[Federal Register Volume 67, Number 242 (Tuesday, December 17, 2002)]
[Notices]
[Pages 77311-77315]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-31594]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary


Privacy Act of 1974: System of Records

AGENCY: Transportation Security Administration, DOT.

ACTION: Notice to establish three systems of records.

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SUMMARY: DOT proposes to establish three systems of records under the 
Privacy Act of 1974 and to exempt them from certain provisions of the 
Act.

EFFECTIVE DATE: January 27, 2003. If no comments are received, the 
proposal will become effective on the above date. If comments are 
received, the comments will be considered and, where adopted, the 
documents will be republished with changes.

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/TSA 001

System Name:
    Transportation Security Enforcement Record System (TSERS).

Security Classification:
    Classified, sensitive.

System Location:
    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.

Categories of Individuals Covered by the System:
    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.

Categories of Records in the System:
    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

[[Page 77312]]

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.

Authority for Maintenance of the System:
    49 U.S.C. 114(d), 44901, 44903, 44916, 46101, 46301.

Purpose(s):
    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.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    (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.
    (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.
    (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.
    (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.
    (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.
    (6) Provide information or records, when appropriate, to 
international and foreign governmental authorities in accordance with 
law and formal or informal international agreement.
    (7) To any person performing a contract for TSA to the extent 
necessary to perform the contract.
    (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.
    (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.
    (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.
    (11) To a debt collection agency for the purpose of debt 
collection. See also DOT Prefatory Statement of General Routine Uses.

Disclosure to Consumer Reporting Agencies:
    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.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Records are maintained on paper and in computer-accessible storage 
media. Records are also stored on microfiche and roll microfilm.

Retrievability:
    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.

Safeguards:
    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.

Retention and Disposal:
    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.

System Manager(s) and Address:
    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.

Notification Procedure:
    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.

Record Access Procedure:
    See ``Notification Procedure.'' Individuals requesting access must 
comply with the DOT's Privacy Act regulations on verification of 
identity (49 CFR 10.37).

Contesting Record Procedures:
    See ``Notification Procedure.''

Record Source Categories:
    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.

Exemptions Claimed for the System:
    Portions of this system are exempt under 5 U.S.C. 552a(k)(2).
DOT/TSA 002

System Name:
    Transportation Workers Employment Investigations System (TWEI).

Security Classification:
    Classified, sensitive.

System Location:
    Records are maintained at the offices of the Transportation 
Security

[[Page 77313]]

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.

Categories of Individuals Covered by the System:
    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.
    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.
    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.
    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.
    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.
    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.
    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.

Categories of Records in the System:
    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.

Authority for maintenance of the system:
    49 U.S.C. sections 114 and 44936.

Purpose(s):
    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.
    a. To assist in the management and tracking of the status of 
employment investigations.
    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.
    c. To permit the retrieval of information from other law 
enforcement and intelligence databases on the individuals covered by 
this system.
    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.
    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.

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

[[Page 77314]]

terrorism or a threat to airline or passenger safety; or a threat to 
aviation safety, civil aviation, or national security.
    (9) Provide information or records, when appropriate, to 
international and foreign governmental authorities in accordance with 
law and formal or informal international agreement.

Disclosure to consumer reporting agencies:
    None.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and disposing of records in the system:
Storage:
    In electronic storage media and hard copy.

Retrievability:
    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.
    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.

Safeguards:
    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.

Retention and disposal:
    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.

System manager(s) and address:
    Director of Security, Office of Finance and Administration, TSA, 
400 7th Street, SW., Washington, DC 20590.

Notification procedure:
    To determine whether this system contains records relating to you, 
write to the System Manager identified above.

Record access procedures:
    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).

Contesting Record Procedures:
    Same as ``Notification Procedures,'' and ``Record Access 
Procedures'' above.

Record Source Categories:
    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.''

Exemptions Claimed for the System:
    Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and 
(k)(2).
DOT/TSA 004

System Name:
    Personnel Background Investigation File System.

Security Classification:
    Classified, sensitive.

System Location:
    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.

Categories of Individuals Covered by the System:
    Current and former TSA employees, applicants for TSA employment, 
and TSA contract employees.

Categories of Records in the System:
    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.

Authority for Maintenance of the System:
    5 U.S.C. 3301, 3302; 49 U.S.C. 114, 44935; and Executive Orders 
10,450, 10,577, and 12,968.

Purpose(s):
    The system will maintain investigative and background records used 
to make suitability and eligibility determinations for the individuals 
listed under ``Categories of individuals.''

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    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.
    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.
    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.
    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.
    5. To any agency or instrumentality charged under applicable law 
with the

[[Page 77315]]

protection of the public health or safety under exigent circumstances 
where the public health or safety is at risk.
    See also Department of Transportation 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:
    Records are maintained on paper and in computer-accessible storage 
media. Records are also stored on microfiche and roll microfilm.

Retrievability:
    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.

Safeguards:
    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.

Retention and Disposal:
    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.

System Manager(s) and Address:
    Director, Office of Security, Transportation Security 
Administration, 400 7th Street, SW., Washington, DC 20590.

Notification Procedure:
    To determine whether this system contains records relating to you, 
write to the System Manager identified above.

Record Access Procedures:
    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).

Contesting Record Procedures:
    Same as ``Notification Procedure,'' and ``Record Access 
Procedures'' above.

Record Source Categories:
    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.

Exemptions Claimed for the System:
    Portions of this system are exempt under 5 U.S.C. 552a(k)(5).

OMB Control Numbers:
    OMB No. 3206-0191, standard form 85P--Questionnaire For Public 
Trust Positions.

    Dated: December 10, 2002.
Yvonne L. Coates,
Privacy Act Coordinator.
[FR Doc. 02-31594 Filed 12-16-02; 8:45 am]
BILLING CODE 4910-62-P