[Federal Register Volume 63, Number 125 (Tuesday, June 30, 1998)]
[Notices]
[Pages 35634-35638]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-17229]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary
[Docket No. OST-96-1437]


Privacy Act of; Notice to Amend Systems of Records

AGENCY: Office of the Secretary, DOT.

ACTION: Proposed amendments to numerous Privacy Act systems of records.

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SUMMARY: As part of the biennial review of systems of records required 
by the Privacy Act, DOT discovered outdated room numbers for some 
records system notices and the failure to identify a second repository 
of records in one system. This notice proposes to make the appropriate 
changes.

EFFECTIVE DATE: August 10, 1998.

ADDRESSES: Interested individuals may comment on this publication by 
writing to Robert I. Ross, C-10, U.S. Department of Transportation, 
Office of the General Counsel, 400 7th Street, SW., Washington, DC 
20590; telephone: 202-366-9156; fax: 202-366-9170; e-mail: 
[email protected].

FOR FURTHER INFORMATION CONTACT: Inquiries or comments concerning this 
proposed altered system should be directed to Robert I. Ross, Office of 
the General Counsel, C-10, US Department of Transportation, Washington, 
DC 20590; telephone: 202-366-9156; fax: 202-366-9170; e-mail: 
[email protected]. If no comments are received, the proposed change 
will become effective on the above-mentioned date. If comments are 
received, the comments will be considered and where adopted, the 
document will be republished with the change.

SUPPLEMENTARY INFORMATION: DOT 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 specific change to each record system being 
amended is highlighted in italics below in the notice, as amended, 
which is being published in its entirety. None of the proposed 
amendments is within the purview of subsection (r) of the Privacy Act, 
as amended, which requires the submission of a new or altered systems 
report.
DOT/OST 003

System name:
    Allegations of Infringement of United States Patents.

Security classification:
    Unclassified

System location:
    Office of the Secretary of Transportation, Office of the General 
Counsel, 400 7th Street, SW., Room 10102, Washington, DC, 20590.

Categories of individuals covered by the system:
    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 originator 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.

Authority for maintenance of the system:
    49 CFR 1.57

Purpose(s):
    The purpose of the system is to document allegations that agencies 
of the Department of Transportation have infringed, or are infringing, 
United States patents.

[[Page 35635]]

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Used as a record of allegations and Patent Counsel's actions 
thereon.

See Prefatory Statement of General Routine Uses.
    Policies and practices for storing, retrieving, accessing, 
retaining, and disposing of records in the system:

Storage:
    File folders stored in file cabinets.

Retrievability:
    Indexed individually by name in alphabetical sequence.

Safeguards:
    Records are disclosed only to individuals with established legal 
interest or legal ``need to know.''

Retention and disposal:
    Transfer to Federal Records Center two years after close of file; 
destroy 25 years after close of file.

System manager(s) and address:
    Mailing address: Patent Counsel, C-15, U.S. Department of 
Transportation, Washington, DC 20590.
    Office Location: 400 7th Street, SW., Room 10102.

Notification procedure:
    Apply to System Manager.

Record access procedures:
    Apply to System Manager.

Contesting record procedures:
    Apply to System Manager.

Record source categories:
    Patent owners.

Exemptions claimed for the system:
    None.
DOT/OST 004

System name:
    Board for Correction of Military Records (BCMR).

System location:
    Department of Transportation (DOT), Office of the Secretary (OST), 
Office of the General Counsel, 400 7th Street, SW., Room 4100, 
Washington, DC 20590.

Categories of individuals covered by the system:
    Military personnel requesting the Board for Correction of Military 
Records to correct their military records.

Categories of records in the system:
    Copies of actions of the General Counsel acting under delegated 
authority approving or disapproving BCMR cases.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Used as a record of the General Counsel's action in individual BCMR 
cases.
    See Prefatory Statement of General Routine Uses.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    File folders stored in file cabinets (Conserv-a-File).

Retrievability:
    Indexed individually by name in alphabetical sequence.

Safeguards:
    Files are kept in the office of the Assistant General Counsel. 
Requests are referred to the Executive Secretary, BCMR.

Retention and disposal:
    Retained indefinitely for precedential purposes.

System manager(s) and address:
    Mail Address: Assistant General Counsel for Environmental, Civil 
Rights and General Law, C-10, U.S. Department of Transportation, 
Washington, DC 20590.
Office Location: 400 7th Street, SW., Room 10102.

Notification procedure:
    Contact System Manager.

Record access procedures:
    Contact System Manager.

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

Record source categories:
    Official agency records; hearings, documentary material from 
outside the agency.
DOT/OST 006

System name:
    Confidential Statement of Employment and Financial Interests.

System location:
    Department of Transportation (DOT), Office of the Secretary (OST), 
Office of the General Counsel, 400 7th Street, SW., Room 10102, 
Washington DC 20590.

Categories of individuals covered by the system:
    Employees of the Department of Transportation in supervisory or 
other positions where a conflict of interest or the appearance of a 
conflict of interest might occur. Also included in this category are 
Consultants and Experts of the Department of Transportation.

Categories of records in the system:
    Information on employment and financial interests and debts.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The information to be furnished is required by Executive Order 
11222 and the regulations of the Office of Personnel Management (OPM) 
issued thereunder and may not be disclosed except as the OPM or the 
agency head may determine. The purpose of the use of this information 
is to avoid a conflict of interest or the appearance of a conflict of 
interest in DOT employees.
    Prefatory Statement of General Routine Uses 1, 4 and 6 apply.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM: 
STORAGE: 
    Accordion-type file folder.

RETRIEVABILITY: 
    Indexed individually by name in alphabetical sequence.

SAFEGUARDS: 
    Records are stored in safe.

RETENTION AND DISPOSAL: 
    Records are kept 6 years and then destroyed.

SYSTEM MANAGER(S) AND ADDRESS: 
    Mail Address: Deputy General Counsel, C-2, U.S. Department of 
Transportation, Washington, DC 20590.
    Office Location: 400 7th Street, SW., Room 10428.

NOTIFICATION PROCEDURE: 
    Inquiries may be addressed to the Deputy General Counsel either in 
person or in writing. If written the individual must provide a 
notarized signature.

RECORD ACCESS PROCEDURES: 
    Access to records requires the individual to contact in person or 
write the Deputy General Counsel.

CONTESTING RECORD PROCEDURES: 
    Contest of a record is also through the Deputy General Counsel.

RECORD SOURCE CATEGORIES: 
    Statements of employment and financial interests, creditors, 
interests in real property are submitted by employees and consultants 
of the

[[Page 35636]]

Department of Transportation. Initial requests for submission of 
statements are through the Office of Personnel and Training.
DOT/OST 012

SYSTEM NAME: 
    Files Relating to Personnel Hearings.

SYSTEM LOCATION: 
    Department of Transportation (DOT), Office of the Secretary (OST), 
Office of the General Counsel, 400 7th Street, SW., Room 10102, 
Washington, DC 20590.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 
    Certain employees of the Office of the Secretary who have availed 
themselves of the opportunity for a hearing in certain personnel 
matters.

CATEGORIES OF RECORDS IN THE SYSTEM: 
    A record of the legal services performed and reference material for 
future cases.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES: 
    Used by agency management in the preparation and conduct of 
administrative hearings.
    See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM: 
STORAGE: 
    File folders stored in file cabinets (Conserv-a-File).

RETRIEVABILITY: 
    Indexed individually by name in alphabetical sequence.

SAFEGUARDS: 
    Files are kept in the office of the Assistant General Counsel.

RETENTION AND DISPOSAL: 
    Retire in 3 years; destroy in 6 years.

SYSTEM MANAGER(S) AND ADDRESS: 
    Mail Address: Assistant General Counsel for Environmental, Civil 
Rights and General Law, C-10, U.S. Department of Transportation, 
Washington, D.C. 20590.
    Office Location: 400 7th Street, SW., Room 10102.

NOTIFICATION PROCEDURE: 
    Apply to System Manager.

RECORD ACCESS PROCEDURES: 
    Apply to System Manager.

CONTESTING RECORD PROCEDURES: 
    Same as ``Record Access Procedure.''

RECORD SOURCE CATEGORIES: 
    Official agency records; hearings; documentary material from 
outside the agency.
DOT/OST 019

SYSTEM NAME: 
    Individual Personal Interests in Intellectual Property.

SYSTEM LOCATION: 
    Department of Transportation (DOT), Office of the Secretary (OST), 
Office of the General Counsel, 400 7th Street, SW., Room 10102, 
Washington, DC 20590.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 
    Inventors employed by or having contractual relationships with the 
Department of Transportation and other Government agencies.

CATEGORIES OF RECORDS IN THE SYSTEM: 
    Invention disclosures, Government Patents Branch cases, patent 
applications, issued patents, and license agreement files.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES: 
    Used by Patent Counsel and his staff as a record of determination 
of rights in inventions, determination of novelty and patentability, 
determination of patent coverage, and allocation of rights in issued 
patents.
    See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM: 
STORAGE: 
    File folders stored in file cabinets.

RETRIEVABILITY: 
    Indexed individually by name in alphabetical sequence.

SAFEGUARDS: 
    Records are disclosed only to individuals who have legal interest 
in the records or legal ``need to know.''

RETENTION AND DISPOSAL: 
    Transfer to Federal Records Center two years after close of file; 
destroy 25 years after close of file.

SYSTEM MANAGER(S) AND ADDRESS: 
    Mail Address: Patent Counsel, C-15, U.S. Department of 
Transportation, Washington, D.C. 20590
    Office Location: 400 7th Street, SW., Room 10102.

NOTIFICATION PROCEDURE: 
    Apply to System Manager.

RECORD ACCESS PROCEDURES: 
    Apply to System Manager.

CONTESTING RECORD PROCEDURES: 
    Same as ``Record Access Procedures''

RECORD SOURCE CATEGORIES: 
    Individual inventors, technical evaluators, and United States 
Patent and Trademark Office.
    DOT/OST 037

SYSTEM NAME: 
    Records of Confirmation Proceeding Requirements for Proposed 
Executive Appointments to the Department of Transportation.

SYSTEM LOCATION: 
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 
    Individuals nominated for top executive positions of the Department 
of Transportation.

CATEGORIES OF RECORDS IN THE SYSTEM: 
    Financial data and biographical data.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES: 
    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.
    See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM: 
STORAGE: 
    Legal sized documents located in locked safe.

RETRIEVABILITY: 
    Individual names filed alphabetically.

SAFEGUARDS: 
    Physical security consists of filing records in safe; data released 
to Senate Commerce Committee and authorized officials only of the 
Department.

RETENTION AND DISPOSAL: 
    Records are retained for 6 years then destroyed.

SYSTEM MANAGER(S) AND ADDRESS: 
    Mail Address: Deputy General Counsel, C-2, U.S. Department of 
Transportation, Washington, DC 20590.

[[Page 35637]]

    Office Location: 400 7th Street, SW., Room 10428.

NOTIFICATION PROCEDURE: 
    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.

RECORD ACCESS PROCEDURES: 
    Access to records requires the individual to contact in person or 
write the Deputy General Counsel.

CONTESTING RECORD PROCEDURES: 
    Contest of a record is also through the Deputy General Counsel.

RECORD SOURCE CATEGORIES: 
    Documents are provided by subject individual.

DOT/OST 045
SYSTEM NAME: 
    Unsolicited Contract or Research and Development Proposals 
Embodying Claims of Proprietary Rights.

SYSTEM LOCATION: 
    Department of Transportation (DOT), Office of the Secretary (OST), 
Office of the General Counsel, 400 7th Street, SW., Room 10102, 
Washington, DC 20590.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 
    Individuals who believe they have original and innovative ideas in 
the field of transportation.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES: 
    Used as a record of Patent Counsel's action in individual 
unsolicited proposal cases.
    See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE: 
    File folders stored in file cabinets (Conserv-a-File).

RETRIEVABILITY: 
    Indexed individually by name and subject in alphabetical sequence.

SAFEGUARDS: 
    Records are disclosed only in accordance with the terms of 
restrictive markings agreed upon between submitter and DOT.

RETENTION AND DISPOSAL: 
    Transfer to storage when three years old; Destroy after six years.

SYSTEM MANAGER(S) AND ADDRESS: 
    Mail Address: Patent Counsel, C-15, U.S. Department of 
Transportation, Washington, D.C. 20590.
    Office Location: 400 7th Street, SW., Room 10102.

NOTIFICATION PROCEDURE: 
    Apply to System Manager.

RECORD ACCESS PROCEDURES: 
    Apply to System Manager.

CONTESTING RECORD PROCEDURES: 
    Same as ``Record Access Procedure.''

RECORD SOURCE CATEGORIES: 
    Forwarded by individual or by the DOT office to whom unsolicited 
proposal was addressed.
DOT/OST 056

SYSTEM NAME: 
    Garnishment Files.

SYSTEM LOCATION: 
    (1) 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.
    (2) Department of Transportation, Federal Aviation Administration, 
Southern Region, Financial Services Division, 1701 Columbia Avenue, 
College Park, GA 30337 (mailing address: Box 20636, Atlanta, GA 30320).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 
    Employees of the Department of Transportation, 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.

CATEGORIES OF RECORDS IN THE SYSTEM: 
    Correspondence and court orders, and copies thereof, concerning 
attachment of employees' pay.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES: 
    Used as record of garnishments and Garnishment Attorney's action 
thereon.
    See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM: 
STORAGE: 
    File folders stored in the Garnishment Attorney's office.

RETRIEVABILITY: 
    Indexed individually by name in alphabetical order.

SAFEGUARDS: 
    Records are disclosed only to individuals with established legal 
interest or legal ``need to know.''

RETENTION AND DISPOSAL: 
    Retained for as long as the attachment of pay continues and 
thereafter as needed for precedential value.

SYSTEM MANAGER(S) AND ADDRESS: 
    Mail Address: Garnishment Attorney, C-10, U.S. Department of 
Transportation, Washington, DC 20590.
    Office Location: 400 7th Street, SW., Room 10102.

NOTIFICATION PROCEDURE: 
    Apply to System Manager.

RECORD ACCESS PROCEDURES: 
    Apply to System Manager.

CONTESTING RECORD PROCEDURES: 
    Apply to System Manager.

RECORD SOURCE CATEGORIES: 
    Data are obtained from state courts and agencies, private 
attorneys, present and former spouses of employees, and federal pay 
records.
DOT/OST 059

SYSTEM NAME:
    Files of the Board for Correction of Military Records (BCMR) for 
the Coast Guard.

SYSTEM LOCATION:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have filed applications for relief before the 
Board.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Applications and related documents, Board decisions, and official 
military records of applicants.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Used by the Chairman, the Board, the Executive Secretary and Staff 
in

[[Page 35638]]

determining whether to grant relief to applicants.
    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 staff in determining whether to 
approve decisions of the board.
    See Prefatory Statement of General Routine Uses.

pOLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
sTORAGE:
    File folders stored in file cabinets.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    Records are disclosed only to the applicant, his representative, 
interested members of Congress, and the Coast Guard.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Mail Address: Executive Secretary, Board for the Correction of 
Military Records, C-60, U.S. Department of Transportation, Washington, 
DC 20590.
    Office Location: 400 7th Street, SW., Room 4100.

NOTIFICATION PROCEDURE:
    Apply to System Manager.

RECORD ACCESS PROCEDURES:
    Apply to System Manager.

CONTESTING RECORD PROCEDURES:
    Same as ``Record Access Procedure.''

RECORD SOURCE CATEGORIES:
    U.S. Coast Guard, Veterans Administration, individual applicants.

    Dated: June 22, 1998.
Nancy E. McFadden,
General Counsel, Department of Transportation.
[FR Doc. 98-17229 Filed 6-29-98; 8:45 am]
BILLING CODE 4910-62-P