[Federal Register Volume 68, Number 159 (Monday, August 18, 2003)]
[Proposed Rules]
[Pages 49410-49414]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-20926]


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DEPARTMENT OF HOMELAND SECURITY

Transportation Security Administration

49 CFR Part 1507

[Docket No. TSA-2003-15900]
RIN 1652-AA28


Privacy Act of 1974: Implementation of Exemption

AGENCY: Transportation Security Administration (TSA), DHS.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: TSA proposes to exempt several systems of records from one or 
more provisions of the Privacy Act. Public comment is invited.

DATES: Submit comments by September 17, 2003.

[[Page 49411]]


ADDRESSES: Address your comments to the Docket Management System, U.S. 
Department of Transportation, Room Plaza 401, 400 Seventh Street, SW., 
Washington, DC 20590-0001. You must identify the docket number TSA-
2003-15900 at the beginning of your comments, and you should submit two 
copies of your comments. If you wish to receive confirmation that TSA 
received your comments, include a self-addressed, stamped postcard.
    You may also submit comments through the Internet at http://dms.dot.gov. Please be aware that anyone is able to search the 
electronic form of all comments received into any of these dockets by 
the name of the individual submitting the comment (or signing the 
comment, if submitted on behalf of an association, business, labor 
union, etc.). You may review DOT's complete Privacy Act Statement in 
the Federal Register published on April 11, 2000 (Volume 65, Number 70; 
Pages 19477-78) or you may visit http://dms.dot.gov. You may also 
review the public docket containing comments in person at the Dockets 
Office between 9 a.m. and 5 p.m., Monday through Friday, except Federal 
holidays. The Dockets Office is on the plaza level of the NASSIF 
Building at the Department of Transportation at the above address.

FOR FURTHER INFORMATION CONTACT: Conrad Huygen, Privacy Act Officer, 
TSA Office of Information Management Programs, TSA Headquarters, West 
Tower, 4th Floor (412S), 601 S. 12th Street, Arlington, VA 22202-4220; 
telephone (571) 227-1954; facsimile (571) 227-2912.

SUPPLEMENTARY INFORMATION:

Comments Invited

    TSA invites interested persons to participate in this rulemaking by 
submitting written comments, data, or views. We also invite comments 
relating to the economic, environmental, energy, or federalism impacts 
that might result from adopting the proposals in this document. The 
most helpful comments reference a specific portion of the proposal, 
explain the reason for any recommended change, and include supporting 
data. See ADDRESSES above for information on how to submit comments.
    We will file in the docket all comments we receive, as well as a 
report summarizing each substantive public contact with TSA personnel 
concerning this rulemaking. The docket is available for public 
inspection before and after the comment closing date.
    We will consider all comments we receive on or before the closing 
date for comments. We will consider comments filed late if it is 
possible to do so without incurring expense or delay. We may change 
this rulemaking in light of the comments we receive.
    If you want TSA to acknowledge receipt of your comments on this 
rulemaking, include with your comments a self-addressed, stamped 
postcard on which the docket number appears. We will stamp the date on 
the postcard and mail it to you.

Availability of Rulemaking Document

    You can get an electronic copy using the Internet by--
    (1) Searching the Department of Transportation's electronic Docket 
Management System (DMS) web page (http://dms.dot.gov/search);
    (2) Accessing the Government Printing Office's web page at http://www.access.gpo.gov/su_docs/aces/aces140.html; or
    (3) Visiting the TSA's Law and Policy web page at http://www.tsa.dot.gov/public/index.jsp.
    In addition, copies are available by writing or calling the 
individual in the FOR FURTHER INFORMATION CONTACT section. Make sure to 
identify the docket number of this rulemaking.

Background

    Prior to March 1, 2003, TSA was an operating administration within 
the Department of Transportation (DOT). While part of DOT, TSA 
established several Privacy Act systems of records. Under DOT practice, 
DOT identified those TSA systems of records that are exempt from one or 
more provisions of the Privacy Act (pursuant to 5 U.S.C. 552a(j) or (k) 
both) in a system notice published in the Federal Register and in an 
appendix to DOT's Privacy Act regulations (49 CFR part 10, Appendix). 
On December 24, 2002, DOT published a proposed rule exempting three TSA 
systems of records from several provisions of the Privacy Act. See 67 
FR 78403, Dec. 24, 2002.
    As of March 1, 2003, TSA transferred to the Department of Homeland 
Security (DHS) and is now republishing the exemptions proposed on 
December 24, 2002, for its three systems of records now designated as 
DHS/TSA 001, 002, and 004. TSA also is proposing to exempt DHS/TSA 001 
from an additional provision of the Privacy Act. In addition, TSA 
proposes to exempt five new systems of records from one or more 
provisions of the Privacy Act.

Paperwork Reduction Act

    The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires 
that TSA consider the impact of paperwork and other information 
collection burdens imposed on the public. We have determined that there 
are no current or new information collection requirements associated 
with this proposed rule.

Analysis of Regulatory Impacts

    This proposal is not a ``significant regulatory action'' within the 
meaning of Executive Order 12886. Because the economic impact should be 
minimal, further regulatory evaluation is not necessary. Moreover, I 
certify that this proposal would not have a significant economic impact 
on a substantial number of small entities, because the reporting 
requirements themselves are not changed and because it applies only to 
information on individuals.

Unfunded Mandates

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), (Pub. 
L. 104-4, 109 Stat. 48), requires Federal agencies to assess the 
effects of certain regulatory actions on State, local, and tribal 
governments, and the private sector. UMRA requires a written statement 
of economic and regulatory alternatives for proposed and final rules 
that contain Federal mandates. A ``Federal mandate'' is a new or 
additional enforceable duty, imposed on any State, local, or tribal 
government, or the private sector. If any Federal mandate causes those 
entities to spend, in aggregate, $100 million or more in any one year 
the UMRA analysis is required. This proposal would not impose Federal 
mandates on any State, local, or tribal government or the private 
sector.

Executive Order 13132, Federalism

    TSA has analyzed this proposed rule under the principles and 
criteria of Executive Order 13132, Federalism. We determined that this 
action would not have a substantial direct effect on the States, on the 
relationship between the national Government and the States, or on the 
distribution of power and responsibilities among the various levels of 
government, and therefore would not have federalism implications.

Environmental Analysis

    TSA has reviewed this action for purposes of the National 
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4347) and has 
determined that this action will not have a significant effect on the 
human environment.

Energy Impact

    The energy impact of this document has been assessed in accordance 
with the Energy Policy and Conservation Act

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(EPCA) Public Law 94-163, as amended (42 U.S.C. 6362). We have 
determined that this rulemaking is not a major regulatory action under 
the provisions of the EPCA.

List of Subjects in 49 CFR part 1507

    Privacy.

The Proposed Amendment

    In consideration of the foregoing, the Transportation Security 
Administration proposes to amend Chapter XII of Title 49, Code of 
Federal Regulations, as follows:
    1. Add a part 1507 to read as follows:

PART 1507 PRIVACY ACT--EXEMPTIONS

Sec.
1507.1 Scope.
1507.3 Exemptions.

    Authority: 49 U.S.C. 114(l)(1), 40113, 5 U.S.C. 552a(k)(1)-
(k)(2).

Sec.  1507.1  Scope.

    This part implements provisions of the Privacy Act of 1974 that 
permit TSA to exempt any system of records within the agency from 
certain requirements of the Act. The procedures governing access to, 
and correction of, records in a TSA system of records are set forth in 
6 CFR part 5, subpart B.


Sec.  1507.3  Exemptions.

    The following TSA systems of records are exempt from certain 
provisions of the Privacy Act of 1974 pursuant to 5 U.S.C. 552a(j), 
(k), or both as set forth below. During the course of normal agency 
functions, exempt materials from one system of records may become part 
of one or more other systems of records. To the extent that any portion 
of a system of records becomes part of another Privacy Act system of 
records, TSA hereby claims the same exemptions as were claimed in the 
original primary system of which they are a part and claims any 
additional exemptions in accordance with this rule.
    (a) Transportation Security Enforcement Record System (DHS/TSA 
001). The Transportation Security Enforcement Record System (TSERS) 
(DHS/TSA 001) enables TSA to maintain a system of records related to 
the screening of passengers and property and they may be used to 
identify, review, analyze, investigate, and prosecute violations or 
potential violations of transportation security laws. Pursuant to 
exemptions (k)(1) and (k)(2) of the Privacy Act, DHS/TSA 001 is exempt 
from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). 
Exemptions from the particular subsections are justified for the 
following reasons:
    (1) From subsection (c)(3) (Accounting for Disclosures) because 
release of the accounting of disclosures could alert the subject of an 
investigation of an actual or potential criminal, civil, or regulatory 
violation to the existence of the investigation and reveal 
investigative interest on the part of the Transportation Security 
Administration as well as the recipient agency. Disclosure of the 
accounting would therefore present a serious impediment to 
transportation security law enforcement efforts and efforts to preserve 
national security. Disclosure of the accounting would also permit the 
individual who is the subject of a record to impede the investigation 
and avoid detection or apprehension, which undermines the entire 
system.
    (2) From subsection (d) (Access to Records) because access to the 
records contained in this system of records could inform the subject of 
an investigation of an actual or potential criminal, civil, or 
regulatory violation to the existence of the investigation and reveal 
investigative interest on the part of the Transportation Security 
Administration as well as the recipient agency. Access to the records 
would permit the individual who is the subject of a record to impede 
the investigation and avoid detection or apprehension. Amendment of the 
records would interfere with ongoing investigations and law enforcement 
activities and impose an impossible administrative burden by requiring 
investigations to be continuously reinvestigated. The information 
contained in the system may also include properly classified 
information, the release of which would pose a threat to national 
defense and/or foreign policy. In addition, permitting access and 
amendment to such information also could disclose security-sensitive 
information that could be detrimental to transportation security.
    (3) From subsection (e)(1) (Relevancy and Necessity of Information) 
because in the course of investigations into potential violations of 
transportation security laws, the accuracy of information obtained or 
introduced, occasionally may be unclear or the information may not be 
strictly relevant or necessary to a specific investigation. In the 
interests of effective enforcement of transportation security laws, it 
is appropriate to retain all information that may aid in establishing 
patterns of unlawful activity.
    (4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), 
and (f) (Agency Rules), because this system is exempt from the access 
provisions of subsection (d).
    (b) Transportation Workers Employment Investigations System (DHS/
TSA 002). The Transportation Workers Employment Investigations System 
(TWEI) (DHS/TSA 002) enables TSA to facilitate the performance of 
employment. Pursuant to exemptions (k)(1) and (k)(2) of the Privacy 
Act, DHS/TSA 002 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (H) and (I), and (f). Exemptions from the particular 
subsections are justified for the following reasons:
    (1) From subsection (c)(3) (Accounting for Disclosures) because 
release of the accounting of disclosures could reveal investigative 
interest on the part of the recipient agency that obtained the record 
pursuant to a routine use. Disclosure of the accounting could therefore 
present a serious impediment to law enforcement efforts on the part of 
the recipient agency, as the individual who is the subject of a record 
would learn of third-agency investigative interests and thereby avoid 
detection or apprehension.
    (2) From subsection (d) (Access to Records) because access to the 
records contained in this system could reveal investigative techniques 
and procedures in the transportation workers employment investigation 
process, as well as the nature and scope of the employment 
investigation, the disclosure of which could enable individuals to 
circumvent agency regulations or statutes and obtain access to 
sensitive information and restricted areas in the transportation 
industry. The information contained in the system might include 
properly classified information, the release of which would pose a 
threat to national defense and/or foreign policy. In addition, 
permitting access and amendment to such information could reveal 
sensitive security information protected pursuant to 49 U.S.C. 114(s), 
the disclosure of which could be detrimental to the security of 
transportation.
    (3) From subsection (e)(1) (Relevancy and Necessity of Information) 
because third agency records obtained or made available to TSA during 
the course of an employment investigation may occasionally contain 
information that is not strictly relevant or necessary to a specific 
employment investigation. In the interests of administering an 
effective and comprehensive transportation worker employment 
investigation program, it is appropriate and necessary for the 
Transportation Security Administration to retain all

[[Page 49413]]

such information that may aid in that process.
    (4) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), 
and (f) (Agency Rules), because this system is exempt from the access 
provisions of subsection (d).
    (c) Personnel Background Investigation File System (DHS/TSA 004). 
DHS/TSA 004 enables TSA to maintain investigative and background 
material used to make suitability and eligibility determinations 
regarding current and former TSA employees, applicants for TSA 
employment, and TSA contract employees. Pursuant to exemption (k)(5) of 
the Privacy Act, the Personnel Background Investigation File System is 
exempt from 5 U.S.C. 552a(c)(3) (Accounting for Disclosures) and (d) 
(Access to Records). Exemptions from the particular subsections are 
justified because this system contains investigatory material compiled 
solely for determining suitability, eligibility, and qualifications for 
Federal civilian employment. To the extent that the disclosure of 
material would reveal the identity of a source who furnished 
information to the Government under an express promise that the 
identity of the source would be held in confidence, or, prior to 
September 27, 1975, under an implied promise that the identity of the 
source would be held in confidence, the applicability of exemption 
(k)(5) will be required to honor promises of confidentiality should the 
data subject request access to or amendment of the record, or access to 
the accounting of disclosures of the record.
    (d) Internal Investigation Record System (DOT/TSA 005). The 
Internal Investigation Record System (IIRS) (DOT/TSA 005) contains 
records of internal investigations for all modes of transportation for 
which TSA has security-related duties. This system covers information 
regarding investigations of allegations or appearances of misconduct of 
current or former TSA employees or contractors and provides support for 
any adverse action that may occur as a result of the findings of the 
investigation. Pursuant to exemptions (k)(1) and (k)(2) of the Privacy 
Act, DOT/TSA 005 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (H) and (I), and (f). Exemptions from the particular 
subsections are justified for the following reasons:
    (1) From subsection (c)(3) (Accounting for Disclosures) because 
release of the accounting of disclosures could reveal investigative 
interest on the part of the recipient agency that obtained the record 
pursuant to a routine use. Disclosure of the accounting could therefore 
present a serious impediment to law enforcement efforts on the part of 
the recipient agency, as the individual who is the subject of a record 
would learn of third-agency investigative interests and thereby avoid 
detection or apprehension.
    (2) From subsection (d) (Access to Records) because access to the 
records contained in this system could reveal investigative techniques 
and procedures of the Office of Internal Affairs and Program Review, as 
well as the nature and scope of the investigation, the disclosure of 
which could enable individuals to circumvent agency regulations or 
statutes. The information contained in the system might include 
properly classified information, the release of which would pose a 
threat to national defense and/or foreign policy. In addition, 
permitting access and amendment to such information could reveal 
sensitive security information protected pursuant to 49 U.S.C. 114(s), 
the disclosure of which could be detrimental to the security of 
transportation.
    (3) From subsection (e)(1) (Relevancy and Necessity of Information) 
because third agency records obtained or made available to TSA during 
the course of an investigation may occasionally contain information 
that is not strictly relevant or necessary to a specific investigation. 
In the interests of administering an effective and comprehensive 
investigation program, it is appropriate and necessary for the 
Transportation Security Administration to retain all such information 
that may aid in that process.
    (4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), 
and (f) (Agency Rules), because this system is exempt from the access 
provisions of subsection (d).
    (e) Correspondence and Matters Tracking Records (DOT/TSA 006). The 
Correspondence and Matters Tracking Records (CMTR) (DOT/TSA 006) system 
allows TSA to manage, track, retrieve, and respond to incoming 
correspondence, inquiries, claims and other matters presented to TSA 
for disposition, and to monitor the assignment, disposition and status 
of such matters. This system covers information coming into TSA from 
individuals as well as information recorded by TSA employees in the 
performance of their duties. Pursuant to exemptions (k)(1) and (k)(2) 
of the Privacy Act, DOT/TSA 006 is exempt from 5 U.S.C. 552a(c)(3), 
(d), (e)(1), (e)(4)(G), (H) and (I), and (f). Exemptions from the 
particular subsections are justified for the following reasons:
    (1) From subsection (c)(3) (Accounting for Disclosures) because 
release of the accounting of disclosures could reveal investigative 
interest on the part of the recipient agency that obtained the record 
pursuant to a routine use. Disclosure of the accounting could therefore 
present a serious impediment to law enforcement efforts on the part of 
the recipient agency, as the individual who is the subject of a record 
would learn of third-agency investigative interests and thereby avoid 
detection or apprehension.
    (2) From subsection (d) (Access to Records) because access to the 
records contained in this system could reveal investigative interest on 
the part of TSA or other agency and the nature of that interest, the 
disclosure of which could enable individuals to circumvent agency 
regulations or statutes. The information contained in the system might 
include properly classified information, the release of which would 
pose a threat to national defense and/or foreign policy. In addition, 
permitting access and amendment to such information could reveal 
sensitive security information protected pursuant to 49 U.S.C. 114(s), 
the disclosure of which could be detrimental to the security of 
transportation.
    (3) From subsection (e)(1) (Relevancy and Necessity of Information) 
because third agency records obtained or made available to TSA during 
the course of an investigation may occasionally contain information 
that is not strictly relevant or necessary to a specific investigation. 
In the interests of administering an effective and comprehensive 
investigation program, it is appropriate and necessary for the 
Transportation Security Administration to retain all such information 
that may aid in that process.
    (4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), 
and (f) (Agency Rules), because this system is exempt from the access 
provisions of subsection (d).
    (f) Freedom of Information and Privacy Act Records (DHS/TSA 007). 
The Freedom of Information (FOIA) and Privacy Act (PA) Record System 
(DHS/TSA 007) system enables TSA to maintain records that will assist 
in processing access requests and administrative appeals under the FOIA 
and access and amendment requests and appeals under the PA; participate 
in associated litigation; and assist TSA in carrying out any other 
responsibilities under the FOIA and PA. Pursuant to exemptions (k)(1) 
and (k)(2) of the Privacy Act, Freedom of Information and Privacy Act 
Records are exempt

[[Page 49414]]

from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). 
Exemptions from the particular subsections are justified for the 
following reasons:
    (1) From subsection (c)(3) (Accounting for Disclosures) because 
release of the accounting of disclosures could reveal investigative 
interest on the part of the recipient agency that obtained the record 
pursuant to a routine use. Disclosure of the accounting could therefore 
present a serious impediment to law enforcement efforts on the part of 
the recipient agency, as the individual who is the subject of a record 
would learn of third-agency investigative interests and thereby avoid 
detection or apprehension.
    (2) From subsection (d) (Access to Records) because access to the 
records contained in this system could reveal investigative interest on 
the part of TSA or other agency and the nature of that interest, the 
disclosure of which could enable individuals to circumvent agency 
regulations or statutes. The information contained in the system might 
include properly classified information, the release of which would 
pose a threat to national defense and/or foreign policy. In addition, 
permitting access and amendment to such information could reveal 
sensitive security information protected pursuant to 49 U.S.C. 114(s), 
the disclosure of which could be detrimental to the security of 
transportation.
    (3) From subsection (e)(1) (Relevancy and Necessity of Information) 
because third agency records obtained or made available to TSA during 
the course of an investigation may occasionally contain information 
that is not strictly relevant or necessary to a specific investigation. 
In the interests of administering an effective and comprehensive 
investigation program, it is appropriate and necessary for the 
Transportation Security Administration to retain all such information 
that may aid in that process.
    (4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), 
and (f) (Agency Rules), because this system is exempt from the access 
provisions of subsection (d).
    (g) General Legal Records System (DHS/TSA 009). The General Legal 
Records (GLR) System (DHS/TSA 009) enables TSA to maintain records that 
will assist attorneys to perform their functions within the office of 
Chief Counsel, to include providing legal advice, responding to claims 
filed by employees and others, and assisting in litigation and in the 
settlement of claims. Pursuant to exemptions (k)(1) and (k)(2) of the 
Privacy Act, DHS/TSA 009 is exempt from 5 U.S.C. 552a(c)(3), (d), 
(e)(1), (e)(4)(G), (H) and (I), and (f). Exemptions from the particular 
subsections are justified for the following reasons:
    (1) From subsection (c)(3) (Accounting for Disclosures) because 
release of the accounting of disclosures could reveal investigative 
interest on the part of the recipient agency that obtained the record 
pursuant to a routine use. Disclosure of the accounting could therefore 
present a serious impediment to law enforcement efforts on the part of 
the recipient agency, as the individual who is the subject of a record 
would learn of third-agency investigative interests and thereby avoid 
detection or apprehension.
    (2) From subsection (d) (Access to Records) because access to the 
records contained in this system could reveal investigative interest on 
the part of TSA or other agency and the nature of that interest, the 
disclosure of which could enable individuals to circumvent agency 
regulations or statutes. The information contained in the system might 
include properly classified information, the release of which would 
pose a threat to national defense and/or foreign policy. In addition, 
permitting access and amendment to such information could reveal 
sensitive security information protected pursuant to 49 U.S.C. 114(s), 
the disclosure of which could be detrimental to the security of 
transportation.
    (3) From subsection (e)(1) (Relevancy and Necessity of Information) 
because third agency records obtained or made available to TSA during 
the course of an investigation may occasionally contain information 
that is not strictly relevant or necessary to a specific investigation. 
In the interests of administering an effective and comprehensive 
investigation program, it is appropriate and necessary for the 
Transportation Security Administration to retain all such information 
that may aid in that process.
    (4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), 
and (f) (Agency Rules), because this system is exempt from the access 
provisions of subsection (d).
    (h) Federal Flight Deck Officer Records System (DHS/TSA 013). The 
Federal Flight Deck Officer Record System (FFDORS) enables TSA to 
maintain a system of records documenting the application, selection, 
training, and requalification of pilots deputized by TSA to perform the 
duties of a Federal Flight Deck Officer (FFDO). Pursuant to exemptions 
(k)(1), (k)(2), and (k)(6) of the Privacy Act, DHS/TSA 013 is exempt 
from 5 U.S.C. 552a(c)(3), (d), and (e)(1). Exemptions from the 
particular subsections are justified for the following reasons:
    (1) From (c)(3) (Accounting of Certain Disclosures) and (d) (Access 
to Records), because access to the accounting of disclosures in this 
system could reveal the identity of a confidential source that provided 
information during the background check process. Without the ability to 
protect the identity of a confidential source, the agency's ability to 
gather pertinent information about candidates for the program may be 
limited. In addition, the system might contain information that is 
properly classified, the release of which would pose a threat to 
national security and/or foreign policy, or information the disclosure 
of which could be detrimental to the security of transportation 
pursuant to 49 U.S.C. 114(s). Finally, the agency must be able to 
protect against access to testing or examination material as release of 
this material could compromise the effectiveness of the testing and 
examination procedure itself. The examination material contained in 
this system is so similar in form and content to the examination 
material used to determine individual qualifications for the 
appointment or promotion of TSA law enforcement officers, that release 
of the material would compromise the objectivity or fairness of the 
testing or examination process of those TSA employees.
    (2) From (e)(1) (Relevancy and Necessity of Information), because 
information obtained or made available to TSA from other agencies and 
other sources during the evaluation of an individual's suitability for 
an FFDO position may occasionally include information that is not 
strictly relevant or necessary to the specific determination regarding 
that individual. In the interests of effective program administration, 
it is appropriate and necessary for TSA to collect all such information 
that may aid in the FFDO selection process.

    Issued in Arlington, Virginia, on August 8, 2003.
Susan T. Tracey,
Deputy Chief Administrative Officer.
[FR Doc. 03-20926 Filed 8-15-03; 8:45 am]
BILLING CODE 4910-62-P