[Federal Register Volume 62, Number 25 (Thursday, February 6, 1997)]
[Notices]
[Pages 5663-5665]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-3000]


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DEPARTMENT OF TRANSPORTATION
Office of the Secretary


Privacy Act; System of Records; General Routine Uses

AGENCY: Office of the Secretary, DOT.

ACTION: Notice of Intended Establishment of General Routine Use.

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SUMMARY: DOT intends to establish under the Privacy Act of 1974 a 
General Routine Use applicable to all DOT systems of records to 
facilitate implementation of the Brady Handgun Violence Prevention Act. 
Public comment is invited.

DATES: Comments are due March 10, 1997.

ADDRESSES: Comments should be addressed to Information Resources 
Management Staff, M-31, Department of Transportation, 400 Seventh 
Street, SW, Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Robert I. Ross, Office of the General

[[Page 5664]]

Counsel, C-10, Department of Transportation, Washington, DC 20590, 
telephone (202) 366-9156, FAX (202) 366-9170.

SUPPLEMENTARY INFORMATION: The Brady Handgun Violence Prevention Act 
(Pub. L. 103-159, November 30, 1993) provides for a national instant 
criminal background check system that a firearms licensee must contact 
before transferring any firearm to a nonlicensed individual, in order 
to determine whether that nonlicensed individual is disqualified from 
receiving, possessing, shipping, or transporting a firearm. DOT, as an 
agency of the Federal Government, is required by the statute to provide 
to the Attorney General of the United States, upon request, any 
information that it possesses that indicates that a person may be 
prohibited by the statute from receiving, possessing, shipping, or 
transporting a firearm. Inter-agency transfers of information of this 
type are regulated by the Privacy Act; to facilitate compliance with 
the Brady Act and provide additional notice to the public, DOT proposes 
to establish a Routine Use Number 10, applicable to all of its Privacy 
Act Systems of Records. For the convenience of the public, DOT herewith 
publishes all of its General Routine Uses, including the one we intend 
to establish under the Brady Act:

General Routine Uses Under the Privacy Act of 1974

    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).
    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.
    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.
    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.
    4.a. Routine Use for Disclosure for Use in Litigation. 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--
    (a) DOT, or any agency thereof, or
    (b) Any employee of DOT or any agency thereof (including a member 
of the Coast Guard), in his/her official capacity, or
    (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
    (d) The United States or any agency thereof, 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.
    b. Routine Use for Agency Disclosure in Other Proceedings. 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
    (a) DOT, or any agency thereof, or
    (b) Any employee of DOT or any agency thereof (including a member 
of the Coast Guard) in his/her official capacity, or (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
    (d) The United States or any agency thereof, 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.
    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.
    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).
    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.
    8. Access to all DOT systems of records is authorized to member(s) 
of the Office of Inspector General where the records are considered ` * 
* * pertinent to the DOT programs or operations being reviewed. 
Existing orders or (internal) directives contrary to this provision are 
hereby superseded.' The Secretary of Transportation by the foregoing 
has clarified the role of Inspector General personnel `who have need 
for the record(s) in the performance of their duties.'
    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

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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.
    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.
    Public comment is invited on the intention to establish General 
Routine Use Number 10.

    Issued in Washington, DC, on January 30, 1997.
Michael P. Huerta,
Associate Deputy Secretary, Acting Chief Information Officer.
[FR Doc. 97-3000 Filed 2-5-97; 8:45 am]
BILLING CODE 4910-62-P