[Federal Register Volume 62, Number 147 (Thursday, July 31, 1997)]
[Notices]
[Pages 41120-41124]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-20064]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary


Privacy Act of 1974: Systems of Records

AGENCY: Operating Administrations, DOT.

ACTION: Notice.

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SUMMARY: Notice to amend systems of records.

EFFECTIVE DATE: July 31, 1997.

FOR FURTHER INFORMATION CONTACT: Crystal M. Bush at (202) 366-9713 
(Telephone), (202) 366-7066 (FAX), [email protected] (Internet 
Address).

SUPPLEMENTARY INFORMATION: The Department of Transportation systems of 
records notices subject to the Privacy Act of 1974 (5 U.S.C. 552a), as 
amended, have been published in the Federal Register and are available 
from the above mentioned address.
    The proposed amendments are not within the purview of subsection 
(r) of the Privacy Act of 1974, (5 U.S.C. 552a), as amended, which 
requires the submission of a new or altered systems report.
DOT/FHWA 204

System name:
    FHWA Motor Carrier Safety Proposed Civil and Criminal Enforcement 
Cases, DOT/FHWA.

Security classification:
    Confidential.

System location:
    Department of Transportation (DOT), Federal Highway Administration 
(FHWA). All FHWA Regional Offices (See 49 CFR part 7 appendix D for 
addresses).

Categories of individuals covered by the system:
    Officers, agents or employees of motor carriers, including drivers 
who have been the subject of investigation for Motor Carrier Safety 
regulation violations.

Categories of records in the system:
    This system of records contains information pertaining to Motor 
Carrier safety regulation violations and identifying features.

Authority for maintenance of the system:
    Motor Carrier Safety Act of 1984.

Purpose(s):
    This system of records serves as a Federal Highway Administration 
docket. The records are maintained by both the Regional Counsels and 
the Office of Chief Counsel at the Washington Headquarters, and are 
used to decide enforcement action and for use as historical documents 
in case of appeal.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information in the records are used for referral 
to U.S. Attorney civil proceedings or referred to other agencies for 
criminal or civil investigation of other Federal violations.
    Prefatory Statement of General Routine Uses. Routine use number 5 
does not apply to this system of records.

Disclosure to consumer reporting agencies:
    Not applicable.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
    Storage:
    The records are maintained in file folders in the Regional 
Counsel's Office.

Retrievability:
    These records are indexed by names of motor carriers or 
individuals.

Safeguards:
    The records are marked ``Confidential.'' Only Office of Chief 
Counsel or Regional Counsel Office employees and Office of Motor 
Carriers (OMC) employees have access to the files.

Retention and disposal:
    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:
    FHWA, Office of Chief Counsel, 400 Seventh Street, SW., Room 4224, 
Washington, DC 20590; FHWA Regional Offices, Office of Regional 
Counsel.

Notification procedure:
    Same as ``System Manager.''

Record access procedures:
    Same as ``System Manager.''

Contesting record procedures:
    Same as ``System Manager.''

Record source categories:
    Individuals, motor carrier files, OMC file information as gathered 
by OMC investigators, etc.

Exemptions claimed for the system:
    Pursuant to (k) (2) of 5 U.S.C. 552a this system of records is 
exempt from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I) 
and (f).
DOT/FHWA 212

System name:
    Medals of Honor File.

Security classification:
    Sensitive.

System location:
    Department of Transportation (DOT), Federal Highway Administration 
(FHWA), Office of Motor Carrier Field Operations, 400 Seventh Street, 
SW., Room 4432A, Washington, DC 20590.

[[Page 41121]]

Categories of individuals covered by the system:
    Nominees and recipients of Presidential Medals of Honor for 
Lifesaving on Highways.

Categories of records in the system:
    Description of incidents, motor carrier safety investigators' 
reports, and related correspondence.

Authority for maintenance of the system:
    DOT Order 3450. DOT Award for Heroism, dated March 11, 1975.

Purpose(s):
    The purpose of this system of records is to provide a source of 
historical information to monitor individuals that have been nominated 
for the DOT Award for Heroism. The system is used by Motor Carrier 
personnel for the nomination, the approval or disapproval of 
prospective recipients, and presentation of the DOT Medal of Honor for 
Heroism.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    To determine the applicability of Medals of Honor criteria and to 
maintain background information for preparation of Medal presentation.
    See Prefatory Statement of General Routine Uses. The routine uses 
numbered 1, 2, 4, and 9 are not applicable to this system of records.

Disclosure to consumer reporting agencies:
    Not applicable.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    The records are maintained in a file folder in a single file 
drawer.

Retrievability:
    The records are indexed by name of Medal of Honor nominees and/or 
recipients.

Safeguards:
    These records are accessible only by designated persons who are 
involved in the Medal of Honor nomination, approval, and presentation 
processes.

Retention and disposal:
    The records are retained approximately two years after presentation 
or denial of the Medal of Honor.

System manager(s) and address:
    Department of Transportation, Federal Highway Administration, 
Office of Motor Carrier Field Operations, 400 Seventh Street, SW., Room 
4432A, Washington, DC 20590.

Notification procedure:
    Same as in ``System Manager'' above.

Record access procedures:
    Same as in ``System Manager'' above.

Contesting record procedures:
    Same as in ``System Manager'' above.

Record source categories:
    Medal of Honor Nomination.

Exemptions claimed for the system:
    None.

DOT/FHWA 213
System name:
    Driver Waiver File.

Security classification:
    Sensitive.

System location:
    Department of Transportation, Federal Highway Administration 
(FHWA), FHWA Regional Offices and Motor Carriers.

Categories of individuals covered by the system:
    The records pertain to operators of interstate commercial vehicles 
that transport certain commodities.

Categories of records in the system:
    The records include applications for waiver (usually involving 
physical disability); final disposition of request for waiver; and 
waiver renewal.

Authority for maintenance of the system:
    Motor Carrier Safety Act of 1984.

Purpose(s):
    This system of records is necessary to monitor drivers of 
commercial interstate vehicles who have been identified as physically 
impaired. The regulations state that impaired drivers must be evaluated 
every two years to insure that they are physically qualified to drive a 
commercial vehicle.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    To control physically impaired operators of commercial motor 
vehicles.
    See Prefatory Statement of General Routine Uses. Routine use number 
5 is not applicable to this system of records.

Disclosure to consumer reporting agencies:
    Not applicable.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    The records are maintained in file folders in file cabinets.

Retrievability:
    The records are filed by drivers' name.

Safeguards:
    Files are classified as sensitive and are accessible only by 
designated employees within the Regional Offices of Motor Carriers.

Retention and disposal:
    The files are retained while the driver waivers are active. The 
inactive driver waiver files are purged each year.

System manager(s) and address:
    Department of Transportation, Federal Highway Administration, 
Office of Motor Carrier Research and Standards, 400 Seventh Street, 
SW., Washington, DC 20590.

Notification procedure:
    Same as in ``System Manager'' above.

Record access procedures:
    Same as in ``System Manager'' above.

Contesting record procedures:
    Same as in ``System Manager'' above.

Record source categories:
    Information obtained from Application for Waiver or Waiver Renewal.

Exemptions claimed for the system:
    None.
DOT/FHWA 215

System name:
    Travel Advance File.

Security classification:
    Sensitive.

System location:
    Department of Transportation (DOT), 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 all FHWA 
Federal Lands Division Offices.

Categories of individuals covered by the system:
    Employees who are not eligible for the contractor issued credit 
card and other

[[Page 41122]]

groups of employees, such as Federal Lands, and relocating employees.

Categories of records in the system:
    Record of travel advances and repayments.

Authority for maintenance of system:
    FHWA Order 2700.2.

Purpose(s):
    The data contained in this system of records is required by the 
General Accounting Office (GAO) for controlling the repayments of 
travel advances to FHWA personnel.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    To control the repayments of FHWA travel advances. The Support of 
Advance Receivable document is used for posting and as a legal record 
for collection of receivables.
    See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
    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 U.S. 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)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Open advances are maintained on a 5 x 8 inch form.

Retrievability:
    The files are indexed by name.

Safeguards:
    The records are maintained in a locked file cabinet.

Retention and disposal:
    The files are retained for 6\1/2\ years pursuant to General Records 
Schedule 9, Travel and Transportation Records.

System manager(s) and address:
    Department of Transportation, Federal Highway Administration, 
Office of Budget and Finance, Chief, Operations Team, 400 Seventh 
Street, SW., Washington, DC 20590.

Notification procedure:
    Same as ``System Manager.''

Record access procedures:
    Same as ``System Manager.''

Contesting record procedures:
    Same as ``System Manager.''

Record source categories:
    The information is obtained from the individuals on whom the 
records are maintained.

Exemptions claimed for the system:
    None.
DOT/FHWA 216

System name:
    Travel Voucher--Change of Duty Station.

Security classification:
    Non-sensitive.

System location:
    Department of Transportation, Federal Highway Administration, 
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.

Categories of individuals covered by the system:
    First duty station employees and transferring employees within the 
FHWA and those from other Federal agencies.

Categories of records in the system:
    Travel vouchers, copies of third party payments (i.e., GBL carrier 
bills, relocation service bills, tax information records, 
administrative notices, and IRS 4782's.

Authority for maintenance of the system:
    FHWA Order 2700.2.

Purpose(s):
    The data contained in this system of records is required by the 
General Accounting Office (GAO) to support the payments to employees 
and serves as support for updated employee earnings records. Voucher 
examiners provide copies to employees from these records. The records 
are also used to conduct research and to develop reports.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The file supports the payments to employees and serves as support 
for updated employee earnings records. Retrieval of records by voucher 
examiners is needed to provide copies to employees, to conduct research 
and to develop reports.

Disclosure to consumer reporting agencies:
    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 U.S. 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)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:

Storage:
    Maintained on an 8 x 10 inch form.

Retrievability:
    The files are indexed by name.

Safeguards:
    Supervised by the PCS Team Leader and Chief of the Operations Team 
in FHWA and the Supervisor of the FAA Travel and Relocation Section.

Retention and disposal:
    General Records Schedule 9, Travel and Transportation Records.

System manager(s) and address:
    Department of Transportation, Federal Highway Administration, 
Office of Budget and Finance, Chief, Operations Team, 400 Seventh 
Street, SW., Washington, DC 20590; and Chief, Travel and Transportation 
Section, Federal Aviation Administration, ASO-22A, Campus Building, 
Room C-210E, 1701 Columbia Avenue, College Park, GA 30337.

Notification procedure:
    Same as in ``System Manager'' above.

Record access procedures:
    Same as in ``System Manager'' above.

Contesting record procedures:
    Same as in ``System Manager'' above.

Record source categories:
    The information is obtained from individuals on whom the records 
are maintained.

Exemptions claimed for the system:
    None.
DOT/FHWA 217

System name:
    Accounts Receivable.

Security classification:
    Sensitive.

System location:
    Department of Transportation, Federal Highway Administration, 
Office of

[[Page 41123]]

Budget and Finance, 400 Seventh Street, SW., Washington, DC 20590.

Categories of individuals covered by the system:
    Individuals indebted to the Federal Highway Administration.

Categories of records in the system:
    Amount of indebtedness.

Authority for maintenance of the system:
    FHWA Order 2700.2.

Purpose(s):
    The records in this system are required by the Internal Revenue 
Service (IRS) and the Department of Justice to monitor and control 
accounts receivable and support bills of collection issued to debtors 
of the Federal Highway Administration.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    To control accounts receivable and support bill of collections 
issued to debtors of the Federal Highway Administration.

See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
    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 U.S. 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)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in file folders and loose-leaf binders.

Retrievability:
    The records are filed by name.

Safeguards:
    Supervised by Chief, Accounting Team.

Retention and disposal:
    General Records Schedule 7, Expenditure Accounting Records.

System manager(s) and address:
    Department of Transportation, Federal Highway Administration, 
Office of Budget and Finance, Chief, Accounting Team, 400 Seventh 
Street, SW., Washington, DC 20590.

Notification procedure:
    Same as in ``System Manager'' above.

Record access procedures:
    Same as in ``System Manager'' above.

Contesting record procedures:
    Same as in ``System Manager'' above.

Record source categories:
    Employer.

Exemptions claimed for the system:
    None.
DOT/OST 035

System name:
    Personnel Security Record System.

Security classification:
    Unclassified.

System location:
    Department of Transportation (DOT), Office of the Secretary (OST), 
Office of Security and Administrative Management, M-70,400 7th Street, 
SW., Washington, DC 20590.

Categories of individuals covered by the system:
    DOT applicants, employees, former employees, and detailees to DOT 
from other Federal agencies.

Categories of records in the system:
    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.

Authority for maintenance of the system:
    49 CFR part 1.

Purpose(s):
    To make suitability determinations for employment or retention in 
government service, assignment to sensitive duty positions and access 
to classified information.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    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.

Disclosure to consumer reporting agencies:
    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 U.S. 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)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Completed forms and typed pages in individual folders in a manual 
filing system, and on a manual system control cards.

Retrievability:
    By name.

Safeguards:
    Stored in locked room with proprietary lock or in approved security 
safe. Access limited to authorized staff members.

Retention and disposal:
    Retained in accordance with General Records Schedule 18. Authorized 
destruction done by secure means used for classified materials.

System manager(s) and address:
    Director, Office of Security and Administrative Management, M-70, 
Department of Transportation, Office of the Secretary, 400 7th Street, 
SW., Washington, DC 20590.

Notification procedure:
    Same as System Manager.

Record access procedures:
    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).

Contesting record procedures:
    Same as ``Record Access Procedure.''

Record source categories:
    Investigative sources contacted in personnel security 
investigations,

[[Page 41124]]

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.

Exemptions claimed for the system:
    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).

    Dated: July 23, 1997.
Crystal M. Bush,
Privacy Act Coordinator, Department of Transportation.
[FR Doc. 97-20064 Filed 7-30-97; 8:45 am]
BILLING CODE 4910-62-P