract medical personnel. Private and other medical personnel.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from portions of the act.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-29</systemNumber>
<subsection type="systemName">USMMA Midshipman Personnel Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Commandant of Midshipman, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All current and former midshipmen since inception of the Academy in 1942. Also, all cadet corps personnel from 1938 to 1942.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Nominations to United States Merchant Marine Academy; College Board Scores; high school transcript; name; address; social security number; parent’s name and address and occupation; relatives who attended USMMA; number of brothers and sisters; medical report; height; weight; color of hair; color of eyes; complexion; commendations; record of disciplinary cases; resignation notice; graduation certification; and report of deficiencies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 46 app U.S.C. 1295g.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> Record personnel matters on USMMA midshipmen.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to "consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Alphabetically by midshipman’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms or in secured premises with access limited to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained on site for five years after graduation, then disposed of in accordance with the unit’s record control schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Commandant of Midshipman, United States Merchant Marine Academy, Kings Point, NY 11024.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The subject midshipman. Faculty administrators and midshipman corps officers who provide copies to the midshipman. Former employers, teachers, and school authorities, and references. Government or private physicians. United States Navy Security Officers. Those authorized by the midshipman to furnish the information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from portions of the act.
</p></xhtmlContent></subsection></section>
	
<section id="dot" toc="yes">
<systemNumber>/MARAD-30</systemNumber>
<subsection type="systemName"> Commitment Agreements.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Maritime Administration, Academies Program Officer, Office of Maritime Labor, Training &amp; Safety, MAR-250, 400 Seventh Street, SW, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Students, graduates of United States Merchant Marine Academy and State maritime academies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files containing information of students, graduates of United States Merchant Marine Academy and State maritime academies. Information may contain addresses, social security numbers, and medical information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 46 App. U.S.C. 1295b(e).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Determine if a student or graduate of the United States Merchant Marine Academy, USMMA, or subsidized student or graduate of a State maritime academy has a waivable/deferrable situation that prevents him/her from fulfilling the requirements for their service obligation contract.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Notice of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File information is on computer with hard copy back up material in metal cabinets in a secured room.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Files are retrievable only through information known to the Academy Program Officer or other persons authorized to perform data input tasks.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files held until completion of eight-year service obligation period or as determined by the Maritime Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Maritime Administration, Academies Program Officer, Office of Maritime Labor, Training &amp; Safety, 400 Seventh Street, SW, Rm. 7302, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Students, graduates of the United States Merchant Marine Academy and State maritime academies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.

</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-31</systemNumber>
<subsection type="systemName">Mariner Outreach System (MOS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>NCCIPS Data Center Loading Dock, Cypress Loop Road, Building 9323, Stennis Space Center, MS 39529.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The Mariner Outreach System (MOS) contains information about U.S. Coast Guard (USCG) mariners. MOS provides a systematic way to monitor the adequacy of our nation’s merchant mariner pool and to track and maintain contact information and qualifications of mariners. Therefore, there is the potential for the following categories of individual’s information to be covered by this system:
</p><p>&#149; Data about mariners who hold or previously held a USCG credential.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>MOS contains the following types of information:
</p><p>&#149; Information from the Merchant Mariner License and Documentation (MMLD) including personal data such as last 4 digits of SSN, date of birth (DOB), place of birth (POB).
</p><p>&#149; Mariners updated contact information, <i>e.g.,</i> address, e-mail(s), and phone number(s).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>National Security Directive #28 (October 5, 1989), Merchant Marine Act of 1936; Maritime Security Act of 2003 (Pub. L. 108-136).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>MOS is an invaluable tool for MARAD and its partners to make valid vessel and human resources projections; identify potential mariner shortfalls; allow mariners to provide up-to-date/accurate contact information; and to facilitate crewing of vessels should a mariner shortage occur.
</p></xhtmlContent></subsection><subsection type="routineUsesOfRecords"><xhtmlContent><p>The Office of Maritime Workforce Development’s routine use of information is for resource projection, maintain contact information and facilitate filling shortages. The merchant mariners who hold or previously held a USCG credential can self-register and update his/her own contact information after registration.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection><subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Data is stored in this system on a dedicated server.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Registered mariners can only view their own personal records by user ID, obtained from initial self-registration, and password.
</p><p>Authorized administrator at Maritime Workforce Development can retrieve data for analysis, resource protection, and facilitation of crewing of vessels, as necessary, by last name, first name and last 4-digits of social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The production environment is located in a secure zone behind a firewall, called a Demilitarized Zone (DMZ) that enables secure connections from the Internet.
</p><p>DOT Crisis and Security Management Center (CSMC) monitors all traffic within the department looking for any possible attacks. CSMC works with the modes during possible attacks. MARAD has Cisco ASA devices to monitor events on the system, detect attacks, and provide identification of unauthorized use of the system.
</p><p>The Stennis Data Center in Mississippi hosting MOS is occupied by the Department of Navy contractor personnel and is not open to the general public. The Data Center is uniquely constructed. It was formerly an ammunition manufacturing facility and as such, its external walls are constructed completely of steel reinforced concrete that is 12 to 48 inches thick. It has no windows. The construction materials as well as its location inside of the Stennis Space Center significantly reduce its vulnerability to most conventional types of external threats <i>i.e.</i> vehicle born improvised explosive devices (VBIEDs), burglary, trespassing, and unauthorized entry.
</p><p>The facility operates in a secure closed manner. Outside personnel do not have unescorted access to the facility. Mail deliveries are received by facility personnel who screen all material before being brought into the facility. All equipment is delivered and sent through a secure loading dock. All equipment is installed either by or under the supervision of facility personnel.
</p><p>The test and development environments are available only to local personnel and selected users connecting via a Virtual Private Network.
</p><p>System data is protected by daily backups to Linear Tape Open (LTO3) tape. In addition, daily backups of data to a local server hard drive, which are kept for a period of 14 days to safeguard the data.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The files are retained and disposed of according to the MARAD Records Schedule, according to the National Archives and Records Administration, and DOT policy.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Maritime Workforce Development, Maritime Administration, 1200 New Jersey Ave., SE., Washington, DC 20590. 202-366-5469.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system may make a request in writing to the FOIA/Privacy Act Officer, Maritime Administration, 1200 New Jersey Ave, SE., W26-499, Washington, DC 20590. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and, if possible, the location of the records requested, and verification of identity (such as, a statement under penalty or perjury that the requester is the individual who he or she claims to be).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure." Mariners can log into the system to view their documents.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in MOS is obtained from U.S. Coast Guard (USCG) and registered merchant mariners.
</p><p>The data from USCG include: (a) MMLD data which contain credentials information, <i>e.g.,</i> merchant mariners credentials (MMC), merchant mariners document (MMD), merchant mariners’ standards, training certification, and watch keeping (STCW), merchant mariners’ license, certificate of registry (COR); (b) Personal info: Name (<i>e.g.,</i> first name, middle name, last name, e-mail addresses, resident address, citizenship, personal contact information); (c) merchant mariners’ sea service records.
</p><p>Registered merchant mariners data source: During self-registration, the merchant mariner enters into MOS his/her last 4 digits of SSN, first name, last name, place of birth, date of birth, and the password of his/her choice. A registered mariner can use the user id and password to update his/her own information later on.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-32</systemNumber>
<subsection type="systemName">Maritime Service Compliance System (MSCS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>NCCIPS Data Center Loading Dock, Cypress Loop Road, Building 9323, Stennis Space Center, MS 39529.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The following categories of individuals are covered by this system:
</p><p>&#149; Current and former students of the U.S. Merchant Marine Academy (USMMA) at Kings Point, NY.
</p><p>&#149; Current and former students enrolled in the Student Incentive Payment (SIP) program at the six (6) State Maritime Academies (SMAs).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>MSCS contains the following types of information:
</p><p>&#149; Current SMA SIP and USMMA students’ name, address, SSN, date of birth (DOB) and graduation date.
</p><p>&#149; Former SMA SIP and USMMA students’ name, address, SSN, DOB.
</p><p>&#149; Data to determine former student compliance with obligation requirements.
</p><p>&#149; Data to determine SIP funding provided to SMA (SIP) cadets.
</p><p>&#149; Data to determine if a graduate from the SMA or the USMMA has received a deferment or waiver from MARAD of their service obligation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Merchant Marine Act of 1936; Maritime Security Act of 2003 (Pub. L. 108-136).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>MSCS provides an online method for students and graduates of the maritime academies to report their compliance with post-graduation national service obligation requirements. The system also assists MARAD in monitoring and documenting student’s enrollment status while attending the maritime academies, making subsidy payments to SMA SIP students, and maintaining a record of the maritime academy graduates fulfillment of their service obligations. The MSCS also contains the graduate’s employment determination waivers, and graduate school deferments.
</p></xhtmlContent></subsection><subsection type="routineUsesOfRecords"><xhtmlContent><p>MSCS is used by current students and graduates to report their compliance with service obligation requirements. MSCS is used by the Office of Maritime Workforce Development at MARAD to monitor student’s enrollment status. MSCS is used by the USMMA to enter service obligation information on the USMMA graduates.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection><subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Data is stored in this system on a dedicated server.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name or social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The production environment is located in a secure zone behind a firewall, called a Demilitarized Zone (DMZ) that enables secure connections from the Internet.
</p><p>DOT Crisis and Security Management Center (CSMC) monitors all traffic within the department looking for any possible attacks. CSMC works with the modes during possible attacks. MARAD has Cisco ASA devices to monitor events on the system, detect attacks, and provide identification of unauthorized use of the system.
</p><p>The Stennis Data Center in Mississippi hosting MSCS is occupied by the Department of Navy contractor personnel and is not open to the general public. The Data Center is uniquely constructed. It was formerly an ammunition manufacturing facility and as such, its external walls are constructed completely of steel reinforced concrete that is 12 to 48 inches thick. It has no windows. The construction materials as well as its location inside of the Stennis Space Center significantly reduce its vulnerability to most conventional types of external threats <i>i.e.</i> vehicle born improvised explosive devices (VBIEDs), burglary, trespassing, and unauthorized entry.
</p><p>The facility operates in a secure closed manner. Outside personnel do not have unescorted access to the facility. Mail deliveries are received by facility personnel who screen all material before being brought into the facility. All equipment is delivered and sent through a secure loading dock. All equipment is installed either by or under the supervision of facility personnel. The test and development environments are available only to local personnel and selected users connecting via a Virtual Private Network.
</p><p>System data is protected by daily backups to Linear Tape Open (LTO3) tape. In addition, daily backups of data to a local server hard drive, which are kept for a period of 14 days to safeguard the data.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The files are retained and disposed of according to the MARAD Records Schedule, according to the National Archives and Records Administration, and DOT policy.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Academies Program Officer, Maritime Administration, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. 202-366-0284.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system may make a request in writing to the FOIA/Privacy Act Officer, Maritime Administration, 1200 New Jersey Ave., SE., W26-499, Washington, DC 20590. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and, if possible, the location of the records requested, and verification of identity (such as, a statement under penalty or perjury that the requester is the individual who he or she claims to be).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure." Mariners can log into the system to view their documents.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in MSCS is obtained from the USMMA and the SMA, and both current and former students of the USMMA and current and former students enrolled in the SIP program at the six (6) SMAs.
</p><p>Information includes students’ names (first, middle initial, and last), addresses, SSNs, date of birth, enrollment status while attending the Academies, subsidy payments to SMA SIP students, records of the graduates’ fulfillment of service obligations, graduates’ employment determination waivers, and graduate school deferments.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-33</systemNumber>
<subsection type="systemName">Payroll Labor Distribution System (PLDS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>NCCIPS Data Center Loading Dock, Cypress Loop Road, Building 9323, Stennis Space Center, MS 39529.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The Payroll Labor Distribution System is a system, which creates Accounting Transaction files based on Payroll information from IR Labor Cost File and the Reserve Fleet Files. This system has a biweekly processing cycle, which performs by the Federal users in the MARAD office of accounting through a menu processor, the processing programs, and data entry programs.
</p><p>Therefore, there is the potential for the following categories of individuals’ information to be covered by this system:
</p><p>&#149; Data about MARAD personnel (officials and employees).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The input of information into PLDS is not discretionary. Utilizing information from Department of Interior (DOI) Payroll system and the Reserve Fleet files, PLDS performs accounting, reconciliation and cost assignment using data from both sources. PLDS contains the following types of information:
</p><p>&#149; DOI (Labor Cost File) which includes MARAD personnel’s personal information, <i>e.g.,</i> SSN, first name, middle name, last name, pay grade and step, salary data.
</p><p>&#149; Reserve Fleet files contain MARAD personnel’s personal information, <i>e.g.,</i> SSN, first name, middle name, last name, hours worked during a pay period.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Maritime Domain Awareness (MDA) program and the Maritime Security Act of 2003 (Pub. L. 108-136).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Payroll Labor Distribution System allows for the utilization of payroll information, received from DOI (Labor Cost File), in performing the routine accounting functions for the Maritime Administration (MARAD) officials and employees. These functions include the comparison and reconciliation of data from the Labor Cost Distribution File against data on the Reserve Fleet Files. These functions also include the assignment of costs to project numbers based on information taken from the Reserve Fleet files, and the creation of accounting transactions for input into the Departmental Accounting Financial Information System (Dafis) Accounting System.
</p></xhtmlContent></subsection><subsection type="routineUsesOfRecords"><xhtmlContent><p>The routine use of the information is for payroll accounting procedures, including reconciliation with the DOI Payroll system.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection><subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Data is stored in this system on a dedicated server.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Only authorized staff in the Chief Financial Officer (CFO) office can retrieve records by searching name, SSN and/or project.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The production environment is located in a secure zone behind a firewall, called a Demilitarized Zone (DMZ) that enables secure connections from the Internet.
</p><p>DOT Crisis and Security Management Center (CSMC) monitors all traffic within the department looking for any possible attacks. CSMC works with the modes during possible attacks. MARAD has Cisco ASA devices to monitor events on the system, detect attacks, and provide identification of unauthorized use of the system.
</p><p>The Stennis Data Center in Mississippi hosting PLDS is occupied by the Department of Navy contractor personnel and is not open to the general public. The Data Center is uniquely constructed. It was formerly an ammunition manufacturing facility and as such, its external walls are constructed completely of steel reinforced concrete that is 12 to 48 inches thick. It has no windows. The construction materials as well as its location inside of the Stennis Space Center significantly reduce its vulnerability to most conventional types of external threats <i>i.e.</i> vehicle born improvised explosive devices (VBIEDs), burglary, trespassing, and unauthorized entry.
</p><p>The facility operates in a secure closed manner. Outside personnel do not have unescorted access to the facility. Mail deliveries are received by facility personnel who screen all material before being brought into the facility. All equipment is delivered and sent through a secure loading dock. All equipment is installed either by or under the supervision of facility personnel.
</p><p>The test and development environments are available only to local personnel and selected users connecting via a Virtual Private Network.
</p><p>System data is protected by daily backups to Linear Tape Open (LTO3) tape. In addition, daily backups of data to a local server hard drive, which are kept for a period of 14 days to safeguard the data.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The files are retained and disposed of according to the MARAD Records Schedule, according to the National Archives and Records Administration, and DOT policy. Currently PLDS records are retained for 12 years. Records older than 12 years will be purged by system owner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>John Hoban, Deputy Chief Financial Officer (CFO), Maritime Administration, 1200 New Jersey Ave., SE., Washington, DC 20590. <i>John.Hoban@dot.gov.</i> 202-366-5110.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system may make a request in writing to the FOIA/Privacy Act Officer. (DOT employees may make the request in person or in writing). The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and, if possible, the location of the records requested, and verification of identity (such as, a statement under penalty or perjury that the requester is the individual who he or she claims to be).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in PLDS is obtained from DOI and Reserve Fleet files.
</p><p>The records retrieved from DOI’s Labor Cost File per pay period (via secured ftp) contain personal information such as SSN, name (last, middle, first), pay grade and step, and salary.
</p><p>The data in Reserve Fleet File include SSN, name (last, middle, first), hours worked during a pay period.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/MARAD-34</systemNumber>
<subsection type="systemName">Personnel Management Information System (PMIS).
</subsection><subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>NCCIPS Data Center Loading Dock, Cypress Loop Road, Building 9323, Stennis Space Center, MS 39529.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The following categories of individuals are covered by PMIS:
</p><p>1. All active MARAD employees, which include U.S. Merchant Marine Academy (USMMA) Federal employees.
</p><p>2. All inactive MARAD and USMMA employees, which include retirees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>PMIS contains the following types of records:
</p><p>&#149; Payroll information such as pay grade, salary, awards, thrift savings data (TSP), reduction in force (RIF) Personnel data include SSN, name (first, middle, last), security clearance level, employment status, organization, <i>etc.</i>
</p><p>&#149; Project labor charges has the labor rate information for each MARAD mission project.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Merchant Marine Act of 1936.
</p></xhtmlContent></subsection><subsection type="purpose"><xhtmlContent><p>PMIS is used for personnel management, which includes name, labor charges, approved project codes. The information is utilized for project management and forecasting labor charges.
</p></xhtmlContent></subsection><subsection type="routineUsesOfRecords"><xhtmlContent><p>PMIS provides MARAD managers with timely Personnel Compensation &amp; Benefit (PC&amp;B) information to allow informed decision-making, which can be the cost effects of current and future staffing and the financial position of their organizations. PMIS is also used to generate bi-weekly, monthly, and ad hoc management reports, <i>e.g.,</i> a within grade increase (WGI) projection report for the employees’ pay increase and budget cost within an organization.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection><subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Data is stored in this system on a dedicated server.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by last name, organization code and pay period.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The production environment is located in a secure zone behind a firewall, called a Demilitarized Zone (DMZ) that enables secure connections from the Internet.
</p><p>DOT Crisis and Security Management Center (CSMC) monitors all traffic within the department looking for any possible attacks. CSMC works with the modes during possible attacks. MARAD has Cisco ASA devices to monitor events on the system, detect attacks, and provide identification of unauthorized use of the system.
</p><p>The Stennis Data Center in Mississippi hosting PMIS is occupied by the Department of Navy contractor personnel and is not open to the general public. The Data Center is uniquely constructed. It was formerly an ammunition manufacturing facility and as such, its external walls are constructed completely of steel reinforced concrete that is 12 to 48 inches thick. It has no windows. The construction materials as well as its location inside of the Stennis Space Center significantly reduces its vulnerability to most conventional types of external threats <i>i.e.</i> vehicle born improvised explosive devices (VBIEDs), burglary, trespassing, and unauthorized entry.
</p><p>The facility operates in a secure closed manner. Outside personnel do not have unescorted access to the facility. Mail deliveries are received by facility personnel who screen all material before being brought into the facility. All equipment is delivered and sent through a secure loading dock. All equipment is installed either by or under the supervision of facility personnel.
</p><p>The test and development environments are available only to local personnel and selected users connecting via a Virtual Private Network.
</p><p>System data is protected by daily backups to Linear Tape Open (LTO3) tape. In addition, daily backups of data to a local server hard drive, which are kept for a period of 14 days to safeguard the data.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The files are retained and disposed of according to the MARAD Records Schedule, according to the National Archives and Records Administration, and DOT policy. Schedule No. 232 (Dispose of when superseded by master file processing updates.)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Chief Financial Officer (CFO), Maritime Administration, 1200 New Jersey Ave, SE., Washington, DC 20590. 202-366-5110.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to know if their records appear in this system may make a request in writing to the FOIA/Privacy Act Officer, Maritime Administration 1200 New Jersey Ave, SE., W26-499, Washington, DC 20590. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and, if possible, the location of the records requested, and verification of identity (such as, a statement under penalty or perjury that the requester is the individual who he or she claims to be).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure." Mariners can log into the system to view their documents.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in PMIS is obtained from U.S. Department of Interior (DOI) and DOT/FAA Federal Personnel and Payroll System (FPPS).
</p><p>The data from DOI includes employees’ payroll data such as SSN, name (first, middle, last), hours worked, and salary.
</p><p>The information from FPPS contains number of employees for each organization, SSN, name (first, middle, last), salary, type of pay plan, and leave balance.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-401</systemNumber>
<subsection type="systemName">Docket System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Information Resource Management, Technical Information Services, NAD-40, 400 7th Street, SW, Room 5111, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have commented on notices of NHTSA appearing in the <i>Federal Register</i>. Authors of reports that are added to the docket as background information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Summary of the nature of the comment or the report, date written and filed, author affiliation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 49 CFR Part 7 7.45, and Part 7, App.F.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> Gather information for use in the NHTSA Reference Docket
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To gather information on responses to rules promulgated by NHTSA. Users are both NHTSA staff members and public. Other uses include searching for background data on standards, determining areas for further research, and preparation for litigation. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> None
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Manual file.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> By individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Records are maintained in a Technical Reference Library.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Indefinitely held.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Office of Information Resource Management, Technical Information Services, Department of Transportation, National Highway Traffic Safety Administration, NAD-40, Room 5111, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> From letters freely sent to NHTSA by the public; publications used by engineers in writing standards.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-402</systemNumber>
<subsection type="systemName"> Highway Safety Literature Personal Author File.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Transportation Research Board, 2101 Constitution Ave., NW., Washington, DC 20418.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Writers of technical articles and reports who have authored publications selected for inclusion in the Highway Safety Literature database.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Bibliographic information giving title of article, book, or paper written; journal or other publication in which it appears; date of publication; abstract. The file is similar in nature to the card catalog of a library.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 5 U.S.C. 301, 49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> Gather technical articles and reports for inclusion in NHTSA’s Highway Safety Literature catalog.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> Users are principally NHTSA staff members and their contractors who require literature searches prior to performing research. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> Magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> By individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Records are stored in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records are maintained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Office of Information Resource Management, Technical Information Services, Department of Transportation, National Highway Traffic Safety Administration, NAD-40, 400 7th Street, SW., Room 5111, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Publications related to highway safety.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-411</systemNumber>

<subsection type="systemName"> General Public Correspondence System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of the Executive Secretariat, NOA-10, 400 7th Street, SW., Room 5221, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Individuals who have requested information or advice from the Agency.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Correspondence with individuals who have requested information or advice on promoting devices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 5 U.S.C. 301, 49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> Provide agency with background information on number of issues, reports, etc., and/or who seek guidance from NHTSA.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> Reference purposes. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> By individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Conserva-Files; locked when not in use.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records are retained for one year and are then discarded.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Department of Transportation, National Highway Traffic Safety Administration, Office of the Executive Secretary, NOA-10, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Individuals.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-413</systemNumber>

<subsection type="systemName"> Odometer Fraud Data Base Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> Department of Transportation, National Highway Traffic Safety Adm., NHTSA, Safety Assurance (NSA-01), Odometer Fraud Staff (NSA-20), 400 Seventh Street, SW., Room 5321, Washington, DC 20590
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> Suspects, defendants, witnesses, informants, automobile dealers, and victims of odometer fraud.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Information on suspects, defendants, witnesses, informants, motor vehicles, automobile dealers, victims and other related data obtained through Federal grand jury subpoenas. Information may contain addresses, dates of birth, financial data, criminal history records, business records, and numerous other data obtained through Federal grand jury subpoenas.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> To gather information to be used in allegations of odometer fraud.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> Files are maintained for use in criminal investigations and to support criminal prosecutions by the United States Department of Justice. Data are released also to authorized State and Federal law enforcement agencies and personnel and to victims under 42 U.S.C. 10606(b)(7). See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p> None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> File folder storage and in an electronic database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> By individual name, dealer name, complainant name, case number and vehicle identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Locked files and restricted electronic access. Files are regularly used only by members of the Odometer Fraud Staff.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Retained for five years after case is closed, then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Department of Transportation, National Highway Traffic Safety Administration, Attn: Chief, Odometer Fraud Staff, 400 Seventh Street, SW., Room 6208, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Victims, automobile dealers, banks, State motor vehicle departments, State and Federal law enforcement agencies, and other sources used during the course of criminal investigations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-415</systemNumber>
<subsection type="systemName"> Office of Defects Investigation/Defects Information System, ODI/DIMS.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Defects Investigation, NSA-01, 400 7th Street, SW., Room 2403, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Vehicle owners.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Vehicle identification, vehicle problem.
</p></xhtmlContent></subsection>

<subsection type="purpose"><xhtmlContent><p>To gather information/evidence in the conduct of alleged defective vehicles or vehicle equipment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Check complaints about vehicle defects to spot trends, resulting in investigations of the vehicle model. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Disc pack and paper file.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Identification number for each vehicle owner.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Coded entry numbers.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Eight years or indefinite.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Special Projects Staff, Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Defects Investigation, NSA-10, 400 7th Street, SW., Room 5326, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Director, Office of Information Resource Management, Technical Information Services, NAD-40, 400 7th St., SW., Room 5111, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure".
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure".
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>General public, State highway offices, insurance companies, vehicle manufacturers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-417</systemNumber>
<subsection type="systemName">National Driver Register, NDR.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Research and Traffic Records, Driver and Traffic Records Division, NTS-24, 400 7th Street, SW., Room 6124, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons who have had their driver’s license denied, withdrawn, revoked or suspended for cause, or who have been convicted of certain services traffic violations as reported by State/Territorial driver licensing authorities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>NDR records include: The reporting jurisdiction, the subject’s full name, other names used, date of birth, driver license number and/or social security number (if used by the reporting jurisdiction), sex, height, weight, eye color, the reason for withdrawal, the date of the withdrawal, and the date eligible for restoration of driving privilege or the date license was actually restored. Frequently the physical data are not provided by the reporting agency.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide information regarding individuals who have had their driver licenses revoked, suspended or otherwise denied for cause, or who have been convicted of certain traffic violations, etc.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Provide identification of drivers who have had their licenses withdrawn, suspended, revoked or otherwise denied for cause, or who have been convicted of certain traffic violations, in response to inquiries from State or Federal driver licensing officials. See Prefatory Statement of General routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The NDR master file is maintained on disk storage. Source data received as manual input (i.e. forms, letters) are converted to disk storage. Source data received on magnetic tape are converted into printed listings. All source data are batch filed.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The master file is indexed by surname and refined by program application using screening criteria such as given names, date of birth and physical characteristics.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The data files are maintained in a building under surveillance by a 24-hour guard force. In addition, the spaces in which the files are maintained are equipped with lockable doors, which are locked when vacated. All NDR employees are briefed on NDR security requirements and their responsibilities.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records of actions that have been canceled or rescinded are purged from the file upon receipt of notification from the reporting jurisdiction. Other records are retained for seven or five years depending on the reason for withdrawal of the individual’s license. Withdrawals for drunk driving, hit and run, fatal accident, felony and misrepresentation are retained for seven years. Records of "habitual offenders" as stipulated by certain states are retained indefinitely, unless otherwise requested by the reporting state. All other master file records are retained for five years. Magnetic tape records are erased by degaussing, using 86db degaussing equipment, prior to disposing of the tapes. Shredding destroys paper source data reports of withdrawal.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, National Driver Register, National Highway Traffic Safety Administration, NTS-24, Department of Transportation, Room 6124, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Driver licensing administrators of the States, and the District of Columbia, or the agencies within the jurisdictions responsible for such records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-422</systemNumber>
<subsection type="systemName">Temporary Exemption Petitions.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Room 5219, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Petitioners (commercial entities) seeking exemption from Federal motor vehicle safety standards.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Income statement and balance sheets, production information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 30113.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Gather information regarding exemptions and possible penalties on Federal motor vehicle safety standards.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>For consultation by attorneys while file is active; copies in public docket. See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Office files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Temporary exemptions; filed by corporation’s names.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Available only to the System manager and his secretary.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Permanent retention.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Senior Staff Attorney, Department of Transportation, National Highway Traffic Safety Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Room 5219, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Petitioners.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-431</systemNumber>
<subsection type="systemName">Civil Penalty Enforcement Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, Office of the Chief Counsel, NCC-01, 400 7th Street, SW., Room 5219, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons against whom civil penalties are sought or contemplated for violations of NHTSA-administered statutes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Investigatory records of alleged violations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 30165.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Gather information for use by agency in possible civil suits for penalty violations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Office files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Files in CIR numerical order.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Available only to the System Manager and his secretary.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Senior Staff Attorney, Department of Transportation, National Highway Traffic Safety Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Room 5219, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>NHTSA investigations and tests.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-436</systemNumber>
<subsection type="systemName">Contract Grievance Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Human Resources, NAD-20, 400 7th Street, SW., Room 5306, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees in the non-professional exclusive unit covered by the NHTSA/AFGE contract of March 5, 1974.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information or documents relating to a decision by the Administration or an arbitrator affecting an individual.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To substantiate or deny allegations relating to employee grievances.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To respond to the Federal Labor Relation Authority in connection with an Unfair Labor Practice Procedure or to respond to the appeal of an arbitration award. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Maintained in file folders and index cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Retrieved by names of grievant(s).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access limited to those with official "need to know." Personnel screening is employed to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records are maintained up to 3 years and then retired to the Washington National Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Human Resources, Department of Transportation, National Highway Traffic Safety Administration, NAD-20, 400 7th Street, SW., Room 5306, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual to who record pertains and/or representative; agency officials; employees; witnesses; official documents; etc.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-463</systemNumber>
<subsection type="systemName">Motor Vehicle Importation Information, MVII.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, National Highway Traffic Safety Administration, Office of Vehicle Safety Compliance, NSA-32, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Importers or declarants of imported motor vehicles and motor vehicles equipment, both private and commercial.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Forms HS-7, declaration on motor vehicles and motor vehicle equipment subject to Federal Motor Vehicle Safety Standards. Customs reports of declarations and inspections. Records relating to refusal of entry or penalties, and in some instances law enforcement and court records in alleged fraud cases.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Gather information on importation compliance of motor vehicle and motor vehicle equipment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be released to the Environmental Protection Agency for compliance with the Clean Air Act and to the United States Customs Service for import requirements. Released to State divisions of motor vehicles for state purposes and to law enforcement agencies in alleged fraud cases. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper forms and computer disc tapes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of importer or declarant, addressee(s) vehicle or vehicle identification, customs district and entry number, and port of entry.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Disc or tape may be accessed only by discrete identification code known to the System Manager and staff. Hard paper copies are maintained in locked cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Hard paper copy is retained one year if no official claims are lodged against importer or declarant. Disc and tapes retained for period of United States Customs Service statute of limitations before erasure.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Verification Division, Office of Vehicle Safety Compliance, National Highway Traffic Safety Administration, NSA-32, Department of Transportation, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Forms executed by importers or declarants for the NHTSA, United States Customs Service, and the Environmental Protection Agency.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/NHTSA-464</systemNumber>
<subsection type="systemName">CARS Database System.
</subsection><subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Servers: The Servers hosting the CARS Database System are housed in a contractor-owned facility at Oracle On Demand in Austin, Texas.
</p><p>Portals: This system is accessed via portals located at:
</p><p>&#149; Registered, participating new car dealers via the Internet at <i>http://www.cars.gov</i>.
</p><p>&#149; NHTSA Headquarters, located at 1200 New Jersey Avenue, and in various of NHTSA’s regional offices and at other off-site locations used in connection with CARS Program.
</p><p>&#149; The off-site facilities of NHTSA and DOT Contractors.
</p><p>Authorized users at NHTSA Headquarters access their records in the CARS Database System via the DOT Intranet. Authorized users at the NHTSA portal locations and at the contractor portal locations access their records in the CARS Database System via the Internet at <i>http://www.cars.gov</i>.
</p><p>Some system software is maintained by Oracle On Demand in Austin, Texas. The CARS Database System interfaces with participating new car dealers, and with other DOT systems used to pay the dealers, through that system software, as well as other software maintained by the Federal Aviation Administration’s Enterprise Services Center (ESC) at the Mike Monroney Aeronautical Center, Oklahoma City, OK.
</p><p>Any electronic or hard-copy files containing CARS-related records will be maintained at the pertinent NHTSA, DOT or Contractor portal locations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system covers the following individuals:
</p><p>&#149; Individual buyers/lessees of new cars participating in the CARS program.
</p><p>&#149; Sole proprietors of salvage auctions and automobile disposal facilities participating in the CARS program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Records about individual car buyers/lessees participating in the CARS Program consist of transaction records containing the following PII data elements: name and address of the purchaser/lessee; the purchaser/lessee’s State driver’s license number or other State identification number; the State driver’s license number or other State identification number of the co-purchaser/lessee (if any), as listed in the title; and the Vehicle Identification Number (VIN) of the trade-in vehicle and the VIN of the new vehicle. Depending on the State and content of the sales contract, PII also may be found on the following documents required to be scanned by dealers and entered into the system: Document of title of trade-in vehicle (or, in certain States, documentation of paperless title), proof of insurance for trade-in vehicle (cards or letter from insurer), trade-in registration, sales summary sheet, and salvage certificate.
</p><p>&#149; Records about any sole proprietors of salvage auctions and disposal facilities participating in the CARS Program consist of business operation records that may include the following PII elements: Name, home address, telephone number and email address, to the extent that such individuals operate their businesses out of their homes.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 111-32, 123 Stat. 1859.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose for collecting records in the CARS Database System is to implement the CARS Program and ensure compliance with the terms of the CARS Act. Specifically:
</p><p>&#149; NHTSA personnel and contractors use the information that each car dealer enters into the CARS database to verify that purchasing/leasing consumers, new and trade-in vehicles, dealers, salvage auctions and disposal facilities are eligible to participate in the Program.
</p><p>&#149; NHTSA personnel and contractors use information entered into the system to determine if individual transactions satisfy CARS program requirements.
</p><p>&#149; NHTSA personnel and contractors use the system to send information about eligible transaction to a DOT financial management system to process vouchers and cause dealers to be paid by DOT/NHTSA for eligible transactions.
</p><p>&#149; Both to establish eligibility and for audit purposes, NHTSA compares dealer-entered information in the CARS Database System to purchaser/lessee and transactional information already within the system.
</p><p>&#149; NHTSA personnel and contractors and the DOT Inspector General may use information about individual transactions, purchasers/lessees, dealers, salvage auctions and disposal facilities participating in the CARS Program to prevent, identify and investigate program violations and fraud.
</p><p>&#149; NHTSA personnel and contractors will use survey data provided by purchasers/lessees to report to Congress on the efficacy of the Program.
</p></xhtmlContent></subsection><subsection type="routineUsesOfRecords"><xhtmlContent><p>The CARS Database System shares PII about individual purchasers/leasees and their new and trade-in vehicles, and about any sole proprietors of salvage auctions and automobile disposal facilities, as follows:
</p><p>&#149; NHTSA personnel and contractors will use VINs from the system to update DOJ’s NMVTIS database, as required by the CARS Act.
</p><p>&#149; NHTSA personnel and contractors, as well as the DOT Inspector General, may provide to the U.S. Department of Justice, State Attorneys General and the National Association of Attorneys General (NAAG) information about certain transactions, including PII about individual purchasers/lessees and any sole proprietors of salvage auctions and disposal facilities participating in the CARS Program, for purposes of investigating complaints and investigating and prosecuting criminal violations, including fraud.
</p><p>&#149; NHTSA personnel and contractors will provide to States lists of VINs of trade-in vehicles for which they issued car titles, for purposes of cancelling the car titles.
</p><p>&#149; Salvage auctions and disposal facilities receive the VIN and voucher transaction code for each trade-in car sent to them for sale or destruction. They include the VIN and code on a certificate that they return to DOT/NHTSA.
</p><p>Other possible routine uses of the information, applicable to all DOT systems, are published in the <i>Federal Register</i> at 65 FR 19476 (April 11, 2000), under "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices/)</i>.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in databases, on magnetic tape, on magnetic disk and in secure electronic and hard-copy files at DOT, NHTSA and contractor portal locations, as required. The databases are on servers; the data is typically stored on a Storage Area Network (SAN) and backed-up on tape stored in Oklahoma City, Oklahoma, Kansas City, Kansas and Austin, Texas. Magnetic tape and disk records are maintained at the central maintenance site in Oklahoma City, at the disaster recovery site in Kansas City, and at the remote hosting site in Austin. Storage of electronic or hard-copy file folders is at the geographic location of the pertinent portal location.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records related to individual purchasing/leasing consumers participating in the CARS program are retrieved by State identification number (ID). This will be either a State driver’s license and/or another form of State ID (i.e., driver’s permit or standard ID). Complaint records relating to consumers participating in the CARS program also may be retrieved from electronic files (i.e., Excel spreadsheets) by word searches.
</p><p>Records related to any sole proprietors of automobile disposal facilities are retrieved through the use of a unique number given to the proprietors through the Environmental Protection Agency (EPA). The EPA number will be listed on the <i>http://www.cars.gov</i> Web site for disposal facilities that are authorized to receive CARS vehicles.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to records in the CARS Database system will be limited to NHTSA personnel and contractors through password security, encryption, firewalls, and secured operating system, except for bank account information and a limited amount of eligible transaction information which will be encrypted and sent securely to DOT’s financial management system for purposes of effecting payments to participating dealers for eligible transactions.
</p><p>Registered dealers entering data into the system will be able to access only records relating to transactions initiated by the same dealer--and not records relating to other transactions entered into the system.
</p><p>Any electronic or hard copies of CARS-related records containing PII at DOT, NHTSA and contractor portal locations will be kept in secure electronic files or in hard-copy file folders locked in secure file cabinets during non-duty hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Under the CARS Final Rule, records created under the CARS program will be kept for 5 years. Records that are needed longer, such as to resolve claims and audit exceptions and prosecute fraud, will be retained until such matters are resolved.
</p><p>The records may be moved at a future date to one or more different locations in response to the operational needs of DOT, NHTSA, the CARS Program or DOT/NHTSA contractors.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The CARS Database System Manager (NPO-400), Office of the Chief Information Officer, NHTSA, 1200 New Jersey Avenue, SE., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals or business entities wishing to know if their records appear in this system should direct their requests to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to information about them in this system should follow the same procedure as indicated under "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest the content of information about them in this system should follow the same procedure as indicated under "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Transaction information pertaining to individual purchasers/lessees is obtained by car dealers, on behalf of NHTSA, directly from the individuals, from source documents the individuals provide (some of which are scanned into the database by the dealer), and/or directly from their new and trade-in cars. Dealers scan and/or enter the information into the CARS database and manually compare the information to the source documents or systems to verify its accuracy. NHTSA personnel and contractors then review the records to ensure accuracy prior to assessing the eligibility of individual transactions.
</p><p>Business operations information about any sole proprietor salvage auctions and disposal facilities is obtained directly from the proprietors.
</p><p>Consumer complaint information is obtained by DOT/NHTSA employees or contractors directly from consumers, including through NHTSA’s CARS Hotline.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-003</systemNumber>

<subsection type="systemName">Allegations of Infringement of United States Patents.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Secretary of Transportation, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who believe that an agency of the Department of Transportation is infringing a United States patent owned by the individual. Categories of records in the system:  Copies of correspondence alleging that agencies of the Department of Transportation have infringed, or are infringing, United States patents owned by the originators of the correspondence. Copies of replies by the Department Patent Counsel to the originator of the allegation. Copies of correspondence forwarding the allegation to the particular Department agency accused for their comment; their replies to Patent Counsel. Copies of correspondence between the Department of Transportation and the Department of Justice concerning the allegations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Copies of correspondence alleging that agencies of the Department of Transportation have infringed, or are infringing, United States patents owned by the originators of the correspondence. Copies of replies by the Department Patent Counsel to the originator of the allegation. Copies of correspondence forwarding the allegation to the particular Department agency accused for their comment; their replies to Patent Counsel. Copies of correspondence between the Department of Transportation and the Department of Justice concerning the allegations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>28 U.S.C. 1498.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Document allegations that agencies of the Department of Transportation have infringed, or are infringing, United States patents.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used as a record of allegations and Patent Counsel’s actions thereon. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders stored in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed individually by name in alphabetical sequence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are disclosed only to individuals with established legal interest or legal "need to know."
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Transfer to Federal Records Center two years after close of file; destroy 25 years after close of file.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing address: Patent Counsel, C-15, United States Department of Transportation, and Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Patent owners.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-004</systemNumber>

<subsection type="systemName">Board for Correction of Military Records, BCMR.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 4100, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Military personnel requesting the Board for Correction of Military Records to correct their military records.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Copies of actions of the General Counsel acting under delegated authority approving or disapproving BCMR cases.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>10 U.S.C. 1552.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Used as a record of the General Counsel’s action in individual BCMR cases.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders stored in file cabinets (Conserv-a-File).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed individually by name in alphabetical sequence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Files are kept in the office of the Assistant General Counsel. Requests are referred to the Executive Secretary, BCMR.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained indefinitely for precedential purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing Address: Assistant General Counsel for Environmental, Civil Rights and General Law, C-10, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Contact "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Official agency records; hearings, documentary material from outside the agency.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-012</systemNumber>

<subsection type="systemName">Files Relating to Personnel Hearings.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Certain employees of the Office of the Secretary who have availed themselves of the opportunity for a hearing in certain personnel matters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Certain employees of the Office of the Secretary who have availed themselves of the opportunity for a hearing in certain personnel matters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Notices of proposed adverse actions, answers of employees, notices of decisions, and supporting material.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 1215, 1216, 7503(c), 7513(e), 7521, and 7543(e).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>A record of the legal services performed and reference material for future cases.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used by agency management in the preparation and conduct of administrative hearings. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders stored in file cabinets (Conserv-a-File).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed individually by name in alphabetical sequence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Files are kept in the office of the Assistant General Counsel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retire in 3 years; destroy in 6 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing Address: Assistant General Counsel for Environmental, Civil Rights and General Law, C-10, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Apply to System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Apply to System manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Official agency records; hearings; documentary material from outside the agency.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-016</systemNumber>

<subsection type="systemName">General Investigations Record System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified (law enforcement sensitive).
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>TASC Security Operations, SVC-150, Department of Transportation, DOT, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>DOT employees and contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Incident reports covering occurrences relating to the security of DOT personnel and headquarters buildings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain computerized records covering the security of DOT personnel and headquarters buildings. To develop proper responses to patterns of incidents.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses; 5 and 9 do not apply.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to "consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in file folders. Paper records in case folders in manual filing system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or incident title.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Files are maintained in a locked room with appropriate access controls. Access to the files is restricted to authorized personnel on a "need-to-know" basis. With appropriate access controls.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records older than 5 years are deleted.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Principal, TASC Security Operations, SVC-150, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>These records contain information obtained from interviews; review of records and other authorized techniques.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Investigative data compiled for law enforcement purposes may be exempt from the access provisions pursuant to 5 U.S.C. 552a (j)(2), (k)(1) or (2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-019</systemNumber>

<subsection type="systemName">Individual Personal Interests in Intellectual Property.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Inventors employed by or having contractual relationships with the Department of Transportation and other Government agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Invention disclosures, Government Patents Branch cases, patent applications, issued patents, and license agreement files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Used by Patent Counsel and staff as a record of determination of rights in inventions, determination of novelty and patent ability, determination of patent coverage, and allocation of rights in issued patents.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders stored in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed individually by name in alphabetical sequence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are disclosed only to individuals who have legal interest in the records or legal "need to know."
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Transfer to Federal Records Center two years after close of file; destroy 25 years after close of file.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing Address: Patent Counsel, C-15, United States Department of Transportation, and Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedures"
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual inventors, technical evaluators, and United States Patent and Trademark Office.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-035</systemNumber>

<subsection type="systemName">Personnel Security Record System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Transportation Administrative Service Center, Security Operations, SVC-150, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>DOT applicants, employees, former employees, contractors, and detailees to DOT from other Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of personnel security processing, personal data on investigative and employment forms completed by the individual, reports of investigations, records of security and suitability determinations, records of access authorizations granted, documentation of security briefings/debriefings received, record of security violations by the individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To make suitability determinations for employment or retention in government service, assignment to sensitive duty positions and access to classified information.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used by Departmental personnel security representatives, including contractor personnel, for making security determinations and granting access authorizations, by Departmental personnel management officials for making suitability determinations, by representatives of other Federal agencies with which the individual is seeking employment, and by Federal agencies conducting official inquiries to the extent that the information is relevant and necessary to the requesting agency’s inquiry, and by Departmental officials, to the extent necessary, to identify the individual to sources from whom information is requested for any of the foregoing purposes to inform the source of the nature and purpose of the request and to indicate the type of information requested. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12):
</p><p>Disclosures may be made from this systems to "consumer reporting agencies" (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Completed forms and typed pages in individual folders in a manual filing system, and on a manual system control cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in locked room with proprietary lock or in approved security safe. Access limited to authorized staff members.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained in accordance with General Records Schedule 18. Authorized destruction done by secure means used for classified materials.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Principal, TASC Security Operations, SVC-150, Department of Transportation, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as System manager. However, information compiled solely for the purpose of determining suitability, eligibility, or qualification for Federal civilian employment or access to classified information may be exempted from the access provisions pursuant to 5 U.S.C. 552a(k)(5).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Investigative sources contacted in personnel security investigations, National Agency Check and Written Inquiry and similar investigations; investigative reports reviewed at other Government agencies; personal history statements, employment applications and other data provided by the individual and/or other agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Information compiled solely for the purpose of determining suitability, eligibility, or qualification for federal civilian employment or access to classified information may be exempted from the access provisions pursuant to 5 U.S.C. 552a(k)(1) and/or (5).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-037</systemNumber>

<subsection type="systemName">Records relating to Applications for Senate Confirmation of Proposed Executive Appointments to the Department of Transportation.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Office of the Assistant General Counsel for Environmental, Civil Rights and General Law, 400 7th Street, SW., Room 10102, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals nominated for top executive positions of the Department of Transportation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Financial data and biographical data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. App. 101, Executive Order 12731, and regulations of the Office of Government Ethics.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Data submitted to the General Counsel as reviewing official by subject individual for use by the Senate Commerce Committee to determine if there would be a conflict of interest, or the appearance of a conflict of interest, in subject’s appointment to the Department of Transportation.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Legal sized documents located in locked safe.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual names filed alphabetically.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical security consists of filing records in safe; data released to Senate Commerce Committee and authorized officials only of the Department.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for 6 years then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing Address: Deputy General Counsel, C-2, United States Department of Transportation, and Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10428.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries may be addressed to the Deputy General Counsel at the address above, either in person or in writing. If written the individual must provide a notarized signature.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Access to records requires the individual to contact in person or write the Deputy General Counsel.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Contest of a record is also through the Deputy General Counsel.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subject individual provides Documents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-041</systemNumber>

<subsection type="systemName">Correspondence Control Mail, CCM.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Office of the Secretary, OST, Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who write, or are referred in writing by a second party, to the Secretary, Deputy Secretary, Deputy Under Secretary, and their immediate offices. Individuals who are the subject of an action requiring approval or action by one of the forenamed, such as appeal actions, training, awards, foreign travel, promotions, selections, grievances, and discipline.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence submitted by, or on behalf of, an individual, including resumes, letters of reference, etc. Responses to such correspondence. Staff recommendations on actions requiring approval or action by one of the forenamed.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 CFR 1.23(j).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system is to provide history of correspondence addressed to and signed by the Secretary and Deputy Secretary of Transportation.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Referral to the appropriate action office within or outside the Department for preparation of a response. Referral to the appropriate agency for actions involving matters of law or regulation beyond the responsibility of the Department, such as the Civil Service Commission for employee appeals, the Department of Justice in matters of law enforcement, etc. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Computer disc and--selectively--on microfilm for all records since 1/1/74. In hard copy for all records prior to 1/1/74.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name of correspondent, referring individual, and subject category (e.g., "employment" for applicants) from 1/1/74 on. Indexed by name of correspondent prior to 1/1/74.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computer microfilm records, and remote reader terminals, which permit random access to the system records, are locked after office hours. During office hours computer is accessible only through terminals operated by, and under the surveillance of, authorized employees of the Executive Secretary.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Hard-copy records for 1967-1969 and duplicate microfilms for 1974-1989 are in the custody of National Archives and Records Administration, NARA. Microfilm Records from 1990 and following are retained in the Departmental headquarters building. Records are retired to NARA on a space-needed basis.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be directed to the System Manager. Helpful information, in addition to the individual’s name, includes date(s), subject matter, and addressee(s) of the incoming correspondence, and date(s) and author(s) of the response(s).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact System Manager for information on procedures for gaining access to records.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Contact System Manager for information on procedures for contesting records. Appeals should be directed to the Secretary of Transportation, if request for Modification or deletion is denied.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Correspondence from individual, his representative or sponsor. Responses to incoming correspondence. Related material provided for background as appropriate.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-045</systemNumber>

<subsection type="systemName">Unsolicited Contract or Research and Development Proposals Embodying Claims of Proprietary Rights.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who believe they have original and innovative ideas in the field of transportation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Copies of descriptions of proposed innovations or inventions and methods of carrying out the proposal. Evaluations by Patent Counsel of the adequacy and propriety of restrictive markings on the proposals and correspondence of the Patent Counsel pertaining thereto.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Used as a record of Patent Counsel’s action in individual unsolicited proposal cases.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders stored in file cabinets (Conserv-a-File).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed individually by name and subject in alphabetical sequence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are disclosed only in accordance with the terms of restrictive markings agreed upon between submitter and DOT.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Transfer to storage when three years old; Destroy after six years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing Address: Patent Counsel, C-15, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Forwarded by individual or by the DOT office to whom unsolicited proposal was addressed.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-046</systemNumber>

<subsection type="systemName">Visit Control Records System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, Transportation Administrative Service Center (TASC), Security Operations, SVC-150, 400 7th Street, SW., Room 10401, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>DOT employees, Industrial Security contractor employees, non-employee visitors to DOT facilities during security hours.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Record of clearance certification (level, date granted and basis) on employees to visit facilities or attend meetings involving classified information. Record of security clearance data for visitors to DOT facility from other agencies and from contractors. Record of individuals other than employees who are authorized access to DOT facilities during security hours.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 49 U.S.C. 322.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Maintain a record of clearances for individuals attending classified meetings.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Confirming to the proper authorities the security clearance for individuals requiring access to classified information; identifying individuals authorized to be present in DOT facilities. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Stored in an alarm-secured area in a locked Lek-Triever file.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in locked room with proprietary lock, available only to authorized staff members.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Maintained until expiration of visit, then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Principal, TASC Security Operations, SVC-150, Department of Transportation, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Security clearance information furnished by personnel security officers. Visit data furnished by individual.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-056</systemNumber>

<subsection type="systemName">Garnishment Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, Office of the Assistant General Counsel for Environmental, Civil Rights and General Law, 400 7th Street, SW., Room 10102, Washington, DC 20590 and Office of the Chief Counsel of employing DOT agency.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the, DOT, including members of the Coast Guard, whose pay is sought to be attached under section 459 of the Social Security Act, 42 U.S.C. 659, for alimony or child support, or under 5 U.S.C. 5520a, for commercial debt.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence and court orders, and copies thereof, concerning attachment of employees’ pay.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>42 U.S.C. 659; 5 U.S.C. 5520a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Used as record of garnishments and Garnishment Attorney’s action thereon.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders stored in the Garnishment Attorney’s office.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed individually by name in alphabetical order.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are disclosed only to individuals with established legal interest or legal "need to know."
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained for as long as the attachment of pay continues and thereafter as needed for precedential value.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing Address: Garnishment Attorney, C-10, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data are obtained from state courts and agencies, private attorneys, custodians of children of DOT employees, and federal pay records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-057</systemNumber>

<subsection type="systemName">Honors Attorney Recruitment Files, DOT/OST.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10428, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Third-year law students and recent law school graduates.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Resumes, transcripts, copies of Personnel Form 171. Authority for maintenance of the system:  49 U.S.C. 323.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Used by General Counsel, Chief Counsels, and their staffs in filling job vacancies for attorneys.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed individually by name in alphabetical order.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are disclosed only to individuals who have legal interests in the records or a legal need-to-know.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained at system location for 5 years, then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing Address: Special Assistant to the General Counsel, C-4, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10428.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Contact the "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact the "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Law students, recent law school graduates, General Counsel, Chief Counsels and their staffs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-059</systemNumber>

<subsection type="systemName">Files of the Board for Correction of Military Records, BCMR, for the Coast Guard.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, Board for Correction of Military Records, 400 7th Street, SW., Room 4100, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have filed applications for relief before the Board.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applications and related documents, Board decisions, and official military records of applicants.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>10 U.S.C. 1552.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Used by the Chairman, the Board, the Executive Secretary, and Staff in determining whether to grant relief to applicants.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used by the Coast Guard in presenting its views to the Board concerning pending cases. Also used by applicant and his representative. Used by the General Counsel and his/her staff in determining whether to approve decisions of the Board. See Prefatory Statement of General Routine Uses.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders stored in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed individually by name in one of two alphabetical sequences representing pending and closed cases. Also indexed by docket number. Pending cases filed by docket number; closed cases filed alphabetically.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are disclosed only to the applicant, his representative, interested members of Congress, and the Coast Guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Transfer of official military record of individual separated from service to Federal Records Center when case closed; transfer of official military record of Active or Reserve member to Coast Guard Headquarters when case closed; retention of application file in all cases.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mailing Address: Executive Secretary, Board for the Correction of Military Records, C-60, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 4100.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Apply to "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>United States Coast Guard, Veterans Administration, individual applicants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-100</systemNumber>

<subsection type="systemName">Investigative Record System.
</subsection><subsection type="securityClassification"><xhtmlContent><p>Unclassified--sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the DOT OIG Headquarters in Washington, DC, and in DOT OIG field offices nationwide. Records are also maintained by Federal Records Centers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals filing complaints of criminal, civil, or administrative violations, including, but not limited to, fraud, waste, or mismanagement; individuals alleged to have been involved in such violations; individuals identified as having been adversely affected by matters investigated by the OIG; individuals who have been identified as possibly relevant to, or who are contacted as part of, an OIG investigation, including: (A) current and former employees of the DOT, other Federal agencies, and DOT contractors, grantees, and persons whose association with current and former employees relate to alleged violations under investigation; and, (B) witnesses, complainants, confidential informants, suspects, defendants, or parties who have been identified by the DOT OIG, other DOT components, other agencies, or members of the general public in connection with authorized OIG functions; and DOT OIG employees performing investigative functions.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Categories of records in this system include:
</p><p>&#149; Investigative agent name and contact information
</p><p>&#149; Individual’s name and aliases;
</p><p>&#149; Date of birth;
</p><p>&#149; Social Security Number;
</p><p>&#149; Telephone and cell phone numbers;
</p><p>&#149; Physical and mailing addresses;
</p><p>&#149; Electronic mail addresses;
</p><p>&#149; Physical description;
</p><p>&#149; Citizenship;
</p><p>&#149; Photographs;
</p><p>&#149; Job title, employment position, and other employment data;
</p><p>&#149; Medical history;
</p><p>&#149; Any other personal information relevant to the subject matter of an OIG investigation;
</p><p>&#149; Investigative files containing complaints and allegations, witness statements; transcripts of electronic monitoring; subpoenas and legal opinions and advice; reports of investigation; reports of criminal, civil, and administrative actions taken as a result of the investigation; and other relevant evidence;
</p><p>&#149; Property receipts establishing chain of custody of evidence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978, as amended, and 49 U.S.C. 354.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records and information collected and maintained in this system are used to document the processing of allegations of violations of criminal, civil, and administrative laws and regulations relating to DOT programs, operations, and employees, as well as contractors and other individuals and entities associated with DOT; monitor case assignments, status, disposition, and results; manage investigations and information provided during the course of such investigations; track actions taken by management regarding misconduct and other allegations; track legal actions taken following referrals to the Department of Justice for prosecution or litigation; create and report statistical information; and manage property records establishing chain of custody of evidence.
</p></xhtmlContent></subsection><subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To other Federal, State, local, or foreign agencies or administrations, and licensing and professional discipline authorities, having interest or jurisdiction in the matter.
</p><p>2. To third parties in the course of an investigation, when necessary to obtain pertinent information.
</p><p>3. To any person when disclosure of the record is needed to enable the recipient of the record to take action to recover money or property of DOT, when such recovery will accrue to the benefit of the United States, or when disclosure of the record is needed to enable the recipient of the record to take appropriate disciplinary or corrective action to maintain the integrity of DOT programs or operations.
</p><p>4. To complainants and/or victims to the extent necessary to provide such persons with information and explanations concerning the progress and/or results of the investigation or case arising from the matters of which they complained and/or of which they were a victim.
</p><p>5. To media and the public when the public interest requires, unless it is determined by OIG counsel that release of specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.
</p><p>6. To an individual or individuals who are in danger or in situations involving an imminent danger of death or physical injury.
</p><p>7. To other agencies and the Council of Inspectors General on Integrity and Efficiency (CIGIE) for purposes of conducting and reviewing peer reviews of the OIG to ensure adequate internal safeguards and management procedures exist or to ensure that standards applicable to Government audits, investigations, or other agency activities are applied and followed.
</p><p>8. For other routine uses of the information, applicable to all DOT Privacy Act systems of Records, see "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices</i>).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically and/or on paper in secure facilities. Electronic records may be stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Paper media are retrieved alphabetically by name of subject or complainant, by case number, and/or by special agent name and/or employee identifying number. Electronic media are retrieved by the name or identifying number for a complainant, subject, victim, or witness; by case number; by special agent name or other personal identifier; or by field office designation.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DOT 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 records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p><p>Paper files are stored in file cabinets in a locked file room to which only authorized personnel are provided access, on a need-to-know basis.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be retained and disposed in accordance with National Archives and Records Administration (NARA) records disposition schedule for OIG Investigative Case Files (N1-398-02-1, March 3, 2002).
</p><p>Files containing information or allegations which old, are of an investigative nature but do not relate to a specific investigation such as anonymous or vague allegations not warranting an investigation, matters referred to constituents or other agencies for handling, and support files providing general information which may prove useful in Inspector General investigations are destroyed when 5 years old.
</p><p>All other investigative case files (except those that are unusually significant for
documenting major violations of criminal law or ethical standards by agency officials or
others) are placed in inactive files when case is closed. The cutoff for inactive files occurs at the end of fiscal year. These files are destroyed ten years after cut off. The disposition of significant cases (i.e., those that result in national media attention, Congressional investigations and/or substantive changes in agency policy or procedures) will be determined by NARA and will be scheduled separately.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The System Manager is the Principal Assistant Inspector General for Investigations, DOT OIG, Seventh Floor, JI-1, 1200 New Jersey Ave. SE., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Secretary of Transportation has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, the Office of Inspector General will consider individual requests to determine whether or not information may be released.
</p><p>Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the DOT or OIG FOIA Officer whose contact information can be found at <i>http://www.dot.gov/foia</i> under "Contact Us." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Departmental Freedom of Information Act Office, U.S. Department of Transportation, Room W94-122, 1200 New Jersey Ave. SE., Washington, DC 20590, ATTN: FOIA request.
</p><p>When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 49 CFR part 10. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Freedom of Information Act Officer, <i>http://www.dot.gov/foia</i> or 202.366.4542. In addition you should provide the following:
</p><p>&#149; An explanation of why you believe the Department would have information on you;
</p><p>&#149; Identify which component(s) of the Department you believe may have the information about you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help the FOIA staff determine which DOT component agency may have responsive records; and
</p><p>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.
</p><p>Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from sources including, but not limited to, the individual record subjects; DOT employees, grantees, and contractors; employees of Federal, State, local, and foreign agencies; and other persons and entities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j)(2), this system is exempt from the following provisions of the Privacy Act: 5 U.S.C. 552a (c)(3)-(4); (d); (e)(1)-(3); (e)(4)(G)-(I); (e)(5); (e)(8); and (f)-(g).
</p><p>Pursuant to 5 U.S.C. 552a(k)(1), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3); (d); (e)(4)(G)-(I) and (f).
</p><p>Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a(c)(3) and (d).
</p><p>Pursuant to 5 U.S.C. 552a(k)(5) and (k)(7), this system is exempt from the following provisions of the Privacy Act, subject to the limitations set forth in those subsections: 5 U.S.C. 552a (c)(3); (d); (e)(4)(G)-(I); and (f).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-101</systemNumber>

<subsection type="systemName">Transportation Inspector General Reporting System, TIGR.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of record is in the Office of the Inspector General in the Office of the Secretary, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All active employees of the OIG, with history data on previous employees maintained for 2 years. Present and former DOT employees, DOT contractors and employees as well as grantees, subgrantees, contractors, subcontractors and their employees and recipients of DOT monies, and other individuals or incidents subject to investigation within the purview of the Inspector General Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual’s current position and employment status, assignments, travel, experience, training, with the following personal data: Name, social security account number, date of birth, service computation date, career status, address, assigned station, job series, education, grade, minority status, and personnel transaction date. Investigative information consists of investigation targets’ name and social security account number, organization name, type of investigation, offense data, source of referral data and action taken.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Inspector General Act of 1978, 5 U.S.C. App.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system is to provide individuals with a need to know with specific information related to (1) Time and attendance of employees; (2) workload status reports; (3) security clearance alerts; (4) travel information; and (5) investigation information. The Inspector General publishes some investigation results publicly through a public Web site, in combination with investigation results of other agencies and organizations, in an effort to coordinate fraud enforcement and investigation efforts with other entities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Security clearance notification alerts may be provided to an examined activity in advance of visits by OIG personnel if information to be examined requires a secret clearance or above; (2) time and attendance reports will be used to track temporary duty travel frequency and duration, to categorize indirect time for periodic reports, and to accrue staff hour data on assigned projects; (3) planned annual leave reporting will be used by various managers for workload planning and travel scheduling; (4) assignments information and workload status information will be used by managers to control audits and investigations, and to maximize effectiveness of staff resources; (5) miscellaneous personnel information will be used by staff managers to determine training needs, promotional eligibility, education and background, and professional organization participation; (6) information will be used to produce resource management reports; (7) travel information will be used by managers to control temporary duty travel, travel costs and issuances of travel orders; and (8) investigative information is collected and maintained in the administration of the Inspector General Act of 1978 (Pub. L. 95-452) to investigate, prevent, and detect fraud and abuse in departmental programs and operations. Material gathered is used for investigative case management, and some investigation information is posted publicly in an effort to reduce fraud and other crimes across the government. See also Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Active reports on magnetic disk, with backup active records and inactive records maintained on magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records will be retrievable through employee social security number, by name, or incident title, with selected records having certain secondary keys consisting of certain other data elements, listed in the "Categories of Records in the System."
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>(1) Records will be maintained in a private library not accessible by any unauthorized user; (2) authorized user identification codes will be tied to multiple password system to afford additional protection; (3) any attempt to bypass the password protection system will result in "Log-Off" from the system or denial of access to data if access to system is authorized; (4) physical access to system documentation, hardcopy printouts, personal data files, and terminals will be restricted to authorized personnel by maintaining a secure environment in the headquarters office; and (5) tape files will be maintained in an environmentally secure vault area when not in use.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be maintained for 2 years after they become inactive. All inactive records will be maintained on magnetic tape within the computer center and will be afforded the same safeguards as active records. Machine-resident records will be destroyed at the end of the 2-year period. Hard copy records will be retained until the records are replaced or become obsolete.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Information Officer, JM-10, Office of Inspector General, Department of Transportation, 400 7th Street, SW., Room 7117, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) Official personnel folder; (2) other personnel documents; (3) activity supervisors; (4) individual applications and forms; and (5) information obtained from interviews, review of records and other authorized investigative techniques.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Investigative data compiled for law enforcement purposes may be exempt from the access provisions pursuant to 5 U.S.C. 552a(j)(2), (k)(1), or (k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/OST-102</systemNumber>

<subsection type="systemName">Aviation Consumer Complaint Application Online System (CCA).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of record is in the Office the Assistant General Counsel for Aviation Enforcement and Proceedings, Office of the Secretary, U.S. Department of Transportation, 400 7th Street, SW., Room 4107, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The system consists of information on individuals who have filed air travel service complaints or other inquiries with the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings regarding an air carrier and/or air travel company.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The information in the system consists of service-related consumer complaints, inquiries, opinions, and compliments regarding air carriers or air travel companies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 40127, 41310, 41702, 41705, and 41712.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To monitor complaint records of individual airlines and air travel companies; to determine the extent to which these entities are in compliance with Federal aviation civil rights and consumer protection regulations; to report complaint statistics to Congress, the media, and the general public; to serve as a basis for rulemaking, legislation, and research; and to assist airlines in identifying and remedying consumer concerns.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) ACPD may disclose information from this system of records to authorized representatives of the United States Government or a U.S. or foreign air carrier or air travel company about whom the complaint or record concerns for purposes of improving customer service.
</p><p>(2) The Office of the Assistant General Counsel for Aviation Enforcement and Proceedings may use information from this system of records to determine whether to further investigate or take enforcement action against an air carrier or air travel company for possible violations of federal aviation civil rights and consumer protection statutes and regulations.
</p><p>(3) The Office of the Assistant General Counsel for Aviation Enforcement and Proceedings may disclose information about an individual from this system of records to an advocacy organization provided that the individual gave the organization permission to inquire on his or her behalf.
</p><p>(4) See Prefatory Statement of General Routine Uses, 65 FR 19477 (April 11, 2000).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Documents are stored in electronic form and as paper records in file folders stored in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic records are retrievable by consumer’s name, air carrier name, complaint code and/or record number. Paper records are retrievable by name of air carrier about which the record concerns.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to records is limited to those who process the records for the specific routine uses stated above (e.g., personnel in the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings, air carriers to which the service complaint or document relates, and Federal agencies that have a specific need for the information). Various methods of computer security limit access to records in the automated database. Paper records are stored in file cabinets located in a secured office area.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Most paper records are destroyed after a one-year period. Paper records used for investigations and enforcement proceedings are maintained for a longer period of time. Electronic records are stored for an indefinite period of time.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant General Counsel for Aviation Enforcement and Proceedings, Office of the Secretary, U.S. Department of Transportation, 400 7th Street, SW., Room 4107, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is provided by individuals, or on behalf of individuals, through telephone calls, e-mails, and written correspondence received by the Department of Transportation.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>5 U.S.C. 552a(k).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RITA-001</systemNumber>

<subsection type="systemName">Vehicle and Driver Research, Test, and Evaluation Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Re Records are maintained at the RITA Headquarters in Washington, DC, at the Volpe National Transportation Systems Center in Cambridge, Mass., and at public or private institutions conducting research funded by RITA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Categories of individuals covered by this notice include voluntary participants in RITA-funded research (all RITA-funded human subjects research is conducted in accordance with 45 CFR 46 and is reviewed by a certified Institutional Review Board).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records will vary according to the specific project and not all record types will be applicable to any given project. The information may include an individual’s:
</p><p>&#149; Participant Background Information.
</p><p>&#9675; Individual Identifiers.
</p><p>&#9642; Full Name (First, Middle, Last);
</p><p>&#9642; Demographic information, including age and gender;
</p><p>&#9642; Individual subject research identifier created by DOT.
</p><p>&#9642; Driver’s license number, issuing state, and qualifiers.
</p><p>&#9675; Vehicle Identifiers.
</p><p>&#9642; Personal vehicle vehicle identification number (VIN) and registration information.
</p><p>&#9642; Vehicle Identification Number (VIN) of government issued vehicles.
</p><p>&#9642; Identifiers for equipment installed by DOT in personal or government issued vehicle;
</p><p>&#9675; Contact Information.
</p><p>&#9642; Mailing/Residential Address.
</p><p>&#9642; Phone number(s).
</p><p>&#9642; Email address(es).
</p><p>&#9642; Institutional or organizational affiliation.
</p><p>&#9642; Work/Business related contact information.
</p><p>&#9642; Occupation and work schedule.
</p><p>&#9675; Eligibility Information.
</p><p>&#9642; Driver history and habits.
</p><p>&#9642; Medical history relevant to the scope of the research project;
</p><p>&#9642; Outcomes of criminal background check.
</p><p>&#149; Project Information.
</p><p>&#9675; Vehicle Sensor Information.
</p><p>&#9642; Video or still images, including infrared;
</p><p>&#9642; Audio recordings;
</p><p>&#9642; Dynamic information about a vehicle, including location, heading, proximity to and interaction with other vehicles and infrastructure;
</p><p>&#9642; Dynamic information about a driver’s interaction with the vehicle, including steering wheel, turn signal, and accelerator and brake pedal positions; and
</p><p>&#9675; Data collected from drivers by means of surveys, focus groups, or interviews.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; the Federal Records Act, 44 U.S.C. 3101; Intelligent Transportation System Program, Public Law 109-59, 5303-10, 119 Stat. 1144, 1806-13 (2005).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purposes of the Vehicle and Driver Research, Test, and Evaluation Records are to:
</p><p>&#149; Determine the eligibility of individuals to participate in RITA sponsored research activities.
</p><p>&#149; Evaluate the technical performance of innovative technologies incorporated into vehicles;
</p><p>&#149; Measure the effects of technologies included in research activities on drivers and driver behaviors and driver acceptance of the same;
</p><p>&#149; Quantify the potential for the technology to improve vehicle safety based on user behavior; and
</p><p>&#149; Identify driver behaviors independent of advanced technologies incorporated into the vehicle.
</p><p>The data to be collected can be divided into two categories: Participant background data and vehicle sensor data. Participant background data is necessary during the enrollment phase of a study to select eligible participants and ensure that the overall mix of participants is consistent with the study design. This data is also necessary to contact participants during the study, collect any equipment distributed, and evaluate participant acceptance of the advanced technologies at the conclusion of a study.
</p><p>Vehicle sensor data, including audio and video recordings, is necessary to evaluate the performance of the innovative technologies and their impacts on drivers. Sensor data may also be used to evaluate driver behaviors that are not related to the performance of the advanced technologies, such as estimating the prevalence of distracted driving.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the or information contained in this system, including audio and video recordings, but not including other personally identifiable information, may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To an agency, organization, or individual conducting research on behalf of the Department on vehicles or vehicle operators. To the extent practical DOT will limit the release of PII to that necessary for the conduct of specific research activity.
</p><p>2. To a Federal, State, local, tribal, territorial, foreign, or international agency, if necessary to obtain information relevant to a DOT decision regarding the suitability of an individual to participate in a RITA sponsored research activity.
</p><p>3. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement or other assignment for DOT, when necessary to accomplish and 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 DOT officers and employees.
</p><p>4. See "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacy</i>).
</p><p>Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the <i>Federal Register</i> at 75 FR 82132, December 29, 2010, under "Prefatory Statement of General Routine Uses" (available at <i>http://www.dot.gov/privacy/privacyactnotices</i>).
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic systems and in paper files. Certain records are maintained only in paper files (for example, financial, documents, photographs, and audio, recordings).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>In most cases, RITA is focused on evaluating the performance of a given experimental technology or effect on the vehicle operator. For this reason, RITA records are not as a matter of course retrieved by name or other identifier assigned to the individual. However, RITA may need to access records by name or other identifier in order to make corrections to an individual’s record, resolve an anomaly related to a specific individual’s record, and/or link disparate pieces of information related to an individual. For example, if an individual informed a researcher that he or she had inadvertently provided incorrect information regarding his or her driving history, the researcher would retrieve that individual’s record using the research identifier in order to correct the erroneous data. In addition, RITA may need to access a specific individual’s record during the course of a research study in order to contact that individual, or to retrieve property at the end of the study.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All records are protected by employing a multi-layer security approach to prevent unauthorized access to sensitive data through appropriate administrative, physical, and technical safeguards. Protective strategies such as implementing physical access controls at DOT facilities; ensuring confidentiality of communications using tools such as encryption, authentication of sending parties, and compartmentalizing databases; and employing auditing software and personnel screening to ensure that all personnel with access to data are screened through background investigations commensurate with the level of access required to perform their duties. Records maintained in hard copy are stored in a locked file cabinet or safe.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>DOT is preparing a new records disposition schedule (Standard Form 115) for submission to the National Archives and Records Administration (NARA), which will include the following proposed retention periods:
</p><p>Participant Background Information: Destroy/delete one year following completion of the research project, unless needed longer for legal or audit purposes.
</p><p>Project Information: Destroy/delete five years following completion of the research project, unless the object of continuing research, or needed longer for legal or audit purposes.
</p><p>All records maintained in this system of records will be treated as permanent records until the schedule is approved by NARA.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Mike Schagrin (202-366-2180), Program Manager, ITS Safety, Department of Transportation, Washington DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether their information is contained in this system should address written inquiries to the U.S. Department of Transportation, Privacy Act Officer, Office of the Chief Information Officer, 1200 New Jersey Avenue SE., Washington, DC 20590. Inquiries should include name, address and telephone number and describe the records you seek.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records include: (1) Records collected directly from the individual; (2) records obtained from other government agencies; (3) records collected from the individual using technologies like cameras or audio recorders; and (4) records collected from the vehicle operated by the individual.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RSPA-02</systemNumber>

<subsection type="systemName">National Defense Executive Reserve, NDER, File.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Some records are held only in the Office of Emergency Transportation while others are held at various locations in the custody of officials in the several regions, as indicated in the paragraph labeled "Categories of records" below. Holdings of the Regional Directors-designate and Deputy Directors-designate are partial duplications of the Regional Emergency Transportation Coordinator, RETCO, files and may be accessed through the applicable RETCO. The RETCO and the Regional Emergency Transportation Representative, RETREP, for each region may be contacted directly at the addresses shown below. The Regional Director-designate and Deputy Director-designate for each region may be contacted by addressing mail in care of the RETCO for that region at the address shown in the following list: Regions 1 and 2, First Coast Guard District, 408 Atlantic Avenue, Boston, MA 02110. Region 3, Federal Highway Administration, 10 South Harvard Street, Suite 4000, Baltimore, MD 21201. Region 4, Federal Aviation Administration Southern Region, PO Box 20636, Atlanta, GA 30320. Region 5, Federal Highway Administration, 19900 Governors Drive, Suite 301 Olympia fields, IL 60461 Region 6, Federal Aviation Administration Southwest Region, 2601 Meacham Blvd., Ft. Worth, TX 76137-4298. Region 7, Federal Highway Administration, P.O. Box 419715, Kansas City, MO 64141. Region 8, Federal Highway Administration, 555 Zang Street, Room 400, Denver, CO 80225. Region 9, Pacific Area United States Coast Guard, Coast Guard Island, Alameda, CA 94501. Region 10, 13th Coast Guard District, Federal Bldg., Rm. 3590, 915 Second Ave., Seattle, WA 98174Alaska Region, Federal Aviation Administration Alaskan Region, 222 W 7th Ave., 1B14, Anchorage, AK 99513. Emergency Facilities Liaison Officer, FAA Records Center, West King Street and South Maple Avenue, Martinsburg, WV 25401.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Upper, middle, and lower management members of the transportation industry, university professors, lawyers, labor leaders, and businessmen who are candidates for membership in NDER, active members of NDER, or who are former members whose membership has been terminated by death, resignation or involuntary release, and emeritus members.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Personnel and security forms completed by individuals consisting of applications, statements of understanding by employers, security and identification data from individuals, certificates of appointment and reappointment and a personal data sheet for each Reservist which presents a summary of pertinent data including a photograph.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Defense Production Act of 1950 and Executive Order 11179.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This is a government-wide program to recruit and train a cadre of volunteer executives from the private sector to serve in key Federal management positions during periods of national defense emergencies.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Internal personnel management of the NDER for the Department of Transportation, which includes staff action and exchange of data with the Office of the Director, Federal Emergency Management Agency, who is responsible for the entire National Defense Executive Reserve Program. These records are available to the Secretary, any Secretarial Officer, Head of an Operating Administration, or their designated subordinates who require access in the pursuit of their duties, to the Director and staff of OET, and the RETCOs and their staff.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Individual records are maintained in a manual system in a locked file room consisting of a filing jacket with the individual’s name tabbed and containing all papers pertaining to him or her, except the following, which are maintained as stated. Mailing lists are maintained using a personal computer.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed alphabetically by name. Retrieved manually.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Maintained in metal file containers or other standard office equipment.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Held for five years from date of separation and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Research and Special Programs Administration (DPB-30), Director of Emergency Transportation, Department of Transportation (Room 8330), Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries may be addressed to any of the offices and officials listed under "System locations". Individuals requesting such information must sign the request personally and include in the text of the request suitable identification. Alternatively, personal visits to the above locations with presentation of suitable identification will enable individual to learn of and have access to his or her record.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individual may secure or obtain information on procedures for gaining access to records by (1) referral to the information sheet issued to him or (2) addressing a written query to the offices cited under `System location’ above (except the Emergency Facilities Liaison Officer, FAA Records Center, West King Street and South Maple Avenue, Martinsburg, WV 25401, which maintains duplicate files in storage only) or (3) presenting himself or herself in person to those offices.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedures."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Personal data submitted by the individual; data from his or her employer; recommendations for the system: Investigative data compiled for law enforcement purposes may be exempt from access pursuant to 5 U.S.C. 552a (j)(2), (k)(1), or (k)(2). From colleagues; mailing data from existing distribution system.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RSPA-04</systemNumber>

<subsection type="systemName">Transportation Research Activities Information Service, TRAIS.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Research &amp; Special Programs Administration, RSPA, Transportation Systems Center, TSC, Kendall Square, Cambridge, MA 02142.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Program/Project Managers and research investigators.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Notification of Technical Research and Development.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 112(d)(3).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain information concerning on-going and completed research and development accomplishments.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information on on-going and completed research and development accomplishments. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Computer disc storage and magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Retrievable by keywords and unique accession number assigned by Data Base Administrator; batch process or on-line interaction.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical security--user identification and passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Up to three-year retention and then tape is reused which destroys previous data.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Transportation Research Activity Information Services Branch, TST-25.1, Department of Transportation, Office of the Secretary, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Contract Awards from Contracting Offices, Publication of Technical Report.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RSPA-05</systemNumber>

<subsection type="systemName">Transportation Research Information Service On Line, TRIS-On-Line.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Office of the Secretary, OST, System physically located at the: Battelle Laboratories, Columbus, OH.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Program/Project Managers and authors of reports.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Notification of technical research and technical reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 112(d)(3).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain information concerning on-going and completed research and development accomplishments.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information on on-going and completed research and development accomplishments. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Computer disc storage and magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Retrievable by keywords and accession number assigned by Data Base Administrator, batch or on-line interaction.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical security--User identification keywords and passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Up to five-year accessibility, tape goes to archival storage.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Transportation Research Information Services Branch, TST-25.1, Department of Transportation, Office of the Secretary, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "System manager."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Contract awards received from Contracting Offices, Publication of Technical Reports.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RSPA-06</systemNumber>

<subsection type="systemName">Emergency Alerting Schedules.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are located in the national headquarters of the Offices of the Secretary; the heads of operating administrations, regional offices of the Regional Emergency Transportation Coordinators, the Regional Administrators, Directors and Commanders of the operating administrations and in headquarters of operating administrations divisions, district commands, and other field offices of the Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Professional and clerical employees and military members of the United States Government, Directors--designate and Deputy Directors--designate and members of the National Defense Executive Reserve who have been given emergency billet assignments within the Department of Transportation Emergency Structure.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The Alerting Charts and Schedules show names and office and home telephone numbers of individuals in calling sequence and are listed by national headquarters and by regional offices; also contain similar listings designed for management convenience within DOT and the operating elements.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>DOT Order 1910.2C, dated May 1980.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>A team of individuals who can carry out the essential functions of the Department of Transportation if the need arises.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>For identification of individuals required to ensure viability of DOT in the immediate preattack--transattack--postattack period of a national defense emergency. Available to the Secretarial Officers, heads of operating administrations or designated subordinates (national and regional) and to individuals listed. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Publication is maintained in stock, in listings in each office of record, and in standard filing equipment in locked file rooms.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Manually by position listing.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Metal file containers or other standard office equipment secured in a locked file room during office duty hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained until republished then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Emergency Transportation, DET-1, Department of Transportation, Research and Special Programs Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries may be addressed to any of the offices listed under "System Locations." Individuals requesting such information must sign the request and include suitable identification. Alternatively, personal visits to the above locations with presentation of the above credentials will enable individual to learn of and have access to his or her record.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individual may secure or obtain information on procedures for gaining access to records by (1) referral to the information sheet issued to him or (2) addressing a written query to the offices cited under System Location, (except the Facility Manager, FAA Records Center, West King Street and South Maple Avenue, Martinsburg, WV 25401, who maintains duplicate files in storage only) or (3) presenting himself to those offices.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedures."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Office or Agency of employment.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RSPA-08</systemNumber>

<subsection type="systemName">Technical Pipeline Safety Committees for Natural Gas and Hazardous Liquid.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassfied, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Research and Special Programs Administration, Office of Pipeline Safety, 400 7th Street, SW., Room 2335, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members of Technical Pipeline Safety Standards Committee. Members of Technical Hazardous Liquid Pipeline Safety Standards Committee. Intermittent consultants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Biographical data in support of member’s nomination.
</p><p>Letters announcing member’s appointment/reappointment. Personnel Actions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 CFR Parts 190 through 195
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a guiding group to ensure that the interests of all pipeline stakeholders are represented, for providing a forum for discussing program plans and activities of the Office of Pipeline Safety.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>General reference purposes for support functions.
</p><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by name within subject area.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Room locked after hours, most information is public knowledge.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Kept indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Advisory Committee Executive Director, Department of Transportation, Office of Pipeline Safety, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Address inquiries to System manager including individual’s name.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Information may be obtained from the System manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as for Access above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Biographical Information (DOT Form F 1120.1) Travel Vouchers (SF 1012). Certificate of Consultant’s Services. Press Releases. Administrative Correspondence/Memorandums.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RSPA-09</systemNumber>

<subsection type="systemName">Hazardous Materials Incident Telephonic Report System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Department of Transportation, The John A. Volpe National Transportation Systems Center Kendall Square, Cambridge, MA 02142
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals included in the system are those making telephonic reports, either as a private citizen or as a representative of the company involved, to the National Response Center, NRC, operated by the USCG or to the EPA or to the USCG Office of Marine Safety, Security &amp; Environmental Protection, OMSSEP, of certain releases of hazardous materials. The system may also contain information on individuals affected by reported incidents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of telephonic reports of incidents involving the release of hazardous materials or environmental pollutants received by the NRC acting on behalf of the Research and Special Programs Administration, RSPA, the USCG, and/or the EPA, or made by or to the EPA or the OMSSEP USCG.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 CFR 191.5 and 195.52.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide early notification of hazardous liquid and natural gas pipeline releases.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To disclose pertinent information to Federal, state, and local governmental agencies responsible for responding to incidents involving the release of hazardous materials to assist in efforts to protect life, health, safety, and environmental conditions; to enforce related Federal, state, and local regulations; or to evaluate or develop regulatory programs. To disseminate information on the transportation of hazardous materials to industrial, commercial, educational, scientific, research, or private entities to assess trends, risks, consequences, or other potentialities associated with the release of hazardous materials during transportation, or to analyze factors affecting hazardous materials incidents. To disseminate information to the public media for use in informing the public of issues related to the transportation of hazardous materials. The general routine uses in the prefatory statement apply to these records.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained on magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by all entered fields including the names of individuals included in the record.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to all computer files is controlled through user-name/password access procedures. The computer on which data is recorded is maintained in an access-controlled room in an access-controlled building.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained permanently on magnetic disk or tape.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For records collected by the Office of Hazardous Materials Transportation, RSPA, pursuant to 49 CFR 171.15: Information Systems Manager, Office of Hazardous Materials Transportation, DHM-63, Research and Special Programs Administration, United States Department of Transportation, Washington, DC 20590.
</p><p>For records collected by the Office of Pipeline Safety, RSPA, pursuant to 49 CFR 191.5, 49 CFR 195.52, 49 CFR 192.612, and 49 CFR 195.413: Information Resources Manager, Office of Pipeline Safety, DPS-21, Research and Special Programs Administration, United States Department of Transportation, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be directed to the appropriate system manager at the given address.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact the appropriate system manager at the given address for information on procedures for gaining access to records.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as record access procedures.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is provided by the individuals covered by this system; companies; Federal, state, and local governmental agencies; and other entities reporting releases of hazardous materials that occurred during transportation or that affect the environment.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RSPA-10</systemNumber>

<subsection type="systemName">Hazardous Materials Incident Written Report System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Department of Transportation, Research and Special Programs Administration, 400 Seventh Street, SW., Washington, DC, 20590, United States Department of Transportation, The John A. Volpe National Transportation Systems Center, Kendall Square, Cambridge, MA 02142.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals included in the system are those affected by releases of hazardous materials during transportation (including transportation by pipeline) whose names and other personal information may have been included in narrative descriptions of the incident.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of incidents involving the release of hazardous materials during transportation (including transportation by pipeline) submitted by the carrier pursuant to 49 CFR 171.16, 191.9, 191.15, 195.54, and 195.58.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 CFR 191.9 through 191.27 and 195.54, 195.55.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide written reports for hazardous liquid and natural gas pipeline releases, and annual reports for natural gas pipeline operator total mileage and description of operator’s system.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To disclose pertinent information to Federal, state, and local governmental agencies responsible for oversight of incidents involving the release of hazardous materials to assist in efforts to protect life, health, and safety; to enforce related Federal, state, and local regulations; or to evaluate or develop regulatory programs. To disseminate information on the transportation of hazardous materials to industrial, commercial, educational, scientific, research, or private entities to assess trends, risks, consequences, or other potentialities associated with the release of hazardous materials during transportation, or to analyze factors affecting hazardous materials incidents. To disseminate information to the public media for use in informing the public of issues related to the transportation of hazardous materials. The general routine uses in the prefatory statement apply to these records.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained on magnetic disk. Duplicate paper, microfilm or electronic image copies are also retained by RSPA in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Computer records are retrievable by all entered fields including the name of individuals included in the record. Paper, microfilm, and electronic image copies are not retrievable by individual name or other personal identifier except through use of the search capabilities of the computer records.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to all computer and electronic images are controlled through user-name/password access procedures. The computer on which data is recorded is maintained in an access-controlled room in an access-controlled building. Paper and microfilm copies are stored in a room locked during non-duty hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained permanently on magnetic disk or tape. Paper or microfilm copies are also retained permanently.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For records collected by the Office of Hazardous Materials Transportation, RSPA, pursuant to 49 CFR 171.16: Information Systems Manager, Office of Hazardous Materials Transportation, DHM-63, Research and Special Programs Administration, United States Department of Transportation, Washington, DC 20590. For records collected by the Office of Pipeline Safety, RSPA, pursuant to 49 CFR 191.9, 191.15, 195.54, or 195.58: Information Resources Manager, Office of Pipeline Safety, DPS-21, Research and Special Programs Administration, United States Department of Transportation, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be directed to the appropriate system manager at the given address.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Contact the appropriate system manager at the given address for information on procedures for gaining access to records.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Record access procedures."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is provided by individuals acting on behalf of the carriers that experience releases of hazardous materials during transportation (including transportation by pipeline).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/RSPA-11</systemNumber>

<subsection type="systemName"> Hazardous Materials Information Requests System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, Sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> United States Department of Transportation, Research and Special Programs Administration, 400 Seventh Street, SW., Washington, DC 20590; United States Department of Transportation, The John A. Volpe National Transportation Systems Center, Kendall Square, Cambridge, MA 02142.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals included in the system are those requesting information from the Hazardous Materials Information Systems, HMIS, or requesting the Research and Special Programs Administration, RSPA, publication, North American Emergency Response Guidebook.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Records of requests for information from governmental, commercial, or public media entities, or from private citizens.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 CFR Parts 191.9 through 191.27 and 195.54, 195.55.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> To provide written reports for hazardous liquid and natural gas pipeline releases, and annual reports for natural gas pipeline operator total mileage and description of operator’s system.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> To respond to requests for information maintained on the hazardous Materials Information System; to control the handling of such responses; and to provide statistical information on the offices’ responsibility for responding to such requests. To disseminate information concerning the availability of the North American Emergency Response Guidebook or revisions to it to interested parties in order to ensure that users of the Guidebook have the most current available guidance information. The general routine uses in the prefatory statement apply to these records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>These records are maintained on magnetic disk. Duplicate paper copies of recent reports are retained by RSPA offices in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Computer records are retrievable by all entered fields including the names of individuals included in the record. Paper copies are not retrievable by individual name or other personal identifier except through use of the search capabilities of the computer records.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Access to all computer files is controlled through user-name/password access procedures, which limit access to the files to authorized agency personnel and to contract personnel whose duties directly involve the creation and use of these files. The computer on which data is recorded is maintained in an access-controlled room in an access-controlled building. Paper copies are stored in a room locked during non-duty hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> Records are retained permanently on magnetic disk or tape. Paper copies are retained according to need in a room locked during non-duty hours, and disposed of as appropriate.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> For records maintained by the Office of Hazardous Materials Transportation, RSPA: Information Systems Manager, Office of Hazardous Materials Transportation, DHM-63, Research and Special Programs Administration, United States Department of Transportation, Washington, DC 20590.
</p><p>For records maintained by the Office of Pipeline Safety, RSPA: Information Resources Manager, Office of Pipeline Safety, DPS-21, Research and Special Programs Administration, United States Department of Transportation, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Inquiries should be directed to the appropriate system manager at the given address.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p> Contact the appropriate system manager at the given address for information on procedures for gaining access to records.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Same as record access procedures.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is provided by individuals, companies, and other entities requesting information from the HMIS or copies of the Emergency Response Guidebook.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
 </p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/SLS-151</systemNumber>
<subsection type="systemName">Claimants Under Federal Tort Claims Act.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of record is in the Office of the Chief Counsel for the Saint Lawrence Seaway Development Corporation, 400 7th Street, SW., Room 5424, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system contains information on all individuals presenting claims for damages to personal property, or personal injuries, or death resulting in connection with Corporation activities, other than claims by Federal Government employees under Federal Employees’ Compensation Act (5 U.S.C. 8102).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The information in the system consists of claims documents on which are recorded name, address, age and marital status of claimants and details of claims, documented evidence relevant to the claims provided by claimants, and relevant, internal Corporation investigation documents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 28 U.S.C. 2675 and 33 U.S.C. 5984(a)(4).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information will be used in evaluating claims, categories of users and the purposes of such uses.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used by Chief Counsel and other Federal government officials to determine allowability of claims.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Documents are stored as paper records in file folders stored in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by claimant’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are kept in locked file cabinets and are accessible only to the Chief Counsel and persons authorized by him.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are stored for an indefinite period of time.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, Saint Lawrence Seaway Development Corporation, 400 Seventh Street, SW., Room 5424, Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "System Manager."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Contest of these records will be directed to the Director, Office of Finance and Administration, Saint Lawrence Seaway Development Corporation, P.O. Box 520, Massena, NY 13662-0520.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained directly from claimants on Standard Form 95 and supporting documentation provided by claimants and relevant, internal Corporation investigation documents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/SLS-152</systemNumber>
<subsection type="systemName">Travel Voucher Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Sensitive, unclassified.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system of record is in the Office of Finance and Administration, P.O. Box 520, 180 Andrews Street, Massena, New York 13662-0520.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and consultants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Travel vouchers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 44 U.S.C. 3101, 33 U.S.C. 984(a)(4).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system integrates travel voucher records.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Voucher disbursement: GAO and independent audits.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper copies and magnetic media (CDs).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name and voucher number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are kept in locked file cabinets accessible to appropriate supervisor and his/her immediate assistants.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with Government Accountability Office and National Archives and Records Administration requirements. Most paper records are destroyed after a four year period. Paper records used for investigation and enforcement proceedings are maintained for a longer period of time. Electronic records are stored for an indefinite period of time.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Finance and Administration, Saint Lawrence Seaway Development Corporation, P.O. Box 520, 180 Andrews Street, Massena, N.Y. 13662-0520.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may inquire, in writing, to the System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system would come from Saint Lawrence Seaway Development Corporation records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-001</systemNumber>
<subsection type="systemName">Operating Personnel Files (Nonpermanent Records), ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>ICC Headquarters Bureaus and Offices, Washington, DC, and Regional Detached Offices (49 CFR part 1001).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>ICC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Working papers and documents developed during the course of an individual’s employment which are not permanently retained. These will include the Standard Form 7B (OF 4B), Employee Record Card, and nonofficial records generally limited to information on experience, education, training, special qualifications and skills, position descriptions, performance appraisals and conduct. The Regional Managers’ files may contain duplicate copies of official documents (SF 171, SF 50, etc.).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Personnel Manual Supplement 293-31.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>For the use of operating officials as a source of data to initiate requests for personnel actions, to plan and schedule employee training, to counsel employees on their performance, to establish a basis for proposing commendations or disciplinary actions, and to carry out their personnel management responsibilities in general. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage: </p><p>Maintained in individual file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Kept in locked file cabinets under direct control of responsible official.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained until employee leaves the agency through transfer or other separation and then forward to the Personnel Office where it is screened to insure that it contains no documents that should be permanently filed in the Official Personnel Folder, and then is destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Administrative Officer (Assistant), ICC
</p><p>Headquarters Bureaus and Officers, Washington, DC.
</p><p>Regional Managers and Officer-in-charge--Detached
</p><p>Offices
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employees and their supervisors.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-002</systemNumber>
<subsection type="systemName">National Defense Executive Reserve Files, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Recruitment and Assignment Files Bureau of Operations, Surface Transportation Board, 12th and Constitution Avenue, NW, Washington, DC 20423. Appointment Files Personnel Office, Surface Transportation Board, 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Letters and/or memorandums addressed to members of the Commission’s National Defense Executive Reserve or to staff involving recruitment of reservists.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Letters, Memorandum or NDER Forms 1, 2, and 3, or Form BOp D11 concerning reservists’ assignments or responsibilities in connection with the National Defense Executive Reserve program, letters of appointment and statement of understanding.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>EO 11179 and EO 11490.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Maintaining management control system of the Commission’s membership and staff responsibilities in connection therewith and of individuals selected to participate in the National Defense Executive Reserve program. The information in this system of records will be exchanged as a matter of routine use with the Federal Preparedness Agency, General Services Administration, in connection with both agencies’ responsibilities for administering the National Defense Executive Reserve and Emergency Preparedness programs, assigned by Executive Orders Nos. 11179, dated September 22, 1964, and 11490, dated October 30, 1969. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulations, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage: </p><p>File folders and card file, 3 inch x 5 inch cards, basic control of quarterly computer printouts, membership listing of National Defense Executive Reserves, listing names, addresses and employment information about each reservist.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Files maintained by individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Kept in locked file cabinets under control of responsible official.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Permanent for card file; correspondence and rosters, etc., three-year active file and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Recruitment and assignment files
</p><p>Bureau of Operations
</p><p>Assistant to the Director
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423
</p><p>
</p><p>Appointment files
</p><p>Director of Personnel
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-003</systemNumber>
<subsection type="systemName">Unit Medical Records, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Occupational Health Unit, ICC 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>ICC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains employee’s name, date of birth, address, telephone number, Bureau or Office where employed, name of person to contact in case of emergency, name of employee’s personal physician. Nurse’s Notes visits and treatment in the Health Unit, records pertaining to blood donations and individual records of physical examinations, laboratory test results, x-rays and other individual health records with pertinent medical opinions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Personnel Manual Supplement 792-1.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Maintained expressly for the well-being of employees in relation to work assignments. For use of Director of Personnel in providing counseling services to employees and agency officials. In the event that a system of records maintained by this agency to carry its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in the system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>Maintained in individual file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Kept in locked file, with access only by the Occupational Health Nurse and/or Physician.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained unit one year after the employee leaves the agency, and then destroyed. Upon separation, will be given to employee at his request or to his personal physician, if so desired.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Occupational Health Nurse
</p><p>Room 1414
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-004</systemNumber>
<subsection type="systemName">Automated Personnel and Payroll System, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Section of Systems Development, ICC, 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>ICC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains the name, social security number, employee number, date of birth, employment status, leave status, pay status, tax status, insurance status, saving bond and charity deductions, time and attendance data, and the organization of each ICC employee.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 12.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>File is used for the: Transfer of information to the Internal Revenue Service for wage, levy and tax requirements--transfer of information to the Treasury Department for completion of payroll processing--transfer of information to the American Federation of Government Employees, Graphic Arts International Union, and the Professional Association of the ICC for the processing of union dues--transfer of information to state and city revenue offices for tax unemployment processing--transfer of information to the Civil Service Commission for personnel requirements--employee separation and retirement processing--employee time attendance accounting--employee salary payment and deduction control--employee bond, charity and health benefits processing--employee leave control--employee parking assignment control--employee telephone directory--employee personnel action processing and control--Commission budget planning, monitoring and control--creation of internal management reports, summaries and work files which are located throughout the agency.
</p><p>In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute of particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcement implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance as set forth in legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>Maintained on magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in secure computer facility under the supervision of the tape librarian.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Fifty-two week retention for files. A five-year retention period for year-end files. At the end of each of these periods, files are destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>
</p><p>Chief Section of Systems Development
</p><p>Room B-411
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-005</systemNumber>
<subsection type="systemName">Case Status System (Formal Case Control), ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Section of System Development, ICC 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Administrative Law Judges and Attorney-Advisers who have been assigned to work on cases before the Commission--parties of record and parties to be advised of all proceedings.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains the various processing stages that case passes through as it is reviewed by the Commission--contains Administrative Law Judge and Attorney-Adviser names who are responsible for various processing stages of the case--contains the names of parties of record and parties to be advised of all proceedings--contain hearing locations, when applicable--contains carrier identity.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Commission directive.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Provides identification of all pending cases before the Commission--identifies older cases to expedite processing--identifies cases with normal time allowances--provides an area being processed within inventory of pending cases by stage of processing--identifies the responsible Administrative Law Judge or Attorney-Adviser and organizational unit responsible for various stages of case processing--identifies parties of record and parties to be advised of all proceedings for a given case--used to produce management reports located throughout the agency. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>Maintained on magnetic tape and computer disk files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by case and carrier identity and Administrative Law Judge or Attorney-Adviser name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in secure computer facility. Data base access is under the supervision of a data base administrator.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained on each case until it has been decided. The record is then transferred to an inactive history file for permanent retention.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>
</p><p>Chief, Section of System Development
</p><p>Room B-411
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Carrier(s) involved, and commission staff.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-006</systemNumber>
<subsection type="systemName">Correspondence and Management Control, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>ICC Headquarters Bureaus and Offices Washington, DC., and Regional Detached Offices (49 CFR part 1001).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Names of assignments with a control slip, including due dates for either individuals or sections within various organizational elements of the Commission covering letters, memoranda, or other inquiries for which responsibility to reply exists, normal business production transactions, time frames, on special projects, and all aspects of overall correspondence and workload control, as well as individual signed records for government property accountability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The overall Commission performance monitoring system incoporates a series of subsystems which identity the various measurements of productivity which are implicit in the operation of the Commission. Maintenance of records on the performance and the production of Branches, Sections, Offices and individual employees is necessary to enable the Commission effectively manage its work load. These records include the names of individuals assigned to specific activities, the dates of assignments, dates products received, name of signer for correspondence which is going out, and general evaluation criteria of the individual performance of the element being monitored.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 12, 18
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Control of the production of the total employee force of the Surface Transportation Board and assurance that productivity is achieved by the employees assigned individual organizational elements. Additionally, to maintain a suspense on specific actions being levied upon an individual to assure that the response is timely, as well as qualitative. Used for control of government property assuring individual accountability.
</p><p>In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in the Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in respose to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>Both card, suspense special forms, and computer-related assignment records, are maintained to control the overall system. Maintained in sequence by the organizational element and/or the individual assigned to a special task, as well as cross-referenced by the number of the task involved.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Maintained at supervisory levels on an informal basis with access prohibited outside of the Commission.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>One-year active operation and subsequently destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Managing Director
</p><p>Surface Transportation Board
</p><p>Room 2118
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-007</systemNumber>
<subsection type="systemName">Consumer Complaint System, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Public Information and Consumer Affairs Office, ICC, 12th and Constitution Avenue, NW, Washington, DC 20423. Headquarters, ICC Bureau and Offices, and Regional Detached Offices (49 CFR part 1001).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Letters received from consumers and/or shippers regarding the operation of the ICC or carriers subject to its regulations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include letters on virtually every subject. They are concentrated in three areas: Complaints from individual consumers on household goods shipments, complaints from travelers on rail passenger facilities, and complaints from passengers on motor passenger facilities. Additionally, information on general subjects of the operation of the Surface Transportation Board and, specifically, shipper complaints against carrier practices and/or tariffs are included in overall complaint files. Files generally are accessed by name of individual complaining or subject of the complaint or name of the carrier against which the complaint is tendered. Notice is given that when complaints generate an investigative file portions of this overall file are extracted and exempted under the provisions and notice provided in the publication of ICC VIII, Preliminary Investigative Files, and ICC IX, Inforcement Files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 12, 18.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To respond to complaints from individuals, to correlate information received from individuals to assure policies are developed supporting the overall public interest in the regulatory process, to provide information to carriers relative to shortcomings they are experiencing, and take informal compliance action, as well as to transfer the files to formal investigative or enforcement action, when justified. This is a public file available for public review under the terms of the Freedom of Information Act. Individuals submitting special complaint correspondence to the Commission, unless identifying their desire to remain anonymous, will not be protected from disclosure of the information contained within the complaint letter. In the event that a system of records maintained by this agency to carry its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in ths system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p><p>The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>In conventional file cabinets, alphabetically, by sender, and potentially by subject of complaint, dispersed for filing to office have primary operational use.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Maintained in alphabetical order, by complainant, with potential cross-index for identification of entity against which the complaint has been made, and further cross-reference by subject of complaint.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Minimal, since the files are public in nature.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Maintained for approximately two years and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>
</p><p>Public Information Officer, ICC
</p><p>12th and Constitution Avenue, NW, Washington, DC 20423
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Consumers and/or shippers.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-008</systemNumber>
<subsection type="systemName">Preliminary Investigative Files, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Operations, Surface Transportation Board, 12th and Constitution Avenue, NW, Washington, DC 20423, and Regional Detached Offices (49 CFR part 1001).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Suspected violators of the Interstate Commerce Act or ICC orders or regulations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These files contain information indicating or alleging that an individual or entity could be in violations of the Interstate Commerce Act. Such records could be arrest records from the various states received pursuant to Pub. L. 89-170, which allows cooperative agreements between the states and this Commission in the provision of information. For example, these files could contain warning letters involving alleged violations, miscellaneous correspondence, newspaper clippings, records of contacts with entities or individuals by Commission personnel, copies of preliminary investigation reports, and prior enforcement actions taken by the Surface Transportation Board or the courts because of violations of the Interstate Commerce Act.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 12
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used employees of the Surface Transportation Board to administer the Act, increase compliance with orders, regulations and statutes for the regulation of surface transportation, and initiate appropriate enforcement action.
</p><p>In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an a individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>Maintained in individual file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name of entity of individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Kept in locked file cabinets under direct control of responsible official.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Maintained for a minimum of five years and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>
</p><p>Washington, DC
</p><p>Director, Bureau of Operations
</p><p>Room 7115
</p><p>Surface Transportation Board
</p><p>12th and Constitution Ave. NW,
</p><p>Washington, DC 20423
</p><p>Regional Detached Offices:
</p><p>Regional Managers (49 CFR part 1001)
</p><p>Field Offices:
</p><p>Officers in Charge (49 CFR part 1001)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Author of letters.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Under the provisions of section (j)(2), this file is exempted from any part of section 5 U.S.C. 552(a), except Subsections (b), (c) (1), and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i). This material is collected in the process of investigating all potential violations of the Interstate Commerce Act, whether civil or criminal, and is exempted for the reasons expressed in 5 U.S.C. 552(b)(7). Under the provisions of section (k)(2), this file is exempted from Subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f). This material is collected in the process of investigating all potential violations of the Interstate Commerce Act, whether civil or criminal, and is exempted for the reasons expressed in 5 U.S.C. 552(b)(7).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-009</systemNumber>
<subsection type="systemName">Investigative and Enforcement Records, Cross-Indexed, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Enforcement (cross-indexed and central file) Surface Transportation Board, 12th and Constitution Avenue, NW, Washington, DC 20423, and ICC Regional Offices (investigative files with assigned geographical jurisdiction).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individual, corporation, partnership or sole proprietorship, subject to enforcement actions being taken by the Surface Transportation Board as a result of preliminary investigations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The central cross-index contains the name and address of individual, partnership, corporation, or sole proprietorship, and includes a cross-reference to the enforcement file containing the investigative reports, as well as other information gathered as part of the criminal prosecution and/or civil forfeiture action. The basic cross-reference file does not contain significant information other than the name and address of the entity involved, but the cross-reference to the investigative file, which is maintained by case number, does provide access based upon individual name. Individual investigative and enforcement files are maintained by enforcement file number, both at Headquarters and Regions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C 12.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Used to monitor and control the progress of enforcement actions, both within the Commission for civil forfeitures and in relationship with the Department of Justice on those actions that are going through the courts. The central cross index is the only practical method for access to the appropriate file based upon any individual identifier. Actual file information is used for prosecution of civil and criminal actions. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant, records in the system of records may be referred as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, or regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>Maintained on folding 5 inch by 8 inch index cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual, partnership, corporation, or sole proprietorship (index). Actual files retrieved by enforcement file number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in a special room of the Bureau of Enforcement with Commission employees present during all duty hours (index).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Cards are maintained in the active cross-reference and indexing file while the file is open and transferred to the closed card section after the file is concluded.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>
</p><p>Assistant Director
</p><p>Bureau of Enforcement
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Preliminary investigative files (ICC VIII).
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>Under the provisions of section (j)(2), this file is exempted from any part of  5 U.S.C. 552(a) except Subsections (b), (c) (l) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10) and (11), and (i). This material is collected in the process of investigating all potential violations of the Interstate Commerce Act, whether civil or criminal, and is exempted for the reasons expressed in 5 U.S.C. 552(b)(7). Under the provisions of section (k)(2) this file is exempted from subsections (c)(3), (d), (e)(4)(G), (l) and (f). This material is collected in the process of investigating all potential violations of the Interstate Commerce Act, whether civil or criminal, and is exempted for the reasons expressed in 5 U.S.C. 552(b)(7).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-010</systemNumber>
<subsection type="systemName">ICC Employee Parking Permit Applications for Carpools, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Section of Administrative Services, ICC, 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All individuals applying for, or assigned, parking facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>ICC Form MD-21, Revised March 1975, Surface Transportation Board, Application for Parking Space, Contents: Carpool member names, home address, office telephone number, bureau or office, service computation date, vehicle license number, distance between residence and ICC and the name of the employer.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>FDMR Temporary Regulations D-47, May 22, 1974.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Use is to maintain control of assigned parking spaces. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order is issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>Maintained on 5 inch by 8 inch cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by location of parking space, number of carpool members and order of parking permit number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Secured in locked metal, lateral file cabinet under the supervision of the space and services unit.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Cards are maintained for a three-year period and then discarded.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>
</p><p>Chief, Building Services, Space Management Branch
</p><p>Room 1315
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals seeking parking facilities.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-011</systemNumber>
<subsection type="systemName">ICC Indentification System File.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Surface Transportation Board, Section of Administrative Services, 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>A. All ICC Headquarters employees.
</p><p>B. All nongovernment employees requiring access to office space occupied in the ICC Headquarters Building in Washington, DC.
</p><p>C. All ICC employees issued investigative credentials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>
</p><p>A. Name, date of birth, social security number.
</p><p>B. Name, organization (firm), social security number.
</p><p>C. Name, title, Bureau or Office, credential number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 CFR 1000.5.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Control of ICC Identification System. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, to relevant records in the system of records may be referred, as a routine use, to the appropriate agency whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>A. 8 inch by 10 inch log book. B. 5 inch by 8 inch sheets. C. 5 inch by 8 inch sheet.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>A. Indexed by date issued. B. Indexed by organization and date issued. C. Indexed by Bureau or Office and credential number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All three segments of the identification system are stored in the Section of Administrative Services under the supervision of the Space and Services Unit.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>A. Maintained two years after completion of log book, then destroyed. B. Maintained for two years after which cards are destroyed. C. Maintained until credential is returned and destroyed or marked retired upon separation of employee. Inactive records are stored two years and discarded.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>
</p><p>Chief, Building Services, Space Management Branch
</p><p>Section of Administrative Services
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-012</systemNumber>
<subsection type="systemName">Employee Travel Records, ICC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Budget and Fiscal Office, ICC, 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>ICC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The record consists primarily of a series of standard and Commission forms and index file cards designed to record pertinent travel information. The information usually includes the employee’s name, address, and organization, the mode, purpose, dates and places of travel, the method and amount of reimbursement and the amount of travel advance outstanding.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 18.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The records are available for any use by any person. The Commission uses these records to establish approval for travel on official business, the reimbursement of the employee for approved expenses, control of annual budget estimates, input to the Commission’s internal accounting system and periodic and special reports required by agencies outside the Commission, and the compilation of information for internal management purposes. Portions of the file are made available to Commission management personnel for monitoring assigned functional and geographical areas of responsibility. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>Maintained in individual file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Kept in locked file cabinet under supervision of Budget and Fiscal Officer.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed in accordance with GSA retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>
</p><p>Chief, Budget and Fiscal Office
</p><p>Room 1330
</p><p>Surface Transportation Board
</p><p>12th and Constitution Avenue, NW,
</p><p>Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-0013</systemNumber>
<subsection type="systemName">Identification and Measurement of Minority and Female Owned Motor Carriers.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>ICC Headquarters, Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Minority and female owned motor carriers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Questionnaires are mailed to all ICC regulated carriers and to each new applicant for authority. This data is compiled into a register which serves as a useful means of communicating with minority firms already in or interested in entering the trucking business.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 553 and 49 U.S.C. 10101 and 10321.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>This information will be made available to the Commission and the Congress, as well as to other agencies and organizations, to assist in designing and delivering programs to address the specific needs of these firms. Participation in this data collection program is voluntary.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>Maintained on magnetic tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Kept in locked file cabinet under direct control of responsible official.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>To be retained for an unlimited period of time.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Section of Systems Development, B-411, Surface Transportation Board, 12th and Constitution Avenue NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Licensees and applicants.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-0014</systemNumber>
<subsection type="systemName">Fee Billing and Collection System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>
</p><p>Surface Transportation Board, Budget and Fiscal Office, Room 1330, 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>
</p><p>Individuals or entities that hold fee billing accounts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>
</p><p>Individual or entities submit Form ICC-1032 to request establishment of an account for fee billing purposes. Files contain a record of charges, including applicable interest, penalties and administrative charges and payments for fee billing accounts. File include correspondence and other documentation relating to collection activities of the ICC. The files may include financial information obtained from credit bureaus of developed by ICC field staff.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>
</p><p>The authority for maintenance of the system is found in 49 USC 10321, 31 USC 3711 et seq. and 9701.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>
</p><p>Maintaining a recordkeeping and accounting system to record changes, including applicable interest, penalties and administrative charges, and payments for fee billing accounts.
</p><p>The information in the system of records may be provided to other federal agencies and entities including but not limited to the Internal Revenue Service, the General Accounting Office, and the Department of Justice. The information also may be provided to credit bureaus and debt collection contractors, as authorized by the Debt Collection Act of 1982, 31 USC 3711, et seq.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>
</p><p>The Budget and Fiscal files consist of paper records maintained in folders, and on automated data storage devices and magnetic computer discs Files are secured at all times.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>
</p><p>Indexed in data base by account number and name of account holder. Paper records filed by account number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>
</p><p>Access to the records is limited to authorized staff in the Budget and Fiscal Office and to other authorized officials or employees of the ICC on a need-to-know basis as determined by the Budget and Fiscal Office. All records are kept in limited access areas during duty hours and in locked files at all other times.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>
</p><p>To be retained for 5 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Surface Transportation Board, Chief, Budget and Fiscal Office, Room 1330, 12th and Constitution Avenue, NW, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See 49 CFR part 1007.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>
</p><p>See 49 CFR part 1007.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>
</p><p>See 49 CFR part 1007.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>
</p><p>Account holders, credit bureaus, ICC field staff.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>
</p><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/STB 32-20-0015</systemNumber>
<subsection type="systemName">OIG Complaint and Investigative Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>
</p><p>OIG, ICC. Room 2121, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>
</p><p>Individuals involved in complaints reported to and investigations conducted by the OIG relating to the programs and operations of the ICC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>
</p><p>Files containing information relevant to complaints and investigations. Files include all relevant correspondence, internal staff memoranda, copies of all subpoenas issued, affidavits, witness statements, transcripts of testimony and accompanying exhibits, working papers of the staff, and any other reports, documents, and records. These records are used as a basis for the issuance of subpoenas, suitability determinations, and civil, criminal, and administrative actions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>
</p><p>The authority for maintenance of the system is found under the Inspector General Act Amendments of 1988, Pub. L. 100-504, 102 Stat. 251 (amending 5 U.S.C. App. 3 (1978)).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>
</p><p>In addition to the disclosures generally permitted under 5 U.S.C. 552a(b), these records or information in these records may specifically be disclosed pursuant to 5 U.S.C. 552a(b)(3) as follows, provided that no routine use specified herein shall be construed to limit or waive any other routine use specified herein:
</p><p>(1) To other agencies, offices, establishments, and authorities, whether federal, state, local, foreign, or self-regulatory (including, but not limited to, organizations such as professional associations or licensing boards), authorized or with the responsibility to investigate, litigate, prosecute, enforce, or implement a statute, rule, regulation, or order, where the record or information, by itself or in connection with other records or information:
</p><p>(a) Indicates a violation or potential violation of law, whether criminal, civil, administrative, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, or
</p><p>(b) Indicates a violation or potential violation of a professional, licensing, or similar regulation, rule or order, or otherwise reflects on the qualifications or fitness of an individual who is licensed or seeking to be licensed;
</p><p>(2) To any source, private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of a legitimate investigation or audit;
</p><p>(3) To agencies, offices, or establishments of the executive, legislative, or judicial branches of the federal or state government:
</p><p>(a) Where such agency, office, or establishment has an interest in the individual for employment purposes, including a security clearance or determination as to access to classified information, and needs to evaluate the individual’s qualifications, suitability, or loyalty to the United States Government, or
</p><p>(b) Where an agency, office, or establishment conducts an investigation of the individual for purposes of granting a security clearance, or making a determination of qualifications, suitability, or loyalty to the United States Government or access to classified information or restricted areas, or
</p><p>(c) Where the records or information in those records are relevant and necessary to a decision with regard to the hiring or retention of an employee or disciplinary or other administrative action concerning the employee, or
</p><p>(d) Where disclosure is requested in connection with the award of a contract or other determination relating to a government procurement, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency’s decision on the matter, including but not limited to, disclosure to any Federal agency responsible for considering suspension or debarment action where such record would be germane to a determination of the propriety or necessity of such action, or disclosure to the United States General Accounting Office, the General Services Administration Board of Contract Appeals, or any other Federal contract board of appeals in cases relating to an agency procurement;
</p><p>(4) To the Office of Personnel Management, the Office of Government Ethics, the Merit Systems Protection Board, the Office of Special Counsel, the Equal Employment Opportunity Commission, or the Federal Labor Relations Authority or its General Counsel, of records or portions thereof relevant and necessary to carry out their authorized functions, such as, but not limited to, rendering advice requested by the OIG, investigations of alleged or prohibited personnel practices (including unfair labor or discriminatory practices), appeals before official agencies, offices, panels or boards, and authorized studies or reviews of civil service or merit systems or affirmative action programs;
</p><p>(5) To independent auditors or other private firms with which the OIG has contracted to carry out an independent audit or investigation, or to analyze, collate, aggregate or otherwise refine data collected in the system of records, subject to the requirement that such contractors shall maintain Privacy Act safeguards with respect to such records;
</p><p>(6) To any authorized component of the ICC, the Department of Justice, or other law enforcement authority, and for disclosure by such parties:
</p><p>(a) To the extent relevant and necessary in connection with litigation in proceedings before a court or other adjudicative body, where (i) the United States is a party to or has an interest in the litigation, including where the ICC, or an ICC component, or an ICC official or employee in his or her official capacity, or an individual ICC official or employee whom the Department of Justice has agreed to represent, is or may likely become a party, and (ii) the ligation is likely to affect the agency or any component thereof, or
</p><p>(b) For purposes of obtaining advice, including advice concerning the accessibility of a record or information under the Privacy Act or the Freedom of Information Act:
</p><p>(7) To the National Archives and Record Administration for records management inspections conducted under authority of 44 U.S.C. 2904 and 2096;
</p><p>(8) To a Congressional office from the record of a subject individual in response to an inquiry from the Congressional office made at the request of the individual, but only to the extent that the record would be legally accessible to that individual;
</p><p>(9) To any direct recipient of federal funds, such as a contractor, where such record reflects serious inadequacies with a recipient’s personnel and disclosure of the record if for purpose of permitting a recipient to take corrective action beneficial to the Government;
</p><p>(10) To debt collection contractors for the purposes of collecting debts owed to the Government, as authorized under the Debt Collection Act of 1982, 31 U.S.C. 3718, and subject to applicable Privacy Act safeguards;
</p><p>(11) To a grand jury pursuant either to a federal or state grand jury subpoena, or to a prosecution request that such record be released for the purposes of its introduction to a grand jury where subpoena or request has been specifically approved by a court;
</p><p>(12) To OMB for the purposes of obtaining advice regarding ICC obligations under the Privacy Act or
</p><p>(13) To the Secretary of the ICC for the purpose of placing any ex parte communication, which has not already been reported to the Secretary pursuant to 49 CFR 1102.2(e), in the correspondence section of the appropriate public docket.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>
</p><p>Storage:</p><p>
</p><p>The OIG files consist of paper records maintained in binders or folders, and on automated data storage devices. Files are secured at all times.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>
</p><p>Indexed on disk by case number. Paper records are filed numerically by case number. At this time, records are not cross-indexed by name and/or by subject but are expected to be retrieved in this fashion in the near future.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>
</p><p>Access control:
</p><p>Access to the records is limited to authorized staff in OIG and to other authorized officials or employees of ICC on a need-to-know basis as determined by the OIG. All records are kept in limited access areas during duty hours and in locked files at all other times.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>
</p><p>To be retained for an unlimited period of time.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Inspector General, OIG, ICC, Room 2121, Washington, DC 20423.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>
</p><p>See 49 CFR part 1007.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>
</p><p>Information in these records is obtained from all individuals and entities who may assist OIG in evaluating complaints and conducting investigations authorized by Pub. L. 100-504.
</p></xhtmlContent></subsection>
<subsection type="systemsExempted"><xhtmlContent><p>
</p><p>This system is exempted from 5 U.S.C. 552a, except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11) and (i), under 552a(j)(2) to the extent the system of records pertains to the enforcement of criminal laws; and is exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) under 5 U.S.C. 552a(k)(2), to the extent the system of records consists of investigatory materials compiled for law enforcement purposes, other than that material within the scope of the exemption at 5 U.S.C. 552a(j)(2).
</p><p>5 U.S.C. App. 3 (1978) prohibits disclosure by the OIG of the identity of any employee, without the consent of the employee, who submits a complaint or provides information concerning the possible existence of an activity constituting a violation of law, rules or regulations, or mismanagement, gross waste of funds, abuse of authority, or a substantial and specific danger to the public health or safety.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSA-001</systemNumber>
<subsection type="systemName">Transportation Security Enforcement Record System (TSERS).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained in the Office of Chief Counsel, the Office of the Associate Under Secretary for Aviation Operations, and the Office of the Associate Under Secretary for Inspection, Transportation Security Administration (TSA), Department of Transportation, 400 7th Street, SW., Washington, DC 20590. Records will also be maintained at the various TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Owners, operators, and employees in all modes of transportation for which TSA has security-related duties; witnesses; passengers undergoing screening of their person or property; and individuals against whom investigative, administrative, or legal enforcement action has been initiated for violation of certain Transportation Security Administration Regulations (TSR), relevant provisions of 49 U.S.C. chapter 449, or other laws.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information related to the screening of passengers and property and the investigation or prosecution of any alleged violation, including name of and demographic information about alleged violators and witnesses; place of violation; Enforcement Investigative Reports (EIRs); security incident reports, screening reports, suspicious-activity reports and other incident or investigative reports; statements of alleged violators and witnesses; proposed penalty; investigators’ analyses and work papers; enforcement actions taken; findings; documentation of physical evidence; correspondence of TSA employees and others in enforcement cases; pleadings and other court filings; legal opinions and attorney work papers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114(d), 44901, 44903, 44916, 46101, 46301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are created in order to maintain a civil enforcement and inspections system for all modes of transportation for which TSA has security related duties. They may be used, generally, to identify, review, analyze, investigate, and prosecute violations or potential violations of transportation security laws.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Furnish responses to queries from Federal, State, tribal, territorial, and local law enforcement and regulatory agencies, both foreign and domestic, regarding individuals who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(2) Furnish information to airport operators, aircraft operators, and maritime and land transportation operators about individuals who are their employees, job applicants, or contractors, or persons to whom they issue identification credentials, or grant clearances to secured areas in transportation facilities.
</p><p>(3) Disclose information to a Federal, State, or local agency, maintaining a civil, criminal or other relevant enforcement information or other pertinent information, that has requested information relevant to or necessary to the requesting agency’s or the bureau’s hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit.
</p><p>(4) Furnish information to the news media in accordance with the guidelines contained in 28 CFR 50.2, which relate to civil and criminal proceedings.
</p><p>(5) Furnish information to the Department of State and the Intelligence Community to further those agencies’ efforts with respect to individuals who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(6) Provide information or records, when appropriate, to international and foreign governmental authorities in accordance with law and formal or informal international agreement.
</p><p>(7) To any person performing a contract for TSA to the extent necessary to perform the contract.
</p><p>(8) To any agency or instrumentality charged under applicable law with the protection of the public health or safety under exigent circumstances where the public health or safety is at risk.
</p><p>(9) To provide information contained in the records to third parties during the course of any law enforcement investigation into violations or potential violations of transportation security laws to the extent necessary to obtain information pertinent to the investigation.
</p><p>(10) To the Department of Justice, United States Attorney’s Office, or other Federal agencies for further collection action on any delinquent debt when circumstances warrant.
</p><p>(11) To a debt collection agency for the purpose of debt collection. See also DOT Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Privacy Act information may be reported to consumer reporting agencies pursuant to 5 U.S.C. 552a(b)(12) collecting on behalf of the United States Government.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on paper and in computer-accessible storage media. Records are also stored on microfiche and roll microfilm.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, address, social security account number, administrative action or legal enforcement numbers, or other assigned identifier of the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to TSA working and storage areas is restricted to DOT employees on a "need to know" basis. Strict control measures are enforced to ensure that access to classified and/or sensitive information in these records is also based on "need to know." Electronic access is limited by computer security measures that are strictly enforced. Generally, TSA file areas are locked after normal duty hours and the facilities are protected from the outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>National Archives and Records Administration approval is pending for the records in this system. Paper records and information stored on electronic storage media are maintained within TSA for 5 years and then forwarded to Federal Records Center. Records are destroyed after 10 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Information Systems Program Manager, Office of the Chief Counsel, Transportation Security Administration, GSA Regional Office Building Room 5002, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals who wish to determine whether this system of records contains information about them should contact the System Manager at the above address. Inquiries should include the individual’s full name, social security number, and return address.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure." Individuals requesting access must comply with the DOT’s Privacy Act regulations on verification of identity (49 CFR 10.37).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from the alleged violator, TSA employees or contractors, witnesses to the alleged violation or events surrounding the alleged violation, other third parties who provided information regarding the alleged violation, state and local agencies, and other Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSA-002</systemNumber>
<subsection type="systemName">Transportation Workers Employment Investigations System (TWEI).
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the offices of the Transportation Security Administration (TSA), Department of Transportation (DOT), 400 7th Street, SW., Washington, DC 20590. Some records may also be maintained at the offices of a TSA contractor, or in TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>a. Individuals, other than employees of Federal, State, tribal, territorial, and local governments (including law enforcement officers), who require or seek access to airport sterile areas; have unescorted access authority to a security identification display area (SIDA); have authority to grant others unescorted access to a SIDA; are seeking unescorted access authority to a SIDA; are seeking to have authority to grant others unescorted access to a SIDA; have regular escorted access to a SIDA; or are seeking regular escorted access to a SIDA.
</p><p>b. Individuals who have or are seeking responsibility for screening passengers or carry-on baggage, and those individuals serving as immediate supervisors and the next supervisory level to those individuals, other than employees of the TSA who perform or seek to perform these functions.
</p><p>c. Individuals who have or are seeking responsibility for screening checked baggage or cargo, and their immediate supervisors, other than employees of the TSA who perform or seek to perform these functions.
</p><p>d. Individuals who have or are seeking the authority to accept checked baggage for transport on behalf of an aircraft operator that is required to screen passengers.
</p><p>e. Pilots, flight engineers, flight navigators, and flight attendants assigned to duty in an aircraft during flight time for an aircraft operator that is required to adopt and carry out a security program.
</p><p>f. Individuals, other than employees of Federal, State, tribal, territorial, and local governments, who have or are seeking access to a transportation facility in the maritime or land transportation system.
</p><p>g. Other individuals who are connected to the transportation industry for whom TSA may be required by statute to conduct background investigations to provide an adequate level of transportation security.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>TSA’s automated system may contain any or all of the following: (a) Name; (b) social security number; (c) date of birth; (d) submitting office number of the airport, aircraft operator, or maritime or land transportation operator submitting the individual’s information; (e) OPM case number; (f) other data as required by form FD 258 (fingerprint card); (g) dates of submission and transmission of the information, as necessary to assist in tracking submissions, payments, and transmission of records; (h) identification records obtained from the Federal Bureau of Investigation (FBI), which are compilations of criminal history record information pertaining to individuals who have criminal fingerprints maintained in the FBI’s Fingerprint Identification Records System (FIRS); (i) data gathered from foreign governments that is necessary to address security concerns in the aviation, maritime, or land transportation systems; (j) information provided by the Central Intelligence Agency and other members of the Intelligence Community, and (k) other information provided by the information systems of other Federal, State, tribal, and local governmental agencies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C.  114 and 44936.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To facilitate the performance of employment investigations, including fingerprint-based criminal history records checks (CHRCs), which Federal law and TSA regulations require for the individuals identified in "Categories of individuals covered by the system" above.
</p><p>a. To assist in the management and tracking of the status of employment investigations.
</p><p>b. To permit the retrieval of the results of employment investigations, including criminal history records checks and searches in other governmental identification systems, performed on the individuals covered by this system.
</p><p>c. To permit the retrieval of information from other law enforcement and intelligence databases on the individuals covered by this system.
</p><p>d. To track the fees incurred and payment of those fees by the airport operators, aircraft operators, and maritime and land transportation operators for services related to the employment investigations.
</p><p>e. To facilitate the performance of other investigations that TSA may be required by statute to complete to provide an adequate level of transportation security.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Furnish information or records, electronically or manually, to contractors, grantees, experts, consultants, agents and other non-DOT employees performing or working on a contract, service, grant, cooperative agreement, or other assignment from the Federal government for the purpose of providing consulting, data processing, clerical, or secretarial functions to assist TSA in all functions relevant to the employment investigations.
</p><p>(2) Furnish to airport operators, aircraft operators, and maritime and land transportation operators that are required to conduct an employment investigation, or to be informed of the results of an employment investigation, for individuals covered by this system pursuant to 49 U.S.C. 114 and 44936 and regulations in 49 CFR chapter XII.
</p><p>(3) Furnish to the Office of Personnel Management (OPM), the FBI, and other government agencies, as necessary, to conduct the employment investigations and to facilitate payment and accounting.
</p><p>(4) Furnish responses to queries from Federal, State, tribal, territorial, and local law enforcement and regulatory agencies, both foreign and domestic, regarding individuals who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(5) Furnish information to individuals and organizations, in the course of enforcement efforts, to the extent necessary to elicit information pertinent to the investigation, prosecution, or enforcement of civil or criminal statutes, rules, regulations or orders regarding individuals who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(6) Disclose information to a Federal, State, tribal, territorial, or local agency maintaining a civil, criminal or other relevant enforcement information or other pertinent information, that has requested information relevant to or necessary to the requesting agency’s or the bureau’s hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit.
</p><p>(7) Furnish information to the news media in accordance with the guidelines contained in 28 CFR 50.2, which relate to civil and criminal proceedings.
</p><p>(8) Furnish information to the Department of State and the Intelligence Community to further those agencies’ efforts with respect to individuals who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(9) Provide information or records, when appropriate, to international and foreign governmental authorities in accordance with law and formal or informal international agreement.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>In electronic storage media and hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>TSA system administrators can retrieve information by the unique "submitting office number" of the aviation, maritime, or land transportation operator that submitted the individual’s information, the individual’s social security number, individual’s name and date of birth, the date the request was scheduled for processing, date the investigation is closed, and the OPM case number.
</p><p>Aviation, maritime, and land transportation operators retrieve the status and results of the employment investigations only for those individuals whose information they have submitted, and can do so electronically. Aviation, maritime, and land transportation operators use their submitting office number combined with the social security number of the requested subject to retrieve an individual’s records.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All records are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. These safeguards include restricting access to those authorized with a need-to-know; using locks, alarm devices, and passwords; and encrypting data communications.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>National Archives and Records Administration approval is pending for the records in this system. The request is for all records to be purged one year after receipt by TSA.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Security, Office of Finance and Administration, TSA, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedures" above. Provide your full name and a description of information that you seek, including the time frame during which the record(s) may have been generated. Individuals requesting access must comply with the DOT’s Privacy Act regulations on verification of identity (49 CFR 10.37).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedures," and "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is collected from individuals subject to a criminal history records check under 49 U.S.C. 114 and 44936 and 49 CFR chapter XII.  Information is also collected from aviation, maritime, and land transportation operators. Information is also collected from domestic and international intelligence sources, including the Central Intelligence  Agency. The sources of information in the criminal history records obtained from the FBI are set forth in the Department of Justice Privacy  Act system of records notice "JUSTICE/FBI-009."
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and  (k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSA-004</systemNumber>
<subsection type="systemName">Personnel Background Investigation File System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the offices of the Transportation Security  Administration (TSA), Department of Transportation (DOT), 400 7th Street,  SW., Washington, DC 20590. Some records may also be maintained at the offices of a TSA contractor, or in TSA field offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former TSA employees, applicants for TSA employment, and  TSA contract employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains an index reference record used to track the status of an applicant’s background investigation, standard form 85P--Questionnaire For Public Trust Positions," investigative summaries and compilations of criminal history record checks, and administrative records and correspondence incidental to the background investigation process.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 3301, 3302; 49 U.S.C. 114, 44935; and Executive Orders 10,450, 10,577, and 12,968.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system will maintain investigative and background records used to make suitability and eligibility determinations for the individuals listed under "Categories of individuals."
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>1. Except as noted in Question 14 of the Questionnaire for Public Trust  Positions, when a record on its face, or in conjunction with other records, indicates a violation or potential violation of law, whether civil, criminal, or regulatory in nature, and whether arising by general statute, particular program statute, regulation, rule, or order issued pursuant thereto, the relevant records may be disclosed to the appropriate Federal, State, tribal, territorial, foreign, local, or other public authority responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation or order.
</p><p>2. To any source or potential source from which information is requested in the course of an investigation concerning the hiring or retention of an employee or other personnel action, or the issuing or retention of a security clearance, contract, grant, license, or other benefit, to the extent necessary to identify the individual, inform the source of the nature and purpose of the investigation, and to identify the type of information requested.
</p><p>3. To contractors, grantees, experts, consultants, or volunteers when necessary to perform a function or service related to this record for which they have been engaged. Such recipients are required to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
</p><p>4. To contractors, grantees, experts, consultants or volunteers to communicate the results of a suitability and/or eligibility determination for their employee or contractor, or for any other individual performing work for the agency under their direction and control.
</p><p>5. To any agency or instrumentality charged under applicable law with the protection of the public health or safety under exigent circumstances where the public health or safety is at risk.
</p><p>See also Department of Transportation Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on paper and in computer-accessible storage media. Records are also stored on microfiche and roll microfilm.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, address, and social security account number or other assigned tracking identifier of the individual on whom the records are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to TSA working and storage areas is restricted to DOT employees on a "need to know" basis. Strict control measures are enforced to ensure that access to these records is also based on "need to know." Generally, TSA file areas are locked after normal duty hours and the facilities are protected from the outside by security personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records and information stored on electronic storage are destroyed upon notification of death or not later than 5 years after separation or transfer of employee or no later than 5 years after contract relationship expires, whichever is applicable.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Security, Transportation Security Administration, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>To determine whether this system contains records relating to you, write to the System Manager identified above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Same as "Notification Procedures" above. Provide your full name and a description of information that you seek, including the time frame during which the record(s) may have been generated. Individuals requesting access must comply with the Department of Transportation’s Privacy Act regulations on verification of identity (49 CFR 10.37).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Same as "Notification Procedure," and "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from the job applicant on the Questionnaire For Public Trust Positions, law enforcement and intelligence agency record systems, publicly-available government records and commercial data bases.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Portions of this system are exempt under 5 U.S.C. 552a(k)(5).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSA-010</systemNumber>
<subsection type="securityClassification"><xhtmlContent><p>Classified, sensitive.
</p></xhtmlContent></subsection>
	<subsection type="systemName">Aviation Security Screening Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Office of National Risk Assessment, Transportation Security Administration (TSA), 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals traveling to, from, or within the United States (U.S.) by passenger air transportation; individuals who are deemed to pose a possible risk to transportation or national security, a possible risk of air piracy or terrorism, or a potential threat to airline or passenger safety, aviation safety, civil aviation, or national security.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Passenger Name Records (PNRs) and associated data; reservation and manifest information of passenger carriers and, in the case of individuals who are deemed to pose a possible risk to transportation security, record categories may include: risk assessment reports; financial and transactional data; public source information; proprietary data; and information from law enforcement and intelligence sources.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 114, 44901, and 44903.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system will be used to facilitate the conduct of an aviation security-screening program, including risk assessments to ensure aviation security.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information may be disclosed from this system as follows:
</p><p>(1) To appropriate Federal, State, territorial, tribal, local, international, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where TSA becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(2) To contractors, grantees, experts, consultants, agents and other non-Federal employees performing or working on a contract, service, grant, cooperative agreement, or other assignment from the Federal government for the purpose of providing consulting, data processing, clerical, or other functions to assist TSA in any function relevant to the purpose of the system.
</p><p>(3) To Federal, State, territorial, tribal, and local law enforcement and regulatory agencies--foreign, international, and domestic--in response to queries regarding persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(4) To individuals and organizations, in the course of enforcement efforts, to the extent necessary to elicit information pertinent to the investigation, prosecution, or enforcement of civil or criminal statutes, rules, regulations or orders regarding persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(5) To a Federal, State, or local agency, where such agency has requested information relevant or necessary for the hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit.
</p><p>(6) To the news media in accordance with the guidelines contained in 28 CFR 50.2, which relate to civil and criminal proceedings.
</p><p>(7) To the Department of State, or other Federal agencies concerned with visas and immigration, and to agencies in the Intelligence Community, to further those agencies’ efforts with respect to persons who may pose a risk to transportation or national security; a risk of air piracy or terrorism or a threat to airline or passenger safety; or a threat to aviation safety, civil aviation, or national security.
</p><p>(8) To international and foreign governmental authorities in accordance with law and formal or informal international agreements.
</p><p>(9) In proceedings before any court, administrative, adjudicative, or tribunal body before which TSA appears, when (a) TSA or (b) any employee of TSA in his/her official capacity, or (c) any employee of TSA in his/her individual capacity where TSA has agreed to represent the employee, or (d) the U.S. or any agency thereof, where TSA determines that the proceeding is likely to affect the U.S., is a party to the proceeding or has an interest in such proceeding, and TSA determines that use of such records is relevant and necessary in the proceeding, provided, however, that in each case, TSA determines that disclosure of the records in the proceeding is a use of the information contained in the records that is compatible with the purpose for which the records were collected.
</p><p>(10) To airports and aircraft operators, to the extent the disclosure is deemed required in the interests of transportation security.
</p><p>(11) To the National Archives and Records Administration (NARA) in connection with records management inspections conducted under the authority of 44 U.S.C. 2904 and 2906.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on computer at the Office of National Risk Assessment in a secure facility. The records are stored on magnetic disc, tape, digital media, and CD-ROM, and may be retained in hard copy format in secure file folders. The computer system from which records could be accessed is policy and security based with real-time auditing.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data are retrievable by the name or other identifying information of the individual, such as flight information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information in this system is safeguarded in accordance with applicable rules and policies, including the Department’s automated systems security and access policies. The computer system from which records could be accessed is policy and security based, meaning the access is limited to those individuals who require it to perform their official duties. It also maintains real-time auditing of individuals who access the system. Classified information is appropriately stored in a secured facility, databases, and containers and in accordance with other applicable requirements, including those pertaining to classified documents.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>A request is pending for NARA approval for the retention and disposal of records in this system. For individuals who are deemed to pose a possible risk to transportation security, TSA is requesting that those records may be maintained for up to 50 years. For all other individuals, those records will be purged after completion of the individual’s air travel to which the record relates.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of National Risk Assessment, TSA, 400 7th St., SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>None. Pursuant to 5 U.S.C. 552a(k), this system of records may not be accessed for purposes of determining if the system contains a record pertaining to a particular individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Although the system is exempt from record access procedures pursuant to 5 U.S.C. 552a(k), U.S. citizens and Permanent Resident aliens may request access to records containing information they provided by sending a written request to the System Manager. In the case of air passengers, this data is contained in the passenger name record (PNR). The request must identify the system from which the individual is seeking records, and include a general description of the records sought, the requester’s full name, current address and date and place of birth. The request must be signed and either notarized or submitted under penalty of perjury.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>U.S. Citizens or Permanent Resident Aliens who wish to contest, or seek amendment of, records containing information they provided, which is maintained in the system, should direct their written requests to the system manager listed above. Requests should clearly and concisely state what information is being contested, the reason(s) for contesting it, and the proposed amendment to the record. The request must also contain the requester’s full name, current address and date and place of birth. The request must be signed and either notarized or submitted under penalty of perjury.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system contains investigative material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1) and (k)(2).
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSC-700</systemNumber>
<subsection type="systemName"> Automated Management Information System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p> Department of Transportation, DOT, Volpe National Transportation Systems Center, Volpe, Computer Center, DTS-23, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p> All Volpe employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p> Contains job related information associated with the following applications: ADP services, property management, rocurement requests, contract information, travel information, program and related job plans, space utilization, and other pertinent management information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p> 49 U.S.C 328, Volpe Center Working Capital Fund; 5 U.S.C 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> For computer facility planning; budget analysis; procurement tracking; contract administration; property control.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p> The general purposes of this system are intended for internal management and control, including: Computer facility planning. ADP cost distribution. Budget and planning analysis. Procurement tracking. Procurement statistics and analysis. Information of travel incurred. Contract administration. Control of property. Control of building space. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Magnetic tape and disk.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p> Indexed by employees name, project number, procurement number, contract number, travel number, work plan budget number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p> Access to the systems and their associated data bank is available through the utilization of the unique project and programmer numbers, and the passwords known only by the authorized custodians. Access to reports is controlled by the Reports Distribution function of the Administrative Directorate on a need-to-know basis. For normal working requirements, the reports are distributed to the functional areas responsible for the data generation. Access to the computer room and its associated areas where data and reports are stored is delineated in the Volpe ADP Facility Document on Safeguards and Controls.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p> The systems are permanent unless replaced. The data banks, for the most part, are related to fiscal year activity.
</p><p>Subsequent to the fiscal year, the data banks become either part of the history file of the system or are maintained by themselves for historical reasons.
</p><p>Data records are deleted from the data banks on an as-required basis, and subsequently are eliminated from associated reports.
</p><p>Reports used as daily working papers are retained only until updated reports are produced and then the old reports are discarded. Official closing reports corresponding to month-end and fiscal-year-end periods are retained for longer periods and are not subject to any disposal procedure.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p> Chief, Computer Center, DTS-23, Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p> Information may be obtained from the System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests from individuals should be addressed to the System manager. An individual may gain access to his/her data by written request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p> Contest of this data will be made to the System Manager. If administrative resolvement is not satisfactory to the individual, appeals may be filed in writing with the Secretary of Transportation addressed to the General Counsel as follows: Department of Transportation, Office of the Secretary, Office of the General Counsel, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p> Employee, Personnel Office, Communications Office, Security Office.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p> None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSC-702</systemNumber>
<subsection type="systemName"> Legal Counsel Information Files.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p> Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p> Department of Transportation, DOT, Volpe National Transportation Systems Center, Volpe, Office of Chief Counsel, DTS-14, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present and former Volpe employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Counseling records relating to Standards of Conduct, post-employment restrictions, or other legal matters involving individual employee(s); individual claims; grievances, personnel actions and related litigation; and employee confidential financial disclosure reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 328, Volpe Center Working Capital Fund; 28 U.S.C. 1346; 28 U.S.C. ch. 171; 5 U.S.C. ch. 77, 5 U.S.C. ch. 71; 42 U.S.C. 2000e-16; 29 CFR part 1614; 5 U.S.C. App. 4.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To promote compliance with Standards of Conduct, conflict of interest, and other laws, and to enable legal counsel render consistent legal advice.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The records and the information they contain may be used for internal management and control, to promote compliance with Standards of Conduct, conflict of interest, and other laws, and to enable legal counsel to render consistent advice in legal matters.
</p><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in paper record folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by employee’s name and/or by subject matter.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in locked file cabinets and secure safe.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>As prescribed in applicable record retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, DTS-14, Volpe National Transportation Systems Center, Research and Special Programs Administration, United States Department of Transportation, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Information may be obtained from the System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests from individuals should be addressed to the System manager.
</p><p>An individual may gain access to his/her records by written request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>An individual may seek to contest information contained in his/her records by written request made to the System Manager. If administrative resolution is not satisfactory to the individual, appeals may be filed in writing with the Secretary of Transportation addressed to the General Counsel as follows: Department of Transportation, Office of the Secretary, Office of the General Counsel, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system of records is provided by employees, Supervisors, Legal Office, Personnel Office and various Federal administrative agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSC-703</systemNumber>
<subsection type="systemName">Occupational Safety and Health Reporting System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Volpe National Transportation Systems Center, Volpe, Human Resources Management Division, DTS-84, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Volpe employees, in-house contractor personnel and visitors who have suffered work-related occupational illnesses, injuries or are involved in Government property accidents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Federal Occupational Injuries and Illnesses Survey form. DOT Accident/Injury Reports, DOT forms 3902.1 through 8. Department of Labor, Office of Workers Compensation Programs, OWCP, for payment of medical bills and worker compensation, as applicable.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 328, Volpe Center Working Capital Fund; Executive Order 12196, Occupational Safety and Health Program for Federal Employees, dated 2/27/80; 5 U.S.C. 7902.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For accident prevention.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The general purposes of these records are intended for internal management and control, and also for accident prevention.
</p><p>The routine uses of the Department of Labor forms are for (1) submission to doctors and medical institutions rendering services to individuals and (2) to the Office of Workers Compensation Programs, Department of Labor, for payment of medical bills and worker compensation, applicable. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Forms, computerized database, and other paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in locked file cabinets and folders are stamped For Official Accident Prevention Use Only.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for five years and then destroyed by shredding.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Engineering and Operations Branch, DTS-874, Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Information may be obtained from the System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests from individuals should be addressed to the System manager. An individual may gain access to his/her records by written request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Contest of this data will be made to the System Manager. If administrative resolution is not satisfactory to the individual, appeals may be filed in writing with the Secretary of Transportation addressed to the General Counsel as follows: Department of Transportation, Office of the Secretary, Office of the General Counsel, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Documents provided by the individual concerned and immediate supervisor.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSC-704</systemNumber>
<subsection type="systemName">Stand-By Personnel Information.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Volpe National Transportation Systems Center, Volpe, Financial Management Division, Budget Branch, DTS-821, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Volpe technical directorate personnel currently not fully assigned to authorized projects.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee work project status.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 328, Volpe Center Working Capital Fund; 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For administrative reference and scheduling of projects, budgeting, and overhead classification.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The general purposes of these files are intended for internal management and control, including administrative reference and scheduling of work projects, budgeting and overhead classification. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic Files in Excel format.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Stored as spreadsheet identified by pay period ending date.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in password protected files with access limited to Budget Branch PCs.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Files are maintained for one (1) additional year following completion of current fiscal year. Files are then deleted.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Budget Branch, DTS-821, Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Information may be obtained from the System manager.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests from individuals should be addressed to the System manager. An individual may gain access to his/her records by written request.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Contest of this data will be made to the System manager. If administrative resolution is not satisfactory to the individual, appeals may be filed in writing with the Secretary of Transportation addressed to the General Counsel as follows: Department of Transportation, Office of the Secretary, Office of the General Counsel, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Supervisor.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSC-707</systemNumber>
<subsection type="systemName">Labor Distribution System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Volpe National Transportation Systems Center (Volpe), Financial Management Division, Accounting Branch, DTS-823, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Volpe employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains information delineating the time and charges, including fringe and project overhead, that Volpe employees worked. The main association of the time and charges is with employee job assignment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 328, Volpe Center Working Capital Fund; 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For administrative reference, cost management, and labor assignments and expenditures.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The general purposes of this system are intended for internal management and control, including:
</p><p>Administrative reference.
</p><p>Cost management.
</p><p>Labor assignments and expenditures as they relate to both the project and the employee.
</p><p>Reconciliation of Payroll and Labor system data.
</p><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b) (12): Disclosures may be made from this system to consumer reporting agencies (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC 3701 (a) (3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Excel spreadsheets, magnetic tape and disk.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>System data is indexed by employee’s number (Social Security Number) and Work Plan Budget, WPB, number within Project Plan Agreement, PPA, number.
</p><p>Labor Distribution Forms (Excel spreadsheets) are indexed by Volpe Center organization code (DTS 1B) and SSN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system and its associated database is available through the utilization of the unique project and programmer numbers, and the passwords known only by the authorized custodians. Access to reports is controlled by the Reports Distribution function of the Administrative Directorate on a need-to-know basis. For normal working requirements, the reports are distributed to the functional areas responsible for the data generation. Month-end management reports do not contain SSN data.
</p><p>Access to the computer room and its associated areas where data and reports are stored is delineated in the Volpe ADP Facility Document on Safeguards and Controls.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The system is permanent unless replaced. The database is related to fiscal year activity. Subsequent to the fiscal year, the database becomes part of the system’s history file. Data records are deleted from the database on an as required basis, and subsequently are eliminated from associated reports. Any record deleted from database must have zero dollars associated with it and must be authorized by System Manager, with the reason documented in writing. Reports used as daily working papers are retained only until updated reports are produced and then the old reports are discarded. All reports containing SSN data are shredded. Official record copy reports are subject to retirement in accordance with General Records Schedules, GRS.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Accounting Branch, DTS-823, Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Information may be obtained through the Chief, Accounting Branch, DTS-823 at the address under System Location.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests from individuals should be addressed to the System manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>An individual may gain access to his/her data by written request. Contest of this data will be made to the System manager. If administrative resolution is not satisfactory to the individual, appeals may be filed in writing with the Secretary of Transportation addressed to the General Counsel as follows:
</p><p>Department of Transportation, Office of the Secretary, Office of the General Counsel, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Volpe form entitled Labor Distribution Form.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSC-712</systemNumber>
<subsection type="systemName">Automated Personnel/Communications/Security System.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Volpe National Transportation Systems Center (Volpe), Computer Center, DTS-23, 55 Broadway, Cambridge, MA 02142-1093
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Volpe employees and tenants from other government agencies and on-site contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains the pertinent information for activities involved with Personnel, Communications, and Security. Contains photographs of Volpe Center employees.
</p><p>Contains information about an individual relating to:
</p><p>Social security number.
</p><p>Salary.
</p><p>Birth date.
</p><p>Veteran preference.
</p><p>Tenure.
</p><p>Handicap.
</p><p>Grade.
</p><p>Marital status.
</p><p>Service computation date.
</p><p>Home address and telephone number.
</p><p>Volpe location including building and telephone number.
</p><p>Security clearance level and date granted.
</p><p>CSC title and classification code.
</p><p>Competitive level.
</p><p>Parking info--vehicle registration and description.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 328, Volpe Center Working Capital Fund; 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For administrative reference, and as a source for management information for producing summary statistics and registers in support of personnel, communications, and security functions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The general purposes of this system are intended for internal management and control, including:
</p><p>Administrative reference.
</p><p>Source for management information for producing summary statistics and registers in support of the Personnel, Communications and Security functions.
</p><p>Source for Volpe Center Intranet information.
</p><p>See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b) (12): Disclosures may be made from this systems to consumer reporting agencies (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701 (a) (3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Magnetic tape and disk.
</p><p>Hard copy files (letter size and 5 x 8 cards).
</p><p>Volpe Center Intranet.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by employee’s number, employee’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the systems and their associated databases and files is available through the utilization of the unique project and programmer numbers, and the passwords known only by the authorized custodians.
</p><p>Access to reports is controlled by the Reports Distribution function of the Administrative Directorate on a need-to-know basis. For normal working requirements, the reports are distributed to the functional areas responsible for the data generation. Access to the computer room and its associated areas where data and reports are stored is delineated in the Volpe ADP Facility Document on Safeguards and Controls.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The systems are permanent unless replaced. The databases are related to both fiscal year and calendar year activity. Subsequent to the appropriate period, the databases become either part of the history file of the system or are maintained by themselves for historical reasons. Data records are deleted from the databases on an as-required basis, and subsequently are eliminated from associated reports. Reports used as daily working papers are retained only until updated reports are produced and then the old reports are discarded. Official closing reports corresponding to month-end, fiscal-year-end and calendar year-end periods are retained for longer periods and are not subject to any rigid disposal procedure.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Administrative Services Branch, DTS-872, Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Information may be obtained through the Chief, Administrative Services Branch from the: Department of Transportation, Volpe National Transportation Systems Center, Chief, Computer Center, DTS-23, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests from individuals should be addressed to the System manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>An individual may gain access to his/her records by written request. Contest of this data will be made to the System Manager. If administrative resolution is not satisfactory to the individual, appeals may be filed in writing with the Secretary of Transportation addressed to the General Counsel as follows: Department of Transportation, Office of the Secretary, Office of the General Counsel, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee, Personnel Office, Communications Office, Security Office.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="dot" toc="yes">
<systemNumber>/TSC-714</systemNumber>
<subsection type="systemName">Health Unit Employee Medical Records.
</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Unclassified, sensitive.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of Transportation, DOT, Volpe National Transportation Systems Center, Volpe, Human Resources Management Division, DTS-84, Health Unit/Building 1, 9th Floor, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Volpe employees, tenant organization employees, and support service contractor personnel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual Health Record Cards.
</p><p>Individual Health Record Case Files.
</p><p>Register of Visits.
</p><p>Laser Eye Tests.
</p><p>Pre-employment Physical Examinations, Health Justification Placement Records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>49 U.S.C. 328, Volpe Center Working Capital Fund; Executive Order 12196, Occupational Safety and Health Program for Federal Employees, dated 2/27/80; 5 U.S.C. 7901.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain a medical history of any person who receives services from the Health Unit.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The general purposes of these Federal and tenant records are to maintain a medical history of any Volpe employee, including contractor personnel, who receives services from the Health Unit; ensure applicants for licenses to drive Government vehicles meet physical requirements; and lasers are not adversely affecting employee’s eyes. The routine uses of these records are to respond to requests from other Doctors, Universities and Insurance Companies, and to submit medical reports to the Department of Labor, Office of Employees Compensation, to meet requirements of the Occupational Safety and Health Act of 1970 and DOT/Volpe Safety Program. See Prefatory Statement of General Routine Uses.
</p><p>Disclosure to consumer reporting agencies:
</p><p>None.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Cards, forms, logs and other paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by employee’s name and social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in locked file cabinets and room secured when no one is there. Information from records is provided only with consent of employee.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with GRS No.1: Individual Health Record Cards are maintained until separation and sent to St. Louis. Individual Health Record Case Files are maintained until separation. They are then sent to St. Louis. Registers of visits maintained until 2 years after last date in log or register. Upon termination of employment with Volpe, latest Laser Eye Tests and Government Driver’s Tests records are combined with Health Record Case Files and disposed of as part of these files. Pre-employment Physical Examinations, Health Justification Placement Records, and Disability Retirement Examination become part of the official personnel folder, OPF, upon separation, and are transferred to the NPRS, St. Louis, MO, 30 days after separation, where they are disposed of in accordance with GRS. No. 1, Item 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Human Resources Management Division, DTS-84, Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142-1093.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Information may be obtained through the Chief, Human Resources Management Division, from the resident physician or nurse, Volpe Health Unit.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests from individuals should be addressed to the System Manager.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>An individual may gain access to his/her records by written request. Contest of this data will be made to the System Manager. If administrative resolution is not satisfactory to the individual, appeals may be filed in writing with the Secretary of Transportation addressed to the General Counsel as follows: Department of Transportation, Office of the Secretary, Office of the General Counsel, 400 7th Street, SW., Washington, DC 20590.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee; Health Unit Doctor/Nurse; Volpe Safety Officer.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 3, 2012 and December 31, 2013</title>
</previousPubs>

<regulations id="reg1" toc="yes">
<regulationsTitle number="49">
<heading> Transportation </heading>
<regulationsPart number="10">
<heading> MAINTENANCE OF AND ACCESS TO RECORDS PERTAINING TO INDIVIDUALS </heading>
<xhtmlContent>
<p><b>Subpart A--Applicability and Policy
</b></p>
<p>Sec.
</p>
<p>10.1 Applicability.
</p>
<p>10.3 Policy.
</p>
<p>10.5 Definitions.</p>
<p><b>Subpart B--General
</b></p>
<p>10.11 Administration of part.
</p>
<p>10.13 Privacy Act Officer.
</p>
<p>10.15 Protection of records.</p>
<p><b>Subpart C--Maintenance of Records
</b></p>
<p>10.21 General.
</p>
<p>10.23 Accounting of disclosures.
</p>
<p>10.25 Mailing lists.
</p>
<p>10.27 Government contractors.
</p>
<p>10.29 Social Security numbers.</p>
<p><b>Subpart D--Availability of Records
</b></p>
<p>10.31 Requests for records.
</p>
<p>10.33 Acknowledgment and access.
</p>
<p>10.35 Conditions of disclosure.
</p>
<p>10.37 Identification of individual making request.
</p>
<p>10.39 Location of records.</p>
<p><b>Subpart E--Correction of Records
</b></p>
<p>10.41 Requests for correction of records.
</p>
<p>10.43 Time limits.
</p>
<p>10.45 Statement of disagreement.
</p><p><b>Subpart F--Procedures for Reconsidering Decisions Not To Grant Access to or Amend Records
</b></p>
<p>10.51 General.
</p><p><b>Subpart G--Exemptions
</b></p>
<p>10.61 General exemptions.
</p>
<p>10.63 Specific exemptions.
</p><p><b>Subpart H--Fees
</b></p>
<p>10.71 General.
</p>
<p>10.73 Payment of fees.
</p>
<p>10.75 Fee schedule.
</p>
<p>10.77 Services performed without charge.
</p><p><b>Subpart I--Criminal Penalties
</b></p>
<p>10.81 Improper disclosure.
</p>
<p>10.83 Improper maintenance of records.
</p>
<p>10.85 Wrongfully obtaining records.
</p>
<p>Appendix to Part 10--Exemptions
</p>
<p><b>Authority:</b> 5 U.S.C. 552a; 49 U.S.C. 322.
</p>
<p><b>Source:</b> 45 FR 8993, Feb. 11, 1980, unless otherwise noted.
</p><p><b>Subpart A--Applicability and Policy
</b></p>
<p><b>&#167; 10.1
 Applicability.
</b></p>
<p>This part implements section 552a of title 5, United States Code, as well as other provisions of the Privacy Act of 1974, and prescribes rules governing the availability of those records of the Department of Transportation which relate to citizens of the United States and aliens lawfully admitted for permanent residence.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23666, May 1, 1997]
</p>
<p><b>&#167; 10.3
 Policy.
</b></p>
<p>It is the policy of the Department of Transportation to comply with the letter and the spirit of the Privacy Act (the Act). Therefore, personal data contained in each system of records is afforded adequate protection against unauthorized access, is as accurate as is feasible, and is limited to that necessary to accomplish the stated use or uses of the system. Further, no system of records is exempted from the requirements of the Act unless it is determined that to do so is in the best interest of the government with due concern for individual rights.
</p>
<p><b>&#167; 10.5
 Definitions.
</b></p>
<p>Unless the context requires otherwise, the following definitions apply in this part:
</p>
<p><i>Administrator</i> means the head of an operating administration and includes the Under Secretary for Security and the Commandant of the Coast Guard.
</p>
<p><i>Department</i> means the Department of Transportation, including the Office of the Secretary, the Office of Inspector General, and the following operating administrations: This definition specifically excludes the Surface Transportation Board, which has its own Privacy Act regulations (49 CFR Part 1007), except to the extent that any system of records notice provides otherwise.
</p>
<p>(1) Federal Aviation Administration.
</p>
<p>(2) Federal Highway Administration.
</p>
<p>(3) Federal Motor Carrier Safety Administration.
</p>
<p>(4) Federal Railroad Administration.
</p>
<p>(5) Federal Transit Administration.
</p>
<p>(6) National Highway Traffic Safety Administration.
</p>
<p>(7) St. Lawrence Seaway Development Corporation.
</p>
<p>(8) Pipeline and Hazardous Materials Safety Administration.
</p>
<p>(9) Research and Innovative Technology Administration.
</p>
<p>(10) Maritime Administration.
</p>
<p><i>General Counsel</i> means the General Counsel of the Department.
</p>
<p><i>Includes</i> means “includes but is not limited to;”
</p>
<p><i>Individual</i> means a citizen of the United States or an alien lawfully admitted;
</p>
<p><i>Maintain</i> includes maintain, collect, use, or disseminate;
</p>
<p><i>May</i> is used in a permissive sense to state authority or permission to do the act prescribed;
</p>
<p><i>Record</i> means any item, collection, or grouping of information about an individual that is maintained by the Department including, but not limited to, education, financial transactions, medical history, and criminal or employment history and that contains the name of, or an identifying number, symbol, or other identifying particular assigned to, the individual, such as a finger or voice print or a photograph;
</p>
<p><i>Secretary</i> means the Secretary of Transportation or any person to whom has been delegated authority in the matter concerned;
</p>
<p><i>System of records</i> means a group of any records under the control of the Department from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual;
</p>
<p><i>Statistical record</i> means a record in a system of records maintained for statistical research or reporting purposes only and not in whole or in part in making any determination about an identifiable individual, except as provided by section 8 of title 13, United States Code; and
</p>
<p><i>Routine use</i> means, with respect to the disclosure of a record, the use of such record for a purpose which is compatible with the purpose for which it was collected.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997; 65 FR 48184, Aug. 7, 2000; 67 FR 54746, Aug. 26, 2002; 73 FR 33329, June 12, 2008]
</p><p><b>Subpart B--General
</b></p>
<p><b>&#167; 10.11
 Administration of part.
</b></p>
<p>Authority to administer this part in connection with the records of the Office of the Secretary is delegated to the Chief Information Officer. Authority to administer this part in connection with records in each operating administration is delegated to the Administrator concerned. An Administrator may redelegate to officers of that administration the authority to administer this part in connection with defined systems of records. An Administrator, however, may redelegate his or her duties under subparts F and G of this part only to his or her deputy and to not more than one other officer who reports directly to the Administrator and who is located at the headquarters of that administration or at the same location as the majority of that administration’s systems of records.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997; 73 FR 33329, June 12, 2008]
</p>
<p><b>&#167; 10.13
 Privacy Officer.
</b></p>
<p>(a) To assist with implementation, evaluation, and administration issues, the Chief Information Officer appoints a principal coordinating official with the title Privacy Officer, and one Privacy Act Coordinator from his/her staff.
</p>
<p>(b) Inquiries concerning Privacy Act matters, or requests for assistance, may be addressed to the Privacy Act Officer (S-80), Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590.
</p>
<p>(c) Administrators may designate Privacy Officers or Coordinators to act as central coordinators within their administrations to assist them in administering the Act.
</p>
<p>[73 FR 33329, June 12, 2008]
</p>
<p><b>&#167; 10.15
 Protection of records.
</b></p>
<p>(a) No person may, without permission, remove any record made available for inspection or copying under this part from the place where it is made available. In addition, no person may steal, alter, mutilate, obliterate, or destroy, in whole or in part, such a record.
</p>
<p>(b) Section 641 of title 18 of the United States Code provides, in pertinent part, as follows:
</p>
<p>Whoever * * * steals, purloins, or knowingly converts to his use or the use of another, or without authority, sells, conveys or disposes of any record * * * or thing of value of the United States or of any department or agency thereof * * * shall be fined not more than $10,000 or imprisoned not more than 10 years or both; but if the value of such property does not exceed the sum of $100, he shall be fined not more than $1,000 or imprisoned not more than one year or both * * *.
</p>
<p>(c) Section 2071 of title 18 of the United States Code provides, in pertinent part, as follows:
</p>
<p>Whoever willfully and unlawfully conceals, removes, mutilates, obliterates, or destroys, or attempts to do so, or with intent to do so takes and carries away any record, proceeding, map, book, paper, document, or other thing, filed or deposited * * * in any public office, or with any * * * public officer of the United States, shall be fined not more than $2,000 or imprisoned not more than 3 years, or both.
</p><p><b>Subpart C--Maintenance of Records
</b></p>
<p><b>&#167; 10.21
 General.
</b></p>
<p>Except to the extent that a system of records is exempt in accordance with subpart G of this part, the Department, with respect to each system of records:
</p>
<p>(a) Maintains in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the Department required to be accomplished by statute or by executive order of the President;
</p>
<p>(b) Collects information to the greatest extent practicable directly from the subject individual when the information may result in adverse determinations about an individual’s rights, benefits, or privileges under Federal programs;
</p>
<p>(c) Informs each individual whom it asks to supply information, on the form which it uses to collect the information or on a separate form that can be retained by the individual of:
</p>
<p>(1) The authority (whether granted by statute, or by executive order of the President) which authorizes the solicitation of the information and whether disclosure of such information is mandatory or voluntary;
</p>
<p>(2) The principal purpose or purposes for which the information is intended to be used;
</p>
<p>(3) The routine uses, as published pursuant to paragraph (d)(4) of this section, which may be made of the information; and
</p>
<p>(4) The effects, if any, on the individual of not providing all or any part of the requested information;
</p>
<p>(d) Publishes in the <i>Federal Register</i> at least annually a notice of the existence and character of the system of records, including:
</p>
<p>(1) The name and location of the system;
</p>
<p>(2) The categories of individuals on whom records are maintained in the system;
</p>
<p>(3) The categories of records maintained in the system;
</p>
<p>(4) Each routine use of the records contained in the system, including the categories of users and the purpose of such use;
</p>
<p>(5) The policies and practices regarding storage, retrievability, access controls, retention, and disposal of the records;
</p>
<p>(6) The title and business address of the official responsible for the system of records;
</p>
<p>(7) The procedures whereby an individual can be notified upon request if the system of records contains a record pertaining to that individual;
</p>
<p>(8) The procedures whereby an individual can be notified upon request how to gain access to any record pertaining to that individual contained in the system of records, and how to contest its content; and
</p>
<p>(9) The categories of sources of records in the system;
</p>
<p>(e) Maintains all records which are used in making any determination about any individual with such accuracy, relevancy, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination;
</p>
<p>(f) Prior to disseminating any record about an individual to any person other than an agency, unless the dissemination is made pursuant to &#167; 10.35(a)(2), makes reasonable efforts to assure that such records are accurate, complete, timely, and relevant for the Department’s purposes;
</p>
<p>(g) Maintains no record describing how any individual exercises rights guaranteed by the First Amendment unless:
</p>
<p>(1) Expressly authorized by the General Counsel; and
</p>
<p>(2) Expressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity;
</p>
<p>(h) Makes reasonable efforts to serve notice on an individual when any record on such individual is made available to any person under compulsory legal process when such process becomes a matter of public record.
</p>
<p><b>&#167; 10.23
 Accounting of disclosures.
</b></p>
<p>Each operating administration, the Office of Inspector General, and the Office of the Secretary, with respect to each system of records under its control:
</p>
<p>(a) Except for disclosures made under &#167; 10.35(a) (1) or (2) of this part, keep an accurate accounting of:
</p>
<p>(1) The date, nature, and purpose of each disclosure of a record to any person or to another agency made under &#167; 10.33; and
</p>
<p>(2) The name and address of the person or agency to whom the disclosure is made;
</p>
<p>(b) Retains the accounting made under paragraph (a) of this section for at least five years or the life of the record, whichever is longer, after the disclosure for which the accounting is made;
</p>
<p>(c) Except for disclosures made under &#167; 10.33(a)(7) of this part, makes the accounting made under paragraph (a)(1) of this section available to the individual named in the record at his request; and
</p>
<p>(d) Informs any person or other agency about any correction or notation of dispute made by the agency in accordance with &#167; 10.45 of any record that has been disclosed to the person or agency if an accounting of the disclosure was made.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]
</p>
<p><b>&#167; 10.25
 Mailing lists.
</b></p>
<p>An individual’s name and address is not sold or rented unless such action is specifically authorized by law. This provision shall not be construed to require the withholding of names and addresses otherwise permitted to be made public.
</p>
<p><b>&#167; 10.27
 Government contractors.
</b></p>
<p>When the Department provides by a contract for the operation by or on behalf of the Department of a system of records to accomplish a function of the Department, the requirements of this part are applied to such system. For purposes of subpart I, Criminal Penalties, any such contractor and any employee of the contractor are considered, in accordance with section 3(m) of the Privacy Act, to be employees of the Department.
</p>
<p><b>&#167; 10.29
 Social Security numbers.
</b></p>
<p>(a) No individual is denied any right, benefit, or privilege provided by law because of such individual’s refusal to disclose his Social Security account number.
</p>
<p>(b) The provisions of paragraph (a) of this section do not apply to:
</p>
<p>(1) Any disclosure which is required by Federal statute; or
</p>
<p>(2) The disclosure of a Social Security number when such disclosure was required under statute or regulation adopted prior to January 1, 1975, to verify the identity of an individual.
</p>
<p>(c) When an individual is requested to disclose his or her Social Security account number, that individual is informed whether that disclosure is mandatory or voluntary, by what statutory or other authority such number is solicited, what uses are made of it, and what detriments, including delay in the location of records, are incurred if the number is not provided.
</p><p><b>Subpart D--Availability of Records
</b></p>
<p><b>&#167; 10.31
 Requests for records.
</b></p>
<p>(a) Ordinarily, each person desiring to determine whether a record pertaining to him/her is contained in a system of records covered by this part or desiring access to a record covered by this part, or to obtain a copy of such a record, shall make a request in writing addressed to the system manager. The “Privacy Act Issuances” published by the Office of the Federal Register, National Archives and Records Administration, describes the systems of records maintained by all Federal agencies, including the Department and its components. In exceptional cases oral requests are accepted. A description of DOT Privacy Act systems notices is available through the Internet free of charge at <i>http://www.access.gpo.gov/su_docs/aces/PrivacyAct.shtml?desc015.html.</i> See &#167; 10.13(b) regarding inquiries concerning Privacy Act matters or requests for assistance.
</p>
<p>(b) Each request shall specify the name of the requesting individual and the system of records in which the subject record is located or thought to be located. If assistance is required to determine the system of records identification number assigned in the systems notices, such assistance may be obtained from the appropriate Privacy Act officer or his assistant. Refer to &#167; 10.13 for procedures for requesting assistance.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]
</p>
<p><b>&#167; 10.33
 Acknowledgment and access.
</b></p>
<p>(a) Requests by an individual to determine whether he or she is the subject of a record in a system of records, or requesting access to a record in a system of records, should be acknowledged within 10 working days, where the request is by mail. For requests in person, an immediate response is given, either granting access or informing such individual when notification or access may be expected.
</p>
<p>(b) If the response granting access or copies of the record is made within 10 working days, separate acknowledgment is not required.
</p>
<p>(c) Although requests for access to a record are normally in writing, <i>e.g.,</i> by filing a written form or letter, it is the option of the individual to mail or present the request form in person.
</p>
<p><b>&#167; 10.35
 Conditions of disclosure.
</b></p>
<p>(a) No record that is contained within a system of records of the Department is disclosed by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless disclosure of the record would be:
</p>
<p>(1) To those officers and employees of the Department who have a need for the record in the performance of their duties;
</p>
<p>(2) Required under part 7 of this title which implements the Freedom of Information Act;
</p>
<p>(3) For a routine use as defined in &#167; 10.5 and described pursuant to &#167; 10.21(d)(4);
</p>
<p>(4) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of title 13, United States Code;
</p>
<p>(5) To a recipient who has provided the Department with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
</p>
<p>(6) To the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the U.S. Government, or for evaluation by the Administrator of General Services or his designee to determine whether the record has such value;
</p>
<p>(7) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the agency which maintains the record specifying the particular portion desired and the law enforcement activity for which the record is sought;
</p>
<p>(8) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if upon such disclosure notification is transmitted to the last known address of such individual;
</p>
<p>(9) To either House of the Congress, or to the extent of matters within its jurisdiction, any committee or subcommittee thereof, any joint committee of the Congress or subcommittee of any such joint committee;
</p>
<p>(10) To the Comptroller General, or any authorized representatives, in the course of the performance of the duties of the General Accounting Office; or
</p>
<p>(11) Pursuant to the order of a court of competent jurisdiction.
</p>
<p>(12) To a consumer reporting agency in accordance with 31 U.S.C. 3711(f).
</p>
<p>(b) Any individual requesting access to his or her record or to any information pertaining to that individual which is contained within a system of records within the Department has access to that record or information unless the system of records within which the record or information is contained is exempted from disclosure in accordance with subpart G, provided, however, that nothing in this part is deemed to require that an individual be given access to any information compiled in reasonable anticipation of a civil action or proceeding. No exemption contained in subpart G of part 7 of the regulations of the Office of the Secretary is relied upon to withhold from an individual any record which is otherwise accessible to such individual under the provisions of this part. Any individual who is given access to a record or information pertaining to him is permitted to have a person of his or her own choosing accompany him and to have a copy made of all or any portion of the record or information in a form comprehensible to the individual. When deemed appropriate, the individual may be required to furnish a written statement authorizing discussion of his record in the accompanying person’s presence.
</p>
<p>(c) <i>Medical records.</i> Where requests are for access to medical records, including psychological records, the decision to release directly to the individual, or to withhold direct release, shall be made by a medical practitioner. Where the medical practitioner has ruled that direct release will do harm to the individual who is requesting access, normal release through the individual’s chosen medical practitioner will be recommended. Final review and decision on appeals of disapprovals of direct release will rest with the General Counsel.
</p>
<p>(d) Any person requesting access to records or to any information pertaining to other individuals is not granted such access unless that person can show that he or she has obtained permission for such access from the individual to whom the record pertains, unless the request comes within one of the exceptions of paragraph (a) of this section.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]
</p>
<p><b>&#167; 10.37
 Identification of individual making request.
</b></p>
<p>No record or information contained in a system of records is disclosed to an individual nor is any correction of a record in accordance with subpart E made at the request of an individual unless that individual demonstrates that he or she is who he or she claims to be. Normally, identity can be proven for individuals who appear in person by the presentation of an identifying document issued by a recognized organization (<i>e.g.,</i> a driver’s license or a credit card) and which contains a means of verification such as a photograph or a signature. For requests by mail, the unique identifier used in the system should be included if known. Responses to mail requests are normally sent only to the name and address listed in the system of records. In the case of particularly sensitive records, additional identification requirements may be imposed. In such cases, these additional requirements are listed in the public notice for the system.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]
</p>
<p><b>&#167; 10.39
 Location of records.
</b></p>
<p>Each record made available under this subpart is available for inspection and copying during regular working hours at the place where it is located, or, upon reasonable notice, at the document inspection facilities of the Office of the Secretary or each administration. Original records may be copied but may not be released from custody. Upon payment of the appropriate fee, copies are mailed to the requester.
</p>
<p>[62 FR 23667, May 1, 1997]
</p><p><b>Subpart E--Correction of Records
</b></p>
<p><b>&#167; 10.41
 Requests for correction of records.
</b></p>
<p>Any person who desires to have a record pertaining to that person corrected shall submit a written request detailing the correction and the reasons the record should be so corrected. Requests for correction of records shall be submitted to the System Manager.
</p>
<p>[62 FR 23667, May 1, 1997]
</p>
<p><b>&#167; 10.43
 Time limits.
</b></p>
<p>Within ten days (excluding Saturday, Sunday, and legal holidays) of the receipt in accordance with &#167; 10.41 of a request by an individual to amend a record pertaining to him, the receipt of the request is acknowledged in writing. If a determination is made to correct the record as requested, the correction is promptly made. If a determination is made not to correct a record the individual is informed promptly of the right to appeal in accordance with subpart F. If an appeal of a refusal to correct a record is in accordance with subpart F, a determination whether to correct the record is made within thirty days (excluding Saturday, Sunday, and legal holidays) of the receipt of the appeal unless, for good cause shown the Administrator concerned, or in the case of the Office of the Secretary, the General Counsel, extends such period. Where an extension is taken, the party taking the appeal is promptly notified of such fact.
</p>
<p><b>&#167; 10.45
 Statement of disagreement.
</b></p>
<p>If a determination is made not to amend a record, the requester is informed of the right to file a concise statement setting forth the reasons for disagreement with the refusal to amend. In any disclosure containing information about which an individual has filed such a statement of disagreement, the portions of the record which are disputed are noted clearly and copies of the statement of disagreement provided. If the Administrator concerned or his or her delegee, or in the case of the Office of the Secretary, the General Counsel or his or her delegee, deems it appropriate, copies of a concise statement of the reasons for not making the amendments requested may be provided along with the statement of disagreement.
</p><p><b>Subpart F--Procedures for Reconsidering Decisions Not To Grant Access to or Amend Records
</b></p>
<p><b>&#167; 10.51
 General.
</b></p>
<p>(a) Each officer or employee of the Department who, upon a request by a member of the public for a record under this part, makes a determination that access is not to be granted or who determines not to amend a record in a requested manner, gives a written statement of the reasons for that determination to the person making the request and indicates the name and title or position of each person responsible for the denial of such request and the procedure for appeal within the Department.
</p>
<p>(b) Any person:
</p>
<p>(1) Who has been given a determination pursuant to paragraph (a) of this section, that access will not be granted; or
</p>
<p>(2) Who has been informed that an amendment to a requested record will not be made; may apply to the Administrator concerned, or in the case of the Office of the Secretary, to the General Counsel for review of that decision. A determination that access will not be granted or a record amended is not administratively final for the purposes of judicial review unless it was made by the Administrator concerned or his or her delegee, or the General Counsel or his or her delegee, as the case may be. Upon a determination that an appeal will be denied, the requester is informed in writing of the reasons for the determination, and the names and titles or positions of each person responsible for the determination, and that the determination may be appealed to the District Court of the United States in the district in which the complainant resides, or has his or her principal place of business, or in which the records are located, or in the District of Columbia.
</p>
<p>(c) Each application for review must be made in writing and must include all information and arguments relied upon by the person making the request, and be submitted within 30 days of the date of the initial denial; exceptions to this time period are permitted for good reason.
</p>
<p>(d) Upon a determination that a request for the correction of a record will be denied, the requester is informed that he may file a concise statement in accordance with &#167; 10.45.
</p>
<p>(e) Each application for review must indicate that it is an appeal from a denial of a request made under the Privacy Act. The envelope in which the application is sent should be marked prominently with the words “Privacy Act.” If these requirements are not met, the time limits described in &#167; 10.43 do not begin to run until the application has been identified by an employee of the Department as an application under the Privacy Act and has been received by the appropriate office.
</p>
<p>(f) The Administrator concerned, or the General Counsel, as the case may be, may require the person making the request to furnish additional information, or proof of factual allegations, and may order other proceedings appropriate in the circumstances. The decision of the Administrator concerned, or the General Counsel, as the case may be, as to the availability of the record or whether to amend the record is administratively final.
</p>
<p>(g) The decision by the Administrator concerned, or the General Counsel, as the case may be, not to disclose a record under this part is considered a determination for the purposes of section 552a(g) of title 5, United States Code, “Civil Remedies.”
</p>
<p>(h) Any final decision by an Administrator or his/her delegate not to grant access to or amend a record under this part is subject to concurrence by the General Counsel or his or her delegate.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]
</p><p><b>Subpart G--Exemptions
</b></p>
<p><b>&#167; 10.61
 General exemptions.
</b></p>
<p>(a) The Assistant Secretary for Administration, with regard to the Investigations Division; and the Federal Aviation Administrator, with regard to the FAA’s Investigative Record System (DOT/FAA 815) may exempt from any part of the Act and this part except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i) of the Act, and implementing &#167;&#167; 10.35, 10.23(a) and (b), 10.21(d)(1) through (6), 10.81, 10.83, and 10.85 of this chapter, any systems of records, or portions thereof, which they maintain which consist wholly of;
</p>
<p>(1) Information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, and parole and probation status;
</p>
<p>(2) Information compiled for the purpose of a criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or
</p>
<p>(3) Reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision.
</p>
<p>(b) The requirements (including general notice) of sections 553(b)(1), (2) and (3), and (c) and (e) of title 5, United States Code, will be met by publication in appendix A to this part, which must, at a minimum, specify:
</p>
<p>(1) The name of the system; and
</p>
<p>(2) The specific provisions of the Act from which the system is to be exempted and the reasons therefor.
</p>
<p>(c) Any decision to exempt a system of records under this section is subject to concurrence by the General Counsel.
</p>
<p>(d) Any person may petition the Secretary in accordance with the provisions of part 5 of this title, to institute a rulemaking proceeding for the amendment or repeal of any exemptions established under this section.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 1993; 73 FR 33329, June 12, 2008]
</p>
<p><b>&#167; 10.63
 Specific exemptions.
</b></p>
<p>The Secretary or his or her delegee, in the case of the Office of the Secretary; or the Administrator or his or delegee, in the case of an operating administration; or the Inspector General or his or her delegee, in the case of the Office of Inspector General, may exempt any system of records that is maintained by the Office of the Secretary, an operating administration, or the Office of Inspector General, as the case may be, from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Act and implementing &#167;&#167; 10.23(c); 10.35(b); 10.41; 10.43; 10.45; 10.21(a) and 10.21(d)(6), (7), and (8) of this chapter, under the following conditions:
</p>
<p>(a) The system of records must consist of:
</p>
<p>(1) Records subject to the provisions of section 552(b)(1) of title 5, United States Code;
</p>
<p>(2) Investigatory material compiled for law enforcement purposes, other than material within the scope of &#167; 10.61(a)(2): Provided, however, That if any individual is denied any right, privilege, or benefit to which that individual would otherwise be entitled by Federal law, or for which that individual would otherwise be eligible, as a result of the maintenance of such material, such material is provided to such individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, the effective date of the Privacy Act of 1974, under an implied promise that the identity of the source would be held in confidence;
</p>
<p>(3) Records maintained in connection with providing protective services to the President of the United States or other individuals pursuant to section 3056 of title 18, United States Code;
</p>
<p>(4) Records required by statute to be maintained and used solely as statistical records;
</p>
<p>(5) Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified information, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, the effective date of the Privacy Act of 1974, under an implied promise that the identity of the source would be held in confidence;
</p>
<p>(6) Testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal service the disclosure of which would compromise the objectivity or fairness of the testing or examination process; or
</p>
<p>(7) Evaluation material used to determine potential for promotion in the armed services, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of this section, under an implied promise that the identity of the source would be held in confidence.
</p>
<p>(b) The requirements (including general notice) of sections 553 (b) (1), (2) and (3), and (c) and (e) of title 5, United States Code, will be met by publication in appendix A to this part, which must, at a minimum, specify:
</p>
<p>(1) The name of the systems; and
</p>
<p>(2) The specific provisions of the Act from which the system is to be exempted and the reasons therefor.
</p>
<p>(c) Any decision to exempt a system of records under this section is subject to the concurrence of the General Counsel.
</p>
<p>(d) Any person may petition the Secretary in accordance with the provisions of 49 CFR part 5, to institute a rulemaking for the amendment or repeal of any exemptions established under this section.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997; 73 FR 33329, June 12, 2008]
</p><p><b>Subpart H--Fees
</b></p>
<p><b>&#167; 10.71
 General.
</b></p>
<p>This subpart prescribes fees for services performed for the public under this part by the Department.
</p>
<p><b>&#167; 10.73
 Payment of fees.
</b></p>
<p>The fees prescribed in this subpart may be paid by check, draft, or postal money order payable to the Treasury of the United States.
</p>
<table>
  <tr>
    <td>(a) Copies of documents by photocopy or similar method:</td>
    <td/>
  </tr>
  <tr>
    <td><div>
      Each page not larger than 11x17 inches:</div></td>
    <td/>
  </tr>
  <tr>
    <td><div>
      
        First page
      </div>
    </td>
    <td>$.25 </td>
  </tr>
  <tr>
    <td><div>
        Each page</div>
</td>
    <td>.05 </td>
  </tr>
  <tr>
    <td>(b) Copies of documents by typewriter: Each page</td>
    <td>2.00 </td>
  </tr>
  <tr>
    <td>(c) Certified copies of documents:</td>
    <td/>
  </tr>
  <tr>
    <td><div>
      (1) With Department of Transportation seal
    </div></td>
    <td>3.00 </td>
  </tr>
  <tr>
    <td><div>
      (2) True copy, without seal</div>
    </td>
    <td>1.00 </td>
  </tr>
  <tr>
    <td>(d) Photographs: </td><td/>
  </tr>
  <tr>
    <td><div>
      (1) Black and white print (from negative)</div>
    </td>
    <td>1.25 </td>
  </tr>
  <tr>
    <td><div>
      (2) Black and white print (from print)
    </div></td>
    <td>3.15 </td>
  </tr>
  <tr>
    <td><div>
      (3) Color print (from negative)
    </div></td>
    <td>3.50 </td>
  </tr>
  <tr>
    <td><div>
      (4) Color print (from print)
    </div></td>
    <td>6.25 </td>
  </tr>
  <tr>
    <td>(e) Duplicate data tapes--each reel of tape or fraction thereof</td>
    <td>36.00</td>
  </tr>
</table>
<p>The applicant must furnish the necessary number of blank magnetic tapes. The tapes must be compatible for use in the supplier’s computer system, 1/2 inch wide and 2,400 feet long, and must be capable of recording data at a density of 556 or 800 characters per inch. Unless otherwise designated, the tapes will be recorded at 556 CPI density. The Department of Transportation is not responsible for damaged tape. However, if the applicant furnishes a replacement for a damaged tape, the duplication process is completed at no additional charge.</p>
<table>
<tr><td>(f) Microreproduction fees are as follows:
</td><td/></tr>
<tr><td>(1) Microfilm copies, each 100 foot roll or less</td><td>$3.75</td></tr>
<tr><td>(2) Microfiche copies, each standard size sheet (4"x6" containing up to 65 frames)</td><td>.15</td></tr>
<tr><td>(3) Apertune card to hard copy, each copy</td><td>.50</td></tr>
<tr><td>(4) 16mm microfilm to hard copy:</td><td/></tr>
<tr><td>First</td><td/><td>.25</td></tr>
<tr><td>Additional</td><td/><td>.07</td></tr>
<tr><td>(g) Computerline printer output, each 1,000 lines or fraction thereof</td><td>1.00</td></tr></table>
<p><b>&#167; 10.77
 Services performed without charge.
</b></p>
<p>(a) No fee is charged for time spent in searching for records or reviewing or preparing correspondence related to records subject to this part.
</p>
<p>(b) No fee is charged for documents furnished in response to:
</p>
<p>(1) A request from an employee or former employee of the Department for copies of personnel records of the employee;
</p>
<p>(2) A request from a Member of Congress for official use;
</p>
<p>(3) A request from a State, territory, U.S. possession, county or municipal government, or an agency thereof;
</p>
<p>(4) A request from a court that will serve as a substitute for the personal court appearance of an officer or employee of the Department;
</p>
<p>(5) A request from a foreign government or an agency thereof, or an international organization.
</p>
<p>(c) Documents are furnished without charge or at a reduced charge, if the Chief Information Officer or the Administrator concerned, as the case may be, determines that waiver or reduction of the fee is in the public interest, because furnishing the information can be considered as primarily benefiting the general public.
</p>
<p>(d) When records are maintained in computer-readable form rather than human-readable form, one printed copy is made available which has been translated to human-readable form without a charge for translation but in accordance with &#167; 10.75(g), regarding computer line-printed charges.
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 73 FR 33329, June 12, 2008; 75 FR 5244, Feb. 2, 2010]
</p><p><b>Subpart I--Criminal Penalties
</b></p>
<p><b>&#167; 10.81
 Improper disclosure.
</b></p>
<p>Any officer or employee of the Department who by virtue of his or her employment or official position, has possession of, or access to, agency records which contain individually identifiable information the disclosure of which is prohibited by this part and who knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, is guilty of a misdemeanor and fined not more than $5,000 in accordance with 5 U.S.C. 552a(i)(1).
</p>
<p><b>&#167; 10.83
 Improper maintenance of records.
</b></p>
<p>Any officer or employee of the Department who willfully maintains a system of records without meeting the notice requirements of &#167; 10.21(d) of this part is guilty of a misdemeanor and fined not more than $5,000 in accordance with 5 U.S.C. 552a(i)(2).
</p>
<p><b>&#167; 10.85
 Wrongfully obtaining records.
</b></p>
<p>Any person who knowingly and willfully requests or obtains any record concerning an individual from the Department under false pretenses is guilty of a misdemeanor and fined not more than $5,000 in accordance with 5 U.S.C. 552a(i)(3).
</p><p><b>Appendix to Part 10—Exemptions</b></p>
<p><b>Part I. General Exemptions
</b></p>
<p>Those portions of the following systems of records that consist of (a) Information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, and parole and probation status; (b) information compiled for the purpose of a criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or (c) reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision, are exempt from all parts of 5 U.S.C. 552a except subsections (b) (Conditions of disclosure); (c) (1) and (2) (Accounting of certain disclosures); (e)(4) (A) through (F) (Publication of existence and character of system); (e)(6) (Ensure records are accurate, relevant, timely, and complete before disclosure to person other than an agency and other than pursuant to a Freedom of Information Act request), (7) (Restrict recordkeeping on First Amendment rights), (9) (Rules of conduct), (10) (Safeguards), and (11) (Routine use publication); and (i) (Criminal penalties):
</p>
<p>A. The Investigative Records System maintained by the Assistant Inspector General for Investigations, Office of the Inspector General, Office of the Secretary (DOT/OST 100).
</p>
<p>B. Police Warrant Files and Central Files maintained by the Federal Aviation Administration (DOT/FAA 807).
</p>
<p>C. The Investigative Records System maintained by the Federal Aviation Administration regarding criminal investigations conducted by offices of Investigations and Security at headquarters and FAA Regional and Center Security Divisions (DOT/FAA 815).
</p>
<p>These exemptions are justified for the following reasons:
</p>
<p>1. From subsection (c)(3), because making available to a record subject the accounting of disclosures from records concerning him/her would reveal investigative interest by not only DOT but also the recipient agency, thereby permitting the record subject to take appropriate measures to impede the investigation, as by destroying evidence, intimidating potential witnesses, fleeing the area to avoid the thrust of the investigation, etc.
</p>
<p>2. From subsections (d), (e)(4) (G) and (H), (f), and (g), because granting an individual access to investigative records, and granting him/her rights to amend/contest that information, interfere with the overall law enforcement process by revealing a pending sensitive investigation, possibly identify a confidential source, disclose information that would constitute an unwarranted invasion of another individual’s personal privacy, reveal a sensitive investigative technique, or constitute a potential danger to the health or safety of law enforcement personnel.
</p>
<p>3. From subsection (e)(1), because it is often impossible to determine relevancy or necessity of information in the early stages of an investigation. The value of such information is a question of judgement and timing: what appears relevant and necessary when collected may ultimately be evaluated and viewed as irrelevant and unnecessary to an investigation. In addition, DOT may obtain information concerning the violation of laws other than those within the scope of its jurisdiction. In the interest of effective law enforcement, DOT should retain this information because it may aid in establishing patterns of unlawful activity and provide leads for other law enforcement agencies. Further, in obtaining evidence during an investigation, information may be provided to DOT that relates to matters incidental to the main purpose of the investigation but that may be pertinent to the investigative jurisdiction of another agency. Such information cannot readily be identified.
</p>
<p>4. From subsection (e)(2), because in a law enforcement investigation it is usually counterproductive to collect information to the greatest extent practicable directly from the subject of the information. It is not always feasible to rely upon the subject of an investigation as a source for information that may implicate him/her in illegal activities. In addition, collecting information directly from the subject could seriously compromise an investigation by prematurely revealing its nature and scope, or could provide the subject with an opportunity to conceal criminal activities, or intimidate potential sources, in order to avoid apprehension.
</p>
<p>5. From subsection (e)(3), because providing such notice to the subject of an investigation, or to other individual sources, could seriously compromise the investigation by prematurely revealing its nature and scope, or could inhibit cooperation, permit the subject to evade apprehension, or cause interference with undercover activities.
</p>
<p><b>Part II. Specific Exemptions
</b></p>
<p>A. The following systems of records are exempt from subsection (c)(3) (Accounting of Certain Disclosures), (d) (Access to Records), (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) of 5 U.S.C. 552a, to the extent that they contain investigatory material compiled for law enforcement purposes, in accordance 5 U.S.C. 552a(k)(2):
</p>
<p>1. Investigative Record System (DOT/FAA 815) maintained by the Federal Aviation Administration at the Office of Civil Aviation Security in Washington, DC; the FAA regional Civil Aviation Security Divisions; the Civil Aviation Security Division at the Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma; the FAA Civil Aviation Security Staff at the FAA Technical Center in Atlantic City, New Jersey; and the various Federal Records Centers located throughout the country.
</p>
<p>2. FHWA Investigations Case File System, maintained by the Office of Program Review and Investigations, Federal Highway Administration (DOT/FHWA 214).
</p>
<p>3. Federal Motor Carrier Safety Administration (FMCSA) Enforcement Management Information System, maintained by the Chief Counsel, FMCSA (DOT/FMCSA 002).
</p>
<p>4. DOT/NHTSA Investigations of Alleged Misconduct or Conflict of Interest, maintained by the Associate Administrator for Administration, National Highway Traffic Safety Administration (DOT/NHTSA 458).
</p>
<p>5. Civil Aviation Security System (DOT/FAA 813), maintained by the Office of Civil Aviation Security Policy and Planning, Federal Aviation Administration.
</p>
<p>6. Suspected Unapproved Parts (SUP) Program, maintained by the Federal Aviation Administration (DOT/FAA 852).
</p>
<p>7. Motor Carrier Management Information System (MCMIS), maintained by the Federal Motor Carrier Safety Administration (DOT/FMCSA 001).
</p>
<p>8. Suspicious Activity Reporting (SAR) database, maintained by the Office of Intelligence, Security, and Emergency Response, Office of the Secretary.
</p>
<p>9. Departmental Office of Civil Rights System (DOCRS).
</p>
<p>These exemptions are justified for the following reasons:
</p>
<p>1. From subsection (c)(3), because making available to a record subject the accounting of disclosures from records concerning him/her would reveal investigative interest by not only DOT but also the recipient agency, thereby permitting the record subject to take appropriate measures to impede the investigation, as by destroying evidence, intimidating potential witnesses, fleeing the area to avoid the thrust of the investigation, etc.
</p>
<p>2. From subsections (d), (e)(4)(G), (H), and (I), and (f), because granting an individual access to investigative records, and granting him/her access to investigative records with that information, could interfere with the overall law enforcement process by revealing a pending sensitive investigation, possibly identify a confidential source, disclose information that would constitute an unwarranted invasion of another individual’s personal privacy, reveal a sensitive investigative technique, or constitute a potential danger to the health or safety of law enforcement personnel.
</p>
<p>B. The following systems of records are exempt from subsections (c)(3) (Accounting of Certain Disclosures) and (d) (Access to Records) of 5 U.S.C. 552a, in accordance with 5 U.S.C. 552a(k)(2):
</p>
<p>1. General Air Transportation Records on Individuals, maintained by various offices in the Federal Aviation Administration (DOT/FAA 847).
</p>
<p>2. Investigative Records System, maintained by the Assistant Inspector General for Investigations in the Office of the Inspector General (DOT/OST 100).
</p>
<p>These exemptions are justified for the following reasons:
</p>
<p>1. From subsection (c)(3), because making available to a record subject the accounting of disclosures from records concerning him/her would reveal investigative interest by not only DOT but also the recipient agency, thereby permitting the record subject to take appropriate measures to impede the investigation, as by destroying evidence, intimidating potential witnesses, fleeing the area to avoid the thrust of the investigation, etc.
</p>
<p>2. From subsection (d), because granting an individual access to investigative records could interfere with the overall law enforcement process by revealing a pending sensitive investigation, possibly identify a confidential source, disclose information that would constitute an unwarranted invasion of another individual’s personal privacy, reveal a sensitive investigative technique, or constitute a potential danger to the health or safety of law enforcement personnel.
</p>
<p>C. The system of records known as the Alaska Railroad Examination of Operating Personnel, maintained by the Alaska Railroad, Federal Railroad Administration (DOT/FRA 100), is exempt from the provisions of subsection (d) of 5 U.S.C. 552a. The release of these records would compromise their value as impartial measurement standards for appointment and promotion within the Federal Service.
</p>
<p>D. Those portions of the following systems of records consisting of investigatory material compiled for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military service, or access to classified information or used to determine potential for promotion in the armed services, are exempt from sections (c)(3) (Accounting of Certain Disclosures), (d) (Access to Records), (e)(4) (G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) of 5 U.S.C. 552a to the extent that disclosure of such material would reveal the identity of a source who provided information to the Government under an express or, prior to September 27, 1975, an implied promise of confidentiality (5 U.S.C. 552a(k) (5) and (7)):
</p>
<p>1. Investigative Records System, maintained by the Assistant Inspector General for Investigations in the Office of the Inspector General (DOT/OST 100).
</p>
<p>2. Investigative Record System, maintained by the Federal Aviation Administration at FAA Regional and Center Air Transportation Security Divisions; the Investigations and Security Division, Aeronautical Center; and Office of Investigations and Security, Headquarters, Washington, D.C. (DOT/FAA 815).
</p>
<p>3. Files pursuant to suitability for employment with National Highway Traffic Safety Administration (DOT/NHTSA-457) containing confidential investigatory reports.
</p>
<p>The purpose of these exemptions is to prevent disclosure of the identities of sources who provide information to the government concerning the suitability, eligibility, or qualifications of individuals for Federal civilian employment, contracts, access to classified information, or appointment or promotion in the armed services, and who are expressly or, prior to September 27, 1975, implied promised confidentiality (5 U.S.C. 552a(k) (5) and (7)).
</p>
<p>E. Those portions of the following systems of records consisting of testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal Service are exempt from subsections (c)(3) (Accounting of Certain Disclosures), (d) (Access to Records), (e)(4) (G), (H) and (I) (Agency Requirements), and (f) (Agency Rules) of 5 U.S.C. 552a:
</p>
<p>1. Reference Files (DOT/NHTSA 457), maintained by the National Highway Traffic Safety Administration personnel offices to determine fitness for employment prior to hiring.
</p>
<p>The purpose of these exemptions is to preserve the value of these records as impartial measurement standards for appointment and promotion within the Federal service.
</p>
<p>F. Those portions of the following systems of records which consist of information properly classified in the interest of national defense or foreign policy in accordance with 5 U.S.C. 552(b)(1) are exempt from sections (c)(3) (Accounting of Certain Disclosures), (d) (Access to Records), (e)(4) (G), (H) and (I) (Agency Requirements), and (f) (Agency Rules) of 5 U.S.C. 552a:
</p>
<p>1. Investigative Record System maintained by the Assistant Inspector General for Investigations in the Office of the Inspector General (DOT/OST 100).
</p>
<p>2. Personnel Security Records System, maintained by the Office of Investigations and Security, Office of the Secretary (DOT/OST 016).
</p>
<p>3. Civil Aviation Security System (DOT/FAA 813), maintained by the Office of Civil Aviation Security, Federal Aviation Administration.
</p>
<p>The purpose of these exemptions is to prevent the disclosure of material authorized to be kept secret in the interest of national defense or foreign policy, in accordance with 5 U.S.C. 552(b)(1) and 552a(k)(1).
</p>
<p>G. Those portions of the following systems of records which consist of information properly classified in the interest of national defense or foreign policy in accordance with 5 U.S.C. 552a(b)(1) are exempt from subsections (c)(3) (Accounting of Certain Disclosures) and (d) (Access to Records) of 5 U.S.C. 552a:
</p>
<p>1. Investigative Record System (DOT/FAA 815) maintained by the Federal Aviation Administration at the Office of Civil Aviation Security in Washington, DC; the FAA regional Civil Aviation Security Divisions; the Civil Aviation Security Division at the Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma; the FAA Civil Aviation Security Staff at the FAA Technical Center in Atlantic City, New Jersey; and the various Federal Records Centers located throughout the country.
</p>
<p>The purpose of these exemptions is to prevent the disclosure of material authorized to be kept secret in the interest of national defense or foreign policy, in accordance with 5 U.S.C. 552(b)(1) and 552a(k)(1).
</p>
<p>[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 1993; 59 FR 13662, Mar. 23, 1994; 60 FR 43983, Aug. 24, 1995. Redesignated at 62 FR 23667, May 1, 1997, as amended at 63 FR 2172, Jan. 14, 1998; 63 FR 4197, Jan. 28, 1998; 66 FR 20407, Apr. 23, 2001; 73 FR 33329, June 12, 2008; 75 FR 5244, Feb. 2, 2010; 76 FR 79114, Dec. 21, 2011; 77 FR 19944, Apr. 3, 2012]
</p>
</xhtmlContent>
</regulationsPart>
</regulationsTitle>
</regulations>

<regulations id="reg2" toc="yes">
<regulationsTitle number="49">
<heading>Transportation</heading>
<regulationsChapter number="X">
<heading> Surface Transportation Board </heading>
<regulationsPart number="1007">
<heading> RECORDS CONTAINING INFORMATION ABOUT INDIVIDUALS </heading>
<xhtmlContent>
<p>Sec.
</p>
<p>1007.1 Purpose and scope.
</p>
<p>1007.2 Definitions.
</p>
<p>1007.3 Requests by an individual for information or access.
</p>
<p>1007.4 Procedures for identifying the individual making the request.
</p>
<p>1007.5 Disclosure of requested information to individuals; fees for copies of records.
</p>
<p>1007.6 Disclosure to third parties.
</p>
<p>1007.7 Content of systems of records.
</p>
<p>1007.8 Amendment of a record.
</p>
<p>1007.9 Appeals to the Chairman.
</p>
<p>1007.10 Information supplied by the Board when collecting information from an individual.
</p>
<p>1007.11 Public notice of records systems.
</p>
<p>1007.12 Exemptions.
</p>
<p><b>Authority:</b> 5 U.S.C. 552, 49 U.S.C. 721.
</p>
<p><b>Source:</b> 41 FR 3087, Jan. 21, 1976, unless otherwise noted.
</p>
<p><b>&#167; 1007.1
 Purpose and scope.
</b></p>
<p>(a) This part contains the rules of the Surface Transportation Board implementing the Privacy Act of 1974 (5 U.S.C. 552a). These rules apply to all records maintained by this Board which are not excepted or exempted as provided for in &#167; 1007.12, insofar as they contain personal information concerning an individual, identify that individual by name or other symbol and are contained in a system of records from which information is retrieved by the individual’s name or identifying symbol. Among the primary purposes of these rules are to permit individuals to determine whether information about them is contained in Board files and, if so, to obtain access to that information; to establish procedures whereby individuals may have inaccurate and incomplete information corrected; and, to restrict access by unauthorized persons to that information.
</p>
<p>(b) In this part the Board is also exempting certain Board systems of records from some of the provisions of the Privacy Act of 1974 that would otherwise be applicable to those systems.
</p>
<p><b>&#167; 1007.2
 Definitions.
</b></p>
<p>As used in this part:
</p>
<p><i>Board</i> means the Surface Transportation Board.
</p>
<p><i>Chairman</i> means the Presidentially appointed Board Member who is the administrative head of the Surface Transportation Board.
</p>
<p><i>Privacy Officer</i> refers to the individual designated to process requests and handle various other matters relating to the Board’s implementation of the Privacy Act of 1974.
</p>
<p><i>Individual</i> means a citizen of the United States or an alien lawfully admitted for permanent residence.
</p>
<p><i>Maintain</i> means the maintenance, collection, use, or dissemination (of records).
</p>
<p><i>Record</i> means any item, collection or grouping of information about an individual that is maintained by an agency, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph.
</p>
<p><i>Statistical Record</i> means a record in a system of records maintained for statistical research or reporting purposes only and not used in whole or in part in making any determination about an identifiable individual, except as provided by section 8 of Title 13 of the United States Code.
</p>
<p><i>System of records</i> means a group of any records under the control of the Board retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.
</p>
<p><i>Routine use</i> means, with respect to the disclosure of a record, the use of such record for a purpose which is compatible with the purpose of which the record was compiled.
</p>
<p><i>Agency</i> means any executive department, military department, Government corporation, Government-controlled corporation or other establishment in the Executive Branch of the Government or any independent regulatory agency.
</p>
<p><b>&#167; 1007.3
 Requests by an individual for information or access.
</b></p>
<p>(a) Any individual may request information on whether a system of records maintained by the Board contains any information pertaining to him or her, or may request access to his or her record or to any information pertaining to him or her which is contained in a system of records. All requests shall be directed to the Privacy Officer, Surface Transportation Board, 1925 K Street, NW, Washington, DC 20423.
</p>
<p>(b) A request for information or for access to records under this part may be made by mail or in person. The request shall:
</p>
<p>(1) Be in writing and signed by the individual making the request; and,
</p>
<p>(2) Include the full name of the individual seeking the information or record, along with his or her home and business addresses and telephone numbers.
</p>
<p>(c) For each system of records from which information is sought, the request shall:
</p>
<p>(1) Specify the title and identifying number as it appears in the system notice published by the Board;
</p>
<p>(2) Provide such additional identifying information, if any, as may be required by the system notice;
</p>
<p>(3) Describe the specific information or kind of information sought within that system of records; and,
</p>
<p>(4) Set forth any unusual arrangements sought concerning the time, place, or form of access.
</p>
<p>(d) The Board will respond in writing to a request made under this section within ten days (excluding Saturdays, Sundays and legal public holidays) after receipt of the request. If a definitive reply cannot be given within ten days, the request will be acknowledged and an explanation will be given of the status of the request.
</p>
<p>(e) The individual either will be notified in writing of where and when he or she may obtain access to the records requested or will be given the name, address and telephone number of the member of the Board staff with whom he or she should communicate to make further arrangements for access.
</p>
<p>[41 FR 3087, Jan. 21, 1976, as amended at 64 FR 53266, Oct. 1, 1999]
</p>
<p><b>&#167; 1007.4
 Procedures for identifying the individual making the request.
</b></p>
<p>When a request for information or for access to records has been made pursuant to &#167; 1007.3, before information is given or access is granted pursuant to &#167; 1007.5 of these rules, the Board shall require reasonable identification of the person making the request to insure that information is given and records are disclosed only to the proper person.
</p>
<p>(a) An individual may establish his identity by:
</p>
<p>(1) Submitting with his written request for information or for access to photocopy, two pieces of identification bearing his or her name and signature, one of which shall bear his or her current home or business address; or
</p>
<p>(2) Appearing at any office of the Board during the regular working hours for that office and presenting either:
</p>
<p>(i) One piece of identification containing a photograph and signature, such as a driver’s license or passport, or, in the case of a Board employee, his or her STB identification card; or
</p>
<p>(ii) Two pieces of identification bearing the individual’s name and signature, one of which shows the individual’s current home or business address; and
</p>
<p>(3) Providing such other proof of identity as the Board deems satisfactory in the circumstances of a particular request.
</p>
<p>(b) Nothing in this section shall preclude the Board from requiring additional identification before granting access to the records if there is reason to believe that the person making the request may not be the individual to whom the record pertains, or where the sensitivity of the data may warrant.
</p>
<p>(c) The requirements of this subsection shall not apply if the records involved would be available to any person under the Freedom of Information Act.
</p>
<p><b>&#167; 1007.5
 Disclosure of requested information to individuals; fees for copies of records.
</b></p>
<p>(a) Any individual who has requested access to his or her record or to any information pertaining to that individual in the manner prescribed in &#167; 1007.3 and has identified himself or herself as prescribed in &#167; 1007.4 shall be permitted to review the record and have a copy made of all or any portion thereof in a form comprehensible to the individual, subject to fees for copying services set forth in paragraph (f) of this section. Upon request, persons of the individual’s own choosing may accompany the individual, provided that the individual has furnished a written statement authorizing discussion of his or her record in the accompanying person’s presence.
</p>
<p>(b) Access will generally be granted in the office of the Board where the records are maintained during normal business hours, but for good cause shown the Board may grant access at another office of the Board or at different times for the convenience of the individual making the request. When a request for access is from a Board employee, this request may be granted by forwarding the information desired through registered mail, return receipt requested.
</p>
<p>(c) Where a document containing information about an individual also contains information not pertaining to him or her, the portion not pertaining to the individual shall not be disclosed except to the extent the information is available to any person under the Freedom of Information Act. If the records sought cannot be provided for review and copying in a meaningful form, the Board shall provide to the individual a summary of the information concerning the individual contained in the record or records which shall be complete and accurate in all material aspects.
</p>
<p>(d) Where the disclosure involves medical records, the Privacy Officer may determine that such information will be provided only to a physician designated by the individual.
</p>
<p>(e) Requests for copies of documents may be directed to the Privacy Officer or to the member of the Board’s staff through whom arrangements for access were made.
</p>
<p>(f) Fees for copies of records shall be charged at the rate set forth in 49 CFR 1002.1(d). Fees for requests requiring the use of a computer shall be charged at the actual cost for machine time. Payment should be made by check or money order payable to the Treasury of the United States. When it is determined to be in the best interest of the public, the Privacy Officer may waive the fee provision.
</p>
<p>(g) Nothing in this subsection or in &#167; 1007.3 shall:
</p>
<p>(1) Require the disclosure of records exempted under &#167; 1007.12 of these rules, including the exemption relating to investigative records;
</p>
<p>(2) Allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding or a criminal proceeding; or,
</p>
<p>(3) Require the furnishing of information or records which in the regular course of business cannot be retrieved by the name or other identifier of the individual making the request.
</p>
<p>[41 FR 3087, Jan. 21, 1976, as amended at 53 FR 46483, Dec. 8, 1987]
</p>
<p><b>&#167; 1007.6
 Disclosure to third parties.
</b></p>
<p>(a) The Board shall not disclose to any agency or to any person by any means of communication a record pertaining to an individual which is contained in a system of records, except under the following circumstances:
</p>
<p>(1) The individual to whom the record pertains has given his written consent to the disclosure;
</p>
<p>(2) The disclosure is to officers and employees of the Board who need it in the performance of their duties;
</p>
<p>(3) Disclosure is required under the Freedom of Information Act (5 U.S.C. 552).
</p>
<p>(4) Disclosure is for a routine use as defined in &#167; 1007.2 of these rules and described in the system notice for that system of records;
</p>
<p>(5) The disclosure is made to the Bureau of the Census for the purposes of planning or carrying out a census or survey or related activity;
</p>
<p>(6) The disclosure is made to a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
</p>
<p>(7) The disclosure is made to another agency or to an instrumentality of any Governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law and if the head of the agency or instrumentality has made a written request to the Board specifying the particular portion desired and the law enforcement activity for which the record is sought;
</p>
<p>(8) The disclosure is made to the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Administrator of General Services or his designee to determine whether the record has such value.
</p>
<p>(9) The disclosure is made to a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if upon such disclosure notification is transmitted to the last known address of such individual;
</p>
<p>(10) The disclosure is made to either House of Congress, or, to the extent of matter(s) within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint committee;
</p>
<p>(11) The disclosure is made to the Comptroller General, or any of his authorized representatives, in the course of the performance of the duties of the General Accounting Office; or,
</p>
<p>(12) Pursuant to the order of a court of competent jurisdiction.
</p>
<p>(b) The Board, with respect to each system of records under its control, shall keep for at least five years an accurate accounting of certain disclosures:
</p>
<p>(1) A record shall be kept of all disclosures made under paragraph (a) of this section, except disclosures made with the consent of the individual to whom the record pertains (paragraph (a)(1) of this section), disclosures to authorized employees (paragraph (a)(2) of this section), and disclosures required under the Freedom of Information Act (paragraph (a)(3) of this section).
</p>
<p>(2) The record shall include:
</p>
<p>(i) The date, nature, and purpose of each disclosure of a record made to any person or to another agency;
</p>
<p>(ii) The name and address of the person or agency to whom the disclosure was made.
</p>
<p>(c) The accounting described in paragraph (b) of this section will be made available to the individual named in the record upon his written request, directed to the Privacy Officer, Surface Transportation Board, 1925 K Street, NW, Washington, DC 20423, except that the accounting will not be revealed with respect to disclosures made under paragraph (a)(7) of this &#167; 1107.6 pertaining to law enforcement activity, and will not be maintained as to disclosures involving systems of records exempted under &#167; 1007.12.
</p>
<p>(d) Whenever an amendment or correction of a record or a notation of dispute concerning the accuracy of records is made by the Board in accordance with &#167;&#167; 1007.8 and 1007.9, the Board will inform any person or other agency to whom the record was previously disclosed, if an accounting of the disclosure was made pursuant to the requirements of paragraph (b) of this section.
</p>
<p>[41 FR 3087, Jan. 21, 1976. as amended at 64 FR 53266, Oct. 1, 1999]
</p>
<p><b>&#167; 1007.7
 Content of systems of records.
</b></p>
<p>(a) The Board will maintain in its records only such information about an individual as is relevant and necessary to accomplish the purposes of the Interstate Commerce Act and other purposes required to be accomplished by statute or by Executive Order of the President.
</p>
<p>(b) The Board will maintain no record describing how any individual exercises rights guaranteed by the First Amendment of the United States Constitution unless expressly authorized by statute or by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity.
</p>
<p>(c) The Board will collect information to the greatest extent practicable directly from the subject individual when the information may result in adverse determinations about an individual’s rights, benefits, and privileges under Federal programs.
</p>
<p>(d) The Board will maintain all records which are used by the Board in making any determination about any individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination.
</p>
<p><b>&#167; 1007.8
 Amendment of a record.
</b></p>
<p>(a) Any individual may request amendment of information pertaining to him which is contained in a system of records maintained by the Board and which is filed under his name or other individual identifier if he believes the information is not accurate, relevant, timely or complete. A request for amendment shall be directed to the Privacy Officer.
</p>
<p>(b) A request for amendment may be made by mail or in person and shall: (1) Be in writing and signed by the person making the request; (2) describe the particular record to be amended with sufficient specificity to permit the record to be located among those maintained by the Board; and (3) specify the nature of the amendment sought and the justification for the requested change. The person making the request may be required to provide the information specified in &#167;&#167; 1007.3 and 1007.4 in order to simplify identification of the record and permit verification of the identity of the person making the request for amendment.
</p>
<p>(c) Receipt of a request for amendment will be acknowledged in writing within ten days (excluding Saturdays, Sundays and legal public holidays); except that if the individual is given notice within the ten-day period that his or her request will or will not be complied with, no acknowledgment is required.
</p>
<p>(d) Assistance in preparing a request to amend a record may be obtained from the Privacy Officer, Surface Transportation Board, 1925 K Street, NW, Washington, DC 20423.
</p>
<p>(e) Upon receipt of a request for amendment the Privacy Officer or a person designated by him shall promptly determine whether the record is materially inaccurate, incomplete, misleading, or is irrelevant or not timely, as claimed by the individual, and, if so, shall cause the record to be amended in accordance with the individual’s request.
</p>
<p>(f) If the Privacy Officer or designee grants the request to amend the record, the individual shall promptly be advised of the decision and of the action taken, and notice shall be given of the correction and its substance to each person or agency to whom the record had previously been disclosed, as shown on the record of disclosures maintained in accordance with &#167; 1007.6(b).
</p>
<p>(g) If the Privacy Officer or designee disagrees in whole or in part with a request for amendment of a record, the individual shall promptly be notified of the complete or partial denial of his request and the reasons for the refusal. The individual shall also be notified of the procedures for administrative review by the Chairman of any complete or partial denial of a request for amendment, which are set forth in &#167; 1007.9.
</p>
<p>(h) If a request is received for amendment of a record prepared by another agency which is in the possession or control of the Board, the request for amendment will be forwarded to that agency. If that agency determines that the correction should be made, the Board will amend its records accordingly and notify the individual making the request for amendment of the change. If the other agency declines to make the amendment, the Privacy Officer or designee will independently determine whether the amendment will be made to the record in the Board’s possession or control, considering any explanation given by the other agency for its decision.
</p>
<p>[41 FR 3087, Jan. 21, 1976, as amended at 64 FR 53266, Oct. 1, 1999]
</p>
<p><b>&#167; 1007.9
 Appeals to the Chairman.
</b></p>
<p>(a) Any individual may petition the Chairman:
</p>
<p>(1) To review a refusal to comply with an individual request for access to records pursuant to the Privacy Act (5 U.S.C. 552a(d)(1)), and &#167;&#167; 1007.3 and 1007.5 in this part;
</p>
<p>(2) To review denial of a request for amendment made pursuant to &#167; 1007.8;
</p>
<p>(3) To correct any determination that may have been made adverse to the individual based in whole or in part upon inaccurate, irrelevant, untimely or incomplete information; and,
</p>
<p>(4) To correct a failure to comply with any other provision of the Privacy Act and the rules of this part 1007, which has had an adverse effect on the individual.
</p>
<p>(b) The petition to the Chairman shall be in writing and shall: (1) State in what manner it is claimed the Board or any Board employee has failed or refused to comply with provisions of the Privacy Act or of the rules contained in this part 1007, and (2) set forth the corrective action the petitioner wishes the Board to take. The petitioner may, if he or she wishes, state such facts and cite such legal or other authorities as are considered appropriate.
</p>
<p>(c) The Chairman will make a determination of any petition filed pursuant to this subsection within thirty days (excluding Saturdays, Sundays and legal public holidays) after receipt of the petition, unless for good cause shown, the Chairman extends the 30-day period. If a petition is denied, the petitioner will be notified in writing of the reasons for such denial, and the provisions for judicial review of that determination which are set forth in section 552a(g) (1)(A) and (2)(A), of Title 5 of the United States Code and the provisions for disputed records set forth in paragraph (d) of this section.
</p>
<p>(d) If, after review, the Chairman declines to amend the records as the individual has requested, the individual may file with the Privacy Officer a concise statement setting forth why he or she disagrees with the Chairman’s denial of the request. Any subsequent disclosure containing information about which a statement of disagreement has been filed shall clearly note the portion which is disputed and include a copy of a concise statement explaining its reasons for not making the amendments requested. Prior recipients of the disputed record will be provided a copy of any statement of dispute to the extent that an accounting of disclosures was maintained.
</p>
<p><b>&#167; 1007.10
 Information supplied by the Board when collecting information from an individual.
</b></p>
<p>The Board will inform each individual whom it asks to supply information, on the form which it uses to collect the information or on a separate form that can be retained by the individual, of:
</p>
<p>(a) The authority which authorizes the solicitation of the information and whether disclosure of such information is mandatory or voluntary;
</p>
<p>(b) The principal purpose or purposes for which the information is intended to be used;
</p>
<p>(c) The routine uses which may be made of the information, as published in the <i>Federal Register</i>; and,
</p>
<p>(d) The effects on the individual of not providing all or any part of the requested information.
</p>
<p><b>&#167; 1007.11
 Public notice of records systems.
</b></p>
<p>(a) The Board will publish in the <i>Federal Register,</i> at least annually, a notice of the existence and character of each of its system of records, which notice shall include:
</p>
<p>(1) The name and location of the system;
</p>
<p>(2) The categories of individuals on whom records are maintained in the system;
</p>
<p>(3) The categories of records maintained in the system;
</p>
<p>(4) Each routine use of the records contained in the system, including the categories of users and purpose of such use;
</p>
<p>(5) The policies and practices of the Board regarding storage, retrieval, access controls, retention, and disposal of the records;
</p>
<p>(6) The title and business address of the Board official who is responsible for the system of records;
</p>
<p>(7) The procedures whereby an individual can be notified at his or her request if the system of records contains a record pertaining to that individual;
</p>
<p>(8) The procedures whereby an individual can be notified at his or her request how he or she can gain access to any record pertaining to that individual contained in the system of records, and how the content of the record can be contested; and,
</p>
<p>(9) The categories of sources of records in the system.
</p>
<p>(b) Copies of the notices as printed in the <i>Federal Register</i> will be available in each office of the Board. Mail requests should be directed to the Privacy Officer, Surface Transportation Board, 1925 K Street, NW, Washington, DC 20423. The first copy will be provided free of charge; additional copies are subject to charge provided for in paragraph (e) of this &#167; 1007.5.
</p>
<p>[41 FR 3087, Jan. 21, 1976, as amended at 64 FR 53266, Oct. 1, 1999]
</p>
<p><b>&#167; 1007.12
 Exemptions.
</b></p>
<p>(a) Investigatory materials compiled for law enforcement purposes are exempt from portions of the Privacy Act of 1974 and of these rules on the basis and to the extent that individual access to these files could impair the effectiveness and orderly conduct of the Board’s enforcement program. <i>Provided, however,</i> That if any individual is denied any right, privilege, or benefit to which he or she would otherwise be entitled by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of such material, such materials shall be provided to the individual; except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to the effective date of this section, under an implied promise that the identity of the source would be held in confidence.
</p>
<p>(b) Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for employment with or contracts with the Board are exempt from portions of the Privacy Act of 1974 and of these rules to the extent that it identifies a confidential source. This is done in order to encourage persons from whom information is sought to provide information to the Board which, absent assurances of confidentiality, they might otherwise be unwilling to give. However, if practicable, material identifying a confidential source shall be extracted or summarized in a manner which protects the source, and the summary or extract shall be provided to the requesting individual.
</p>
<p>(c) Complaints and investigatory materials compiled by the Board’s Office of Inspector General are exempt from the provisions of 5 U.S.C. 552a and the regulations in this part, pursuant to 5 U.S.C. 552a(j)(2), except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11) and (i) to the extent that the system of records pertains to the enforcement of criminal laws. Complaint and investigatory materials compiled by the Board’s Office of Inspector General for law enforcement purposes also are exempt from the provisions of 5 U.S.C. 552a and the regulations of this part, pursuant to 5 U.S.C. 552a(k)(2).
</p>
<p>[41 FR 3087, Jan. 21, 1976, as amended at 58 FR 15291, Mar. 22, 1993; 58 FR 28520, May 14, 1993]
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
<regulations id="reg" toc="yes">
<regulationsTitle number="49">
<heading> Transportation </heading>
<regulationsChapter number="XII">
<heading> Transportation Security Administration </heading>
<regulationsPart number="1507">
<heading> PRIVACY ACT-EXEMPTIONS </heading>
<xhtmlContent>
<p>1507.1 Scope.
</p>
<p>1507.3 Exemptions.
</p>
<p><b>Authority:</b> 49 U.S.C. 114(l)(1), 40113, 5 U.S.C. 552a(j) and (k).
</p>
<p><b>Source:</b> 69 FR 35537, June 25, 2004, unless otherwise noted.
</p>
<p><b>&#167; 1507.1
 Scope.
</b></p>
<p>This part implements provisions of the Privacy Act of 1974 (the Act) that permit TSA to exempt any system of records within the agency from certain requirements of the Act. The procedures governing access to, and correction of, records in a TSA system of records are set forth in 6 CFR part 5, subpart B.
</p>
<p><b>&#167; 1507.3
 Exemptions.
</b></p><p>Link to an amendment published at 72 FR 63709, November 9, 2007.
</p>
<p>The following TSA systems of records are exempt from certain provisions of the Privacy Act of 1974 pursuant to 5 U.S.C. 552a(j), (k), or both, as set forth in this section. During the course of normal agency functions, exempt materials from one system of records may become part of one or more other systems of records. To the extent that any portion of system of records becomes part of another Privacy Act system of records, TSA hereby claims the same exemptions as were claimed in the original primary system of which they are a part and claims any additional exemptions in accordance with this part.
</p>
<p>(a) <i>Transportation Security Enforcement Record System (DHS/TSA 001).</i> The Transportation Security Enforcement Record System (TSERS) (DHS/TSA 001) enables TSA to maintain a system of records related to the screening of passengers and property and they may be used to identify, review, analyze, investigate, and prosecute violations or potential violations of criminal statutes and transportation security laws. Pursuant to exemptions (j)(2), (k)(1), and (k)(2) of the Privacy Act, DHS/TSA 001 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(3), (e)(4)(G), (H), and (I), and (f). Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal investigative interest on the part of TSA, as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to transportation security, law enforcement efforts, and efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation and avoid detection or apprehension, which undermines the entire system.
</p>
<p>(2) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal investigative interest on the part of TSA, as well as the recipient agency. Access to the records would permit the individual who is the subject of a record to impede the investigation and avoid detection or apprehension. Amendment of the records would interfere with ongoing investigations and law enforcement activities, and impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. The information contained in the system may also include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information also could disclose sensitive security information, which could be detrimental to transportation security.
</p>
<p>(3) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of transportation security laws, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective enforcement of transportation security laws, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
</p>
<p>(4) From subsection (e)(3) (Privacy Act Statement) because disclosing the authority, purpose, routine uses, and potential consequences of not providing information could reveal the investigative interests of TSA, as well as the nature and scope of an investigation, the disclosure of which could enable individuals to circumvent agency regulations or statutes.
</p>
<p>(5) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d).
</p>
<p>(b) <i>Transportation Workers Employment Investigations System (DHS/TSA 002).</i> The Transportation Workers Employment Investigations System (TWEI) (DHS/TSA 002) enables TSA to facilitate the performance of background checks on employees of transportation operators and others who are issued credentials or clearances by transportation operators, other than TSA employees. Pursuant to exemptions (k)(1) and (k)(2) of the Privacy Act, DHS/TSA 002 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures), because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would learn of third-agency investigate interests and thereby avoid detection or apprehension.
</p>
<p>(2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigate techniques and procedures in the transportation workers employment investigation process, as well as the nature and scope of the employment investigation, the disclosure of which could enable individuals to circumvent agency regulations or statutes and obtain access to sensitive information and restricted areas in the transportation industry. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrimental to the security of transportation.
</p>
<p>(3) From subsection (e)(1) (Relevancy and Necessity of Information), because third-agency records obtained or made available to TSA during the course of an employment investigation may occasionally contain information that is not strictly relevant or necessary to a specific employment investigation. In the interests of administering an effective and comprehensive transportation worker employment investigation program, it is appropriate and necessary for TSA to retain all such information that may aid in that process.
</p>
<p>(4) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d).
</p>
<p>(c) <i>Personnel Background Investigation File System (DHS/TSA 004)</i>. The Personnel Background Investigation File System (PBIFS) (DHS/TSA 004) enables TSA to maintain investigative and background material used to make suitability and eligibility determinations regarding current and former TSA employees, applicants for TSA employment, and TSA contract employees. Pursuant to exemptions (k)(1) and (k)(5) of the Privacy Act, the Personnel Background Investigation File System is exempt from 5 U.S.C. 552a(c)(3) (Accounting of Disclosures) and (d) (Access to Records). Exemptions from the particular subsections are justified because this system contains investigatory material compiled solely for determining suitability, eligibility, and qualifications for Federal civilian employment. To the extent that the disclosure of material would reveal any classified material or the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence, the applicability of exemption (k)(5) will be required to honor promises of confidentiality should the data subject request access to or amendment of the record, or access to the accounting of disclosures of the record. Exemption (k)(1) will be required to protect any classified information that may be in this system.
</p>
<p>(d) <i>Internal Investigation Record System (DHS/TSA 005)</i>. The Internal Investigation Record System (IIRS) (DHS/TSA 005) contains records of internal investigations for all modes of transportation for which TSA has security-related duties. This system covers information regarding investigations of allegations or appearances of misconduct of current or former TSA employees or contractors and provides support for any adverse action that may occur as a result of the findings of the investigation. It is being modified to cover investigations of security-related incidents and reviews of TSA programs and operations. Pursuant to exemptions (j)(2), (k)(1), and (k)(2) of the Privacy Act, DHS/TSA 005 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(3), (e)(4)(G), (H), and (I), and (f). Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could, therefore, present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would learn of third-agency investigative interests and thereby avoid detection or apprehension, as well as to TSA investigative efforts.
</p>
<p>(2) From subsection (d) (Access to Records) because access to the records contained in this system could reveal investigative techniques and procedures of the investigators, as well as the nature and scope of the investigation, the disclosure of which could enable individuals to circumvent agency regulations or statutes. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such records could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrimental to the security of transportation.
</p>
<p>(3) From subsection (e)(1) (Relevancy and Necessity of Information) because third agency records obtained or made available to TSA during the course of an investigation may occasionally contain information that is not strictly relevant or necessary to a specific investigation. In the interests of administering an effective and comprehensive investigation program, it is appropriate and necessary for TSA to retain all such information that may aid in that process.
</p>
<p>(4) From subsection (e)(3) (Privacy Act Statement) because disclosing the authority, purpose, routine uses, and potential consequences of not providing information could reveal the targets of interests of the investigating office, as well as the nature and scope of an investigation, the disclosure of which could enable individuals to circumvent agency regulations or statutes.
</p>
<p>(5) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d).
</p>
<p>(e) <i>Correspondence and Matters Tracking Records (DHS/TSA 006).</i> The Correspondence and Matters Tracking Records (CMTR) (DHS/TSA 006) system allows TSA to manage, track, retrieve, and respond to incoming correspondence, inquiries, claims and other matters presented to TSA for disposition, and to monitor the assignment, disposition and status of such matters. This system covers information coming into TSA from individuals as well as information recorded by TSA employees in the performance of their duties. Pursuant to exemptions (k)(1) and (k)(2) of the Privacy Act, DHS/TSA 006 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures), because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would lean of third-agency investigative interests and thereby avoid detection or apprehension.
</p>
<p>(2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigative interest on the part of TSA or other agency and the nature of that interest, the disclosure of which could enable individuals to circumvent agency regulations or statutes. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrimental to transportation security.
</p>
<p>(3) From subsection (e)(1) (Relevancy and necessity of Information), because third-agency records obtained or made available to TSA during the course of an investigation may occasionally contain information that is not strictly relevant or necessary to a specific investigation. In the interests of administering an effective and comprehensive investigation program, it is appropriate and necessary for TSA to retain all such information that may aid in that process.
</p>
<p>(4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency rules), because this system is exempt from the access provisions of subsection (d).
</p>
<p>(f) <i>Freedom of Information and Privacy Act Records (DHS/TSA 007).</i> The Freedom of Information and Privacy Act (FOIA/PA) Records System (DHS/TSA 007) system enables TSA to maintain records that will assist in processing access requests and administrative appeals under FOIA and access and amendments requests and appeals under the PA; participate in associated litigation; and assist TSA in carrying out any other responsibilities under FOIA/PA. Pursuant to exemptions (k)(1) and (k)(2) of the Privacy Act, Freedom of Information and Privacy Act Records are exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures), because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would learn of third-agency investigative interests and thereby avoid detection or apprehension.
</p>
<p>(2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigative interest on the part of TSA or other agency and the nature of that interest, the disclosure of which could enable individuals to circumvent agency regulations or statutes. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which would be detrimental to transportation security.
</p>
<p>(3) From subsection (e)(1) (Relevancy and necessity of Information), because third-agency records obtained or made available to TSA during the course of an investigation may occasionally contain information that is not strictly relevant or necessary to a specific investigation. In the interests of administering an effective and comprehensive investigation program, it is appropriate and necessary for TSA to retain all such information that may aid in that process.
</p>
<p>(4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d).
</p>
<p>(g) <i>General Legal Records System (DHS/TSA 009).</i> The General Legal Records (GLR) System (DHS/TSA 009) enables TSA to maintain records that will assist attorneys to perform their functions within the office of Chief Counsel, to include providing legal advice, responding to claims filed by employees and others, and assisting in litigation and in the settlement of claims. Pursuant to exemptions (k)(1) and (k)(2) of the Privacy Act, DHS/TSA 009 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures), because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would learn of third-agency investigative interests and thereby avoid detection or apprehension.
</p>
<p>(2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigative interest on the part of TSA or other agency and the nature of that interest, the disclosure of which would enable individuals to circumvent agency regulations or statutes. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrimental to transportation security.
</p>
<p>(3) From subsection (e)(1) (Relevancy and Necessity of Information), because third-agency records obtained or made available to TSA during the course of an investigation may occasionally contain information that is not strictly relevant or necessary to a specific investigation. In the interests of administering an effective and comprehensive investigation program, it is appropriate and necessary for TSA to retain all such information that may aid in that process.
</p>
<p>(4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsections (d).
</p>
<p>(h) <i>Federal Flight Deck Officer Records System (DHS/TSA 013).</i> The Federal Flight Deck Officer Record System (FFDORS) (DHS/TSA 013) enables TSA to maintain a system of records documenting the application, selection, training, and requalification of pilots deputized by TSA to perform the duties of a Federal Flight Deck Officer (FFDO). Pursuant to exemptions (k)(1), (k)(2), and (k)(6) of the Privacy Act, DHS/TSA 013 is exempt from 5 U.S.C. 552a(c)(3), (d), and (e)(1). Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From (c)(3) (Accounting of Certain Disclosures) and (d) (Access to Records), because access to the accounting of disclosures in this system could reveal the identity of a confidential source that provided information during the background check process. Without the ability to protect the identity of a confidential source, the agency’s ability to gather pertinent information about candidates for the program may be limited. In addition, the system might contain information that is properly classified, the release of which would pose a threat to national security and/or foreign policy, or information the disclosure of which could be detrimental to the security of transportation pursuant to 49 U.S.C. 114(s). Finally, the agency must be able to protect against access to testing or examination material as release of this material could compromise the effectiveness of the testing and examination procedure itself. The examination material contained in this system is so similar in form and content to the examination material used in the selection process for TSA security screeners, or potential selection processes that TSA may utilize in the future, that release of the material would compromise the objectivity or fairness of the testing or examination process of those TSA employees.
</p>
<p>(2) From (e)(1) (Relevancy and Necessity of Information), because information obtained or made available to TSA from other agencies and other sources during the evaluation of an individual’s suitability for an FFDO position may occasionally include information that is not strictly relevant or necessary to the specific determination regarding that individual. In the interests of effective program administration, it is appropriate and necessary for TSA to collect all such information that may aid in the FFDO selection process.
</p>
<p>(i) <i>Registered Traveler Operations Files (DHS/TSA 015)</i>. The purpose of this system is to pre-screen and positively identify volunteer travelers using advanced identification technologies and conduct a security threat assessment to ensure that the volunteer does not pose a security threat. This system may expedite the pre-boarding process for the traveler and improve the allocation of TSA’s security resources on individuals who may pose a security threat. Pursuant to exemptions (k)(1) and (k)(2) of the Privacy Act, DHS/TSA 015 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). Exemptions from the particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of heightened security concerns relating to an actual or potential criminal, civil, or regulatory violation to the existence of an investigative interest on the part of the Department of Homeland Security or another Federal law enforcement or other recipient agency. Disclosure of the accounting would therefore present a serious impediment to transportation security law enforcement efforts and efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the program suitability determination, which undermines the entire system.
</p>
<p>(2) From subsection (d) (Access to Records) because access to some of the records contained in this system of records could permit the individual who is the subject of a record to impede the program suitability determination. Amendment of the records would interfere with ongoing security assessment investigations and program suitability determinations and impose an impossible administrative burden by requiring such investigations to be continuously reinvestigated. The information contained in the system may also include classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information also could disclose sensitive security information protected pursuant to 49 U.S.C. 114(s) and 49 CFR part 1520, the disclosure of which could be detrimental to transportation security.
</p>
<p>(3) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of screening applicants for program suitability, TSA must be able to review information from a variety of sources. What information is relevant and necessary may not always be apparent until after the evaluation is completed. In the interests of transportation security, it is appropriate to include a broad range of information that may aid in determining an applicant’s suitability for the Registered Traveler program.
</p>
<p>(4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access and amendment provisions of subsection (d).
</p>
<p>(j) <i>Transportation Security Intelligence Service (TSIS) Operations Files.</i> Transportation Security Intelligence Service Operations Files (TSIS) (DHS/TSA 011) enables TSA to maintain a system of records related to intelligence gathering activities used to identify, review, analyze, investigate, and prevent violations or potential violations of transportation security laws. This system also contains records relating to determinations about individuals’ qualifications, eligibility, or suitability for access to classified information. Pursuant to exemptions (j)(2), (k)(1), (k)(2), and (k)(5) of the Privacy Act, DHS/TSA 011 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemptions from particular subsections are justified for the following reasons:
</p>
<p>(1) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of intelligence gather operations and reveal investigative interest on the part of the Transportation Security Administration, as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to transportation security law enforcement efforts and efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede operations and avoid detection and apprehension, which undermined the entire system. Disclosure of the accounting may also reveal the existence of information that is classified or sensitive security information, the release of which would be detrimental to the security of transportation.
</p>
<p>(2) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of intelligence gathering operations and reveal investigative interest on the part of the Transportation Security Administration. Access to the records would permit the individual who is the subject of a record to impede operations and possibly avoid detection or apprehension. Amendment of the records would interfere with ongoing intelligence and law enforcement activities and impose an impossible administrative burden by requiring investigations to be continually reinvestigated. The information contained in the system may also include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information also could disclose sensitive security information, which could be detrimental to transportation security if released. This system may also include information necessary to make a determination as to an individual’s qualifications, eligibility, or suitability for access to classified information, the release of which would reveal the identity of a source who received an express or implied assurance that their identity would not be revealed to the subject of the record.
</p>
<p>(3) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of gathering and analyzing information about potential threats to transportation security, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific operation. In the interests of transportation security, it is appropriate to retain all information that may aid in identifying threats to transportation security and establishing other patterns of unlawful activity.
</p>
<p>(4) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access and amendment provisions of subsection (d).
</p>
<p>[69 FR 35537, June 25, 2004, as amended at 70 FR 33384, June 8, 2005; 71 FR 44227, Aug. 4, 2006]
</p>

</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
<regulations id="reg4" toc="yes">
<regulationsTitle number="48">
<heading> Federal Acquisition Regulations System </heading>
<regulationsChapter number="12">
<heading> Department of Transportation </heading>
<regulationsPart number="1224">
<heading> PROTECTION OF PRIVACY AND FREEDOM OF INFORMATION </heading>
<xhtmlContent><p>
<b>Subpart 1224.1--Protection of Individual Privacy
</b></p>
<p>Sec.
</p>
<p>1224.102-70 General.
</p>
<p>1224.103 Procedures.
</p>
<p><b>Authority:</b> 5 U.S.C. 301; 41 U.S.C. 418b; (FAR) 48 CFR 1.3.
</p>
<p><b>Source:</b> 70 FR 6507, Feb. 7, 2005, unless otherwise noted.</p>
<p><b>Subpart 1224.1--Protection of Individual Privacy
</b></p>
<p>1224.102-70
 General.
</p>
<p>(a) Systems of records to which the Privacy Act applies shall not be released except by the Government regardless of whether the Government or a contractor acting on behalf of the Government is maintaining the records. Examples of systems of records are:
</p>
<p>(1) Personnel, payroll and background records personal to any officer or employee of DOT, or other person, including his or her residential address;
</p>
<p>(2) Medical histories and medical records concerning individuals, including applications for licenses; and
</p>
<p>(3) Any other detailed record containing information identifiable with a particular person.
</p>
<p>(b) Examples of systems of records to which the Privacy Act does not apply are:
</p>
<p>(1) Records that are maintained by a contractor on individuals employed by the contractor in the process of providing goods and services to the Federal government; and
</p>
<p>(2) Records generated on contract students pursuant to their attendance (<i>e.g.</i>, admission forms, grade reports) when contracting with an educational institution. These records must be similar to those maintained on other students, must not reveal their identities, and must not be commingled with records of other students.
</p>
<p>1224.103
 Procedures.
</p>
<p>DOT rules and regulations implementing the Privacy Act of 1974 are located at 49 CFR part 10.
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>
