[Federal Register Volume 65, Number 251 (Friday, December 29, 2000)]
[Notices]
[Pages 83124-83126]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-33365]



[[Page 83124]]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary


Privacy Act of 1974: System of Records

AGENCY: Office of the Secretary, DOT.

ACTION: Notice to establish two systems of records and to amend two 
systems of records.

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SUMMARY: DOT intends to establish two new systems of records under the 
Privacy Act of 1974 and to exempt them from certain provisions of the 
Act. DOT also intends to amend two existing systems of records.

DATES: December 29, 2000.

FOR FURTHER INFORMATION CONTACT: Yvonne L. Coates, Department of 
Transportation, Office of the Secretary, 400 7th Street, SW., 
Washington, DC 20590, (202) 366-6964 (telephone), (202) 366-7024 (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.
DOT/FAA 852

System name:
    Suspected Unapproved Parts (SUP) Program.

Security classification:
    Unclassified, Sensitive.

System location:
    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.

Categories of individuals covered by the system of records:
    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.

Categories of records in the system:
    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.

Authority for maintenance of the system:
    49 U.S.C. 44701.

Purpose:
    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.

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

Disclosure to consumer reporting agencies:
    None.

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

Retrievability:
    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.

Safeguards:
    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.

Retention and disposal:
    These records are retained for a period of 5 years. National 
Archives and Records Administration (NARA) approval pending.

System Manager and address:
    Department of Transportation, Federal Aviation Administration, 
Manager, Suspected Unapproved Parts Program Office, 4500 Aviation 
Drive, Suite 214, Dulles, VA 20166.

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

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

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

Record source categories:
    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.

Exemption claimed for the system:
    Portions of this system are exempt from disclosure under the 
provisions of 5 U.S.C. 552a(k)(2).

OMB Control Number:
    Not applicable.

System number:
    DOT/FMCSA 001.

System name:
    Motor Carrier Management Information System (MCMIS).

Security classification:
    Unclassified, Sensitive.

System location:
    Austin Automation Center (AAC), Department of Veterans Affairs 
(VA), 1615 Woodward Street, Austin, TX 78772 (www.aac.va.gov).

Categories of individuals covered by the system of records:
    Individuals who are the sole employee (owner/operator) of a company 
subject to the Federal Motor Carrier Safety Regulations. Drivers of 
commercial vehicles who were involved in a recordable crash or who were 
the subject of a roadside driver/vehicle inspection or an investigatory 
action.

Categories of records in the system:
    Records include information, which supports investigatory 
procedures and

[[Page 83125]]

enforcement actions. Company operation records are identified by legal 
name, trade name, physical and mailing addresses, USDOT number, MC or 
MX number, Dun & Bradstreet number and Tax Identification Number which, 
in the case of an owner/operator, is the individual's Social Security 
Number. Drivers and co-drivers are identified by name, date of birth, 
license number and license State. Inspection records include violations 
of applicable Federal and State laws that were discovered during an 
inspection. Information maintained in the MCMIS includes demographic 
and safety performance information on approximately 600,000 interstate 
and foreign motor carriers and hazardous material shippers operating in 
the United States. Additionally, information on intrastate carriers is 
being added to MCMIS as States move toward use of a single USDOT number 
to identify all motor carriers.
    Data in MCMIS include:
    Motor Carrier Identification (Census)--This data includes the USDOT 
number, carrier identification, carrier address, type and size of 
operation, commodities carried, as well as other characteristics of the 
operation. Approximately 50,000 new entities are added to the census 
file annually.
    Driver/Vehicle Inspection Data--This data is collected during 
roadside inspections of drivers and vehicles. Violations of safety 
regulations governing the driver, the vehicle and those specifically 
related to the transportation of hazardous materials are included. The 
majority of driver/vehicle inspections are conducted by State officers. 
Approximately 2 million inspections of motor carriers' drivers and 
vehicles operating in interstate commerce and 300,000 inspections of 
motor carriers operating intrastate are entered into MCMIS annually.
    Crashes--This data is collected from State and local police crash 
reports. Approximately 100,000 truck and bus crashes are entered into 
MCMIS annually.
    Reviews and Ratings--This data is collected during on-site reviews 
of motor carrier and hazardous material shipper operations. Information 
from these reviews is used to determine a safety fitness rating 
(Satisfactory, Conditional, Unsatisfactory) which is posted in the 
MCMIS. Over 130,000 motor carriers are currently rated and 
approximately 10,000 more are added every year.
    Enforcement--The MCMIS contains key information about each 
enforcement case conducted against a company, including types of 
violations and fines assessed. It is estimated that information on 
about 2,000 new cases is received annually.

Authority for maintenance of the system:
    49 U.S.C. 502, 504, 506, and 508; and 49 CFR 1.73.

Purpose:
    To provide a central collection point for records on motor carriers 
and hazardous material shippers which allows for the analysis of 
safety-related data needed to administer and manage the FMCSA's motor 
carrier safety program.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Information may be shared with Federal, State, and local 
governments, contractors involved in system support and maintenance, 
and Motor Carrier Safety Assistance Program (MCSAP) participants and 
grantees for use in support of commercial motor vehicle safety. See 
Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    MCMIS records are stored in an automated system operated and 
maintained at the AAC.

Retrievability:
    Electronic records can be retrieved through automated searches on 
information, such as, company name, company's tax identification 
number, driver's name, driver's date of birth, driver's license number, 
geographical location, or various other means.

Safeguards:
    The MCMIS falls under the guidelines of the AAC in Austin, TX. This 
facility has it's own approved System Security Plan which provides 
that:
    The system will be maintained in a secure computer room with access 
restricted to authorized personnel.
    Access to the building must be authorized and is limited.
    Access will be controlled by requiring that users provide a valid 
account name and password. The MCMIS contains a function that tracks 
system usage for other authorized users. MCMIS will require users to 
change access control identifiers at periodic intervals.
    The Federal Motor Carrier Safety Administration will operate the 
MCMIS in accordance with the Federal security regulations, policy, 
procedures, standards and guidance for implementing the Automated 
Information System Security Program.
    Only authorized U.S. and State Government personnel and contractors 
conducting system support or maintenance may access MCMIS records.
    Access to records is password protected and the scope of access for 
each password is limited to the official need of each individual 
authorized access.
    Additional protection is afforded by the use of password security, 
data encryption, and the use of a secure network.

Retention and disposal:
    Computerized database with daily backups performed automatically. 
Master Files are NARA historical copies, which are permanent. Annual 
transfers occur at end of each fiscal year. Agency master files are 
destroyed after six years.

System Manager and address:
    Department of Transportation, Federal Motor Carrier Safety 
Administration, Division Chief, Information Systems Division, 400 7th 
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:
    Driver information is recorded as a result of roadside driver/
vehicle inspections and crash reports submitted by State and local law 
enforcement agencies and investigations performed by State and Federal 
investigators. MCMIS is constantly being updated as States and FMCSA 
field offices forward safety information to the MCMIS soon after it has 
been accumulated and processed in their local information systems.

Exemptions claimed for the system:
    Portions of this system are exempt from disclosure under the 
provisions of 5 U.S.C. 552a(k)(2).

OMB Control Number:
    The Federal Motor Carrier Safety Administration has received 
approval from the Office of Management and Budget (OMB) for each 
collection of information it conducts and requires pursuant to OMB No. 
2126-0013, Motor Carrier Identification Report

[[Page 83126]]

(Application for U.S. DOT Number), MCS-150 (Rev. 3-2000).
    The Department of Transportation proposes to amend the following 
two systems of records. The DOT/FHWA 204 is being changed to DOT/FMCSA 
002; and DOT/FHWA 213 is being changed to DOT/FMCSA 003.
DOT/FMCSA 002

System name:
    Federal Motor Carrier Safety Administration (FMCSA) Motor Carrier 
Safety Proposed Civil and Criminal Enforcement Cases, DOT/FMCSA.

Security classification:
    Unclassified--sensitive.

System location:
    Office of Enforcement (MC-EC); 400 7th Street, SW., Room 3419, 
Washington, DC 20590.

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:
    Motor Carrier safety regulation violations and identifying 
features.

Authority for maintenance of the system:
    Motor Carrier Safety Act of 1984, 49 U.S.C. 521(b).

Purpose(s):
    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:
    See Prefatory Statement of General Routine Uses. Routine use number 
5 does not apply to this system of records.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    File folders in the Field Legal Services' offices

Retrievability:
    Names of individuals.

Safeguards:
    Only Office of the Chief Counsel or Field Legal Services employees, 
and other FMCSA employees have regular 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: FMCSA, Office of the Chief 
Counsel, 400 7th Street, SW., Room 4217, Washington, DC 20590; FMCSA 
Service Centers, Field Legal Services.

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, OMCHS file information as 
gathered by OMCHS investigators, etc.

Exemptions claimed for the system:
    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).
DOT/FMCSA 003

System name:
    Driver Waiver/Exemption File.

Security classification:
    Unclassified--sensitive.

System location:
    Department of Transportation, Federal Motor Carrier Safety 
Administration (FMCSA), Office of Bus and Truck Standards and 
Operations (MC-PS), 400 7th Street, SW., Washington, DC 20590; FMCSA 
Service Centers.

Categories of individuals covered by the system:
    Operators of interstate commercial motor vehicles that transport 
certain commodities.

Categories of records in the system:
    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 (49 U.S.C. 31136(e) and TEA-21 (49 
U.S.C. 31315).

Purpose(s):
    Monitor drivers of commercial motor vehicles who operate in 
interstate commerce and have been identified as physically impaired.

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. Routine use number 
5 is not applicable to this system of records.

Disclosure to consumer reporting agencies:
    None.

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 driver's name.

Safeguards:
    Files are classified as sensitive and are regularly accessible only 
by designated employees within the FMCSA Service Centers and the FMCSA.

Retention and disposal:
    The files are retained while the driver waivers are active. The 
inactive driver waiver files are purged every 3 years.

System manager(s) and address:
    Department of Transportation, Federal Motor Carrier Safety 
Administration, Office of Bus and Truck Standards and Operations (MC-
PS), 400 7th 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:
    Application for Waiver or Waiver Renewal.

Exemptions claimed for the system:
    None.

    Dated: December 26, 2000.
Yvonne L. Coates,
Privacy Act Coordinator.
[FR Doc. 00-33365 Filed 12-28-00; 8:45 am]
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