[Federal Register Volume 69, Number 237 (Friday, December 10, 2004)]
[Notices]
[Pages 71828-71837]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-27096]


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DEPARTMENT OF HOMELAND SECURITY

Transportation Security Administration

[Docket No. TSA-2004-19845]


Privacy Act of 1974: Systems of Records

AGENCY: Transportation Security Administration (TSA), DHS.

ACTION: Notice to establish or alter systems of records; request for 
comments.

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SUMMARY: TSA is establishing three new systems of records and altering 
three established systems of records under the Privacy Act of 1974.

DATES: Submit comments by January 10, 2005.

ADDRESSES: Address or deliver your written, signed comments to the 
Docket Management System, U.S. Department of Transportation, Room Plaza 
401, 400 Seventh Street, SW., Washington, DC 20590-0001.
    You may also submit comments through the Internet to http://dms.dot.gov. Please be aware that anyone is able to search the 
electronic form of all comments received into any of our 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 the applicable Privacy Act Statement in the Federal 
Register published on April 11, 2000 (65 FR 19477) or you may visit 
http://dms.dot.gov.
    You may review the public docket containing comments in person in 
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. Also, you may review public dockets on the Internet at http://dms.dot.gov.

FOR FURTHER INFORMATION CONTACT: Lisa S. Dean, Privacy Officer, Office 
of Transportation Security Policy, TSA-9, 601 South 12th Street, 
Arlington, VA 22202-4220; telephone (571) 227-3947; facsimile (571) 
227-2555.

SUPPLEMENTARY INFORMATION:

Document Availability

    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 notice.

Background

    TSA is establishing three new systems of records under the Privacy 
Act of 1974: Employee Transportation Facilitation Records (DHS/TSA 
003), Transportation Security Administration Notification Contact Lists 
(DHS/TSA 008), and Transportation Security Intelligence Service 
Operations Files (DHS/TSA 011). TSA is also altering three established 
system of records: The Transportation Security Enforcement Record 
System (DHS/TSA 001) by expanding the system purpose to cover criminal 
enforcement actions, adding a new category of individuals covered by 
the system, adding a new routine use to cover security incidents by 
members of the armed forces, and adding the (j)(2) general law 
enforcement exemption; the Personnel Background Investigation File 
System (DHS/TSA 004) by adding the (k)(1) specific exemption for 
classified information; and the Internal Investigation Record System 
(DHS/TSA 005) by adding the (j)(2) general law enforcement exemption 
and expanding the purpose to cover investigations of security-related 
incidents and reviews of TSA programs and operations. Each of the three 
altered systems of records (DHS/TSA 001, 004, and 005) is also gaining 
routine uses to allow for the disclosure of information to an 
appropriate agency or transportation facility operator when necessary 
to address threats to transportation security and an existing routine 
use has been amended to allow for the disclosure of records to state 
and local transportation agencies when compatible with the purposes for 
which the information was collected. The complete revised notice of 
each system of records follows.

[[Page 71829]]

DHS/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 and in the 
Office of the Assistant Administrator for Aviation Operations, 
Transportation Security Administration (TSA) Headquarters in Arlington, 
Virginia. 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; 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; individuals being investigated or 
prosecuted for violations of criminal law; and individuals who 
communicate security incidents, potential security incidents, or 
otherwise suspicious activities.

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 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; and information 
obtained from various law enforcement or prosecuting authorities 
relating to the enforcement of criminal laws.

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 and to maintain records related to the 
investigation or prosecution of violations or potential violations of 
federal, state, local, or international criminal law. They may be used, 
generally, to identify, review, analyze, investigate, and prosecute 
violations or potential violations of transportation security laws or 
other laws as well as to identify and address potential threats to 
transportation security. They may also be used to record the details of 
TSA security-related activity, such as passenger or baggage screening.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    (1) To the United States Department of Transportation, its 
operating administrations, or the appropriate state or local agency 
when relevant or necessary to (a) ensure safety and security in any 
mode of transportation; (b) enforce safety- and security-related 
regulations and requirements; (c) assess and distribute intelligence or 
law enforcement information related to transportation security; (d) 
assess and respond to threats to transportation; (e) oversee the 
implementation and ensure the adequacy of security measures at airports 
and other transportation facilities; (f) plan and coordinate any 
actions or activities that may affect transportation safety and 
security or the operations of transportation operators; or (g) the 
issuance, maintenance, or renewal of a license, certificate, contract, 
grant, or other benefit.
    (2) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency responsible for investigating, 
prosecuting, enforcing, or implementing a statute, rule, regulation, or 
order, where TSA becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    (3) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency regarding individuals who pose or are 
suspected of posing a risk to transportation or national security.
    (4) To contractors, grantees, experts, consultants, or other like 
persons when necessary to perform a function or service related to this 
system of records for which they have been engaged. Such recipients are 
required to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
    (5) To a Federal, State, local, tribal, territorial, foreign, or 
international agency, where such agency has requested information 
relevant or necessary for the hiring or retention of an individual, or 
the issuance of a security clearance, license, contract, grant, or 
other benefit.
    (6) To a Federal, State, local, tribal, territorial, foreign, or 
international agency, if necessary to obtain information relevant to a 
TSA decision concerning the hiring or retention of an employee, the 
issuance of a security clearance, license, contract, grant, or other 
benefit.
    (7) To international and foreign governmental authorities in 
accordance with law and formal or informal international agreement.
    (8) To third parties during the course of an investigation into 
violations or potential violations of transportation security laws to 
the extent necessary to obtain information pertinent to the 
investigation.
    (9) 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 when relevant to such employment, 
application, contract, or the issuance of such credentials or 
clearances.
    (10) To the Department of Justice (DOJ) or other Federal agency in 
the review, settlement, defense, and prosecution of claims, complaints, 
and lawsuits involving matters over which TSA exercises jurisdiction or 
when conducting litigation or in proceedings before any court, 
adjudicative or administrative body, when: (a) TSA, or (b) any employee 
of TSA in his/her official capacity, or (c) any employee of TSA in his/
her individual capacity where DOJ or TSA has agreed to represent the 
employee, or (d) the United States or any agency thereof, is a party to 
the litigation or has an interest in such litigation, and TSA 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is compatible with the purpose 
for which TSA collected the records.
    (11) To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual.
    (12) To the National Archives and Records Administration or other 
appropriate Federal agency in records management inspections being 
conducted under the authority of 44 U.S.C. 2904 and 2906.
    (13) To any agency or instrumentality charged under applicable law 
with the protection of the public health or safety

[[Page 71830]]

under exigent circumstances where the public health or safety is at 
risk.
    (14) To the Department of Justice, United States Attorney's Office, 
or other appropriate Federal agency for further collection action on 
any delinquent debt when circumstances warrant, or to a debt collection 
agency for the purpose of debt collection.
    (15) With respect to members of the armed forces who may have 
violated aviation security or safety requirements, disclose the 
individual's identifying information and details of their travel on the 
date of the incident in question to the appropriate branch of the armed 
forces to the extent necessary to determine whether the individual was 
performing official duties at the time of the incident. Members of the 
armed forces include active duty and reserve members, and members of 
the National Guard. This routine use is intended to permit TSA to 
determine whether the potential violation must be referred to the 
appropriate branch of the armed forces for action pursuant to 49 U.S.C. 
46101(b).
    (16) To airport operators, aircraft operators, and/or maritime and 
land transportation operators when appropriate to address a threat or 
potential threat to transportation security, or when required for 
administrative purposes related to the effective and efficient 
administration of transportation security laws.

Disclosure to consumer reporting agencies:
    Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this 
system to consumer reporting agencies collecting on behalf of the 
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:
    Information in this system is safeguarded in accordance with 
applicable laws, rules and policies. All records are protected from 
unauthorized access through appropriate administrative, physical, and 
technical safeguards. These safeguards include restricting access to 
authorized personnel who also have a need-to-know; using locks, alarm 
devices, and passwords; and encrypting data communications. 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. 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. Once approved, paper records and 
information stored on electronic storage media are to be maintained 
within TSA for five years and then forwarded to Federal Records Center. 
Records are destroyed after ten years.

System manager and address:
    Information Systems Program Manager, Office of the Chief Counsel, 
TSA Headquarters, TSA-2, 601 South 12th Street, Arlington, VA 22202-
4220.

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

Record access procedure:
    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 Homeland Security 
Privacy Act regulations on verification of identity (6 CFR 5.21(d)).

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

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, other Federal agencies, and law enforcement 
authorities.

Exemptions claimed for the system:
    Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and 
(k)(2). Portions of the system pertaining to investigations or 
prosecutions of violations of criminal law are exempt under 5 U.S.C. 
552a(j)(2).
DHS/TSA 003

System name:
    Employee Transportation Facilitation Records

Security classification:
    Unclassified, sensitive.

System location:
    Records are maintained in the Office of Real Estate Services, TSA 
Headquarters in Arlington, Virginia; at various TSA field offices, the 
DOT Headquarters Parking and Transit Office in Washington, DC; and at a 
digital safe site managed by a government contractor.

Categories of individuals covered by the system:
    Applicants or holders of parking permits, members of carpools and 
vanpools, applicants for ridesharing information, applicants or 
recipients of transit benefits, applicants or recipients of parking 
subsidies issued under the Parking Information Payment System (PIPS).

Categories of records in the system:
    Records of holders of parking permits; records of carpool and 
vanpool members; records and reports of the status of rideshare 
applications; applications and certifications of fare subsidy 
recipients; records and reports of disbursements to fare subsidy 
recipients; information collected related to the payment of parking 
subsidies; records and reports of disbursements to parking subsidy 
recipients; information necessary to establish direct debit payment 
when appropriate. These records may include an individual's name, 
title, social security number, duty station, commuter costs, method of 
commute, subsidy amount, bank account information, and the identities 
of other carpool members.

Authority for maintenance of the system:
    5 U.S.C. 301; 49 U.S.C. 114; E.O. 13150; E.O. 9397.

Purpose(s):
    Records are maintained to facilitate management of parking 
resources, transportation resources and subsidy benefits, to create and 
enlarge carpools and vanpools, to ensure employee eligibility for any 
benefits received, to contact employees regarding matters related to 
these programs, and to prevent the misuse of government resources.

[[Page 71831]]

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    (1) To contractors, grantees, experts, consultants, or other like 
persons when necessary to perform a function or service related to this 
system of records for which they have been engaged. Such recipients are 
required to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
    (2) To transportation facility operators when necessary to perform 
a function or service related to this system of records or to determine 
program eligibility.
    (3) To the Department of Transportation (DOT) or other Federal, 
State, local, tribal, or territorial agencies when necessary to perform 
a function or service related to this system of records or to determine 
program eligibility, which may involve the use of an authorized 
computer matching program.
    (4) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency responsible for investigating, 
prosecuting, enforcing, or implementing a statute, rule, regulation, or 
order, where TSA becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    (5) To the Department of Justice (DOJ) or other Federal agency in 
the review, settlement, defense, and prosecution of claims, complaints, 
and lawsuits involving matters over which TSA exercises jurisdiction or 
when conducting litigation or in proceedings before any court, 
adjudicative or administrative body, when: (a) TSA, or (b) any employee 
of TSA in his/her official capacity, or (c) any employee of TSA in his/
her individual capacity where DOJ or TSA has agreed to represent the 
employee, or (d) the United States or any agency thereof, is a party to 
the litigation or has an interest in such litigation, and TSA 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is compatible with the purpose 
for which TSA collected the records.
    (6) To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual.
    (7) To the National Archives and Records Administration or other 
appropriate Federal agency in records management inspections being 
conducted under the authority of 44 U.S.C. 2904 and 2906.
    (8) To other Federal employees or persons voluntarily participating 
in ridesharing programs only to the extent necessary for the operation 
of these programs.
    (9) 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, or to a debt collection 
agency for the purpose of debt collection.

Disclosures to consumer reporting agencies:
    Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this 
system to consumer reporting agencies collecting on behalf of the 
United States Government.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored in hard copy or in electronic format on a system 
database.

Retrievability:
    Records are retrieved by name, address, social security number, 
permit number, or other assigned identifier of the individual on whom 
the records are maintained.

Safeguards:
    Except for carpool listings, access is accorded only to parking and 
fare subsidy management offices. Printouts of carpool listings contain 
only name, agency, and work telephone number. Information in this 
system is safeguarded in accordance with applicable laws, rules and 
policies. All records are protected from unauthorized access through 
appropriate administrative, physical, and technical safeguards. Control 
measures are enforced to ensure that access to sensitive information in 
these records, such as Social Security Numbers, is based on a ``need to 
know.''

Retention and disposal:
    Records in this system will be retained in accordance with a 
schedule to be approved by the National Archives and Records 
Administration.

System manager(s) and address:
    Transportation Benefits Coordinator, Office of Real Estate 
Services, TSA Headquarters, TSA-17, 601 South 12th Street, Arlington, 
VA 22202-4220.

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

Record access procedure:
    Same as ``Notification Procedure,'' 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 Homeland Security 
Privacy Act regulations on verification of identity (6 CFR 5.21(d)).

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

Record source categories:
    Information contained in this system is obtained from employees 
participating in parking, ridesharing, and transit benefits programs, 
from notifications from other Federal agencies in the program, and from 
periodic certifications and reports regarding fare subsidies.

Exemptions claimed for the system:
    None.
DHS/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 Headquarters located in Arlington, Virginia. 
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; 5 CFR Parts 731, 732, 
and 736; and Executive Orders 10450, 10577, and 12968.

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.''

[[Page 71832]]

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    (1) To the United States Department of Transportation, its 
operating administrations, or the appropriate state or local agency 
when relevant or necessary to (a) ensure safety and security in any 
mode of transportation; (b) enforce safety- and security-related 
regulations and requirements; (c) assess and distribute intelligence or 
law enforcement information related to transportation security; (d) 
assess and respond to threats to transportation; (e) oversee the 
implementation and ensure the adequacy of security measures at airports 
and other transportation facilities; (f) plan and coordinate any 
actions or activities that may affect transportation safety and 
security or the operations of transportation operators; or (g) the 
issuance, maintenance, or renewal of a license, certificate, contract, 
grant, or other benefit.
    (2) Except as noted in Question 14 of the Questionnaire for Public 
Trust Positions, to the appropriate Federal, State, local, tribal, 
territorial, foreign, or international agency responsible for 
investigating, prosecuting, enforcing, or implementing a statute, rule, 
regulation, or order, where TSA becomes aware of an indication of a 
violation or potential violation of civil or criminal law or 
regulation.
    (3) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency regarding individuals who pose or are 
suspected of posing a risk to transportation or national security.
    (4) To contractors, grantees, experts, consultants, or other like 
persons when necessary to perform a function or service related to this 
record for which they have been engaged. Such recipients shall be 
required to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
    (5) To a Federal, State, local, tribal, territorial, foreign, or 
international agency, where such agency has requested information 
relevant or necessary for the hiring or retention of an individual, or 
the issuance of a security clearance, license, contract, grant, or 
other benefit.
    (6) To a Federal, State, local, tribal, territorial, foreign, or 
international agency, if necessary to obtain information relevant to a 
TSA decision concerning the hiring or retention of an employee, the 
issuance of a security clearance, license, contract, grant, or other 
benefit.
    (7) To international and foreign governmental authorities in 
accordance with law and formal or informal international agreement.
    (8) To third parties during the course of an investigation into 
violations or potential violations of transportation security laws to 
the extent necessary to obtain information pertinent to the 
investigation.
    (9) 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 when relevant to such employment, 
application, contract, or the issuance of such credentials or 
clearances.
    (10) To the Department of Justice (DOJ) or other Federal agency in 
the review, settlement, defense, and prosecution of claims, complaints, 
and lawsuits involving matters over which TSA exercises jurisdiction or 
when conducting litigation or in proceedings before any court, 
adjudicative or administrative body, when: (a) TSA, or (b) any employee 
of TSA in his/her official capacity, or (c) any employee of TSA in his/
her individual capacity where DOJ or TSA has agreed to represent the 
employee, or (d) the United States or any agency thereof, is a party to 
the litigation or has an interest in such litigation, and TSA 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is compatible with the purpose 
for which TSA collected the records.
    (11) To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual.
    (12) To the National Archives and Records Administration or other 
appropriate Federal agency in records management inspections being 
conducted under the authority of 44 U.S.C. 2904 and 2906.

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 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 and address:
    Director of Transportation Credentialing, TSA Headquarters, TSA-19, 
601 South 12th Street, Arlington, VA 22202-4220.

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

Record access procedure:
    Same as ``Notification Procedure'' 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 Homeland Security 
Privacy Act regulations on verification of identity (6 CFR 5.21(d)).

Contesting record procedure:
    Same as ``Notification Procedure'' and ``Record Access Procedure,'' 
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 databases.

Exemptions claimed for the system:
    Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and 
(k)(5).
DHS/TSA 005

System name:
    Internal Investigation Record System (IIRS)

Security classification:
    Classified, sensitive.

System location:
    Records are maintained in the Office of the Assistant Administrator 
for

[[Page 71833]]

Internal Affairs and Program Review and the Office of the Assistant 
Administrator for Human Resources, Transportation Security 
Administration (TSA) Headquarters in Arlington, Virginia. Records may 
also be maintained at TSA's Office of Chief Counsel, the Office of the 
Assistant Administrator for Aviation Operations, or at various TSA 
field offices.

Categories of individuals covered by the system:
    (a) Current and former TSA employees and current and former 
consultants, contractors, and subcontractors with whom the agency has 
done business, and their employees; (b) Witnesses, complainants, and 
other individuals who have been identified as relevant to the 
investigation; (c) Individuals who have been identified as relevant to 
investigations of security-related incidents or reviews of TSA programs 
and operations.

Categories of records in the system:
    (a) Information relating to investigations conducted by TSA 
regarding or relevant to covered individuals, including but not limited 
to identifying information of relevant parties (e.g., subject, 
complainants, witnesses); correspondence; memoranda (including legal 
opinions or advice provided by agency counsel); statements and other 
information provided by investigation subjects, complainants, 
witnesses, or others; details of security-related incidents or alleged 
criminal, civil, or administrative misconduct, or that are indicative 
of such misconduct; and records concerning an individual's employment 
status or conduct while employed by TSA. ``Investigation'' may include 
action that is taken in response to complaints or inquiries regarding 
covered individuals.
    (b) Files and reports pertaining to investigations prepared by the 
Office of Internal Affairs and Program Review or other TSA offices, to 
include all related material such as exhibits, statements, affidavits, 
records obtained during the course of the investigation (including 
those obtained from other sources, such as Federal, State, local, 
international, or foreign investigatory or law enforcement agencies and 
other government agencies), and records involving the disposition of 
the investigation and any resulting agency action (e.g., criminal 
prosecutions, civil proceedings, administrative action).

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

Purpose(s):
    (a) To facilitate and assist in the management, tracking, and 
retrieval of investigations of allegations or appearances of misconduct 
(and related incidents) of current or former TSA employees or 
contractors and investigations of security-related incidents or reviews 
of TSA programs and operations.
    (b) To promote economy, efficiency, and effectiveness of the 
Internal Investigation system, to conduct and supervise investigations 
covered by this system, and to detect fraud and abuse in the 
investigations program.
    (c) To provide support for any adverse action or counseling that 
may occur as a result of the findings of the investigation.
    (d) To monitor case assignment, disposition, status, and results of 
investigations.
    (e) To permit the retrieval of investigation results performed on 
the individuals covered in this system.
    (f) To take action on or respond to a complaint or inquiry 
concerning a TSA employee or contractor.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    (1) To the United States Department of Transportation, its 
operating administrations, or the appropriate state or local agency 
when relevant or necessary to (a) ensure safety and security in any 
mode of transportation; (b) enforce safety- and security-related 
regulations and requirements; (c) assess and distribute intelligence or 
law enforcement information related to transportation security; (d) 
assess and respond to threats to transportation; (e) oversee the 
implementation and ensure the adequacy of security measures at airports 
and other transportation facilities; (f) plan and coordinate any 
actions or activities that may affect transportation safety and 
security or the operations of transportation operators; or (g) the 
issuance, maintenance, or renewal of a license, certificate, contract, 
grant, or other benefit.
    (2) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency responsible for investigating, 
prosecuting, enforcing, or implementing a statute, rule, regulation, or 
order, where TSA becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    (3) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency regarding individuals who pose or are 
suspected of posing a risk to transportation or national security.
    (4) To contractors, grantees, experts, consultants, or other like 
persons when necessary to perform a function or service related to this 
system of records for which they have been engaged. Such recipients are 
required to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
    (5) To a Federal, State, local, tribal, territorial, foreign, or 
international agency, where such agency has requested information 
relevant or necessary for the hiring or retention of an individual, or 
the issuance of a security clearance, license, contract, grant, or 
other benefit.
    (6) To a Federal, State, local, tribal, territorial, foreign, or 
international agency, if necessary to obtain information relevant to a 
TSA decision concerning the hiring or retention of an employee, the 
issuance of a security clearance, license, contract, grant, or other 
benefit.
    (7) To international and foreign governmental authorities in 
accordance with law and formal or informal international agreement.
    (8) To third parties during the course of an investigation into 
violations or potential violations of transportation security laws to 
the extent necessary to obtain information pertinent to the 
investigation.
    (9) 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 when relevant to such employment, 
application, contract, or the issuance of such credentials or 
clearances.
    (10) To the Department of Justice (DOJ) or other Federal agency in 
the review, settlement, defense, and prosecution of claims, complaints, 
and lawsuits involving matters over which TSA exercises jurisdiction or 
when conducting litigation or in proceedings before any court, 
adjudicative or administrative body, when: (a) TSA, or (b) any employee 
of TSA in his/her official capacity, or (c) any employee of TSA in his/
her individual capacity where DOJ or TSA has agreed to represent the 
employee, or (d) the United States or any agency thereof, is a party to 
the litigation or has an interest in such litigation, and TSA 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is compatible with the purpose 
for which TSA collected the records.

[[Page 71834]]

    (11) To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual.
    (12) To the National Archives and Records Administration or other 
appropriate Federal agency in records management inspections being 
conducted under the authority of 44 U.S.C. 2904 and 2906.
    (13) To complainants to the extent necessary to provide such 
persons with relevant information and explanations concerning the 
progress and/or results of the investigation or case arising from the 
matters about which they complained.
    (14) To professional organizations or associations with which 
individuals covered by this system of records may be affiliated, such 
as law enforcement disciplinary authorities, to meet those 
organizations' responsibilities in connection with the administration 
and maintenance of standards of conduct and discipline.
    (15) To airport operators, aircraft operators, and/or maritime and 
land transportation operators when appropriate to address a threat or 
potential threat to transportation security, or when required for 
administrative purposes related to the effective and efficient 
administration of transportation security laws.

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:
    Records may be retrieved by name, unique numbers assigned to the 
matter, or other assigned tracking identifier of the individual on whom 
the records are maintained.

Safeguards:
    Information in this system is safeguarded in accordance with 
applicable laws, rules and policies. 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 and using locked cabinets, alarms, 
and passwords. 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. The request states that paper records 
and information stored on electronic storage media are maintained 
within the Office of Internal Affairs and Program Review for 3 years 
and then forwarded to the Federal Records Center. Records are destroyed 
after 15 years. The disposition period for records maintained in other 
offices is still under consideration.

System managers and addresses:
    Management Analyst, Office of Internal Affairs and Program Review, 
TSA Headquarters, TSA-13, 601 South 12th Street, Arlington, VA 22202-
4220.
    Deputy Assistant Administrator for Operations, TSA Office of Human 
Resources, TSA Headquarters, TSA-21, 601 South 12th Street, Arlington, 
VA 22202-4220.

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

Record access procedure:
    Same as ``Notification Procedure'' above. Provide your full name 
and a description of information that you seek, including the time 
frame during which the records(s) may have been generated and, if 
applicable the airport to which the covered individual was assigned at 
the time of the conduct or incident under investigation. Individuals 
requesting access must comply with the Department of Homeland 
Security's Privacy Act regulations on verification of identity (6 CFR 
5.21(d)).

Contesting record procedure:
    Same a ``Notification Procedure'' and ``Record Access Procedure,'' 
above.

Record source categories:
    Information maintained in this system is primarily obtained from 
individuals associated with TSA investigations including investigations 
of alleged misconduct of TSA employees or contractors and 
investigations of security-related incidents or reviews of TSA programs 
and operations. ``Individuals'' include TSA employees or contractors, 
witnesses to the alleged violation or events surrounding the alleged 
misconduct or other third parties who provided information regarding 
the alleged misconduct and passengers or others relevant to security-
related incidents or reviews of TSA programs and operations. 
Information may also be collected from documents such as incident 
reports and audit reports, and from other sources, such as law 
enforcement, financial institutions, employers, 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(j)(2), 
(k)(1), and (k)(2).
DHS/TSA 008

System name:
    Transportation Security Administration Notification Contact Lists

Security classification:
    Unclassified, sensitive.

System location:
    The records of this system are electronically maintained in a 
digital safe site at TSA Headquarters in Northern Virginia.

Categories of individuals covered by the system:
    TSA employees and individuals who interact with TSA in providing 
transportation security services, including land, air, and maritime 
carrier and facility operators, local government officials, law 
enforcement officials, and emergency response personnel. Members of the 
public or the news media who ask to receive TSA travel alert 
notifications and news releases.

Categories of records in the system:
    Personal and business contact information, which includes but is 
not limited to name, work title, work location, work phone numbers, 
pager numbers, cellular phone numbers, home phone numbers, e-mail 
addresses, and home addresses.

Authority for maintenance of the system:
    5 U.S.C. 301, 49 U.S.C. 114, Pub. L. 107-347.

Purposes(s):
    The system of records is designed to allow TSA to relay information 
throughout the organization, to transportation security emergency first 
responders, and to those individuals who ask to receive TSA travel 
alert notifications and news releases.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    (1) To the United States Department of Transportation, its 
operating administrations, or the appropriate state or local agency 
when relevant or necessary to (a) ensure safety and security in any 
mode of transportation; (b) enforce safety- and security-related

[[Page 71835]]

regulations and requirements; (c) assess and distribute intelligence or 
law enforcement information related to transportation security; (d) 
assess and respond to threats to transportation; (e) oversee the 
implementation and ensure the adequacy of security measures at airports 
and other transportation facilities; (f) plan and coordinate any 
actions or activities that may affect transportation safety and 
security or the operations of transportation operators; or (g) the 
issuance, maintenance, or renewal of a license, certificate, contract, 
grant, or other benefit.
    (2) To contractors, grantees, experts, consultants, or other like 
persons when necessary to perform a function or service related to this 
system of records for which they have been engaged. Such recipients are 
required to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
    (3) To the National Archives and Records Administration or other 
appropriate Federal agency in records management inspections being 
conducted under the authority of 44 U.S.C. 2904 and 2906.
    (4) 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.
    (5) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency responsible for investigating, 
prosecuting, enforcing, or implementing a statute, rule, regulation, or 
order, where TSA becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    (6) To airport operators, aircraft operators, and/or maritime and 
land transportation operators when appropriate to address a threat or 
potential threat to transportation security, or when required for 
administrative purposes related to the effective and efficient 
administration of transportation security laws.

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 in computer-accessible storage media and 
hardcopy format.

Retrievability:
    Records are retrieved by name, address, or other assigned 
identifier of the individual on whom the records are maintained.

Safeguards:
    Information in this system is safeguarded in accordance with 
applicable laws, rules and policies. All records are protected from 
unauthorized access through appropriate administrative, physical, and 
technical safeguards. These safeguards include restricting access to 
authorized personnel who have a need-to-know by using locks, alarm 
devices, passwords, and encrypting data communications. Electronic 
access is limited by computer security measures that are strictly 
enforced. TSA file areas are locked after normal duty hours and 
facilities are protected by security personnel.

Retention and disposal:
    Records in this system will be retained in accordance with a 
schedule to be approved by the National Archives and Records 
Administration. Individuals who ask to receive TSA notifications and 
news releases will be deactivated from the contact list upon their own 
request.

System managers and addresses:
    TSA Office of Information Technology, Office of the Chief 
Information Officer, TSA Headquarters, TSA-11, 601 South 12th Street, 
Arlington, VA 22202-4220 (TSA Employee Contact List and TSA Alert 
Notification System). TSA Public Affairs Office, TSA Headquarters, TSA-
4, 601 South 12th Street, Arlington, VA 22202-4220 (Public Affairs News 
Releases). TSA Transportation Security Policy Office, TSA Headquarters, 
TSA-9, 601 South 12th Street, Arlington, VA 22202-4220 (E-mail Travel 
Alert Notification List).

Notification procedure:
    To determine whether a contact list within this system contains 
records relating to you, write to the appropriate System Manager(s) 
identified above.

Record access procedure:
    Same as ``Notification Procedure,'' 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 Homeland Security 
Privacy Act regulations on verification of identity (6 CFR 5.21(d)).

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

Record source categories:
    Information contained in this system is obtained from TSA Human 
Resources, TSA employees or contractors, other government agencies, and 
by individuals who voluntarily sign-up to receive TSA notifications or 
news releases.

Exemptions claimed for the system:
    None.

DHS/TSA 011
System name:
    Transportation Security Intelligence Service (TSIS) Operations 
Files

Security classification:
    Classified, sensitive.

System location:
    Records are maintained in TSA's Office of the Transportation 
Security Intelligence Service in Washington, DC.

Categories of individuals covered by the system:
    Individuals identified in intelligence, counterintelligence, 
transportation security, or information system security reports and 
supporting materials, including but not limited to individuals involved 
in matters of intelligence, law enforcement or transportation security, 
information systems security, the compromise of classified information, 
or terrorism.

Categories of records in the system:
    Records include biographic information; intelligence requirements, 
analysis, and reporting; information systems security analysis and 
reporting; articles, public-source data, and other published 
information on individuals and events of interest to TSA/TSIS; actual 
or purported compromises of classified intelligence; countermeasures in 
connection therewith; identification of classified source documents and 
distribution thereof; records related to transportation security 
matters (e.g., reports of security-related incidents), and law 
enforcement records as they pertain to issues involving transportation 
security.

Authority for maintenance of the system:
    49 U.S.C. 114; National Security Act of 1947, as amended, 50 U.S.C. 
403-3(d)(2); National Security Agency Act of 1959, Pub. L. 86-36, as 
amended, 50 U.S.C. 402 Note; E.O. 12333; E.O. 13292 and 12958; E.O. 
9397; and National Security Directive 42.

Purpose(s):
    To maintain records on intelligence, counterintelligence, 
transportation security, and information systems security matters as 
they relate to TSA's mission of protecting the nation's transportation 
systems. To identify

[[Page 71836]]

potential threats to transportation security, uphold and enforce the 
law, and ensure public safety.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    (1) To U.S. Government agencies, and in some instances foreign 
government agencies or their representatives, to provide intelligence, 
counterintelligence, information systems and transportation security 
information, and other information for the purpose of 
counterintelligence or antiterrorism activities authorized by U.S. law 
or Executive Order or for the purpose of enforcing laws that protect 
national and transportation security of the U.S.
    (2) To U.S. Government agencies regarding compromises of classified 
information including the document(s) apparently compromised, 
implications of disclosure of intelligence sources and methods, 
investigative data on compromises, and statistical and substantive 
analysis of the data.
    (3) To any U.S. Government organization in order to facilitate any 
security, employment, detail, liaison, or contractual decision by any 
U.S. Government organization, or to facilitate access to any U.S. 
Government information system.
    (4) To U.S. agencies involved in the protection of intelligence 
sources and methods to facilitate such protection and to support 
intelligence analysis and reporting.
    (5) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency responsible for investigating, 
prosecuting, enforcing, or implementing a statute, rule, regulation, or 
order, where TSA becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    (6) To a Federal, State, local, tribal, territorial, foreign, or 
international agency, where such agency has requested information 
relevant or necessary for the hiring or retention of an individual, or 
the issuance of a security clearance, license, contract, grant, or 
other benefit.
    (7) To a Federal, State, local, tribal, territorial, foreign, or 
international agency, if necessary to obtain information relevant to a 
TSA decision concerning the hiring or retention of an employee, the 
issuance of a security clearance, license, contract, grant, or other 
benefit.
    (8) To a congressional office from the record of an individual in 
response to an inquiry from that congressional office made at the 
request of the individual.
    (9) To international and foreign governmental authorities in 
accordance with law and formal or informal international agreement.
    (10) To the Department of Justice (DOJ) or other Federal agency in 
the review, settlement, defense, and prosecution of claims, complaints, 
and lawsuits involving matters over which TSA exercises jurisdiction or 
when conducting litigation or in proceedings before any court, 
adjudicative or administrative body, when: (a) TSA, or (b) any employee 
of TSA in his/her official capacity, or (c) any employee of TSA in his/
her individual capacity where DOJ or TSA has agreed to represent the 
employee, or (d) the United States or any agency thereof, is a party to 
the litigation or has an interest in such litigation, and TSA 
determines that the records are both relevant and necessary to the 
litigation and the use of such records is compatible with the purpose 
for which TSA collected the records.
    (11) To the National Archives and Records Administration or other 
appropriate Federal agency in records management inspections being 
conducted under the authority of 44 U.S.C. 2904 and 2906.
    (12) To the United States Department of Transportation, its 
operating administrations, or the appropriate state or local agency 
when relevant or necessary to (a) ensure safety and security in any 
mode of transportation; (b) enforce safety- and security-related 
regulations and requirements; (c) assess and distribute intelligence or 
law enforcement information related to transportation security; (d) 
assess and respond to threats to transportation; (e) oversee the 
implementation and ensure the adequacy of security measures at airports 
and other transportation facilities; (f) plan and coordinate any 
actions or activities that may affect transportation safety and 
security or the operations of transportation operators; or (g) the 
issuance, maintenance, or renewal of a license, certificate, contract, 
grant, or other benefit.
    (13) To contractors, grantees, experts, consultants, or other like 
persons when necessary to perform a function or service related to this 
system of records for which they have been engaged. Such recipients are 
required to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
    (14) To third parties during the course of or as follow-up to an 
investigation into violations or potential violations of the law, or an 
investigation related to the hiring or retention of an individual, or 
the issuance of a security clearance, license, contract, grant, or 
other benefit, to the extent necessary to obtain information pertinent 
to the follow-up inquiry or investigation.
    (15) 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.
    (16) To the appropriate Federal, State, local, tribal, territorial, 
foreign, or international agency regarding individuals who pose or are 
suspected of posing a risk to transportation or national security.
    (17) To airport operators, aircraft operators, and/or maritime and 
land transportation operators when appropriate to address a threat or 
potential threat to transportation security, or when required for 
administrative purposes related to the effective and efficient 
administration of transportation security laws.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Magnetic tape, disk or other computer storage media, computer 
listings and databases, paper in file folders, audio recordings, 
microfilm or microfiche.

Retrievability:
    Information is retrieved by the individual's name, social security 
number, or other assigned personal identifier.

Safeguards:
    Records stored on paper, computer printouts, audio recordings, and 
microfilm are stored in secure, limited-access facilities in lockable 
containers. Access to this information is limited to those individuals 
specifically authorized and granted access by TSA/TSIS. Computer record 
access is controlled by passwords or physical protection and is limited 
to authorized personnel only.

Retention and disposal:
    A request is pending for National Archives and Records 
Administration approval for the retention and disposal of records in 
this system.

System manager(s) and address:
    Special Assistant, Transportation Security Intelligence Service, 
TSA-10, 601 South 12th Street, Arlington, VA 22202-4220.

[[Page 71837]]

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

Record access procedure:
    Same as ``Notification Procedure,'' 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 Homeland Security 
Privacy Act regulations on verification of identity (6 CFR 5.21(d)).

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

Record source categories:
    Information contained in this system is obtained from subject 
individuals; other U.S. agencies and organizations; media, including 
periodicals, newspapers, and broadcast transcripts; public and 
classified reporting, intelligence source documents, investigative 
reports, and correspondence.

Exemptions claimed for the system:
    Portions of this system are exempt under 5 U.S.C. 552a(j)(2), 
(k)(1), (k)(2), and (k)(5).

    Issued in Arlington, Virginia, on December 3, 2004.
Lisa S. Dean,
Privacy Officer.
[FR Doc. 04-27096 Filed 12-9-04; 8:45 am]
BILLING CODE 4910-62-P