[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF TRANSPORTATION
Table of Contents
Appendix Prefatory Statement of General Routine Uses
DOT/ALL 1 DOT Grievance Records Files
DOT/ALL 2 Safety Management Information System (SMIS)
DOT/ALL 3 Applications for U.S. Government Vehicle Operations License
DOT/ALL 4 Station Message Detail Recording (SMDR).
DOT/ALL 5 Employee Counseling Services Program Records.
DOT/ALL 6 Workers' Compensation Information System.
DOT/ALL 7 Departmental Accounting and Financial Information System
(DAFIS).
DOT/ALL 8 EmployeeTransportation Facilitation.
DOT/ALL 9 Identification Media Record System
DOT/ALL 10 Debt Collection File.
DOT/ALL 11 Integrated Personnel and Payroll System (IPPS).
DOT/CG 501 Auxiliary Management Information System (AUXMIS)
DOT/CG 503 Motorboat Registration
DOT/CG 505 Recreational Boating Law Enforcement Case Files
DOT/CG 507 Coast Guard Supplement of the Manual of Courts Martial
Investigations
DOT/CG 508 Claims and Litigation
DOT/CG 510 Records of Trial: Special, General and Summary Courts-
Martial
DOT/CG 511 Legal Assistance Case File System
DOT/CG 516 Coast Guard Military Discrimination Complaints
DOT/CG 517 Complaints and Discrimination
DOT/CG 526 Adjudication and Settlement of Claims System
DOT/CG 528 Centralized Reserve Pay and Retirement System
DOT/CG 529 Civilian Payroll System
DOT/CG 533 Retired Pay and Personnel System
DOT/CG 534 Travel and Transportation of Household Effects
DOT/CG 535 Nonappropriated Fund System (NAFA)
DOT/CG 536 Contract and Real Property File System
DOT/CG 537 FHA Mortgage Insurance for Servicemen
DOT/CG 561 Port Safety Reporting System Individual Violation Histories
DOT/CG 571 Physical Disability Separation System
DOT/CG 572 USCG Military Personnel Health Record System
DOT/CG 573 U.S. Public Health Services (USPHS) Commissioned Officer
Corps Staffing and Recruitment Files
DOT/CG 576 USCG Non-Federal Invoice Processing System (NIPS).
DOT/CG 577 USCG Federal Medical Care Recovery Act (FMCRA) Record
System.
DOT/CG 586 Chemical Transportation Industry Advisory Committee
DOT/CG 587 Investigation of Violations of Marine Safety Laws or
Regulations
DOT/CG 589 U.S. Merchant Seamen's Records
DOT/CG 591 Merchant Vessel Documentation System (Manual and Automated)
DOT/CG 592 Registered/Applicant Pilot Eligibility Folder
DOT/CG 611 Intelligence and Security Investigative Case System
DOT/CG 612 Port Security Card System
DOT/CG 622 Military Training and Education Records
DOT/CG 623 Military Pay and Personnel System
DOT/CG 625 Officer Selection and Appointment System
DOT/CG 626 Official Officer Service Records
DOT/CG 627 Enlisted Recruiting Selection Record System
DOT/CG 628 Officer, Enlisted, and Recruiter Selection Test File
DOT/CG 629 Enlisted Personnel Record System
DOT/CG 630 Coast Guard Family Housing
DOT/CG 631 Family Advocacy Case Record System
DOT/CG 632 Uniformed Services Identification and Privilege Card Record
System
DOT/CG 633 Coast Guard Civilian Personnel Security Program
DOT/CG 634 Child Care Program Record System
DOT/CG 635 Coast Guard Mutual Assistance
DOT/CG 636 Personal Affairs Record System
DOT/CG 637 Appointment of Trustee or Guardian for Mentally Incompetent
Personnel
DOT/CG 638 Alcohol Abuse Prevention Program Record System
DOT/CG 639 Request for Remission of Indebtedness
DOT/CG 640 Outside Employment of Active Duty Coast Guard Personnel
DOT/CG 641 Coast Guard Family Special Needs Program
DOT/CG 642 Joint Maritime Information Element (JMIE) Support System
(JSS).
DOT/CG 671 Biographical Statement
DOT/CG 676 Official Coast Guard Reserve Service Record
DOT/CG 677 Coast Guard Reserve Personnel Mobilization System
DOT/CG 691 Master Chief Petty Officer of the Coast Guard Individual
Grievance and Correspondence File
DOT/FAA 801 Aircraft Registration System
DOT/FAA 807 Police Warrant File and Central Files
DOT/FAA 810 Discrimination Complaint Files
DOT/FAA 811 Employee Health Record System
DOT/FAA 813 Civil Aviation Security System
DOT/FAA 814 Equal Employment Opportunity Minority/Female Statistical
Reporting System
DOT/FAA 815 Investigative Record System
DOT/FAA 816 Tort Claims and Personal Property Claims Record System
DOT/FAA 820 Pending Legislation (Employee's) - Private Relief and
Public/Private Laws (Employee's) Private Reliefs
DOT/FAA 821 Litigation and Claims Files with Docket Sheet and Card
Catalogue Index for Cross Reference
DOT/FAA 822 Aviation Medical Examiner System
DOT/FAA 825 Petitions for Rulemaking - Public Dockets
DOT/FAA 826 Petitions for Exemption (Other than Medical Exemption) -
Public Dockets
DOT/FAA 827 Environmental Litigation Files
DOT/FAA 828 Physiological Training System
DOT/FAA 830 Representatives of the Administrator
DOT/FAA 831 Standard Procedure Uniform Reporting System (SPUR)
DOT/FAA 832 Pilot, Crewmember and Aircraft Rental Flight Record System
DOT/FAA 833 Housing Management Monthly Report
DOT/FAA 837 Photographs and Biographical Information
DOT/FAA 839 Printing Branch Distribution System
DOT/FAA 843 World Home Address System
DOT/FAA 845 Correspondence Control and Information System
DOT/FAA 847 General Air Transportation Records on Individuals
DOT/FAA 849 Back to Basics Seminar Attendance System
DOT/FHWA 202 University and Industry Programs Coding and Filing System
DOT/FHWA 204 FHWA Motor Carrier Safety Proposed Civil and Criminal
Enforcement Cases
DOT/FHWA 209 Driver Accident Record Cross-Reference File
DOT/FHWA 210 Occupational Safety and Health Accident Reporting System
DOT/FHWA 211 Motor Carrier Accident File - Property and Passenger
DOT/FHWA 212 Medals of Honor File
DOT/FHWA 213 Driver Waiver File
DOT/FHWA 215 Travel Advance File
DOT/FHWA 216 Travel Voucher - Change of Duty Station
DOT/FHWA 217 Accounts Receivable
DOT/FHWA 219 Employee Utilization (Monthly Report)
DOT/FHWA 220 Payroll Administration
DOT/FRA 100 Alaska Railroad Examination of Operating Personnel
DOT/FRA 101 Alaska Railroad Personnel and Pay Management Information
System
DOT/FRA 102 Alaska Railroad Security and Freight Claims Investigatory
Files
DOT/FRA 104 Statement of Employment and Financial Interest
DOT/FRA 105 Employee Travel Records
DOT/FRA 106 Occupational Safety and Health Reporting System
DOT/FRA 112 Personnel and Pay Management Information System
DOT/FRA 113 Regional Personnel Convenience Files
DOT/FRA 114 Transportation Test Center Employee Service Record File
DOT/FRA 115 Travel Advance Records
DOT/FRA 118 Transportation Test Center Cost Tracking System
DOT/FRA 130 Office of Chief Counsel Individual Enforcement Case System
DOT/FRA 132 Office of Safety Individual Enforcement Case File
DOT/FTA 196 Office of Technical Assistance and Safety (TTS) Mailing
List
DOT/MA 001 Attendance, Leave and Payroll Records of Employees and
Certain Other Persons
DOT/MA 002 Accounts Receivable
DOT/MA 003 Freedom of Information and Privacy Request Records
DOT/MA 004 Visitor Logs and Permits for Facilities Under Department
Control
DOT/MA 005 Travel Records (Domestic and Foreign) of Employees and
Certain Other Persons
DOT/MA 006 Executive Correspondence Files
DOT/MA 007 Litigation, Claims and Administrative Proceeding Records
DOT/MA 008 Property Accountability Files
DOT/MA 009 Records of Cash Receipts
DOT/MA 010 Employees Personnel Files Not Covered by Notices of Other
Agencies
DOT/MA 011 Biographical Files
DOT/MA 012 Applications to U.S. Merchant Marine Academy (USMMA)
DOT/MA 013 Cadet Files, State Maritime Academies
DOT/MA 014 Citizenship Statements and Affidavits
DOT/MA 015 General Agent's Protection and Indemnity and Second
Seaman's Insurance; WSA and NSA
DOT/MA 016 Marine Training School Registrants
DOT/MA 017 Waivers of Liability to Board Reserve Fleet Vessels and
Other Craft Located at U.S. Merchant Marine Academy
DOT/MA 018 National Defense Executive Reserve
DOT/MA 019 Non-Attorney Practitioner Applications and `Section 807
Reports`
DOT/MA 020 Seamen's Awards for Service, Valor, etc.
DOT/MA 021 Seaman's Employment Analysis Records
DOT/MA 022 Seaman's Unclaimed Wages (Vietnam Conflict)
DOT/MA 024 USMMA Non-Appropriated Fund Employees
DOT/MA 025 USMMA Graduates
DOT/MA 026 USMMA Midshipmen Deposit Account Records
DOT/MA 027 USMMA Midshipman Grade Transcripts
DOT/MA 028 USMMA Midshipman Medical Files
DOT/MA 029 USMMA Midshipman Personnel Records
DOT/NHTSA 400 National Highway Safety Advisory Committee Membership/
Nominee Files
DOT/NHTSA 401 Docket System
DOT/NHTSA 402 Highway Safety Literature Personal Author File
DOT/NHTSA 403 Active Contract Run
DOT/NHTSA 404 Alcohol Projects
DOT/NHTSA 409 Federal Motor Vehicle Safety Standards (FMVSS)
Compliance
DOT/NHTSA 411 General Public Correspondence System
DOT/NHTSA 413 Odometer Rollback
DOT/NHTSA 415 Motor Vehicle Defects
DOT/NHTSA 417 National Driver Register (NDR)
DOT/NHTSA 422 Temporary Exemption Petitions
DOT/NHTSA 423 Vendor Edit Table Listing (Employees)
DOT/NHTSA 424 Offerors Mailing List
DOT/NHTSA 427 Statement of Employment and Financial Interest
DOT/NHTSA 431 Civil Penalty Enforcement Files
DOT/NHTSA 432 EEO Counseling Program and Discrimination Complaint File
DOT/NHTSA 433 Injuries, Illnesses, Motor Vehicle Accidents and
Property Damages
DOT/NHTSA 434 Government Driver Licenses
DOT/NHTSA 435 Investigations and Security
DOT/NHTSA 436 Contract Grievance Records
DOT/NHTSA 447 Drinking Driver Tracking System
DOT/NHTSA 451 Medical Records and Research Data
DOT/NHTSA 454 Alcohol Behavior Research
DOT/NHTSA 455 Debt Complaint File
DOT/NHTSA 457 Suitability Files
DOT/NHTSA 458 Investigations of Alleged Misconduct or Conflict of
Interest
DOT/NHTSA 459 Stockton Increased DUI Enforcement/DUI Citation and
Arrest File
DOT/NHTSA 463 Motor Vehicle and Motor Vehicle Equipment Import
DOT/NHTSA 466 National Highway Traffic Safety Administration Employee
DOT/NHTSA 467 Driver Programs Data System
DOT/NHTSA 471 National Driver Register Advisory Membership Files
DOT/OST 003 Allegations of Infringement of United States Patents
DOT/OST 004 Board for Correction of Military Records (BCMR)
DOT/OST 006 Confidential Statement of Employment and Financial
Interests
DOT/OST 008 Departmental Advisory Committee Files
DOT/OST 010 Departmental Personnel Management Information System
DOT/OST 011 Discrimination Complaint Investigative Files
DOT/OST 012 Files Relating to Personnel Hearings
DOT/OST 013 Employee Management Convenience Files
DOT/OST 014 Employment Applications Files
DOT/OST 016 General Investigations Record System
DOT/OST 019 Individual Personal Interests in Intellectual Property
DOT/OST 024 Parking Permit Application Files and Vanpool Application
Files
DOT/OST 025 Parking Permit Management System
DOT/OST 026 Payroll Management System
DOT/OST 028 Personnel Convenience Files
DOT/OST 030 Personnel Management Files
DOT/OST 032 Management Operating Records System
DOT/OST 035 Personnel Security Record System
DOT/OST 037 Records of Confirmation Proceeding Requirements for
Proposed Executive Appointments to the Department of Transportation
DOT/OST 041 Secretariat Information Retrieval System (SIRS)
DOT/OST 043 Telephone Directory and Local System
DOT/OST 044 Travel and Transportation Management File
DOT/OST 045 Unsolicited Contract or Research and Development Proposals
Embodying Claims of Proprietary Rights
DOT/OST 046 Visit Control Records System
DOT/OST 056 Garnishment Files
DOT/OST 057 Honors Attorney Recruitment Files
DOT/OST 059 Files of the Board for Correction of Military Records
(BCMR) for the Coast Guard
DOT/OST 061 Records of Official Time Granted Employees for Performing
Representational Functions.
DOT/OST 062 Biographies of Key Officials Book
DOT/OST 063 Civil Rights Case Tracking System
DOT/OST 064 Mobility Assignment Candidate File
DOT/OST 100 Investigative Record System
DOT/OST 101 Office of Inspector General, Management Information System
DOT/RSPA 01 Funds Management Records
DOT/RSPA 02 National Defense Executive Reserve (NDER) File
DOT/RSPA 03 Security Management Records
DOT/RSPA 04 Transportation Research Activities Information Service
(TRAIS)
DOT/RSPA 05 Transportation Research Information Service on line (TRIS-
On-Line)
DOT/RSPA 06 Executive Team Cadre Listings and Emergency Alerting
Schedules for Continuity of Operations Plan of the Office of the
Secretary, and the Operating Elements of the Department of
Transportation and Similar Listings Designed for Management
Convenience within DOT and the Operating Elements.
DOT/RSPA 07 Time and Attendance Report (FHWA Form 320 (7-73) for the
Office of Emergency Transportation (DOT)
DOT/RSPA 08 Technical Pipeline Safety Standards Committee.
DOT/RSPA 09 Hazardous Materials Incident Telephonic Report System.
DOT/RSPA 10 Hazardous Materials Incident Written Report System.
DOT/RSPA 11 Hazardous Materials Information Requests System.
DOT/SLS 151 Claimants under Federal Tort Claims Act
DOT/SLS 152 Data Automation Program Records
DOT/SLS 153 Employees' Compensation Records
DOT/TSC 700 Automated Management Information System
DOT/TSC 701 Employee Travel Records
DOT/TSC 702 Legal Counsel Information Files
DOT/TSC 703 Occupational Safety & Health Reporting System
DOT/TSC 704 Stand-By Personnel Information
DOT/TSC 706 Automated Planning System
DOT/TSC 707 Automated Manpower Distribution System
DOT/TSC 708 Combined Federal Campaign Information
DOT/TSC 709 Minority Information Files
DOT/TSC 711 Blood Donor Information File
DOT/TSC 712 Automated Payroll/Personnel/Communications/Security System
DOT/TSC 713 Employee Payroll - Manpower Distribution System
DOT/TSC 714 Health Unit Employee Medical Records
DOT/TSC 715 Bi-Weekly Personnel Status Report
DOT/TSC 716 UMTA Technology Sharing Mailing List
DOT/UMTA 175 Personnel Convenience Files
DOT/UMTA 176 Blood-Donor File
DOT/UMTA 177 UMTA-Sponsored Reports Author File
DOT/UMTA 178 Minority Recruitment File
DOT/UMTA 180 Occupational Safety and Health Accident Reporting System
DOT/UMTA 190 Employee Travel Records
DOT/UMTA 191 Travel Advance File
DOT/UMTA 192 Urban Transportation Planning System (UTPS) Address File
DOT/UMTA 193 Docket
DOT/UMTA 194 Litigation and Claims Files
DOT/UMTA 195 Confidential Statement of Employment and Financial
Interests
NOTICE OF SYSTEMS OF RECORDS
The identification of the operating unit or units within the
Department to which the particular system of records pertains appears
as `DOT/' followed by a designating abbreviation. The abbreviations
and their meanings are as follows:
OST - Office of the Secretary of Transportation
CG - United States Coast Guard
FAA - Federal Aviation Administration
FHWA - Federal Highway Administration
FRA - Federal Railroad Administration
MARAD - Maritime Administration
NHTSA - National Highway Traffic Safety Administration
RSPA - Research and Special Programs Administration
SLS - Saint Lawrence Seaway Development Corporation
TSC - Transportation Systems Center
UMTA - Urban Mass Transportation Administration
PREFATORY STATEMENT OF GENERAL
ROUTINE USES
The following routine uses apply to, except where otherwise noted or
where obviously not appropriate, each system of records set forth
below.
1. In the event that a system of records maintained by the Department
to carry out its functions indicates a violation or potential
violation of law, whether civil, criminal or regulatory in nature, and
whether arising by general statute or particular program pursuant
thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
federal, state, local or foreign, charged with the responsibility of
investigation or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
2. A record from this system of records may be disclosed, as a routine
use, to a federal, state or local agency maintaining civil, criminal
or other relevant enforcement information or other pertinent
information, such as current licenses if necessary to obtain
information relevant to a Department decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant or other
benefit.
3. A record from this system of records may be disclosed, as a routine
use, to a federal agency, in employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant, or other
benefit by the requesting agency, to the extent that the information
is relevant and necessary to the requesting agency's decision on the
matter.
4.a. Routine use for disclosure for use in litigation: It shall be a
routine use of the records in this system of records to disclose them
to the Department of Justice or other Federal agency conducting
litigation when
(a) The Department of Transportation (DOT), or any agency thereof, or
(b) Any employee of DOT or any agency thereof (including a member of
the Coast Guard), in his/her official capacity, or
(c) Any employee of DOT or any agency thereof (including a member of
the Coast Guard), in his/her individual capacity where the Department
of Justice has agreed to represent the employee, or
(d) The United States or any agency thereof, where DOT determines that
litigation is likely to affect the United States.
is a party to litigation or has an interest in such litigation, and
the use of such records by the Department of Justice or other Federal
agency conducting the litigation is deemed by DOT to be relevant and
necessary in the litigation, provided, however, that in each case, DOT
determines that disclosure of the records in the litigation is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
b. Routine use for Agency disclosure in other proceedings: It shall be
a routine use of records in this system to disclose them in
proceedings before any court or adjudicative or administrative body
before which the Department of Transportation (DOT) or any agency
thereof, appears, when
(a) DOT, or any agency thereof, or
(b) Any employee of DOT or any agency thereof (including a member of
the Coast Guard) in his/her official capacity, or
(c) Any employee of DOT or any agency thereof (including a member of
the Coast Guard) in his/her individual capacity where DOT has agreed
to represent the employee, or
(d) The United States or any agency thereof, where DOT determines that
the proceeding is likely to affect the United States,
is a party to the proceeding or has an interest in such proceeding,
and DOT determines that use of such records is relevant and necessary
in the proceeding, provided, however, that in each case, DOT
determines that disclosure of the records in the proceeding is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
5. The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19 at any stage of the legislative coordination and clearance
process as set forth in that Circular.
6. Disclosure may be made to a congressional office from the record of
an individual in response to an inquiry from the congressional office
made at the request of that individual. In such cases, however, the
Congressional office does not have greater right to records than the
individual. Thus, the disclosure may be withheld from delivery to the
individual where the file contains investigative or factual
information or to other materials which are being used, or are
expected to be used, to support prosecution or fines against the
individual for violations of a statute, or of regulations of the
Department based on statutory authority. No such limitations apply to
records requested for Congressional oversight or legislative purposes;
release is authorized under 49 CFR 10.35(a)(9).
7. One or more records from a system of records may be disclosed
routinely to NARA (GSA) in records management inspections being
conducted under the authority of 44 U.S.C. 2904 and 2906.
8. Access to Systems of Records of the Department is authorized to
member(s) of the Office of Inspector General where the records are
considered `...pertinent to the DOT programs or operations being
reviewed. Existing orders or (internal) directives contrary to this
provision are hereby superseded.` The Secretary of Transportation by
the foregoing has clarified the role of Inspector General personnel
`who have need for the record(s) in the performance of their duties.`
9. The Department may make available to another agency or
instrumentality of any governmental jurisdiction, including State and
local governments, listings of names from any System of Records in the
Department for use in law enforcement activities, either civil or
criminal, or to expose fraudulent claims, regardless of the stated
purpose for the collection of the information in the System of
Records. These enforcement activities are generally referred to as
`matching` programs because two lists of names are checked for match
using automated assistance.
This routine use is advisory in nature and does not offer unrestricted
access to Systems of Records for such law enforcement and related
antifraud activities. Each request will be considered on the basis of
its purpose, merits, cost effectiveness and alternatives using
`Revised Supplemental Guidance for Conducting Matching Programs`
published by the Director, Office of Management and Budget, dated May
11, 1982.
APPENDIX I
LOCATION OF CG DISTRICTS AND HEADQUARTERS UNITS.
1. COMMANDER
1st Coast Guard District
150 Causeway Street
Boston, MA 02114
2. COMMANDER
2nd Coast Guard District
1430 Olive Street
St. Louis, MO 63103
3. COMMANDER
3rd Coast Guard District
Governors Island
New York, NY 10004
4. COMMANDER
5th Coast Guard District
Federal Building
431 Crawford Street
Portsmouth, VA 23705
5. COMMANDER
7th Coast Guard District
51 SW 1st Ave.
Miami, FL 33130
6. COMMANDER
8th Coast Guard District
Hale Boggs Federal Building
500 Camp Street
New Orleans, LA 70130
7. COMMANDER
9th Coast Guard District
1240 East 9th St.
Cleveland, OH 44199
8. COMMANDER
11th Coast Guard District
Union Bank Building
400 Oceangate Building
Long Beach, CA 90822
9. COMMANDER
12th Coast Guard District
Government Island
Alameda, CA 94501
10. COMMANDER
13th Coast Guard District
Federal Bldg
915 Second Ave.
Seattle, WA 98174
11. COMMANDER
14th Coast Guard District
Prince Kalanianaole
Federal Building
300 Ala Moana Building
Honolulu, HI 96580
12. COMMANDER
17th Coast Guard District
PO Box 3-5000
Juneau, Alaska 99802
13. SUPERINTENDENT
U.S. COAST GUARD ACADEMY
New London, CT 06320
14. COMMANDING OFFICER
U.S. COAST GUARD YARD
Curtis Bay,
Baltimore, MD 21226
15. COMMANDING OFFICER
US COAST GUARD
TRAINING CENTER
Governors Island
New York, NY 10004
16. COMMANDING OFFICER
U.S. Coast Guard Training Center
Cape May, NJ 08204
18. COMMANDING OFFICER
U.S. Coast Guard
Supply Center
830 3rd Ave
Brooklyn, NY 11232
19. COMMANDING OFFICER
U.S. COAST GUARD INSTITUTE
PO Substation 18
Oklahoma City, OK 73169
20. COMMANDING OFFICER
U.S COAST GUARD
AIRCRAFT REPAIR & SUPPLY CENTER
Elizabeth City, NC 27909
21. COMMANDING OFFICER
U.S. Coast Guard Aviation
Training Center
Mobile, AL 36608
22. COMMANDING OFFICER
U.S. COAST GUARD RADIO
STATION NHM)
7223 Telegraph Rd.
Alexandria, VA 22310
23. COMMANDING OFFICER
U.S. COAST GUARD RESERVE
TRAINING CENTER
Yorktown, VA 23690
25. COMMANDER, COAST GUARD
ACTIVITIES, EUROPE
London
Box 50
FPO New York, NY 09510
26. COMMANDING OFFICER
U.S. COAST GUARD
TRAINING CENTER
Petaluma, CA 94952
27. COMMANDING OFFICER U.S. COAST GUARD AVIATION Technical Training
Center
Elizabeth City, NC 27909
28. COMMANDING OFFICER
U.S. COAST GUARD
ELECTRONICS ENGINEERING
CENTER
Wildwood, NJ 08260
29. COMMANDING OFFICER
RESEARCH & DEVELOPMENT CENTER
Avery Point
Groton, CT 06340
30. COMMANDING OFFICER
Pay and Personnel Center (PPC)
444 SE Quincy St.
Topeka, KS 66683
DOT/ALL-1
System name: System Name: DOT Grievance Records Files.
System location:
System Location: Records are maintained in the personnel office which
services the aggrieved employee if the grievance was processed under
DOT 3770.2, Agency Administrative Grievance System, pursuant to 5 CFR
part 771. If processed under a negotiated grievance procedure from an
approved labor agreement on behalf of a member, of a group of members,
of a recognized collective bargaining unit, or if processed by the
union, the grievance record shall be maintained in the office of the
official administering the labor agreement pertainig to the collective
bargaining unit.
Categories of individuals covered by the system:
Categories of Individuals: Current and former DOT employees who have
submitted grievances with their respective administrations under DOT
Order 3770.2, of grievances pertaining to members of DOT Collective
Bargaining Units which were submitted in accordance with negotiated
grievance procedures.
Categories of records in the system:
Categories of Records: The system contains records relating to
grievances filed by or on behalf of DOT employees within the
Department of Transportation. Grievance case files contain relevant
documents used in the processing of grievances under systems
applicable to DOT employees, including statements of employees,
witnesses, reports of interviews and hearings, factfinders and/or
arbitrator's findings and recommendations, copies of decisions and
correspondence and exhibits. Grievances in DOT may be submitted and
processed through individually negotiated grievance systems contained
in various labor agreements applicable to different collective
bargaining units throughout the agency, or as prescription in DOT
3770.2, which is the Agency Administrative Grievance System applicable
to DOT headquarters employees and all employees of DOT operating
administrations, except where operating administrations have
promulgated their own grievance systems.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: These records and information in these records may be
used:
To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order,
where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or criminal law or
regulation.
To disclose information to any source from which additional
information is requested in the course of processing a grievance to
the extent necessary to identify the purpose(s) of the request and
identify the type of information requested.
To disclose information to a Federal agency in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the conducting of a security
clearance, the conducting of a security or suitability investigation
of an individual, the classifying of jobs, the letting of a
contract, or the issuance of a license, grant, or other benefits by
the requesting agency, to the extent that the information is
relevant and necessary to requesting the agency's decision on the
matter.
To provide information to a congressional office from the record of
an individual in response to an inquiry from that congressional
office made at the request of that individual.
To disclose information to another Federal agency or to a court
when the Government is party to a judicial proceeding before the
court.
By the National Archives and Records Administration (General
Services Administration) in records management inspections conducted
under authority of 44 USC 2904 and 2906.
By the agency maintaining the records or the Office of Personnel
Administration (OPM), in the production of summary descriptive
statistics and analytical studies in support of the function for
which the records are collected and maintained, or for related work
force studies. While published statistics and studies do not contain
individual identifiers, in some instances the selection of elements
of data included in the study may be structured in such a way as to
make the data individually identifiable by officials.
To disclose information to officials of the Merit Systems
Protection Board, including the Office of the Special Counsel, the
Federal Labor Relations Authority and its General Counsel, or the
Equal Employment Opportunity Commission when requested in
performance of their authorized duties.
To disclose in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
To provide information to officials of labor organizations
recognized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work
conditions.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: These records are maintained in file folders.
Retrievability:
Retrievability: These records are retrieved by the names of the
individuals on whom they are maintained, or by names and local
identification of unions.
Safeguards:
Safeguards: These records are maintained in lockable metal filing
cabinets to which only authorized personnel have access.
Retention and disposal:
Retention and Disposal: These records may be disposed of 3 years
after closing of the case. Disposal is by shredding or burning.
System manager(s) and address:
System Manager(s) and Address: Director of Personnel, M-10
U.S. Department of Transportation
400 7th Street, SW, Room 9401
Washington, DC 20590
Notification procedure:
Notification Procedure: It is required that individuals submitting
grievances be provided, on request, a copy of the record under the
grievance process. They may, however, contact the agency personnel or
designed office where the action was processed regarding the existence
of such records on them. They must furnish the following information
for their records to be located and identified.
Name.
Date of Birth.
Approximate date of closing of the case and kind of action taken.
Organizational component involved.
Statement as to whether the grievance was processed under
administrative or negotiated grievance procedures.
Record access procedures:
Record Access Procedure: It is required that individuals submitting
grievances be provided, on request, a copy of the record under the
grievance process. However, after the action has been closed an
individual may request access to the official copy of the grievance
file by contacting the agency personnel or designated office where the
action was processed.
Individuals must provide the following information for their
records to be located and identified.
Name.
Date of Birth.
Approximate date of closing of the case and kind of action taken.
Organization component involved.
Statement as to whether the grievance was processed under
administrative or negotiated grievance procedures. Individuals
requesting access must also follow the DOT rules regarding
identification, (title 49, part 10, section 10.37) to ensure he or
she is who they claim to be.
Contesting record procedures:
Contesting Record Procedure: Reviews of requests from individuals
seeking amendment of their records which have been the subject of a
judicial or quasi-judicial action will be limited in scope. Review of
amendment requests of these records will be restricted to determining
if the record accurately documents the action of the agency ruling on
the case, and will not include a review of the merits of the action,
determination, or finding. Individuals wishing to request amendment to
their records to correct factual errors should contact the agency
personnel or designated office where the grievance was processed.
Individuals must furnish the following information for their records
to be located and identified.
Name.
Date of Birth.
Approximate date of closing of the case and kind of action taken.
Organizational component involved.
Statement as to whether the grievance was processed under
administrative or negotiated grievance procedures.
Individuals requesting amendment must also follow the Department of
Transportation Privacy Act Regulations regarding amendments, title
49, part 10, sections 10.41, 10.43, 10.45, and 10.51.
Record source categories:
Record Source Categories: Information in this system of records is
provided
By the individual on whom the records is maintained.
By testimony of witnesses.
By agency officials.
From related correspondence from organization or persons.
DOT/ALL-2
System name: System Name: Safety Management Information System
(SMIS). DOT/ALL.
Title refers to data concerning occupational safety and health.
System location:
System Location: Department of Transportation (DOT),
Office of the Assistant Secretary for
Administration,
400 7th St., SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: All Federal, Civilian/Military Employees
of the Department of Transportation and DOT Real and Personal
Property.
Categories of records in the system:
Categories of Records: All DOT Occupational Safety and Health Loss
Management Reporting Records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Issue reports and statistical information to the U.S.
Department of Labor, OSHA. Provides information for safety and health
program management analysis and functions and interface with workmens
compensation charges, and maintain a 5-year OSHA requirement for
record retention.
General routine uses apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Magnetic Tape and Disks.
Retrievability:
Retrievability: The records are retrieved by case identifying number,
and can be accessed by employees who have a need for the record in the
performance of their duties, primarily headquarters and regional
safety program managers.
Safeguards:
Safeguards: The records cannot be accessed without a code name, a
specific control number and a password. Regional and headquarters
safety program managers have access to the records.
Retention and disposal:
Retention and Disposal: The records are kept 5 years then disposed of
by blanking or erasing the magnetic tape or disk.
System manager(s) and address:
System Manager: Office of Installation and Logistics (M-60),
Chief, Internal Occupational Safety and
Health Branch,
Department of Transportation,
Office of the Secretary,
400 7th St., SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Data may be provided by written request,
signed by the individual whose record(s) are being requested. Direct
requests to: Chief, Internal Occupational Safety and Health Branch at
the above address.
Record access procedures:
Record Access Procedures: Individuals may gain access to their
records by a request to their Regional Safety Manager, Headquarters
Safety Manager or the System Manager given above.
Contesting record procedures:
Contesting Record Procedures: If the individual is not satisfied by
the safety manager within their operating element of DOT, they may
contest their records with the Office of Installations and Logistics.
If resolution is still not satisfactory to the individual an appeal
may be filed with the Secretary of Transportation addressed to the
General Counsel: Department of Transportation, Office of the
Secretary, Office of the General Counsel, 400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: All records are derived from reports in a
format consistent with the requirements established by the guidelines
of the U.S. Department of Labor.
DOT/ALL-3
System name: System Name: Application for U. S. Government
Motor Vehicle Operator's Identification Card (Government Drivers
License), DOT/ALL.
System location:
System Location: Department of Transportation (DOT), Office of the
Secretary (OST),
Transportation Branch (M-444),
400 7th Street, SW, Room 2318,
Washington, DC 20590. Corresponding application offices in all
other DOT subordinate Administrations.
Categories of individuals covered by the system:
Categories of Individuals: This system of records contains
information regarding all DOT employees who are licensed to operate
government vehicles.
Categories of records in the system:
Categories of Records: Application for Operator's Identification
Card.
Physical fitness inquiry.
Accident Reports.
NHTSA Vehicle Driver Register Report.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Determine qualifications and fitness for issuance,
retention, revocation or renewal of operators license.
Limited access to issuing official and those persons whose official
duties require such access.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: The records are maintained in a locked filing cabinet in
folders, at each location within OST and Administrations.
Retrievability:
Retrievability: These records are filed in alphabetical order with a
cross reference by permit number in a log.
Safeguards:
Safeguards: Limited access to issuing official and those persons
whose official duties require such access.
Retention and disposal:
Retention and Disposal: Retained for 3 years after separation,
retirement or transfer of individual or expiration of license and then
destroyed.
System manager(s) and address:
System Manager: Chief, Transportation Branch,
Department of Transportation,
Office of the Secretary,
Chief, Transportation Branch 400 7th Street, SW, Room 2318,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries may be addressed to:
Department of Transportation,
Office of the Secretary,
Transportation Branch, M-444,
400 7th Street, SW, Room 2318,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact,
or address their inquiries to, the system manager or to the
appropriate office with their own organization.
Contesting record procedures:
Record Contest Procedure: To contest a record, contact the System
Manager.
Record source categories:
Record Source Categories: Applications received from individuals for
operator's license.
Accident reports received from individuals.
DOT/ALL-4
System name: Station Message Detail Recording (SMDR).
System location:
U.S. Department of Transportation, Assistant Secretary for
Administration, Room 9112, 400 7th Street, SW, Washington, DC 20590.
Decentralized segments are located at Operating Administrations'
contacts offices.
Categories of individuals covered by the system:
Department of Transportation employees who make Federal
Telecommunications Systems (FTS) and Domestic and International
Commercial Long Distance calls from the three Headquarters Buildings:
The Nassif and Trans Point Buildings and Federal Building-10A.
Categories of records in the system:
Records relating to the use of the Department's administrative
telephones to place FTS and Commercial Long Distance calls, records
indicating assignment of telephone numbers to Departmental employees,
and records relating to the location of telephones.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape storage via batch processing and paper copy.
Retrievability:
Records are retrieved by telephone number or routing symbol, from the
telecommunications contacts in the Operating Administrations and the
Telecommunications Management Branch in OST.
Safeguards:
Only telecommunications personnel within the Office of the Secretary
and operation and maintenance contract personnel have access to tapes.
Telecommunications contacts and managers in OST and the Operating
Administrations will have access to printed records. Printed records
will have a cover sheet indicating Privacy Act coverage.
Retention and disposal:
Records are disposed of as provided in National Archives and Records
Administration General Records Schedule 12.
System manager(s) and address:
Chief, Telecommunications Management Branch, M-33, U.S. Department of
Transportation, Office of the Secretary, Office of Information
Resource Management, 400 Seventh Street SW, Room 9112, Washington, DC
20590.
Notification procedure:
Contact Telecommunications Management Branch, M-33, at the above
address.
Record access procedures:
Contact Telecommunications Management Branch, M-33 at the above
address or telecommunications contacts in the Operating
Administrations.
Individuals may review their own data upon presentation of a valid
Department of Transportation identification card to their Operating
Administration contact or the Telecommunications Management Branch in
OST.
Record source categories:
Telephone assignment records, call detail listings and results of
administrative inquiries relating to assignment of responsibility for
placement of specific long distance calls.
Systems exempted from certain provisions of the act:
None.
DOT/ALL-5
System name: Employee Counseling Services Program Records.
Security classification:
None.
System location:
Records are maintained in the office of the Employee Counseling
Service which provides counseling to the employee.
Note.--In order to meet the statutory requirement that agencies
provide appropriate prevention, treatment, and rehabilitation programs
and services for employees with alcohol or drug programs, and to
better accommodate establishment of a health service program to
promote employees' physical and mental fitness, it may be necessary
for the Department of Transportation (DOT) to negotiate for use of the
counseling staff of another Federal, state, or local government, or
private sector agency or institution. This system also covers records
on DOT employees that are maintained by another Federal, state, or
local government, or private sector agency or institution under such a
negotiated agreement.
Categories of individuals covered by the system:
Current and former DOT employees who have been counseled or otherwise
treated regarding alcohol or drug abuse or for personal or emotional
health problems.
Categories of records in the system:
Records in this system include documentation of visits to employee
counselors (Federal, state, local government, or private) and the
diagnosis, recommended treatment, results of treatment, and other
notes or records of discussions held with the employee made by the
counselor. Additionally, records in this system may include
documentation of treatment by a private therapist or a therapist at a
Federal, state, local government, or private institution.
Authority for maintenance of the system:
5 U.S.C. 3301 and 7901, 21 U.S.C. 1101, 42 U.S.C. 4541 and 4561, and
44 U.S.C. 3101.
Purpose(s):
These records are used to document the nature of the individual's
problem and progress made and to record an individual's participation
in and the results of community or private sector treatment or
rehabilitation programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. To disclose information to qualified personnel for the purpose of
conducting scientific research, management audits, financial audits,
or program evaluation, but such personnel may not identify, directly
or indirectly, any individual patient in any report or otherwise
disclose patient identities in any manner (when such records are
provided to qualified researchers employed by DOT, all patient
identifying information shall be removed).
b. To disclose information, when an individual to whom a record
pertains is mentally incompetent or under legal disability, to any
person who is responsible for the care of the individual.
c. To disclose information to the Department of Justice that is
relevant and necessary to evaluate and defend claims against the
United States that are based upon participation in alcohol, drug, or
other treatments or rehabilitation programs conducted by DOT.
DOT's general routine uses (49 FR 15345) do not apply to this system
or records. These are the only routine uses provided for DOT's
Employee Counseling Services Program records. Furthermore, in many
instances a full disclosure of the contents of the record is not
required. Whenever possible, a partial disclosure will be made or a
summary of the contents of the record will be disclosed. Full
disclosure of the record will be made only when a partial disclosure
or a summary will not suffice.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the name or social security number of
the individual on whom they are maintained or by a unique case file
identifier.
Safeguards:
These records are maintained in locked file cabinets with access
strictly limited to employees directly involved in the DOT's Employee
Counseling Services Program.
Retention and disposal:
Records are maintained for three to six years after the employee's
last contact with DOT's Employee Counseling Services Program.
System manager(s) and address:
Director of Personnel, Office of the Secretary, Department of
Transportation, Room 9101, 400 7th Street, SW, Washington, DC 20590
Notification procedure:
DOT employees wishing to inquire whether this system of records
contains information about them should contact the DOT Employee
Counseling Services Program coordinator who arranged for counseling or
treatment. Individuals must furnish the following information for
their records to be located and identified:
a. Name.
b. Date of Birth.
Record access procedures:
DOT employees wishing to request access to records pertaining to them
should contact the DOT Employee Counseling Services Program
coordinator who arranged for counseling or treatment. Individuals must
furnish the following information for their records to be located and
identified:
a. Name.
b. Date of birth.
An individual must also follow DOT's regulations regarding maintenance
of and access to records pertaining to individuals (49 CFR part 10).
Contesting record procedures:
DOT employees wishing to request amendment to these records should
contact the DOT Employee Counseling Services Program coordinator who
arranged for counseling or treatment. Individuals must furnish the
following information for their records to be located and identified:
a. Name.
b. Date of birth.
An individual must also follow DOT's regulations regarding maintenance
of and access to records pertaining to individuals (49 CFR part 10).
Record source categories:
Information in this system of records comes from the individual to
whom it applies, the supervisor of the individual if the individual
was referred by the Supervisor, the Employee Counseling Service
Program staff member who records the counseling session, and
therapists or institutions providing treatment.
DOT/ALL-6
System name: Workers' Compensation Information System, DOT.
System location:
These records will be maintained at the human resource management
offices in DOT Washington, DC, regional and center Headquarters, the
Consolidated Uniform Payroll System Office at the Mike Monroney
Aeronautical Center in Oklahoma City, Oklahoma, and at the Office of
Personnel, Office of the Secretary, in Washington, DC.
Categories of individuals covered by the system:
All DOT employees who file claims for Federal Employees' Compensation
(FEC) or report work-related injuries or occupational health-related
illnesses.
Categories of records in the system:
Records regarding Office of Workers' Compensation (OWCP) claims filed
by DOT employees. The system consists of information which is derived
from DOT personnel and payroll records and OWCP claims records
maintained on DOT employees.
Authority for maintenance of the system:
5 U.S.C. Chapter 81, 20 CFR Ch.I and 5 U.S.C. 552a, Department of
Labor and DOT implementing regulations.
Purpose(s):
These records are maintained in accordance with law and regulation in
order to ensure proper and efficient management of the OWCP within
DOT. These records are required to assure compliance with the law and
regulations and for maintaining program cost analysis and comparison
information. These records will provide occupation-related data
including personnel data for the purpose of determining patterns of
injury or illness and determining case disposition information, and
will be used as a source of information for purposes of controverting
claims when appropriate, monitoring recovery of injured employees and
offering of light duty assignments. Records in this system may also be
integrated with other DOT program-related personnel information as
required for the sound policy or fiscal management of the program and
the agency's mission, or in response to legislative and/or
administrative initiatives or requirements. These records may be used
as a source of information for the development of policy guidance and/
or training programs, for program review and evaluation purposes, and
for the provision of management information on an as required or ad
hoc basis.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records are to be held in confidence and no information shall be
disclosed except:
a. To the Department of Labor, OWCP, OSHA, and/or OPM for review of
appropriate case and/or investigative actions in collaboration with
them.
b. Also, see the Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders, magnetic tape and disk.
Storage is at the geographic location of the servicing human resource
management offices, the Headquarters human resource management policy
offices, and the Consolidated Uniform Payroll Office in Oklahoma City,
Oklahoma.
Retrievability:
Records are maintained by employee name, social security and FEC case
numbers, and regional/location identifiers.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access.
Retention and disposal:
These records are maintained and disposed of in accordance FPMR 101-
11.4, General Records Schedules.
System manager(s) and address:
Manager, Department of Transportation Workers' Compensation Program,
Office of the Secretary, Office of Personnel, Personnel Policy
Division, 400 Seventh Street SW, Washington, DC 20590
Office of Labor and Employee Relations, Federal Aviation
Administration, 800 Independence Avenue SW, Washington, DC 20591
Chief, Civilian Personnel Division, United States Coast Guard, 200
Second Street SW, Washington, DC 20593-001
Director, Office of Personnel and Training, Federal Highway
Administration, 400 Seventh Street SW, Washington, DC 20590
Director, Office of Personnel, Federal Railroad Administration, 400
Seventh Street SW, Washington, DC 20590
Director, Office of Personnel, National Highway Traffic Safety
Administration, 400 Seventh Street SW, Washington, DC 20590
Director, Office of Personnel, Urban Mass Transportation
Administration, 400 Seventh Street SW, Washington, DC 20590
Director, Office of Personnel, Maritime Administration, 400 Seventh
Street SW, Washington, DC 20590
Chief, Personnel Division, Research and Special Programs
Administration, 400 Seventh Street SW, Washington, DC 20590
Chief, Personnel Operations Division, Office of the Secretary, 400
Seventh Street SW, Washington, DC 20590
Director, Office of Personnel and Training, Office of Inspector
General, 400 Seventh Street SW, Washington, DC 20590
Director, Office of Personnel and Safety, Saint Lawrence Seaway
Development Corporation, 180 Andrews Street, Massena, NY 13662-1763
Department of Transportation, Regional Human Resource Management
Officers
Notification procedure:
Individuals wishing to know if their records appear in this system of
records may inquire in person or writing to the system manager.
Record access procedures:
Individuals who desire information about themselves contained in this
system of records should contact or address their inquiries to the
system manager.
Contesting record procedures:
Individuals who desire to contest records about themselves contained
in this system should contact or address their inquiries to the system
manager.
Record source categories:
Information contained in this system is received from DOT records or
OWCP records received from and maintained on DOT and its employers.
DOT/ALL-7
System name: Departmental Accounting and Financial Information
System (DAFIS), DOT/OST.
System location:
The system is located in Department of Transportation (DOT) accounting
offices and selected program, policy, and budget offices. These
offices are located within the Office of the Secretary (OST), the
Research and Special Programs Administration (RSPA), the Federal
Aviation Administration (FAA), the U.S. Coast Guard (USCG), the
Federal Highway Administration (FHWA), the National Highway Traffic
Safety Administration (NHTSA), the Urban Mass Transportation
Administration (UMTA), the Maritime Administration (MARAD), and the
Federal Railroad Administration (FRA). These offices exercise systems
and operational control over applicable records within the system. The
system software is centrally maintained by the Federal Aviation
Administration's Mike Monroney Aeronautical Center, Oklahoma City,
Oklahoma. Some centralized reporting functions are performed at
Oklahoma City.
Categories of individuals covered by the system:
The system will cover: All civilian employees of the FAA, USCG, NHTSA,
FHWA, OST, RSPA, FRA, UMTA, and MARAD; and, the military employees of
USCG as their Operating Administrations are implemented on the system.
Categories of records in the system:
Categories include payment records for non-payroll related expenses,
payment records for payroll made off-line, collection records for
payroll offsets, and labor cost records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Accounting office personnel use these records to:
Provide employees with off-line paychecks, travel advances,
travel reimbursements, and other official reimbursements;
Facilitate the distribution of labor charges for costing
purposes;
Track outstanding travel advances, receivables, and other
non-payroll amounts paid to employees, etc; and,
Clear advances that were made through the system in the form
of off-line paychecks, payments for excess household goods made on
behalf of the employee, garnishments, overdue travel advances, etc.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on magnetic tape, magnetic disk, microforms, and in
file folders. Storage of file folders and microforms is at the
geographic location of the servicing accounting office. Magnetic tape
and disk records are maintained at the central maintenance site in
Oklahoma City.
Retrievability:
Records are retrieved by employee social security number. Retrieval is
accomplished by use of telecommunications.
Safeguards:
Access to magnetic tape and disk records is limited to authorized
agency personnel through password security. Hardcopy files are
accessbile to authorized personnel and are kept in locked file
cabinets during non-duty hours.
Retention and disposal:
Original payment vouchers and supporting documentation are retained on
site at the accounting office for a period of three years. Certain
transportation documents are forwarded to the General Service
Administration for audit during that period. After three years,
records are sent to GSA's Records Centers for storage. Records are
destroyed after ten years and three months.
System manager(s) and address:
DAFIS Accounting Manager (M-91), Office of the Secretary, Office of
DAFIS Development and Implementation, 400 Seventh Street SW,
Washington, DC 20590.
DAFIS Functional Manager (AAC-22), Federal Aviation Administration,
Mike Monroney Aeronautical Center, 6500 S. MacArthur Blvd., Oklahoma
City, OK 73125.
Notification procedure:
Inquiries should be directed to the manager of the accounting office
supporting the employee's agency. Agency accounting managers will
contact the DAFIS System Managers listed above if any centralized
support is required for responses.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Information is provided by the employee directly or through the DOT
Consolidated Uniform Payroll System.
DOT/ALL-8
System name: Employee Transportation Facilitation.
System location:
For Washington DC.: Department of Transportation, Office of the
Secretary (OST), Parking Management Office, M-443.3, 400 Seventh
Street, SW, Room 2217, Washington, DC 20590.
For field installations: See the chief administrative officer at each
installation.
Categories of individuals covered by the system:
Holders of parking permits and members of carpools and
vanpools.
Applicants for ridesharing information.
Recipients of match letters for carpooling.
Applicants and recipients of fare subsidies issued by DOT.
Categories of records in the system:
Records of holders of parking permits and records of carpool
and vanpool members.
Records and reports of status of rideshare applications.
Copies of applications and match letters received by
rideshare applicants.
Applications and certifications of fare subsidy recipients.
Records and reports of disbursements to fare subsidy
recipients.
Information on local public mass transit facilities and fare
subsidy programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Carpool listing produced for use in creating or enlarging
carpools or vanpools.
Used for production of listings and reports.
Used for administrative purposes by parking management and
fare subsidy management.
Used for periodic review or revalidation.
Used as part of a program designed to ensure eligibility for,
and receipt of, fare subsidy.
See Prefatory Statement of General Routine Uses.
Disclosures to consumer reporting agencies:
Disclosures 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 U.S. Government) as defined in the Fair Credit Reporting Act
(15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31
U S C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in hard copy or electronically, depending on the
number of entries at each installation. Storage is at the geographic
location of the servicing office.
Retrievability:
Records can be retrieved by name or by ZIP code of residence.
Safeguards:
Except for carpool listings, access is accorded only to parking and
fare subsidy management offices. Printout of carpool listing used in
matching program has name, agency, DOT permit number, and work
telephone number only and is available upon request.
Retention and disposal:
Data are deleted and not retained on ADP once the individual
leaves the system for any reason (i.e., is no longer on the
ridesharing listing, is no longer a member of a carpool or vanpool, or
no longer receives a fare subsidy).
Record copies of monthly reports and listings are retained at
each installation, headquarters and field, for three years, forwarded
to the Federal Records Center for two more years, and then destroyed.
Consolidated reports of all installations are retained at
headquarters for three years, forwarded to the Federal Records Center
for two more years, and then destroyed.
System manager(s) and address:
For Washington DC.: Chief, Transportation and Parking Section, M443.3,
U.S. Department of Transportation, Office of the Secretary, 400
Seventh Street, SW, Room 2217, Washington, DC 20590.
For field installations: See the chief administrative officer at each
installation.
Notification procedures: Individual may review own data upon
presentation of valid DOT ID card. For Washington, DC Headquarters
buildings, see System Manager. For field installations, see chief
administrative officer at each installation.
Record access procedures:
Same as Notification Procedure.
Contesting record procedures:
Same as Notification Procedure.
Record source categories:
Information in this system of records is obtained from applications
submitted by individuals for parking permits, carpool and vanpool
membership, ridesharing information, and fare subsidies; from
notifications from other Federal agencies in the program; and from
periodic certifications and reports regarding fare subsidies.
DOT/ALL-9
System name:
Identification Media Record Systems.
System location:
Department of Transportation (DOT).
a. Office of the Secretary (OST), Office of Security, M-70, 400 7th
Street SW, Washington, DC 20590; for OST and all DOT Operating
Administrations except those below.
b. Commandant, G-CAS, U.S. Coast Guard Headquarters, G-0, Washington,
DC 20591 and District and Area Offices.
c. Federal Aviation Administration, Office of Civil Aviation Security,
800 Independence Avenue SW, Washington, DC 20591; and each FAA
Regional and Center Civil Aviation Security Divisions/Staff.
d. Federal Highway Administration, Operations and Services Divisions,
400 7th Street SW, Washington, DC 20590, and all FHWA Regional
Offices.
Categories of individuals covered by the system:
Present and former employees and contractor employees in the Office of
the Secretary, U.S. Coast Guard, Federal Aviation Administration,
Federal Highway Administration, Federal Transit Administration,
Federal Railroad Administration, National Highway Traffic Safety
Administration, St. Lawrence Seaway Development Corporation, Research
and Special Programs Administration, Bureau of Transportation
Statistics, and Maritime Administration.
Categories of records in the system:
Applications, photographs, receipts for DOT identification cards and
official credentials, temporary building passes, security badges, and
applications for other identification needed for official duties.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records are maintained for control and accountability of DOT
identification cards, credentials, and security badges issued to DOT
employees, former employees, and contractors for identification
purposes and admittance to the DOT facilities or for other official
duties.
See Preparatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The storage is on computer disks, magnetic tape, and paper forms in
file folders.
Retrievability:
Retrieval from the system is by name, social security number, date of
birth, or identification card number and can be accessed by cleared
individuals.
Safeguards:
Computers provide privacy and access limitations by requiring a user
name and password match. Access to decentralized segments are
similarly controlled. Only those personnel with a need to have access
to the system are given user names and passwords. Data are manually
and/or electronically stored in a locked room with limited access.
Retention and disposal:
Information including applications, photographs and identification
media, will be destroyed within one year of termination of employment.
System manager(s) and address:
For OST and all DOT operating administrations except those below:
a. Director, Office of Security, M-70, Department of Transportation,
Office of Security, SW, Washington, DC 20590.
b. For USCG: Commandant, G-0, U.S. Coast Guard, Washington, DC 20593.
c. For FAA: Director, Civil Aviation Security, Federal Aviation
Administration, 800 Independence Avenue SW, Washington, DC 20591.
d. For FHWA: Chief, Operations and Services Division, Federal Highway
Administration, 400 7th Street SW, Washington, DC 20590.
Notification procedure:
Same as ``System Manager'', except that for USCG, notification should
be given to Commandant, G-TIS.
Record access procedures:
Same as Notification Procedure.
Contesting records procedures:
Same as Notification Procedure. Correspondence contesting records must
include the full name and social security number of the individual
concerned and documentation justifying the claim.
Record source categories:
Individuals on whom the record is maintained.
DOT/ALL-10
System name:
Debt Collection File
System location:
Federal Aviation Administration, General Ledger Branch, Mike Monroney
Aeronautical Center, 6500 S. MacArthur Blvd., Oklahoma City, OK 73125.
Categories of individuals covered by the system:
Persons currently or formerly associated with the Department of
Transportation (DOT) who are financially indebted to the U.S.
Government under some particular service or program of the DOT other
than under a contract. Individuals may include current, retired, or
formerly employed DOT personnel or personnel from other Federal
agencies.
Categories of records in the system:
Information varies depending on the individual debtor, and includes
the history of debt collection activity on the individual. Normally,
the name, Social Security Number (SSN), address, amount of debt or
delinquent amount, basis of the debt, date debt arose, office
referring debt, collection efforts, credit reports, debt collection
letters and correspondence to or from the debtor relating to the debt.
Correspondence with employing agencies of debtors or Office of
Personnel Management or Department of Defense, as appropriate,
requesting that action begin to collect the delinquent debt through
voluntary or involuntary offset procedures against the employee's
salary or compensation due a retiree.
Authority for maintenance of the system:
Federal Claims Collection Act of 1966 (Pub.L. 89-508), 31 U.S.C.
Chapter 37, Subchapter I (General), and Subchapter II (Claims of the
United States Government); Debt Collection Act of 1982 (Pub.L. 97-
365); 5 U.S.C. 5514, Installment Deduction for Indebtedness (salary
offset); section 206 of Executive Order 11222; Executive Order 9397;
and 49 CFR part 92, Salary Offset (DOT).
Purpose(s):
For the administrative management and collection of all delinquent
debts, including past due loan payments, overpayments, fines,
penalties, fees, damages, interest, leases, sales of real or personal
property, etc., due to the DOT and debts due to other Federal
departments and agencies that may be referred to the DOT for
collection to the extent DOT controls funds due the debtor.
This system provides for the implementation of the salary offset
provisions of 5 U.S.C. 5514, the administrative offset provisions of
31 U.S.C. 3716 and the provisions of the Federal Claims Collection
Standards (FCCS). It applies to personal rather than contract debts.
Guidance regarding contract debts is contained in the Federal
Acquisition Regulation. Records in this record system are subject to
use in authorized and approved computer matching programs regulated
under the Privacy Act of 1974 (5 U.S.C. 552a), as amended, for debt
collection purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. To the U.S. General Accounting Office (GAO), Department of Justice,
United States Attorney, or other Federal agencies for further
collection action on any delinquent account when circumstances
warrant.
b. To a debt collection agency for the purpose of collection services
to recover monies owed to the U.S. Government under certain programs
or services administered by the DOT.
c. Debtor's name, Social Security Number, the amount of debt, and the
history of the debt may be disclosed to any Federal agency where the
individual debtor is employed or receiving some form of remuneration
for the purpose of enabling that agency to collect a debt owed the
U.S. Government on DOT's behalf by counseling the debtor for voluntary
repayment or by initiating administrative or salary offset procedures
under the provisions of the Debt Collection Act of 1982 (Pub.L. 97-
365).
d. To the Internal Revenue Service (IRS) by computer matching to
obtain the mailing address of a taxpayer for the purpose of locating
such taxpayer to collect or to compromise a Federal claim by DOT
against the taxpayer pursuant to 26 U.S.C. 6103(m)(2) and in
accordance with 31 U.S.C. 3711, 3217, and 3718.
Note: Redisclosure of a mailing address from the IRS may be made only
for the purpose of debt collection, including to a debt collection
agency in order to facilitate the collection or compromise of a
Federal claim under the Debt Collection Act of 1982, except that a
mailing address to a consumer reporting agency is for the limited
purpose of obtaining a commercial credit report on the particular
taxpayer. Any such address information obtained from the IRS will not
be used or shared for any other DOT purpose or disclosed to another
Federal, state, or local agency which seeks to locate the same
individual for its own debt collection purpose.
e. Data base information consisting of debtor's name, Social Security
Number, and amount owed may be disclosed to the Defense Manpower Data
Center (DMDC), Department of Defense, the U.S. Postal Service or to
any other Federal, state, or local agency for the purpose of
conducting an authorized computer matching program in compliance with
the Privacy Act of 1974 (5 U.S.C. 552a), as amended, so as to identify
and locate delinquent debtors in order to start a recoupment process
on an individual basis of any debt owed DOT by the debtor arising out
of any administrative or program activities or services administered
by DOT.
f. Disclosure of personal and financial information from this system
on current, retired, or former employees of DOT or U.S. Coast Guard
members may be made to any creditor Federal agency seeking assistance
for the purpose of that agency requesting voluntary repayment or
implementing administrative or salary offset procedures in the
collection of unpaid financial obligations owed the U.S. Government
from an individual affiliated with the DOT. An exception to this
routine use is an individual's mailing address obtained from the IRS
pursuant to 26 U.S.C. 6103(m)(2).
Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made from this
record system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)). The disclosure, once
determined to be valid and overdue, is limited to information
necessary to establish the identity of the individual, including name,
address, and taxpayer identification number (Social Security Number);
the amount, status, and history of the claim; and the agency or
program under which the claim arose for the sole purpose of allowing
the consumer reporting agency to prepare a commercial credit report.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The storage for records on personal computers is kept on floppy disks.
Storage on microcomputers is first downloaded onto a floppy disk and
then locked in a file cabinet. Data kept in paper file folders are
locked in file cabinets.
Retrievability:
Records are retrieved by name or Social Security Number.
Safeguards:
Computers provide privacy and access limitation by requiring a user
name and password match. These records are available only to those
persons whose official duties require such access. Records are kept in
limited access areas during duty hours and in locked cabinets at all
other times.
Retention and disposal:
Records are disposed of when ten years old except documents needed for
an ongoing investigation in which case the record will be retained
until no longer needed for the investigation. Data tracks on floppy
disks are overwritten a minimum of three times.
System manager(s) and address:
Department of Transportation, Director, Office of Financial Management
(B-30), 400 Seventh Street, SW, Washington, DC 20590.
Notification procedure:
Individuals seeking to determine whether information about themselves
is contained in this system should address written inquiries to the
particular DOT operating administration or component in care of the
``system location'' above. Individual should furnish full name, Social
Security Number, current address and telephone number.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information in this system of records is obtained from the individual,
creditor agencies, Federal employing agency of debtor, collection
agencies, Federal, state or local agencies furnishing identifying
information and/or address of debtor, as well as other internal DOT
records such as payroll information.
Exemptions claimed for the system:
None.
DOT/ALL-11
System name:
Integrated Personnel and Payroll System (IPPS).
Security classification:
Unclassified sensitive.
System location:
Department of Transportation (DOT), Office of the Secretary (OST), 400
7th Street SW, Washington, DC 20590; working copies of certain of
these records are held by OST, all DOT Operating Administrations,
Office of the Inspector General (OIG), and the National Transportation
Safety Board (NTSB). (DOT provides personnel and payroll services to
NTSB on a reimbursable basis, although NTSB is not a DOT entity. This
is done for economy and convenience since both organizations' missions
are transportation oriented and located in the same geographic areas.)
Categories of individuals covered by the system:
Prospective, present, and former employees in the Office of the
Secretary of Transportation (OST), Bureau of Transportation Statistics
(BTS), Federal Aviation Administration (FAA), Federal Highway
Administration (FHWA), Federal Railroad Administration (FRA), Federal
Transit Administration (FTA), Maritime Administration (MARAD),
National Highway Traffic Safety Administration (NHTSA), Office of the
Inspector General (OIG), Research and Special Programs Administration
(RSPA), St. Lawrence Seaway Development Corporation (SLSDC), National
Transportation Safety Board (NTSB), and civilian employees of the
United States Coast Guard (USCG).
Categories of records in the system:
This system contains those records required to insure that an employee
receives his or her pay and personnel benefits as required by law. It
includes, as appropriate: Service Record, Employee Record, Position
Identification Strip, Claim for 10-Point Veteran Preference, Request
for Referral Eligibles, Request and Justification for Selective
Factors and Quality Ranking Factors, Certification of Insured
Employee's Retired Status (Federal Employees' Group Life Insurance
(FEGLI)), Notification of Personnel Action, Notice of Short-Term
Employment, Request for Insurance (FEGLI), Designation of Beneficiary
(FEGLI), Notice of Conversion Privilege, Agency Certification of
Insurance Status (FEGLI), Request for Approval of Non-Competitive
Action, Appointment Affidavits, Declaration of Appointee, Agency
Request to Pass Over a Preference Eligible or Object to an Eligible,
Official Personnel Folder, Official Personnel Folder Tab Insert,
Incentive Awards Program Annual Report, Application for Leave, Monthly
Report of Federal Civilian Employment, Payroll Report of Federal
Civilian Employment, Semi-annual Report of Federal Participation in
Enrollee Programs, Request for Official Personnel Folder (Separated
Employee), Statement of Prior Federal Civilian and Military Service,
Personal Qualifications Statement, Continuation Sheet for Standard
Form 171 ``Personal Qualifications Statement'', amendment to Personal
Qualifications Statement, Job Qualifications Statement, Statement of
Physical Ability for Light Duty Work, Request, Authorization,
Agreement and Certification for Training, United States (U.S.)
Government Payroll Savings Plan--Consolidated Quarterly Report,
Financial Disclosure Report, Information Sheet--Financial Disclosure
Report, Payroll for Personal Services, Pay Receipt for Cash Payment--
Not Transferable, Payroll Change Slip, Payroll for Personal Service--
Payroll Certification and Summary--Memorandum, Record of Leave Data,
Designation of Beneficiary--Unpaid Compensation of Deceased Civilian
Employee, U.S. Savings Bond Issue File Action Request, Subscriber List
for Issuance of United States Savings Bonds, Request for Payroll
Deductions for Labor Organization Dues, Revocation of Voluntary
Authorization for Allotment of Compensation for Payment of Labor
Organization dues, Request by Employee for Payment of Salaries or
Wages by Credit to Account at a Financial Organization, Designation of
Beneficiary--Unpaid Compensation of Deceased Civilian Employee, U.S.
Savings Bond Issue File Action Request, Subscriber List for Issuance
of United States Savings Bonds, Request for Payroll Deductions for
Labor Organization Dues, Revocation of Voluntary Authorization for
Allotment of Compensation for Payment of Labor Organization Dues,
Request by Employee for Payment of Salaries or Wages by Credit to
Account at a Financial Organization, Authorization for Purchase and
Request for Change: U.S. Series EE Savings Bond, Request by Employee
for Allotment of Pay for Credit to Savings Accounts with a Financial
Organization, Application for Death Benefits--Civil Service Retirement
System, Application for Retirement--Civil Service Retirement System,
Superior Officer's Statement in Connection with Disability Retirement,
Physician's Statement for Employee Disability Retirement Purposes,
Transmittal of Medical and Related Documents for Employee Disability
Retirement, Request for Medical Records (To Hospital or Institution)
in Connection with Disability Retirement, Application for Refund of
Retirement Deductions, Application to Make Deposit or Redeposit,
Application to Make Voluntary Contribution, Request for Recovery of
Debt Due the United States (Civil Service Retirement System), Register
of Separations and Transfers--Civil Service Retirement System,
Register of Adjustments--Civil Service Retirement System, Annual
Summary Retirement Fund Transactions, Designation of Beneficiary--
Civil Service Retirement System, Health Benefits Registration Form--
Federal Employees Health Benefits Program, Notice of Change in Health
Benefits Enrollment, Transmittal and Summary Report to Carrier--
Federal Employees Health Benefits Program, Report of Withholding and
Contributions for Health Benefits, Group Life Insurance, and Civil
Service Retirement, Report of Withholdings and Contributions, Employee
Service Statement, Election of Coverage and Benefits, Designation of
Beneficiary, Position Description, Inquiry for United States
Government Use Only, Application for Retirement--Foreign Service
Retire System, Designation of Beneficiary, Application for Refund of
Retirement Contributions (Foreign Service Retirement System), Election
to Receive Extra Service Credit Towards Retirement (or Revocation
Thereof), Application for Service Credit, Employee Suggestion Form,
Meritorious Service Increase Certificate, Foreign Service Emergency
Locator Information, Leave Record, Leave Summary, Individual Pay Card,
Time and Attendance Report, Time and Attendance Report (For Use
Abroad).
Routine uses of records maintained in the system including categories of
users and the purposes of such uses:
Records are maintained for control and accountability of: Pay and
allowances; permanent and temporary pay changes; pay adjustments;
travel advances and allowances; leave balances for employees; earnings
and deductions by pay periods, and pay and earning statements for
employees; management information as required on an ad hoc basis;
payroll checks and bond history; union dues; withholdings to financial
institutions, charitable organizations and professional associations;
summary of earnings and deductions; claims for reimbursement sent to
the General Accounting Office (GAO); federal, state, and local taxes
withholdings; and list of FICA employees for management reporting. See
Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12):
Disclosures may be made from this system to ``consumer reporting
agencies'' as defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C.
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage is on magnetic disks, magnetic tape, microforms, and paper
forms in file folders.
Retrievability:
Retrieval from the system is by social security number, employee
number, organization code, or home address; these can be accessed only
by individuals authorized such access.
Safeguards:
Computers provide privacy and access limitations by requiring a user
name and password match. Access to decentralized segments are
similarly controlled. Only those personnel with a need to have access
to the system are given user names and passwords. Data are manually
and/or electronically stored in locked rooms with limited access.
Retention and disposal:
The IPPS records are retained and disposed in compliance with the
General Records Schedules, National Archives and Records
Administration, Washington, DC 20408. The following schedules apply:
General Records Schedule 1, Civilian Personnel Records, Pages 1 thru
22, Items 1 through 39; and General Records Schedule 2, Payrolling and
Pay Administration Records, Pages 1 thru 6, Items 1 thru 28.
System manager(s) and address:
For personnel-related issues, contact Chief, Strategic Planning/
Systems Division (M-15) and, for payroll-related issues, contact
Chief, Financial Management Staff (B-35) at the following address:
U.S. Department of Transportation, Office of the Secretary, 400
Seventh Street SW, Washington, DC 20590.
Notification procedure:
Individuals wishing to know if their records appear in this system of
records may inquire in person or in writing to the system manager.
Record access procedures:
Same as ``System Manager''.
Contesting record procedures:
Same as ``System Manager''. Correspondence contesting records must
include the full name and social security number of the individual
concerned and documentation justifying the claims.
Record source categories:
Data are collected from the individual employees, time and attendance
clerks, supervisors, official personnel records, personal financial
statements, correspondence with the debtor, records relating to
hearings on the debt, and from the Departmental Accounting and
Financial Information System system of records.
DOT/CG 501
System name: System Name: Auxiliary Management Information
System (AUXMIS). DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Office of Boating, Public & Consumer Affairs (G-B)
2100 2nd Street, SW, Room 4304,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: All present Coast Guard Auxiliarists.
All Auxiliarists disenrolled since 1974.
Categories of records in the system:
Categories of Records: Personal information (name, address,
birthdate, Social Security Number (SSN), phone number).
Auxiliary qualifications information (Instructor, Examiner,
Specialty).
Auxiliary Activities information (patrols conducted, classes
taught).
Information on boats, radio stations or aircraft owned by
Auxiliarists.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Cumulative unit and individual activity summaries for
use as a management tool by all Auxiliary units.
Identification cards for all Auxiliary members.
Alphabetical nationwide cross-reference listing for use by
headquarters and district office staffs.
Mailing labels for district mailings to Auxiliaries.
An annual member summary of all information on each member which is
mailed directly to the member concerrned.
Used by:
District Directors of Auxiliary.
Chief Director of Auxiliary.
All elected and appointed officers of the Auxiliary.
See Preface State of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: AUXMIS master records contain personal and activity
information concerning USCG Auxiliarists and Director of Auxiliary
(DIRAUX). Each person's record consists of 500 characters. The
approximately 50,000 records which are stored in the system presently
are stored on both magnetic tape and magnetic disk.
Retrievability:
Retrievability: The current AUXMIS master file residing on magnetic
disk is retrieved by number and name of the individual and can be
accessed by those Directors of Auxiliary with access to the CDC-3300
system at any time. Those DIRAUX without access to the CDC-3300 can
request inquiries to be done at the central site by the Office of
Boating Safety.
Safeguards:
Safeguards: The master files cannot be accessed without the proper
control cards. All DIRAUX and Chief, Director of Auxiliary have the
means available to access the master files.
Retention and disposal:
Retention and Disposal: Retention of weekly tape files is 180 days at
which time they are erased
Retention of disk files is 1 week, and then updated.
Retention of the year-end tape file is permanent.
System manager(s) and address:
System Manager: Chief Director of Auxiliary, G-BAU,
Department of Transportation,
United States Coast Guard,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation
United States Coast Guard Headquarters,
Management Analysis Division, G-CMA,
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Individuals in the Auxiliary have their
record available on a quarterly basis in the Flotilla Roster produced
for their flotilla. All information except the Social Security Number
and date of birth is on the Flotilla Roster. On an annual basis, the
member receives a personal report concerning himself only which
contains all elements of his record. At any time during the year,
members of the Auxiliary can request through the DIRAUX where attached
for access to their member's jacket retained by DIRAUX or can request
a report in the annual report format.
Contesting record procedures:
Contesting Record Procedure: Record content can be contested at any
time, and if error is found all DIRAUX have the means to correct
individual records. Members are provided the means to correct their
own addresses, SSN's, names and phone numbers and occupations.
Record source categories:
Record Source Categories: All records pertaining to Auxiliarists are
derived from forms which are filled out by the individuals involved on
a voluntary basis.
DOT/CG 503
System name: System Name: Motorboat Registration, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-B)
2100 2nd Street, SW,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Boat owners registering for the issuance
of boat identification numbers for boats recorded in the States of
Washington, Alaska, and New Hanpshire and in American Samoa.
Categories of records in the system:
Categories of Records: Tapes; (Computer listings on disk with
information on boat owner: Name, address, and boat information).
Printouts- Same.
Office files- Same.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by:
Authorized Coast Guard Personnel involved in the Coast Guard
boating safety program.
To renew old registrations to issue new number to all motorboats.
The purpose of the numbering system is for identification of
recreational boats in case of accident, loss, theft, or abandonment.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage:
All records are maintained in file cabinets.
Retrievability:
Retrievability: By name/number.
Safeguards:
Safeguards: Only authorized office personnel have access to subject
files. All personnel screened prior to allowing access. Building
secured and guarded after duty hours.
Retention and disposal:
Retention and Disposal: Records are retained permanently.
System manager(s) and address:
System Manager: Chief, Office of Boating, Public and Consumer Affairs
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Contact:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual whose record(s)
are being requested.
Record access procedures:
Record Access Procedure: Procedures may be obtained by visiting Coast
Guard Headquarters or writing to:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Individual applicant.
DOT/CG 505
System name: System Name: Recreational Boating Law Enforcement
Case Files, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Coast Guard District Offices and Headquarters unit offices for
records of incidents in their localities. Addresses in Appendix 1.
Categories of individuals covered by the system:
Categories of Individuals: Owners/operators of vessels found in
violation of Federal recreational boating laws or regulations.
Categories of records in the system:
Categories of Records: Case files containing names of violators,
their addresses and social security numbers, together with
descriptions of boats and notations of the alleged violations of
Federal boating laws, and copies of correspondence relating to the
disposition of any penalty involved.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Information contained in this system is used by
authorized Coast Guard employees in performance of their duties to
determine the appropriate enforcement action to be taken by the Coast
Guard in individual cases as well as providing a record of repeated
offenders.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12). Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Information in this system is maintained on index cards, in
logbooks, and in file folders.
Retrievability:
Retrievability: Information is retrieved by name of individual in
alphabetical file.
Safeguards:
Safeguards: Information available only to authorized personnel. Files
maintained in office in building which is secured during non-working
hours and which has a roving guard patrol.
Retention and disposal:
Retention and Disposal: Records in system maintained for three years
before disposal by mutilation or burning.
System manager(s) and address:
System Manager: Chief, Office of Boating, Public and Consumer Affairs
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting the Commandant (G-CMA) at the address in `System Manager`, or
by visiting the local Coast Guard District or Unit where incident
occurred.
Proof of identity will be required prior to release of records. A
military identification card, driver's license or similar document
is considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Notification Procedure.`
Record source categories:
Record Source Categories: Information obtained from reports of Coast
Guard boarding officers and marine safety investigations as well as
from reports by citizens concerning possible violations of law or
regulation.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system may be exempt from disclosure
under the provisions of 5 USC 552a(k)(2) which provide in part, that
investigatory material compiled for law enforcement purposes may be
withheld from disclosure to the extent that the identity of the source
of the information would be revealed by disclosing the investigatory
record, and the source has received an express guarantee that his
identity would be held in confidence, or, prior to the effective date
of this section, if the source received an implied promise that his
identity would be held in confidence.
DOT/CG 507
System name: System Name: Coast Guard Supplement to the Manual
of Courts Martial Investigations. DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-L),
2100 2nd Street, SW, Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Military and civilian employees of the
Coast Guard and other individuals who may be involved in any Coast
Guard investigation.
Categories of records in the system:
Categories of Records: Investigations into injuries to Coast Guard
personnel, mishaps involving vessels, aircraft and vehicles.
Incidents involving fires, explosions, for loss or destruction of
classified material.
Circumstances involving equipment failures and property damage,
loss, or destruction.
Circumstances involving violation of standards of conduct
personnel.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by authorized Coast Guard personnel in connection
with the performance of their official duties which include, but are
not limited to:
Accident prevention.
Payment of disability benefits,
Improvement of internal Coast Guard procedures and practices.
Reports are used in connection with the resolution of claims
against the Coast Guard as well as claims asserted by the
government.
Reports are transmitted to the Veterans Administration to assist
that agency in determining entitlement to benefits administered by
it.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records maintained in storage cabinets in division files for
three years and then forwarded to the Federal Records Depository.
Retrievability:
Retrievability: Card index maintained permitting access to individual
investigations by listing identifiable data such as name of person,
vessel or other facility involved in investigation.
Safeguards:
Safeguards: Authorized personnel are granted access to these records
in connection with the performance of their official duties.
Records are disclosed to members of the public under the provisions
of the FOIA. These requests are considered on a case by case basis.
Retention and disposal:
Retention and Disposal: Records are maintained in division files for
three years and then forwarded to Federal Records Depository
System manager(s) and address:
System Manager: Chief Counsel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Written request must be signed by the
individual. Write to or visit:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: All individuals whose conduct is the subject
of these investigations are designated at the outset as parties to
these investigations and accorded their rights as such. Following
completion of the investigative reports, parties will be provided with
copies upon request.
At all subsequent times parties may have access to the
investigative records by writing to or visiting Commandant (G-CMA),
at the address in `Notification Procedure` above or the local unit
to which assigned.
Proof of identity may be required prior to release of records.
Military identification, driver's license or similar document will
be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: A party has the right to make argument
and/or submit statements on his own behalf during the course of an
investigation or subsequent to its conclusion. Write or visit
locations as indicated in `Record Access Procedure.`
Record source categories:
Record Source Categories: Coast Guard investigating officers,
military and civilian personnel.
DOT/CG 508
System name: Claims and Litigation, DOT/CG.
System location:
Department of Transportation (DOT). Litigation records are primarily
located at Coast Guard Headquarters. Claims records are located at
Coast Guard Headquarters and at the two Maintenance and Logistics
Commands.
a. Litigation:
United States Coast Guard (CG), Commandant (G-LCL), 2100 2nd Street,
SW, Washington, DC 20593-0001
b. Claims:
United States Coast Guard (CG), Commandant (G-LCL), 2100 2nd Street,
SW, Washington, DC 20593-0001
Commander, Maintenance and Logistics Command Atlantic (ml),
Governors Island, Building 400, New York, New York 10004-5098
Commander, Maintenance and Logistics Command Pacific (ml), Coast
Guard Island, Alameda, California 94501-5100
Categories of individuals covered by the system:
Persons who have filed a claim initiated litigation, or are the
subject of an affirmative claim or litigation on behalf of the Coast
Guard. Persons would include corporations, estates, insurance
companies or other legal entities authorized by Federal law to file a
claim or lawsuit against the United States or United States Coast
Guard.
Categories of records in the system:
Lawsuits and claims for and against the Coast Guard. Files may include
all background information obtained in adjudicating or deciding the
Coast Guard's position on the lawsuit or claim.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Disclosures from this system may be made to Federal employees
responsible for collecting debts owed the United States pursuant to 5
U.S.C. 5514, 31 U.S.C. 3716 and 37 U.S.C. 1007(c), including
collection by means of referral to the IRS for deduction from tax
refunds pursuant to 31 U.S.C. 3720a, or by means of withholding,
revoking, suspending, or collecting by means of not renewing
documents, licenses, loans or other privileges when authorized by law.
b. Disclosures from this system may be made to individuals,
corporations, private counsel and other entities contracted by the
United States to collect debts owed the United States pursuant to 31
U.S.C. 3718 and any other applicable statutes. The contracted
collection agency, individual or counsel shall be subject to the
Privacy Act.
c. Disclosures from this system may be made to other Federal, state
and local agencies for assistance in resolving the claim or lawsuit.
d. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures from this system may be made to consumer reporting
agencies pursuant to 5 U.S.C. 552a(b)(12). The Coast Guard may
disclose to a consumer reporting agency to be valid and overdue as
follows: (1) The name, address, taxpayer identification number and
other information necessary to establish the identity of the
individual responsible for the claim; (2) the amount, status, and
history of the claim; and the program under which the claim arose. The
Coast Guard may disclose the information specified in this paragraph
under 5 U.S.C. 552a(b)(12) and the procedures contained in subsection
31 U.S.C. 3711(f). A consumer reporting agency to which these
disclosures may be made is defined at 31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape or disk, and file folders.
Retrievability:
Information is retrieved by individual name in alphabetical file or by
taxpayer identification number.
Safeguards:
Information available only to authorized personnel. Data processing
access if by password. File folders retained in locked room when
unattended.
Record retained for one year at the responsible Coast Guard command
and then forwarded to the Federal Records Center where they are
destroyed 8 years after the final action on the lawsuit or claim. Card
index files and magnetic tape and disk files retained indefinitely.
System manager(s) and address:
Chief Counsel.
Department of Transportation, United States Coast Guard
Headquarters, 2100 2nd Street, SW, Washington, DC 20593-0001
Notification procedure: Written request must be signed by the individual
and be mailed to:
Department of Transportation, United States Coast Guard
Headquarters, Commandant (G-TIS), 2100 2nd Street, SW, Washington,
DC 20593-0001
Record access procedures:
Procedures may be obtained by writing Commandant (G-TIS) at the
address in ``Notification Procedure'' above. Proof of identity may be
required prior to affording access to records.
Contesting record procedures:
Same as ``Record Access Procedure.''
Record source categories:
a. Information obtained from Coast Guard military and civilian
personnel, Coast Guard investigating officers, other law enforcement
investigating officers, and members of the public.
b. Records from CG Privacy Act System DOT/CG 507.
DOT/CG 509
System name: System Name: Non-Judicial Punishment Report. DOT/
CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-L),
2100 2nd Street, SW, Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Coast Guard military personnel who have
been subject to non-judicial punishment proceedings under Article 15
of the Uniform Code of Military Justice.
Categories of records in the system:
Categories of Records: Records of Proceedings under Article 15,
Uniform Code of Military Justice.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by Coast Guard Personnel, in connection with
military justice administration.
Records provide statistical data concerning the number of
proceedings held, units holding proceeding, offenses committed,
punishments imposed, and background data of individuals concerned.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File cabinet.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Records are made available to authorized personnel.
Records are maintained in building with limited access during non-
working hours and with roving security patrol.
Retention and disposal:
Retention and Disposal: New system, disposal procedures not as yet
established. Back-up material disposed of after introduction into
system.
System manager(s) and address:
System Manager: Chief Counsel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA), at the address in `Notification
Procedure` above or the local Coast Guard District Office in the area
in which the individual is assigned to duty.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information from individual service records
and from proceedings conducted.
DOT/CG 510
System name: System Name: Records of Trial: Special, General
and Summary Courts-Martial, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-L),
2100 2nd Street, SW,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Any individual who is tried by court
martial in the Coast Guard.
Categories of records in the system:
Categories of Records: Records of trial.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: These are public records available to anyone.
Review.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Maintained in file cabinets.
Retrievability:
Retrievability: Filed alphabetically by name of individual.
Safeguards:
Safeguards: Maintained in file cabinets in building with limited
access during non-working hours and with roving security patrol.
Retention and disposal:
Retention and Disposal: Retained permanently. Maintained for two
years, reviewed by System Manager and then transferred to Federal
Records Center.
System manager(s) and address:
System Manager: Chief Counsel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at address in `Notification Procedure`
above.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Trial proceedings and subsequent statutory
reviews - Court of Military Review, Court of Military Appeals and
Chief Counsel of the Coast Guard.
DOT/CG 511
System name: System Name: Legal Assistance Case File System,
DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-L),
2100 2nd Street, SW,
Washington, DC 20593.
System is also located at:
United States Coast Guard District Legal Offices and
Legal Offices of Coast Guard Units. See Appendix I for addresses of
the District and other legal offices.
Categories of individuals covered by the system:
Categories of Individuals: Clients of officers assigned to render
legal assistance regarding the personal affairs of Coast Guard
military members.
Categories of records in the system:
Categories of Records: Records contain information concerning the
matters handled by these officers for clients.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The information is used on behalf of clients in
providing legal assistance.
These records are also used to prepare statistical reports
concerning a legal officer's time utilization.
The Prefatory Statement of Routine Uses applies to records in this
system only to the extent that their disclosure would not constitute
a violation of the judicially recognized privilege attaching to
attorney-client communications and of the ethical and professional
responsibilities of lawyers under the American Bar Association's
Code of Professional Responsibility.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Normally, written records kept in file folders.
Retrievability:
Retrievability: Alphabetical indexes by name of member.
Safeguards:
Safeguards: Kept in office space or filing cabinets which are
normally locked during non-working hours. Building patrolled by roving
security guards after duty hours.
Retention and disposal:
Retention and Disposal: Records retained as long as needed to serve
client or as long as deemed necessary by the legal officer. Disposal
is by whatever means considered appropriate by the legal officer,
depending on the contents of the record involved.
System manager(s) and address:
System Manager: Chief Counsel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
District or unit legal offices:
Senior Counsel, for records maintained at the particular location
(See Appendix I for addresses).
Notification procedure:
Notification Procedure: Requests for determination whether this
system contains records concerning an individual should be made in
writing or in person to:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: These records are available in the Office of
Chief Counsel at Coast Guard Headquarters or within the legal offices
in the various Coast Guard districts or units, dependent on where
legal assistance was rendered.
A military identification card or other comparable identification
will be required to be shown by persons seeking access to their
legal assistance records.
Contesting record procedures:
Contesting Record Procedure: The agency's rules for contesting the
contents of these records or for appealing initial determinations by
the custodian thereof not to disclose any part of these records shall
be controlling. These rules may be obtained by writing: Commandant (G-
CMA) at the address listed in `Notification Procedure.`
Record source categories:
Record Source Categories: Information in this record system is
obtained from the client involved and as a result of any subsequent
investigation by the legal officer on behalf of the client.
DOT/CG 516
System name: System Name: Coast Guard Military Discrimination
Complaints, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-H),
2100 2nd Street, SW,
Washington, DC 20593.
Records are also maintained at:
Each District Office and Headquarters Unit at the addresses in
Appendix I.
Categories of individuals covered by the system:
Categories of Individuals: Coast Guard Military Personnel.
Categories of records in the system:
Categories of Records: Files contain discrimination complaints filed
by Coast Guard military personnel or their representatives and
correspondence resulting therefrom.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Department of Transportation, Office of Civil Rights:
Used for investigations of complaints and arriving at decisions for
resolution of complaints.
Coast Guard Headquarters Military Personnel Office:
Used for information in making personnel administration decisions.
Coast Guard Headquarters, Commandant, Vice Commandant,
Congressional Liaison: Used to answer correspondence being sent to
Congressional representatives, federal and state officials, and
nationally recognized organizations who are representing the
individual.
Coast Guard Headquarters, Office of Civil Rights and the Military
Equal Opportunity Division:
Used to take care of discrimination complaints and the
correspondence precipitated therefrom and maintain a file on it.
All Coast Guard Commands:
Used to bring a complaint to a satisfactory conclusion, where
possible.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders kept in file cabinets.
Retrievability:
Retrievability: System is kept by alphabetical file, service number
and/or social security number, rank/rate, and Coast Guard unit.
Safeguards:
Safeguards: During normal working hours access to records is
controlled by office personnel; during non-working hours the building
is guarded by a roving security patrol.
Retention and disposal:
Retention and Disposal: Files are kept permanently.
System manager(s) and address:
System Manager: Chief, Office of Civil Rights,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW, Washington, DC 20593.
Notification procedure:
Notification Procedure: Contact the following office in writing or in
person:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local office where the record is filed.
Prior written notification of personal visits is required to insure
that the records will be available at the time of visit.
Proof of identity will be required prior to affording access to
records. A military identification, driver's license or similar
document will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: From individuals or their representatives
submitting complaints, congressional correspondence, personnel
service, records, Coast Guard Headquarters and Coast Guard units
correspondence, individuals and organizations volunteering information
pertinent to complaints.
DOT/CG 517
System name: System Name: Complaints of Discrimination, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-H),
2100 2nd Street, SW,
Washington, DC 20593.
Each District and Headquarters Unit: See addresses in Appendix I.
Categories of individuals covered by the system:
Categories of Individuals: Civilian employees (including non-
appropriated funds employees) and applicants for employment.
Categories of records in the system:
Categories of Records: Various memoranda, letters, statements,
statistics and other information related to the situation which
prompted the person to allege discrimination.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Investigating and processing complaints of
discrimination by personnel in Office of Civil Rights, Investigators,
Hearing Examiners, Employee Representatives, Coast Guard Officials.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Typed, hand-written, printed material stored in folders in
metal filing cabinets.
Retrievability:
Retrievability: Indexed by name and Coast Guard installation.
Safeguards:
Safeguards: Screening of personnel, need to know basis.
After duty hours, building is secured and roving security guards
are on duty.
Retention and disposal:
Retention and Disposal: Maintained indefinitely.
System manager(s) and address:
System Manager: Chief, Office of Civil Rights,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Contact the following office in person or in
writing:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written requests must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedure may be obtained by writing to or
visiting the Commandant (G-CMA) at the address in `Notification
Procedure` or the local activity where the complaint was filed.
Prior written notification of personal visits is required to insure
that the records will be available at the time of visit.
Proof of identity will be required prior to release of records. A
military identification card, drivers license or similar document
will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Interviews with complainant, employees,
management officials; personnel records, internal Coast Guard
memoranda.
DOT/CG 526
System name: System Name: Adjudication and Settlement of Claims
System, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-F)
2100 2nd Street, SW,
Washington, DC 20593.
Partial systems are located at Coast Guard Districts and Units. See
Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Active duty military members.
Reserve military members.
Retired military members.
Civilian employees.
Categories of records in the system:
Categories of Records: Claims arising out of disputes concerning
amounts of pay received.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To reach a final decision as to entitlements of
claimants.
To use as precedential data in the resolution of similar questions
in the future.
Used by authorized Coast Guard officials and officials of the IRS,
GAO, and the Civil Service Commission, as required.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored manually in file folders.
Retrievability:
Retrievability: Claims in the file are filed and retrieved by
claimant name.
Safeguards:
Safeguards: Access is limited to authorized officials by screening of
personnel.
Maintained in Government building having roving security guards
after duty hours.
Retention and disposal:
Retention and Disposal: After adjudication and settlement, most
submissions are disposed of. A limited number of such submissions are
retained for precedential value, as required.
System manager(s) and address:
System Manager: Chief, Office of Comptroller,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedure may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification
Procedures` or the local Coast Guard District or Unit administrative
officer for the area in which an individual's duty station is located.
See Appendix I for locations.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Sources include: The individual, CG payroll
offices, legal staff, investigators, Office of Personnel, Comptroller
General (GAO) and congressional correspondence.
DOT/CG 528
System name: System Name: Centralized Reserve Pay and
Retirement System, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Pay and Personnel Center (PPC)
444 SE Quincy St.
Topeka, KS 66683
System is also located at District Offices and other Field Units.
See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: United States Coast Guard Reserve Members.
Categories of records in the system:
Categories of Records: Master Pay and Retirement Point Credits
Record.
Master Personnel Data Accounting Record.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used to prepare monthly payroll and all associated
listings.
Used also:
For preparation of budgets.
For accounting purposes.
To compute pay and points.
The compilation of data.
Permanent pay and points records (retirement data).
W-2 wage and federal tax reporting.
To report earnings to state and city taxing authorities.
Used by authorized Coast Guard, IRS, GAO, and other Agency
Officials as required.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Microfilm of payroll retained in Reserve Pay Branches and
Districts.
Records are filed manually in filing cabinet.
Retrievability:
Retrievability: Records are indexed alphabetically by name of
Reservist and CG Unit Number.
Records are retrieved by name/number.
Safeguards:
Safeguards: Access is limited to user staff members.
Stored in secured building after duty hours.
Retention and disposal:
Retention and Disposal: Microfilm and records are retained until
member is discharged or retired. Three years subsequent to retirement
or discharge, records are transferred to a Federal Records Center.
System manager(s) and address:
System Manager: Chief, Office of Comptroller,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District or Unit administrative officer for
the area in which an individual's duty station is located.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Sources include:
The District Commander and Office of Reserve.
The individual.
Unit Commanding Officers.
District Commanders.
Office of the Reserve.
DOT/CG 529
System name: System Name: Civilian Payroll System, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Federal Aviation Administration (FAA),
Aeronautical Center (AAC-24),
P.O. Box 25735,
Oklahoma City, OK 73125.
Categories of individuals covered by the system:
Categories of Individuals: Civilian employees.
Categories of records in the system:
Categories of Records Earnings and leave.
Retirement records.
Pay files.
Allotment deductions.
Accounts receivable and accounts payable.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used for the preparation of payroll checks and bonds.
To report federal withholding tax to the Internal Revenue Service.
To report earnings to state and city taxing authorities.
To report FICA withholding to the Social Security Administration.
Used also to prepare report of retirement contributions, allotment
payments, and various reports for CG Headquarters and District
Offices (budgeting, accounting, management, etc).
Used by authorized Coast Guard, FAA, IRS, GAO, and Civil Service
Commission in the performance of their official duties.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Manually filed in file folders, records maintained on tape.
Retrievability:
Retrievability: Records indexed by pay periods, alphabetically, and
by tape number. Records are retrieved by name/number.
Safeguards:
Safeguards: Access is limited to authorized personnel.
Stored in Government building with a roving security guard after
duty hours.
Retention and disposal:
Retention and Disposal: Records retained for 3, 4 and 10 years then
transferred to a Federal Records Center.
System manager(s) and address:
System Manager: Chief, Office of Comptroller,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District or Unit office for the area in which
an individual's duty station is located.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar documents will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.
Record source categories:
Sources include:
The individual.
Personnel Offices.
Payroll Offices.
DOT/CG 533
System name: System Name: Retired Pay and Personnel System,
DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Pay and Personnel Center (PPC)
444 SE Quincy St.
Topeka, KS 66683
Categories of individuals covered by the system:
Categories of Individuals: Annuitants.
Lighthouse Keeper Retirees.
Honorary Retirees.
USCG Retirees.
Categories of records in the system:
Categories of Records: Pay and personnel data of military retirees,
annuitants, lighthouse keepers and retirees.
Personnel data of honorary retirees.
Accounts receivable and accounts payable.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Produce various listings and reports provided to USCG
offices.
Produce checks.
W-2 wage and federal tax reporting to the Internal Revenue Service.
Reports of earnings to state and city taxing authorities.
Listing of currently retiring officers, home addresses and mailing
labels used by authorized USCG and USCG affiliated organizations.
Reports and information exchanged with the Veterans Administration,
Civil Service Commission, Social Security Administration, the
Department of Defense and the Red Cross.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12):Disclosures may be made from
this systems to `consumer reporting agencies` (collecting on behalf of
the U.S. Govt.) as defined in the Fair Credit Reporting Act (15 USC
1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are filed manually in file folders.
Microfilm is stored in the retired pay branch.
Check tapes are filed in tape library.
Retrievability:
Retrievability: Records and microfilm are indexed alphabetically,
check tapes are indexed by tape number.
Retrieved by name/number.
Safeguards:
Safeguards: Access is limited to user staff members under supervisory
control.
Stored in government building having roving security guard after
duty hours.
Retention and disposal:
Retention and Disposal: Records are retained in the Retired Pay
Branch for 3 years subsequent to retiree's or annuitant's death, then
forwarded to a Federal Records Center.
Magnetic tapes are retained 18 months, microfilm for 6 years
(required by GAO) then destroyed.
System manager(s) and address:
System Manager: Chief, Office of Comptroller,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification
Procedure.`
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Sources include:
The individual.
Coast Guard personnel offices.
Coast Guard payroll offices.
DOT/CG 534
System name: System Name: Travel and Transportation of
Household Effects, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-F),
2100 2nd Street, SW,
Washington, DC 20593.
System is also located at each District Office and Headquarters
unit. See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Active duty military members, retired
military members, and civilian employees.
Categories of records in the system:
Categories of Records: Travel claims, transportation claims,
government bills of lading, application for shipment of household
effects.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Vouchers submitted for payment of claims, for audit of
claims for payment, to account for cost of moving household goods,
advice of shipment of household goods, for reporting of funds
expended, and for payment of household and transportation claims.
Used by authorized Coast Guard personnel and personnel of the
General Accounting Office (GAO) in connection with the performance
of official duties.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Filed manually in file folders.
Retrievability:
Retrievability: Records are retrieved by schedule numbers and/or
individual name.
Safeguards:
Safeguards: Access is limited to user staff members.
Stored in a building which is secured after duty hours.
Retention and disposal:
Retention and Disposal: Records are kept for 3 years, then
transferred to a Federal Records Center.
Exception: Schedule 98-Ts (Freight and Transportation) are
forwarded to General Accounting Office (GAO) after 3 months.
System manager(s) and address:
System Manager: Chief, Office of Comptroller,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District or unit office for the area in which
an individual's duty station is located.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Sources include:
The individual who is the subject of the record.
Ground freight and transportation carriers and agents.
Airline companies.
Personnel offices.
Other responsible agencies.
DOT/CG 535
System name: System Name: Nonappropriated Fund System (NAFA),
DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-FNM),
2100 2nd Street, SW,
Washington, DC 20593.
System is also located at:
District and Headquarters Units. See Appendix I for Locations.
Categories of individuals covered by the system:
Categories of Individuals: Civilian employees.
Active duty military members.
Retired military members.
Military dependents.
Categories of records in the system:
Categories of Records: Payroll records.
Accounting records for NAFA loans.
Purchase slips for articles sold in Base Exchange (BX) that cost
more than 75 dollars.
Listing of bad checks.
Lay away purchase list.
Job applications.
Personnel records.
Credit books kept by ships and isolated shore units.
Correspondence.
Membership applications.
Accounts receivable.
Investigatory reports involving abuse of facilities.
Purchase listings and sales slips for specific items.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Payroll for NAFA employees.
Personnel actions.
Accounting purposes.
Budget and inventory controls.
Used by members and employees of USCG in the performance of their
official duties related to the management, supervision and
administration of nonappropriated funds.
Officials and employees of other agencies, attorney general's
office or Congress in the performance of their official duties
related to the management, supervision and administration of
nonappropriated funds.
Billing, reservations, protection of funds.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Automated records may be stored on tape, disc, drums and
punched cards.
Manual records may be stored in file folders and/or credit ledgers,
card files, and notebooks.
Retrievability:
Retrievability: Records are indexed alphabetically and by social
security number, membership number or unit number.
Safeguards:
Safeguards: Access is limited to authorized personnel. Building is
secured after duty hours.
Retention and disposal:
Retention and Disposal: Records are retained until usefulness has
expired and then destroyed.
System manager(s) and address:
System Manager: Chief, Office of Comptroller,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District or Unit office for the area in which
an individual's work station is located.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as in `Record Access Procedure`.
Record source categories:
Record Source Categories: Sources include:
The individual.
Previous employees.
Educational institutions.
Employment agencies.
Civilian and military investigative reports.
General correspondence.
DOT/CG 536
System name: System Name: Contract and Real Property File
System, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-F),
2100 2nd Street, SW,
Washington, DC 20593.
Systems are also located at various District and Headquarters
Units. See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Individuals or companies doing business
with the Coast Guard.
Employees of prime and sub-contractors.
Individuals requiring use of CG property.
Military members and civilian employees.
Categories of records in the system:
Categories of Records: Contracts and related files.
Real property and leased family housing files.
Bidders list.
Minority compliance records.
Payment schedule records.
Witness fees records.
Various payment files relating to Admiralty and Tort claims.
Personnel claims.
Collection register.
Open purchase order file.
Correspondence files and vendor lists.
Information on employees of contractors, job level and pay of these
employees.
Permits, licenses and easements.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used to determine compliance of contractors with
minimum wages for certain skills and trades on government contracts.
Used to aid in record keeping of payments and collections.
Used to determine potential for contracting with the government.
Used to record issuance of personal property and maintain
inventories.
Used to determine contractor responsibilities and liability.
Used by Coast Guard officials of the General Accounting Office
(GAO) in performance of duties.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Manually filed in file folders. Maintained on tape/card
three ring binders, and in hard cover books.
Retrievability:
Retrievability: Retrieved by individual/company name, number,
construction job, and/or location.
Safeguards:
Safeguards: Access restricted to authorized personnel only; some
records in locked safe and/or filing cabinet.
Maintained in building having roving security guard after duty
hours.
Retention and disposal:
Retention and Disposal: Some records retained indefinitely; some
retained 3, 4 or 6 years, then destroyed or forwarded to a Federal
Records Center for an additional 7 years.
System manager(s) and address:
System Manager: Chief, Office of Comptroller,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District or Unit office for the area in which
the contract was submitted or property is located.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as above `Record Access Procedure.`
Record source categories:
Record Source Categories: Sources include:
Individuals.
Contractors.
Contract employees.
Bidders.
Financial institutions.
Insurance companies.
Community associations.
Other agencies.
Bills.
Letters.
Collection receipts.
Electronic accounting machine listings.
DOT/CG 537
System name: System Name: FHA Mortgage Insurance for
Servicemen.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-F),
2100 2nd Street, SW,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: U.S. Coast Guard Military Personnel who
have applied for Federal Housing Administration Mortagage Insurance.
Categories of records in the system:
Categories of Records: Selected aspects of FHA Mortgage Insurance
Records for military personnel, including copies of Form DD-802,
`Request for and Certificate of Eligibility` and Form DD-803,
`Certificate of Termination`.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used to enable management to verify that billings from
FHA are correct, and payable from Coast Guard funds. Users are
authorized Coast Guard personnel.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are filed manually in closed file cases.
Retrievability:
Retrievability: Folders are filed by named individual,
alphabetically. Copies of documents are filed chronologically in the
folders together with a record of payment.
Safeguards:
Safeguards: Access is limited to user staff members. After duty hours
the building is patrolled by roving security guards.
Retention and disposal:
Retention and Disposal: Files are maintained as long as a member is
covered by an insured mortgage loan; 3 years after, files are
forwarded to Federal Records Center. Destroyed 4 years after case
files are closed.
System manager(s) and address:
System Manager: Chief,
Office of Comptroller,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Contact Commandant (G-CMA),
U.S. Coast Guard Headquarters,
Washington, DC 20593.
The written request should include the requestors name in full and
signature.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing
Commandant (G-CMA), at the address above, or by visiting the Coast
Guard Headquarters, 2100 2nd Street, SW, Washington, DC. Proof of
identity will be required prior to affording an individual access to
his records. A military identification card, a drivers license, or
similar document will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: From individual concerned and the Federal
Housing Administration.
DOT/CG 561
System name: System Name: Port Safety Reporting System
Individual Violation Histories, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-WPE),
2100 2nd Street, SW,
Washington, DC 20593.
System is also located at:
Offices of the District Commanders. See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Masters, operators, owners, agents,
shippers, charterers and/or pilots of commercial vessels and barges,
reported for violations of United States port safety regulations.
Categories of records in the system:
Categories of Records: Computerized listings, by name, giving
specific violations, date, place and penalty assessed.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Determining penalties to be assessed by Coast Guard
hearing officers; execution of judgments by U. S. attorneys as
necessary.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:`
Policies and Practices:
Storage:
Storage: Magnetic tape or disc.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Restricted access data processing area. Program access by
password.
Source documents and printouts are stored in locked rooms or file
cabinets.
Retention and disposal:
Retention and Disposal: Disposed of 3 years after final disposition
of case.
Paper files destroyed by mutilation, shredding or burning.
Magnetic tapes are obliterated by writing over magnetic surface
till content is rendered useless and unreadable.
System manager(s) and address:
System Manager: Chief, Office of Marine Environment and Systems,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
above or the local Coast Guard District, at the address in Appendix I,
where the violation occurred.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Report of Violation, Form CG-2636, prepared
by Coast Guard officials.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system may be exempt from disclosure
under the provisions of 5 USC 552a(k)(2), which provide in part, that
investigatory material compiled for law enforcement purposes may be
withheld from disclosure to the extent that the identity of the source
of the information would be revealed by disclosing the investigatory
record, and the source has received an express guarantee that his
identity would be held in confidence or, prior to the effective date
of this section, if the source received an implied promise that his
identity would be held in confidence.
DOT/CG 571
System name: Physical Disability Separation System.
System location:
Commandant (G-PDE), U.S. Coast Guard, 2100 2nd St. SW, Washington, DC
20593-0001
Categories of individuals covered by the system:
USCG active duty personnel and USCG personnel separated or retired for
physical disability.
Categories of records in the system:
a. Central Physical Evaluation Board files.
b. Formal Physical Evaluation Board files.
c. Physical Review Council files.
d. Physical Disability Appeal Board files.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Coast Guard officials in connection with physical disability
separation and retirement proceedings.
b. Department of Veterans Affairs for assistance in determining the
eligibility of individuals for benefits administered by that agency
and available to U.S. Public Health Service or Department of Defense
medical personnel in connection with the performance of their official
duties.
c. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records may be stored in file folders, microfilm, magnetic tape,
punched cards, machine lists, discs, and other computerized or machine
readable media.
Retrievability:
Records are retrieved through indices and cross indices of all
individuals and relevant physical disability(ies) data. Types of
indices used include, but are not limited to: Name, social security
number, and the diagnosis or International Classification of Diseases
(ICD) code.
Safeguards:
Records are maintained in locked filing equipment in controlled access
rooms. Records are accessible only to authorized personnel. Computer
terminals are located in supervised areas, with access controlled by
password or other user code system.
Retention and disposal:
Retained 2 years after disposition then transferred to Federal Records
Center, St. Louis, Missouri.
System manager(s) and address:
Chief, Office of Personnel and Training (G-P), Department of
Transportation, United States Coast Guard, 2100 2nd St. SW,
Washington, DC 20593-0001
Notification procedure:
Notarized written requests should contain the full name and social
security number of the member and be addressed to Commandant (G-TIS),
U.S. Coast Guard, 2100 2nd St. SW, Washington, DC 20593-0001.
Record access procedures:
Same as Notification Procedure.
Contesting record procedures:
Same as Notification Procedure.
Record source categories:
Information in records developed through proceedings of administrative
bodies listed in categories of records in the system.
DOT/CG 572
System name: USCG Military Personnel Health Record System.
System location:
At the member's unit or the Coast Guard health care facilities at
which the member or dependents receive treatment.
Categories of individuals covered by the system:
a. Active duty, reserve, and retired members of the uniformed services
and their dependents.
Categories of records in the system:
a. Records of medical and dental treatment, including x-rays.
b. Physical Examinations.
c. ADP Records containing due dates for physical/dental and eye
examinations, innoculations, screening tests and results of actions
required by Coast Guard or other federal, state or local government or
agency.
d. Records concerning line of duty determination and eligibility for
disability benefits.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Provided to the Department of Defense to determine suitability of
members for overseas assignments and to develop automated information
relating to medical readiness in wartime and contingency operations.
b. Provided to federal, state, or local governments and agencies to
compile statistical data for research and auditing; to provide quality
assurance; to report medical conditions and other data required by
law; to aid in preventive health and communicable disease control
programs.
c. Provided to the Joint Commission on Accreditation of Healthcare
Organizations to evaluate health care provided, personnel and
facilities for professional certification and hospital accreditation;
to provide quality assurance.
d. Records of communicable disease are provided to the Department of
Defense to analyze the results, to ensure uniformity of record
keeping, and to centralize production of reports for all uniformed
services.
e. Provided to Department of Defense or other federal, state or local
governments and agencies for casualty identification purposes.
f. Provided to the Social Security Administration and Veterans
Administration for use in determining an individual's entitlement to
benefits administered by those agencies.
g. Provided to the Public Health Service, Department of Defense, or
Veterans Administration medical personnel or to personnel or
facilities providing care to eligible beneficiaries under contract in
connection with medical treatment of individuals.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage of individual files are in folders. Portions of records are
automated at some units.
Retrievability:
Name or social security number of member or dependent.
Safeguards:
Rooms or cabinets in which records are located are locked when
unattended. Access limited to these records at all times by personnel
screening.
Retention and disposal:
a. Active Duty Personnel: Individual medical files are retained at the
members' unit or medical administration office for so long as the
member is assigned to the particular area. When the member is
reassigned, the individual medical file is transferred to the new duty
station upon reassignment of member. Upon separation or retirement,
the individual medical file is incorporated into the Official Officer
Service Records System (DOT/CG 626) or Enlisted Personnel Record
System (DOT/CG 629), as appropriate.
b. Retired Personnel: Individual medical files are retained at the
medical facility for a period of 4 years from date of last activity.
Transferred to National Personnel Records Center (Military Personnel
Records), 9700 Page Blvd., St. Louis, MO 63132, 4 years after last
activity.
c. Dependents: Individual medical files are retained at the medical
treatment facility for period of 4 years from date of last activity.
Transferred to new duty station of sponsor upon written request of
dependent. Records not transferred are forwarded to National Personnel
Records Center (CPR) 111 Winnebago St., St. Louis, MO 63118, 4 years
after last activity.
d. Reserve Personnel: Individual medical files are retained in custody
of the reserve group or unit, or district commander(s) for so long as
the reservist is assigned to the particular area. When the member is
reassigned, the individual medical file is transferred to the new
reserve group or unit or district commander(r), as appropriate. Upon
separation or retirement, the individual medical file is incorporated
into Official Coast Guard Reserve Service Record System (DOT/CG 676).
System manager(s) and address:
System Manager: Chief, Office of Health Services, Department of
Transportation, United States Coast Guard, 2100 2nd Street, SW,
Washington, DC 20593-0001.
Notification procedure:
Department of Transportation, United States Coast Guard, Commandant
(G-CMA), 2100 2nd Street, SW, Washington, DC 20593-0001. Written
request must be signed by the individual.
Record access procedures:
a. Active Duty Personnel: Write or visit the health care facility
where the record is located, or write Commandant (G-CMA) at the
address in ``Notification Procedure.''
b. Retired Personnel and all Departments: Write or visit the health
care facility where the record is/was located. If unable to locate
records, write:
(Retired) National Personnel Records Center, (Military Personnel
Records), 9700 Page Blvd, St. Louis, MO 63132
(Dependents) National Personnel Records Center (CPR), 111 Winnebago
Street, St. Louis, MO 63118
c. Reserve Personnel: Write or visit reserve group or unit or district
commander(r) of the district where command is located, or write: U.S.
Coast Guard (G-CMA), 2100 2nd Street, SW, Washington, DC 20593-0001.
The decision to release medical records directly to the individual
shall be made by a medical practitioner per 49 CFR 10.35(c).
Contesting record procedures:
Contact Commandant (G-CMA) at the address in ``Notification
Procedure.''
Record source categories:
a. Medical facilities where beneficiaries treated or examined.
b. Investigations resulting from illness or injury.
c. From the individual.
DOT/CG 573
System name: System Name: U.S. Public Health Services (USPHS)
Commissioned Officer Corps Staffing and Recruitment Files, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-KMA),
2100 2nd Street, SW,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Personnel records of USPHS commissioned
officers assigned to duty with the Coast Guard.
Categories of records in the system:
Categories of Records: Personnel records, Commissioning applications,
assignment preference, reference questionnaires, background
information.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used to assist administrators in assigning personnel to
area requiring their specific skills.
Used to monitor career development of personnel assigned to
program.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: By name of individuals.
Safeguards:
Safeguards: During working hours access is controlled by office
personnel; during non-working hours building is patrolled by roving
security patrol.
Retention and disposal:
Retention and Disposal: Records are retained during period of an
individual's assignment to the Coast Guard. Thereafter, records are
destroyed by shredding.
System manager(s) and address:
System Manager:
Chief, Office of Health Services,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification
Procedure`.
Proof of identity will be required prior to release of records. A
military identification card, driver's license or similiar document
will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Previous employers, educational
institutions, references, Coast Guard Medical Administrators and the
individual.
DOT/CG 576
System name: USCG Non-Federal Invoice Processing System (NIPS).
System location:
Office of Health and Safety, U.S. Coast Guard, 2100 Second Street, SW,
Washington, DC 20593-0001.
Commander, Maintenance and Logistics Command Atlantic, Health Services
Division, Governor's Island, Building 400, New York, NY 10004-5100.
Commander, Maintenance and Logistics Command Pacific, Health Services
Division, Coast Guard Island, Alameda, CA 94501-5100.
Categories of individuals covered by the system:
Active duty, reserve, and retired members of the uniformed services
and their eligible dependents, and non-Federal health care providers
that have rendered services to eligible beneficiaries.
Categories of records in the system:
a. Records containing correspondence, memoranda, and related documents
concerning potential and actual health care invoices for processing by
NIPS.
b. Copies of medical and dental treatment records provided to the
individual that are the subject of an invoice for non-Federal health
care provided to an eligible beneficiary.
c. Automated data processing (ADP) records containing identifying data
on individuals including: Units of assignment and address, home
address, and information necessary to process and monitor bills for
payment.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Records may be disclosed to health care professionals, auditing,
utilization, and peer review organizations for review of cost data and
appropriateness of care.
b. Medical information, including records of health care and medical
invoices may be disclosed to health care professionals, auditing,
utilization and peer review organizations to support a government
claim.
c. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage of individual files are in folders. Portions of records are
extracted in an ADP data base. ADP data will be maintained in hard
disk and magnetic tape storage.
Retrievability:
a. Name or Social Security Number of member or dependents sponsor.
b. Name of Member's Unit.
c. Name or tax identification number of non-Federal health care
providers.
Safeguards:
Room and cabinets in which records are located are locked when
unattended. There are roving guard patrols during nonduty hours.
Access to records is limited to those directly involved in managing
claims. Records in the ADP data base are retrievable only by those
with authorized access to ADP equipment and the data base is protected
by standard ADP security measures including the use of passwords.
Retention and disposal:
Records are retained at Maintenance and Logistics Commands (MLCs) for
1 year; transferred to a Federal Record Storage Facility and retained
for an additional 5 years 3 months for a total of 6 years 3 months and
destroyed thereafter.
System manager(s) and address:
Office of Health and Safety, U.S. Coast Guard, 2100 Second Street SW,
Washington, DC 20593-0001.
Notification procedure:
Send a written request with patient's name, sponsor's name and social
security number, to the System Location for the MLC where care was
rendered. The request must be signed by the individual, or if a minor
dependent, by the parent or guardian.
Commander, Maintenance and Logistics Command Atlantic, Health Services
Division, Governor's Island, New York, NY 10004-5100
Commander, Maintenance and Logistics Command Pacific, Health Services
Division, Coast Guard Island, Alameda, CA 94501-5100
Record access procedures:
Write or visit the appropriate Commander, MLC at the address given in
``Notification Procedure'' responsible for where the care was
received.
Contesting record procedures:
Same as ``Record Access Procedure''.
Record source categories:
a. From the individual, individual's spouse, parent or guardian.
b. Medical facilities (U.S. Coast Guard, Department of Defense,
Uniformed Services Treatment Facility, or non-Federal provider) where
beneficiaries are treated.
c. For Active Duty personnel--the Official Officer Service Records
System (DOT/CG 626), and the Enlisted Personnel Record System; (DOT/CG
629).
d. For Reserve personnel--the Official Coast Guard Reserve Service
Record System (DOT/CG 676).
e. Investigations resulting from illness or injury.
DOT/CG 577
System name: USCG Federal Medical Care Recovery Act (FMCRA)
Record System.
System location:
Office of Health and Safety, U.S. Coast Guard, 2100 Second Street,
SW., Washington, DC 20593-0001.
Categories of individuals covered by the system:
Active duty, reserve, and retired members of the uniformed services
and their eligible dependents.
Categories of records in the system:
a. Records containing all correspondence, memoranda, and related
documents concerning potential and actual FMCRA claims, and copies of
medical and dental treatment provided to the individual that is the
subject of the claim, and copies of medical bills associated with
civilian care provided at government expense.
b. Automated data processing (ADP) records containing identifying data
on individuals, unit of assignment and address, home address, the
amount of the claim, the amount paid to the government on the claim,
dates of correspondence sent, due dates of reply, claim number, date
claim opened, and date claim closed.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. All information will be used in managing, processing, and
collecting claims for the government. Information may be disclosed to
attorneys and insurance companies involved in settling and litigating
claims.
b. Information may be disclosed to the Department of Justice when
necessary to take final action on claims.
c. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Storage of individual files are in folders. Portions of records are
extracted in ADP data base. ADP data base will be maintained in hard
disk and magnetic tape storage.
Retrievability:
Name or social security number of member, retiree or dependent.
Safeguards:
Room and cabinets in which records are located are locked when
unattended. Roving guard patrol during non-duty hours. Access to
records limited to those directly involved in managing claims with a
need to know. Records in ADP data base retrievable only to those with
authorized access to ADP equipment and data base is protected by
standard ADP security measures including the use of passwords.
Retention and disposal:
Records are retained at USCG Headquarters for 1 year; transferred to a
Federal Records Storage Facility and retained for an additional 5
years, 3 months for a total of 6 years, 3 months and destroyed
thereafter.
System manager(s) and address:
Office of Health and Safety, U.S. Coast Guard, 2100 Second Street, SW,
Washington, DC 20593-0001.
Notification procedure:
Send a written request with the client's name, sponsor's name and
social security number to the system manager. The request must be
signed by the individual, or if a minor dependent, by the parent or
guardian.
Record access procedures:
Write or visit Commandant (G-KRM-1), U.S. Coast Guard, Attn: FMCRA
Section, 2100 Second Street, SW, Washington, DC 20593-0001.
Contesting record procedures:
Same as ``Record Access Procedure''
Record source categories:
a. From the individual, or if a minor, the parent or guardian.
b. Medical facilities (U.S. Coast Guard, Department of Defense,
Uniformed Services Treatment Facility, or Civilian Facility) where
beneficiaries are treated.
c. Injury investigations.
d. Attorneys and insurance companies involved in the claim.
e. For Active Duty personnel--the Official Officer Service Records
System; (DOT/CG 626), and the Enlisted Personnel Records System; (DOT/
CG 629).
f. For reserve personnel--the Official Coast Guard Reserve Service
Record System (DOT/CG 676).
DOT/CG 586
System name: System Name: Chemical Transportation Industry
Advisory Committee, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-M),
2100 2nd Street, SW,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Committee members.
Categories of records in the system:
Categories of Records: Address, phone number.
Biographical sketch.
Committee information.
Minutes of meetings.
Routine uses of records maintained in the system, including categories
of records of users and the purposes of such uses:
Arranging meetings, keeping records of committee business, determine
committee membership.
Used by Coast Guard personnel in the performance of official duties.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: By committee name/individual name.
Safeguards:
Safeguards: Personnel screening prior to granting access.
Building has roving security after hours.
Retention and disposal:
Retention and Disposal: Permanently retained.
System manager(s) and address:
System Manager:
Chief, Office of Merchant Marine safety.
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification
Procedure.`
Proof of identity will be required prior to granting access. A
military identification card, driver's license or similar document
is considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: From the individual of record.
DOT/CG 587
System name: System Name: Investigation of Violations of Marine
Safety Laws or Regulations, DOT/CG.
System location:
System Location: District Offices - See Appendix I for addresses.
Categories of individuals covered by the system:
Categories of Individuals: Persons who have violated or who are
suspected of violating marine safety or related laws or regulations.
Categories of records in the system:
Categories of Records: Reports of violation and supporting documents.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Evaluation by Coast Guard personnel for law enforcement
purposes.
Evaluation by other agencies, state, local and foreign governments
for purposes of law enforcement, and other purposes which the agency
may deem necessary for their mission.
For use in civil litigation.
For insurance purposes.
Use by the general public.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: Records pertaining to violations of law or regulation
are retrieved by individual name or vessel name.
Safeguards:
Safeguards: Destroyed three years after case is closed.
System manager(s) and address:
System Manager: Chief, Office of Merchant Marine Safety,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting (G-CMA) at the address in `Notification Procedure` or the
local Coast Guard District for the area in which the alleged violation
occurred.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Coast Guard investigating records compiled
as a result of vessel casualty.
Investigations by other law enforcement agencies.
Vessel operator complaints.
Deficiencies noted during Coast Guard inspections.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system may be exempt from disclosure
under the provisions of 5 USC 552a (k)(2) which provide in part, that
investigatory material compiled for law enforcement purposes may be
withheld from disclosure to the extent that the identity of the source
of the information would be revealed by disclosing the investigatory
record, and the source has received an express guarantee that his
identity would be held in confidence, or, prior to the effective date
of this section, if the source received an implied promise that his
identity would be held in confidence.
DOT/CG 589
System name: System Name: U. S. Merchant Seamen's Records.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-MVP),
2100 2nd Street, SW,
Washington, DC 20593.
Portions of these records may be located at the Marine Inspection
Office or the Marine Safety Office where the seaman was documented.
Categories of individuals covered by the system:
Categories of Individuals: U.S. Merchant Seamen.
Categories of records in the system:
Categories of Records: Personnel File.
Shipping Articles.
Locator List.
Log Books.
Seamen's License Records.
Fingerprint Records.
Disciplinary Records.
Security Records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by Coast Guard officials in administering the
Commercial Vessel Safety Program to determine qualifications for the
issuance of licenses, documents, and certificates; to determine
disciplinary action; to provide duplicate records of service or
documents to the seaman, his next of kin or his agent; to provide
information to other Federal Agencies, such as the Veterans'
Administration, the Social Security Administration, etc. in connection
with benefits and services administered by those agencies; to provide
information to private organizations when considered beneficial to the
seaman; to provide information to Federal, State, and local
investigative and law enforcement officials as provided for by law.
See Prefatory Statement of General Routine Use.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: The personnel file will be stored on updateable microfiche
and limited personal data will reside on computer disks and magnetic
tapes. The above media will be continuously updated as new or
additional data is received. The remainder of the records will be
stored in file folders in paper form.
Retrievability:
Retrievability: The personnel file on microfiche will be accessed
from its storage cabinet by a coded identifier of the location of the
record within the cabinet. The data on the computer record will be
retrieved by direct terminal access with the selection of data
elements determined by the authorized user. Retrieval will be by name
and cross indexed under ID (i.e., `Z`, `BK`, or Social Security
Number).
Safeguards:
Safeguards: Personnel files on microfiche are stored in the locked
retrieval cabinet. The data on the computer file can be retrieved only
via `password` identifier with users being permitted access only to
that portion of the overall file that has previously been determined
as meeting their needs. The file folders are maintained in locked
rooms.
Retention and disposal:
Retention and Disposal: Personnel files are held 3 years for
unlicensed personnel and 10 years for licensed personnel after last
activity, then transferred to a holding area where they may be
destroyed after 60 years of inactivity. Shipping Articles are held 3
years then transferred to a Federal Records Center where they are
considered historical data and are not destroyed. Disciplinary Records
are maintained in paper form. Administrative Law Judge's Decisions and
Orders and Appeal File are transferred to a Federal Records Center
after 5 years. Commandant's Decision on Appeal and National
Transportation Safety Board Decisions and Orders are retained.
Disciplinary Record Cards are destroyed upon notice of death.
System manager(s) and address:
System Manager: Chief, Office of Merchant Marine Safety,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation, United States
Coast Guard Headquarters, Commandant (G-CMA), 2100 2nd Street, SW,
Washington, DC 20593. In order to determine if a record for an
individual exists, it is necessary that the applicant furnish the
complete name in which the document was issued, the serial number of
the document (i.e., `Z`, `BK`, and/or Social Security Number), and his
date and place of birth. A written request must be signed by the
individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing
Commandant (G-CMA) or visiting at the address in `Notification
Procedure` or the Marine Inspection Office or Marine Safety Office
where the document was issued for locally maintained portions.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Personnel File - Date furnished by the
seamen, U.S. Coast Guard officials, other Federal Agencies and
employer. Shipping Articles - Vessels' operators, seamen, masters of
vessels, State Department, and Coast Guard officials. Disciplinary
Records - Furnished by the Investigating Officers at the various
Marine Inspection and Marine Safety Offices.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a (k)(2), which provide,
in part that investigatory material compiled for law enforcement
purposes may be withheld from disclosure to the extent that the
identity of the source of the information would be revealed by
disclosing the investigatory record, and the source has received an
express guarantee that his identity would be held in confidence, or,
prior to the effective date of this section, if the source received an
implied promise that his identity would be held in confidence.
DOT/CG 591
System name: System Name: Merchant Vessel Documentation System
(Manual and Automated), DOT/CG.
System location:
System Location: Automated system is located at:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (C-MVD),
2100 2nd Street, SW,
Washington, DC 20593.
Manual systems are located at:
Coast Merchant Vessel Documentation Offices,
(See section E.W., Standard Distribution List - COMDTNOTE 5605 for
office locations).
Categories of individuals covered by the system:
Categories of Individuals: Vessel owners.
Mortgagees.
Vessel buyers and sellers.
Lien claimants.
Vessel builders.
Categories of records in the system:
Categories of Records:
Vessel owner information.
Vessel information.
Instruments of record (bills of sale, mortgages, etc.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Establishing eligibility for documentation of vessels.
Issuance of marine documents.
Recordation of bills of sale, mortgages, etc.
Publication of the annual MERCHANT VESSELS OF THE UNITED STATES.
Publication of the monthly supplement to MERCHANT VESSELS OF THE
UNITED STATES.
Used by:
Coast Guard.
Other Governmental agencies.
Financial institutions and other money leaders.
Anyone having business with or an interest in a documented vessel.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Index of owners maintained by Commandant (G-MVD).
All other records maintained at home port of vessel by vessel name.
Retrievability:
Retrievability: Upon furnishing name of vessel owner to Commandant
(G-MVD), vessel name is established and request for information
referred to appropriate home port.
Records retrieved at home port by use of vessel name.
Safeguards:
Safeguards: Personnel screening.
Retention and disposal:
Retention and Disposal: Listings of vessel owners constantly updated
by additions and deletions (automated).
Field office vessel folders transferred to FRC 2 years after change
of vessel's home port or 2 years after removal of vessel from
documentation (manual).
System manager(s) and address:
System Manager: Chief, Office of Merchant Marine Safety,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written requests must be signed by the individual whose records are
the subject.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing or by
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District Office.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Vessel owners, Mortgagee, lien claimants,
Vessel sellers and buyers, Coast Guard admeasures and vessel builders.
DOT/CG 592
System name: System Name: Registered/Applicant Pilot
Eligibility Folder, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Ninth Coast Guard District,
Great Lakes Pilotage Staff,
1240 East Ninth Street,
Cleveland, OH 44199.
Categories of individuals covered by the system:
Categories of Individuals: United States registered pilots and
applicant pilots suitably registered to perform pilotage duties aboard
foreign vessels on the Great Lakes.
Categories of records in the system:
Categories of Records: Application for registration, renewal of
registration, annual report of physical examination, Coast Guard
license data, examination for registration.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by Department of Transportation, U. S. Coast
Guard, F.B.I., pilot associations and corporations.
Used for pilot registration, training program needs, retirements,
statistical compilations, and negotiations with Canadian authorities
to assure equitable participation by U.S. registered pilots with
Canadian registered pilots.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: By name and pilot registration number.
Safeguards:
Safeguards: Screened by office personnel prior to use. Locked in
cabinets during non-working hours.
Retention and disposal:
Retention and Disposal: Permanent.
System manager(s) and address:
System Manager: Chief, Great Lakes Pilotage Staff,
Ninth Coast Guard District,
1240 East Ninth Street,
Cleveland, OH 44199.
Notification procedure:
Notification Procedure: Same as `System Manager` above.
Record access procedures:
Record Access Procedure: Same as `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as `System Manager` above.
Record source categories:
Record Source Categories: Individual's original application for U.S.
pilot's registration and individual's yearly report of medical
examination.
DOT/CG 611
System name: System Name: Intelligence and Security
Investigative Case System, DOT/CG.
System location:
System Location: Department of Transportation(DOT),
United States Coast Guard(CG),
Commandant (G-OIS),
2100 2nd Street, SW,
Washington, DC 20593.
Systems are also located in Coast Guard District Offices at the
addresses listed in Appendix I.
Categories of individuals covered by the system:
Categories of Individuals: U. S. Coast Guard military personnel,
merchant marine personnel, port and dock workers, and persons under
investigation for violations of laws and regulations administered by
the Coast Guard.
Categories of records in the system:
Categories of Records: Personnel security investigations, national
agency check results, criminal investigations, counterintelligence
investigations, computerized case control system.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by authorized Coast Guard personnel for:
Security clearances.
Actions by commanders under the Uniform Code of Military Justice.
Career advancement of U.S. Coast Guard military personnel.
Approval of merchant seamen documents.
Access of individuals to port facilities.
Used by:
Appropriate federal, state or local agencies for criminal law
enforcement and prosecution by the United States government.
National Agency Checks and background investigations.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Investigative dossiers and 3x5 card retrieval system.
Retrievability:
Retrievability: By name and/or case number.
Safeguards:
Safeguards: Alarm controlled spaces, locked and/or limited access
file cabinets and office spaces.
Using receipt control, automatic data processing (ADP) system
cannot be penetrated for data through terminals, or otherwise,
located outside the U.S. Coast Guard computer center without use of
proper administrative controls.
Release of dossiers to accredited personnel on `need-to-know` basis
only.
Retention and disposal:
Retention and Disposal; Dossiers retained 50 years from date of
birth.
Deceased, retirees and others separated are held one year from
separation.
Dossiers are retired to the Washington National Federal Records
Center for further retention of 30 years.
3x5 cards are annotated to recall retired dossiers if necessary.
Computer printouts are retained for 10 years then destroyed.
System manager(s) and address:
System Manager:
Chief, Office of Operations,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to, or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District Office, location in Appendix I, for
the area in which an individual's duty station is located.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: National Agency Checks, background
investigations, criminal investigations, interviews, records, checks,
observations, statements.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a (k)(2), which provides
in part that investigatory material compiled for law enforcement
purposes may be withheld from disclosure to the extent the identity of
the source of the information would be revealed by disclosing the
investigatory record, and the source has received an express promise
that his identity would be held in confidence, or, prior to the
effective date of this section, if the source received an implied
promise that his identity would be held in confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(5) which provides, in part,
that investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access
to classified information may be withheld from disclosure but only
to the extent that the disclosure of such material would reveal the
identity of the 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 the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(7), which provide, in part,
that evaluation material used to determine potential for promotion
in the armed services may be withheld from disclosure but only to
the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government
under an express promise that the identity of a source would be held
in confidence, or, prior to the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
DOT/CG 612
System name: System Name: Port Security Card System, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard Headquarters (CG),
Commandant (G-OIS),
2100 2nd Street, SW,
Washington, DC 20593.
Records are also located at each District Office. See Appendix I
for locations.
Categories of individuals covered by the system:
Categories of Individuals: Persons regularly employed on vessels and
water front facilities, or persons having regular public or private
business with the operation, maintenance, or administration of vessels
and cargoes or waterfront facilities.
Categories of records in the system:
Categories of Records: Applications for port security cards awaiting
processing.
Processed applications indicating those granted or denied port
security cards.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by Authorized Coast Guard officials to determine
eligibility for issuance of Port Security Cards
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper files, 3x5 cards.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Maintained in file cabinets in secure areas.
Personnel are screened prior to granting access.
Retention and disposal:
Retention and Disposal: Retained for 8 years, then destroyed by
mutilating, shredding or burning.
System manager(s) and address:
System Manager: Chief, Office of Operations,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District or unit office for the area in which
the application was filed.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Individual applications.
National Agency checks.
Other records already at Coast Guard Headquarters, if any.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a(k)(2), which provide, in
part, that investigatory material compiled for law enforcement
purposes may be withheld from disclosure to the extent that the
identity of the source of the information would be revealed by
disclosing the investigatory record and the source has received an
express guarantee that his identity would be held in confidence, or,
prior to the effective date of this section, if the source received an
implied promise that his identity would be held in confidence.
DOT/CG 622
System name: System Name: Military Training and Education
Records, DOT/CG.
System location:
System Location: Department of Transportation (DOT), United States
Coast Guard (CG), Commandant (G-PTE), 2100 2nd Street, SW, Washington,
DC 20593. Records are also located at District and Headquarters Units.
See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Coast Guard Military Personnel
(Commissioned Officers, Commissioned Warrant Officers, Cadets, and
Enlisted Personnel.)
Categories of records in the system:
Categories of Records: General Service Correspondence Course. Off-
Duty Education Records. Professional Training Records. Non-traditional
Educational Support Records. Achievement and Aptitude Test Results.
Academic Performance Records. Correspondence Course Rate Advancement
Records. Military Performance Records. Admissions Processing Records.
Grade Reporting Records. Cadet Academic Status Records. Transcript
Maintenance Records. Cadet Discipline Status Records. Military
Personnel Records. Military Training Schedules Records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Evaluation and measurement of training performance.
Statistical summaries. Input to personnel records. Partial criteria
for selection and admission to service/professional schools. Partial
criteria for selection to postgraduate education programs. Criteria
for admission to the Coast Guard. Criteria for retention in service
Schools. Criteria for promotion. The above information is used by
authorized Coast Guard personnel in the performance of Official
duties. See Prefatory Statement of General Routine Uses, 3 through 5
do not apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders stored in file cabinets. Portions are stored on
ADP equipment.
Retrievability:
Retrievability: Retrieved by name, rate, class number, cadet code
number, and Social Security Number.
Safeguards:
Safeguards: Records are kept in file cabinets in offices that are
locked during off-duty hours. Those records stored in ADP equipment
may only be accessed through use of a user access code.
Retention and disposal:
Retention and Disposal: Personal History, Service History and School
Conduct and Military Performance records are kept for one year.
Academic and Correspondence Course records are kept for five years.
Aptitude and Achievement Test results, as a part of Training and
Education records, are kept for five years. Records are destroyed by
mutilating, shredding or burning.
System manager(s) and address:
System Manager: Chief, Office of Personnel, Department of
Transportation, United States Coast Guard Headquarters, 2100 2nd
Street, SW, Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation, United States
Coast Guard Headquarters, Commandant (G-CMA), 2100 2nd Street, SW,
Washington, DC 20593. Written request must be signed by the
individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting (G-CMA) at the address in `Notification Procedure`, or by
visiting the local activity where assigned for training. Prior written
notification of personal visits is required to insure that the
applicable record will be available. Proof of identity is required
prior to release of records. A military identification card, driver's
license, or similiar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedures`.
Record source categories:
Record Source Categories: Official military personnel records, test
results, instructors and supervisors.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 U.S.C. 552a(k)(5), which provide,
in part, that investigatory material compiled solely for the purpose
of determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information may be withheld from disclosure but only to the
extent that the disclosure of such 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 the effective date of this section, under an
implied promise that the identity of the source would be held in
confidence. Portions of this system of records may be exempt from
disclosure under the provisions of 5 U.S.C. 552a(k)(6), which
provides, in part, that testing or examination material used solely to
determine individual qualifications for appointment or promotion in
the Federal service may be withheld from disclosure to the extent that
disclosure of these records would compromise the objectivity or
fairness of the testing or examination process. Portions of this
system of records may be exempt from disclosure under the provisions
of 5 U.S.C. 552a(k)(7), which provide, in part, that evaluation
material used to determine potential for promotion in the armed
services may be withheld from disclosure but only to the extent that
the disclosure of such material would reveal the identity of a source
who furnished information to the government under an express promise
that the identity of a source would be held in confidence, or, prior
to the effective date of this section, under an implied promise that
the identity of the source would be held in confidence.
DOT/CG 623
System name:
Military Pay and Personnel System.
System location:
Department of Transportation (DOT),
a. U.S. Coast Guard (CG), Department of Transportation Computer
Center, 400 7th Street, SW, Washington, DC 20590-0001.
b. U.S. Coast Guard Pay and Personnel Center, 444 SE Quincy Street,
Topeka, KS 66683-3591.
c. U.S. Coast Guard, 2100 2nd Street, SW, Washington, DC 20593-0001.
d. Decentralized data segments are located at the unit maintaining the
individual's pay and personnel record and permanent duty unit.
Categories of individuals covered by the system:
a. All Coast Guard military personnel, active duty and reserve.
b. Retired reserve Coast Guard military personnel waiting for pay at
age 60.
c. Active duty National Oceanic and Atmospheric Administration (NOAA)
officers.
d. Personnel separated from service in all the preceding categories.
Categories of records in the system:
All categories of records are electronic and/or paper, and may include
identifying information, such as name(s), date of birth, home
residence, mailing address, social security number, payroll
information, and home telephone number. Records reflect:
a. Work experience, educational level achieved, and specialized
education or training obtained in and outside of military service.
b. Military duty assignments, ranks held, pay and allowances,
personnel actions such as promotions, demotions, or separations.
c. Enrollment or declination of enrollment in insurance programs.
d. Performance evaluation.
e. The individual's desires for future assignments, training
requested, and notations by assignment officers.
f. Information for determinations of waivers and remissions of
indebtedness to the U.S. Government.
g. Information for the purpose of validating legal requirements for
garnishment of wages.
Authority for maintenance of system:
Title 37 U.S.C. as implemented in GAO Manual for Guidance of Federal
Agencies, Title 2 GAO, Title 6 GAO and Title 14 U.S.C. 92(i).
Routine use of records maintained in the system, including categories of
users and the purposes of such uses:
a. To the Department of Treasury for the purpose of disbursement of
salary, U.S. Savings Bonds, allotments, or travel claim payments.
b. To government agencies to disclose earnings and tax information.
c. To the Department of Defense and Veterans Administration for
determinations of benefit eligibility for military members and their
dependents.
d. To contractors to manage payment and collection of benefit claims.
e. To the Department of Defense for manpower and readiness planning.
f. To the Comptroller General for the purpose of processing waivers
and remissions.
g. To contractors for the purpose of system enhancement, maintenance,
and operations.
h. To federal, state, and local agencies for determination of
eligibility for benefits connected with the Federal Housing
Administration programs.
i. To provide an official of another federal agency information needed
in the performance of official duties to reconcile or reconstruct data
files in support of functions for which the records were collected and
maintained.
j. To an individual's spouse, or person responsible for the care of
the individual concerned when the individual to whom the record
pertains is mentally incompetent, critically ill or under other legal
disability for the purpose of assuring the individual is receiving
benefits or compensation they are entitled to receive.
k. To a requesting government agency, organization, or individual the
home address and other relevant information on those individuals who,
it is reasonably believed, might have contracted an illness, been
exposed to, or suffered from a health hazard while a member of
government service.
l. To businesses for the purpose of electronic fund transfers or
allotted pay transactions authorized by the individual concerned.
m. To credit agencies and financial institutions for the purpose of
processing credit arrangements authorized by the individual concerned.
n. To other government agencies for the purpose of earnings
garnishment.
o. To prepare the Officer Register and Reserve Officer Register which
is provided to all Coast Guard officers and the Department of Defense.
p. To other federal agencies and collection agencies for the
collection of indebtedness and outstanding travel advances to the
federal government.
q. The home mailing addresses and telephone numbers of members and
their dependent/s to duly appointed Family Ombudsman and personnel
within the Coast Guard for the purpose of providing entitlement
information to members or their dependents.
See Prefatory Statement of General Routine Uses, 3 and 5 do not apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The storage is on computer disks, magnetic tape microfilm, and paper
forms in file folders.
Retrievability:
Retrieval from the system is by name or social security number and can
be accessed by employees in pay and personnel offices and other pay
and personnel employees located elsewhere who have a need for the
record in the performance of their duties.
Safeguards:
Computers provide privacy and access limitations by requiring a user
name and password match. Access to decentralized segments are
similarly controlled. Only those personnel with a need to have access
to the system are given user names and passwords. The magnetic tape
backups have limited access in that users must justify the need and
obtain tape numbers and volume identifiers from a central source
before they are provided data tapes. Paper record and microfilm
records are in limited access areas in locking storage cabinets.
Retention and disposal:
Leave and Earnings Statements, and pay records are microfilmed and
retained on site four years, then archived at the Federal Record
Center, and destroyed when 50 years old. The official copy of the
personnel record is maintained in the Official Officer Service
Records, DOT/CG 626 for active duty officers, the Enlisted Personnel
Record System, DOT/CG 629 for active duty enlisted personnel or the
Official Coast Guard Reserve Service Record, OST/CG 576 for inactive
duty reservists. Duplicate magnetic copies of the pay and personnel
record are retained at an off site facility for a useful life of seven
years. Paper records for waivers and remissions are retained on site
six years three months after the determination and then destroyed.
Paper records to determine legal sufficiency for garnishment are
retained on site six years three months after the member separates
from the service or the garnishment is terminated and then destroyed.
System manager(s) and address:
a. All information on Coast Guard members other than b., c., and d.
below:
(1) For active duty members of the Coast Guard: Chief, Office of
Personnel, Department of Transportation, U.S. Coast Guard
Headquarters, 2100 2nd Street, SW, Washington, DC 20593-0001.
(2) For Coast Guard inactive duty reserve members and retired Coast
Guard reservists awaiting pay at age 60: Chief, Office of Readiness
and Reserve, Department of Transportation, U.S. Coast Guard
Headquarters, 2100 2nd Street, SW, Washington, DC 20593-0001.
b. For Coast Guard Waivers and Remissions: Chief, Personnel Services
Division (G-PMP), Office of Personnel, U.S. Coast Guard Headquarters,
2100 2nd Street, SW, Washington, DC 20590-0001.
c. For records used to determine legal sufficiency for garnishment of
wages and pay records: Commanding Officer (LGL), U.S. Coast Guard Pay
and Personnel Center, 444 SE. Quincy Street, Topeka, KS 66683-3591.
d. For data added to the decentralized data segment the commanding
officer, officer-in-charge of the unit handling the individual's pay
and personnel record, or Chief, Administrative Services Division for
individuals whose records are handled by Coast Guard Headquarters.
e. For NOAA members: National Oceanic and Atmospheric Administration,
Commissioned Personnel Division, 11400 Rockville Pike, Rockville, MD
20852.
Notification procedure:
Inquiries should be directed to:
a. For all information on Coast Guard members other than b., c., and
d. Below: Department of Transportation, U.S. Coast Guard Headquarters
(G-TPS), 2100 2nd Street, SW, Washington, DC 20593-0001.
b. For records used to determine legal sufficiency for garnishment of
wages and pay records: Commanding Officer, U.S. Coast Guard Pay and
Personnel Center, 444 SE. Quincy Street, Topeka, KS 66683-3591.
c. For data added to the decentralized data segment the commanding
officer, officer-in-charge of the unit handling the individual's pay
and personnel record, or Chief, Administrative Services Division for
individuals whose records are handled by Coast Guard Headquarters.
Addresses for the units handling the individual's pay and personnel
record are available from the individual's commanding officer.
d. For all information on NOAA members: National Oceanic and
Atmospheric Administration, Commissioned Personnel Division, 11400
Rockville Pike, Rockville, MD 20852.
Record access procedures:
Contact the addressee under notification procedures and specify the
exact information you desire. Requests must include the full name and
social security number of the individual concerned. Prior written
notification of personal visits is required to ensure that the records
will be available at the time of visit. Photographic proof of identity
will be required prior to release of records. A military
identification card, driver's license or similar document will be
considered suitable identification.
Contesting record procedures:
Contact the addressee under notification procedures and specify the
exact information or items you are contesting and provide any
documentation that justifies your claim. Correspondence contesting
records must include the full name and social security number of the
individual concerned.
Record source categories:
a. The individual's record from the following systems of records:
(1) Official Officer Service Records, DOT/CG 626.
(2) Enlisted Personnel Record System, DOT/CG 629.
(3) Official Coast Guard Reserve Service Record, DOT/CG 676.
b. Information is obtained from the individual, Coast Guard personnel
officials, National Oceanic and Atmospheric Administration personnel
officials, and the Department of Defense.
DOT/CG 624
System name: System Name: Personnel Management Information
System (PMIS).
System location:
System Location: Commanding Officer
Pay and Personnel Center (PPC)
444 S.E. Quincy St.
Topeka, KS 66683
Categories of individuals covered by the system:
Categories of Individuals: All regular Coast Guard personnel on
active duty. All Reserve Coast Guard personnel on extended active duty
and Reserve personnel on initial active duty for training.
Categories of records in the system:
Categories of Records: A single computer record which currently
contains about 450 data elements on each member. Some data elements
are used only for enlisted, others only for officers. The file
contains personal information such as name, place of birth, rank,
location, etc. The file also contains pay date elements which will
form the basis for deriving pay entitlements for Coast Guard military
personnel under the Joint Uniform Military Pay System (JUMPS).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The file is used to produce a number of reports used
throughout the Coast Guard. Types of reports are:
Locator Listing for Headquarters and Districts,
Personnel Roster for the unit to assist in verifying information,
Number of personnel in pay grades for advancement levels and budget
expenditures,
Current reports for this system of records are listed in the
Reports Distribution Manual generated by the Coast Guard for this
system,
Queires and batch processing are used to recruitment levels,
Various Coast Guard offices receive the locator listing and
management reports,
Government agencies other than Coast Guard categories,
See prefatory statement of General Routine Uses, 3 through 5 do not
apply.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: The storage is on computer disks with tape backups. The file
is updated once a week. Once a month the file is dumped to a tape file
for historical purposes.
Decentralized segments are maintained at each District Office and
at Personnel Support Centers. See Appendix I for locations.
Retrievability:
Retrievability: Retrieval from the system is by use of name or Social
Security Number or a combination of personal and non-personal
characteristics.
Users retrieve information direct from the file through card input
or direct terminal access. Data elements to be retrieved and method
of use are selected by the user.
An extract file containing summary records is produced monthly for
use on a `time sharing` system. Retrieval of information from this
extract is by direct terminal access only. Data elements to be
retrieved and method of use are selected by the user.
Safeguards:
Safeguards: The computer provides privacy and access limitations by
requiring a user name and password match. In addition each element of
the file has its own level of accessability which must be held by the
user. Only those staff components at Headquarters with a need to have
access to the file are given user names and passwords. Access to the
`Time Share` extract is similarly controlled. The backup tapes and
monthly dumps also have limited access in that users must justify the
need before they are provided the tape numbers.
Retention and disposal:
Retention and Disposal: End-of-Year system backup tapes and day to
day transaction tapes are retained indefinitely. Statistical and other
report extract tapes are recycled into the system and consequently
destroyed. Paper working files are disposed of in accordance with
current record disposal instructions.
System manager(s) and address:
System Manager: Chief,
Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Inquiries should be directed to:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: Procedure may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification
Procedure`. Prior written notification of personal visits is required
to insure that the records will be available at the time of visit.
Proof of identity will be required prior to release of records. A
military identification card, driver's license or similar document
will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: The data to update the file comes from
copies of official service record entries prepared by field units. The
data is entered on tape for update of the computer files.
DOT/CG 625
System name: System Name: Officer Selection and Appointment
System, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-PMR),
2100 2nd Street, SW,
Washington, DC 20593.
Records are also located at each District and Headquarters Unit.
Use Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Applicants for Coast Guard Officer
Candidate School or direct commission programs of the Coast Guard.
Categories of records in the system:
Categories of Records: Information in the system is supplied by
applicants and also by persons, other than the applicants, who submit
information pertinent to the suitability of the applicants for
commissioned service in the Coast Guard.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Officials and employees of the Coast Guard in the
performance of their duties in managing and contributing to the
recruitment and appointment of men and women for officer programs in
the regular and reserve components of the Coast Guard.
The Attorney General of the United States or his authorized
representatives in connection with litigation, fraudulent enlistment
or other matters under the jurisdiction of such agencies.
Official employees of the Veterans Administration and Selective
Service Administration in the performance of their official duties
related to enlistment and reenlistment eligibility and related
benefits.
The Senate or the House of Representatives of the United States or
any committee or subcommittee on matters within their jurisdiction
requiring disclosure of files or records of personnel covered by
this system.
See Prefatory Statement of General Routine Uses, 3 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records are stored in file folders.
Retrievability:
Retrievability: The system is indexed alphabetically by name of
applicant and is retrieved by name.
Safeguards:
Safeguards: Records are kept in file cabinets locked after working
hours.
Buildings have 24-hour security guards and limited access.
Retention and disposal:
Application files for nonselected officer candidate applicants are
destroyed after six months and nonselected applicants for direct
commission are destroyed after one year. Files for all selected
applicants are placed in the selectee's officer personnel folder.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: Procedure may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or to the applicable Coast Guard District Office.
A letter request should contain full name, address, social security
number, approximate date of application, and signature.
Proof of identification will consist of military identification
card, driver's license or other official identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Coast Guard recruiting personnel and
employee processing application.
Medical personnel conducting physical examination and private
physicians providing consultations or patient history.
Character and employer references named by applicants.
Educational institutions, staff and faculty members.
Selective Service Commission.
Local state and Federal law enforcement agencies.
Prior or current military service record.
Commanding officer of Coast Guard unit, if active duty.
Coast Guard offices charged with personnel security clearance
functions.
Other Coast Guard officials and employees in the performance of
their official duties and as specified by current instructions and
regulations promulgated by competent authority.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a(k)(5), which provide, in
part, that investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information may be withheld from disclosure but only to the
extent that the disclosure of such 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 the effective date of this section, under an
implied promise that the identity of the source would be held in
confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(7), which provide, in part,
that evaluation material used to determine potential for promotion
in the armed services may be withheld from disclosure but only to
the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government
under an express promise that the identity of a source would be held
in confidence, or, prior to the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
DOT/CG 626
System name: System Name: Official Officer Service Records,
DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard(CG),
Commandant (G-PO),
2100 2nd Street, SW,
Washington, DC 20593.
Certain records in the system are maintained at:
National Personnel Records Center,
9700 Page Boulevard,
St. Louis, MO 63132.
Portions of the official service record, e.g., health record,
security status jacket and leave record are maintained at the
officer's unit.
Categories of individuals covered by the system:
Categories of Individuals: All Commissioned officers of the Coast
Guard on active duty, permanent or disability retired lists.
Regular officers who sign and do not accept a Reserve commission.
Categories of records in the system:
Categories of Records: General file and service record card.
Fitness File & Officer Summary Records.
Medical File.
Medical History for officers on the Temporary Disability Retired
List.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Fulfillment of normal administrative procedures
including assignment, promotion, training, etc.
Physical Evaluation Boards.
Board for Correction of Military Records.
Answering of Congressional and personal inquiries initiated by the
individual whose record is concerned.
Preparation of forms, statements, compilations and computations
necessary in the daily personnel administration of each individual
entering, reentering or leaving the Coast Guard.
(Routine personnel administration requires copies of this and other
service record material to be included in administrative files
physically separated from the record; however, the original of this
material will be included in the official service record maintained
at Coast Guard Headquarters).
Furnishing of information (authorized and specified by the
individual concerned) to other agencies or individuals (specified by
the individual concerned) normally concerned with employment,
educational or veteran's benefits, claims or applications.
Furnishing specified material in an officer's service record
pursuant to the order of a court of competent jurisdiction.
Used by:
Authorized Coast Guard Personnel.
Personnel from other Federal Agencies in the conduct of official
business, as authorized by the Chief, Officer Personnel Division or
his designated representative.
See Prefatory Statement of General Routine Uses, 3 through 5 do not
apply.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12):Disclosures may be made from
this systems to `consumer reporting agencies` (collecting on behalf of
the U.S. Govt.) as defined in the Fair Credit Reporting Act (15 USC
1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are maintained on paper and are assembled and filed
in one official service record per member and stored on open shelf
files in a room with controlled access.
Retrievability:
Retrievability: Individual records are indexed and retrievable by
name and/or last four digits of member's service number.
Safeguards:
Safeguards: During working hours physical access to records is
controlled by the Officer Records Branch (G-PO-4).
Records are maintained in a central storage area locked behind two
separate doors during non-working hours in the building, which has
roving and static security patrols.
Retention and disposal:
Retention and Disposal: Each individual record is maintained at Coast
Guard Headquarters until three months after retirement/resignation,
after which it is shipped to the:
National Personnel Records Center (Military Personnel Records),
9700 Page Boulevard,
St. Louis, MO 63132.
After the separation documents are received, records of Reserve
Officers released from active duty and Regular Officers who resign
and accept Reserve Commissions are sent to the Department of
Transportation,
United States Coast Guard Headquarters.
2100 2nd Street, SW,
Washington, DC 20593.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Inquiry requests for a determination as to
whether this system contains records on an individual should be made
by that individual, in person or in writing, to:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Requestors in person will be required to show a valid I.D. card.
Written request must include the member's name, rank, Social
Security Number, and period of service.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local activity to which assigned for locally maintained
portions of subject records.
Proof of identity will be required prior to release of records. A
military identification card, driver's license or similar document
will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Personal interview and voluntary submissions by individuals.
Training/Educational Reports.
Fitness Reports.
USCG District Offices and other operating units of the Coast Guard.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a(k)(5), which provide, in
part, that investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information may be withheld from disclosure, but only to
the extent that the disclosure of such 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 the effective date of this section, under an
implied promise that the identity of the source would be held in
confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(7), which provide, in part,
that evaluation material used to determine potential for promotion
in the armed services may be withheld from disclosure but only to
the extent that the disclosure of such 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 the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
DOT/CG 627
System name: System Name: Enlisted Recruiting Selection Record
System, DOT/CG.
System location:
System Location: Primary System:
Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-P),
2100 2nd Street, SW,
Washington, DC 20593.
Decentralized segments are maintained at:
Coast Guard District offices and Coast Guard recruiting offices.
See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Records and correspondence pertaining to
prospective applicants, applicants for regular and reserve enlisted
programs, and any other individuals who have initiated correspondence
pertaining to enlistment in the United States Coast Guard.
Categories of records in the system:
Categories of Records: Records and correspondence in both automated
and non-automated forms concerning personal history, education,
professional qualifications, mental aptitude, physical qualifications,
character and interview appraisals, National Agency Checks and
certifications, service performance and congressional or special
interests.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Officials and employees of the U.S. Coast Guard in the
performance of their duties in managing and contributing to the
recruitment program of the Coast Guard Reserve.
The Comptroller General or any of his authorized representatives,
upon request, in the course of the performance of duties of the
General Accounting Office relating to the management or quality of
military recruitment.
The Attorney General of the United States or his authorized
representatives in connection with litigation, fraudulent enlistment
or other matters under the jurisdiction of such agencies.
Officials and employees of other Departments and agencies of the
Executive Branch of government, upon request, in the performance of
their official duties related to the management or quality of
military recruitment.
Officials and employees of the Veterans Administration and
Selective Service System in the performance of their official duties
related to enlistment and reenlistment eligibility and related
benefits.
The Senate or the House of Representatives of the United States or
any committee or subcommittee on matters within their jurisdiction
requiring disclosure of files or records of personnel covered by
this system.
Such contractors and their employees as are or may be operating in
accordance with an approved official contract with the U.S.
Government.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Automated records are stored on magnetic tape.
Paper records are stored in file folders.
Retrievability:
Retrievability: Alphabetically by name of subject and social security
number.
Safeguards:
Safeguards: Records are accessible only to authorized personnel
within the Coast Guard recruiting organization and are handled with
security procedures appropriate for documents marked `For Official Use
Only`.
Retention and disposal:
Retention and Disposal: Records are normally maintained for two years
and then disposed of by multilating, shredding, or burning.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Gurad Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to, or
visiting, Commandant (G-CMA) at the address in `Notification
Procedure` or the appropriate local office where the record, or
portion thereof, is filed.
Prior written notification is required to insure that records will
be available at time of visit.
Proof of identity will be required prior to affording access to
records. A military identification card, driver's license, or
similar document, will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Coast Guard recruiting personnel and
administrative staff.
Medical personnel or private physicians providing consultations or
patient history.
Character and employer references.
Educational institutions, staff and faculty members.
Selective Service System.
Local, state, and Federal law enforcement agencies.
Prior or current military service records.
Members of Congress.
Other officials and employees of the Coast Guard, Department of
Defense and components thereof, in the performance of their duties
and as specified by current instructions and regulations promulgated
by competent authority.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a(k)(5), which provide, in
part, that investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualification for Federal
civilian employment, military service, Federal contracts, or access to
classified information may be withheld from disclosure but only to the
extent that the disclosure of such 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 the effective date of this section, under an
implied promise that the identity of the source would be held in
confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(7), which provide, in part,
that evaluation material used to determine for promotion in the
armed services may be withheld from disclosure but only to the
extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government
under an express promise that the identity of a source would be held
in confidence, or, prior to the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
DOT/CG 628
System name: System Name: Officer, Enlisted, and Recruiter
Selection Test File, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-PE),
2100 2nd Street, SW,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Civilian or military personnel who have
taken the following tests:
U.S. Navy Officer Qualification (OQT).
U.S. Navy and U.S. Marine Corps Aviation Selection (AST).
U.S. Navy Basic Test Battery (BTB) (retests).
The Cooperative Tests for Advanced Electronic Training (AET TESTS).
The 16 Personality Factor Test used for screening of enlisted
personnel for recruiting duty.
Professional Examination for Merchant Mariners.
Categories of records in the system:
Categories of Records: Card files, answer sheets.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The records are kept to provide the test results if an
applicant (civilian or military) applies for an officer program or is
already in military and interested in certain training programs.
Internal users:
Officer Recruiting, Enlisted Recruiting, Enlisted Personnel,
Training Programs, Merchant Marine, Commanding Officer, Enlisted
Personnel District, Personnel offices, Training Centers and Academy.
Other Government Agencies:
U.S. Navy Recruiting, U.S. Marine Corps, U.S. Navy Bureau of
Medicine and Surgery.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders, case files.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Combination - type safe, locked files.
Test results are given only on a need to know basis to authorized
personnel.
Only custodian of safes and alternate custodian have access.
Retention and disposal:
Retention and Disposal: Test answer sheets are destroyed after 2
years.
Card file - destroyed after 4 years.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification
Procedure.`
Proof of identity will be required prior to release of records. A
military identification card, driver's license or similar document
will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Individuals concerned and United States
Coast Guard recruiting officials.
U.S. Marine Corps officials.
U.S. Navy Recruiting officials,
U.S. Navy Bureau of Medicine Surgery officials.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a(k)(6), which provides,
in part, that testing or examination material used solely to determine
individual qualifications for appointment or promotion in the Federal
service may be withheld from disclosure to the extent that disclosure
of these records would compromise the objectivity or fairness of the
testing or examination process.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k) (5), which provide, in part,
that investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access
to classified information may be withheld from disclosure but only
to the extent that the disclosure of such 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 the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(7), which provide, in part,
that evaluation material used to determine potential for promotion
in the armed services may be withheld from disclosure but only to
the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government
under an express promise that the identity of a source would be held
in confidence, or, prior to the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
DOT/CG 629
System name: System Name: Enlisted Personnel Record System,
DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-PE),
2100 2nd Street, SW,
Washington, DC 20593.
Decentralized segments of the system are located at each District
office and Headquarters Unit. See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: All enlisted members of the Coast Guard
now serving on active duty (including enlisted members of the Reserve
on extended active duty), and members who have been temporarily or
permanently retired or discharged.
Categories of records in the system:
Categories of Records: Enlisted contract package, record of emergency
data, leave records, performance ratings, administrative remarks,
medical records.
All other requisite Coast Guard personnel forms, and pertinent
miscellaneous correspondence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For use in formulating all Coast Guard personnel
actions including, but not limited to, assignment, promotion, re-
enlistment, retirement, discharge, determination of entitlement to pay
and allowances, correction of records, and disciplinary actions.
Data is provided to the Veterans Administration for determination
of an individual's eligibility for benefits administered by that
agency and to medical facilities maintained by the Department of
Health, Education and Welfare in conjunction with medical treatment
afforded an individual.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are maintained in enlisted files record jackets and
stored in file cabinets.
Retrievability:
Retrievability: Records are retrievable by name of individual or the
last three digits of the individual's social security number.
Safeguards:
Safeguards: Records maintained at Coast Guard Headquarters are
located in a central storage area, locked behind two separate doors
during non-working hours, in a building with a roving security patrol.
Records at field units are maintained in Government office
buildings with off-duty hours security.
During working hours, access to records is controlled by office
personnel.
Retention and disposal:
Retention and Disposal: Individual records are maintained at CG
Headquarters until six months after an enlisted member is discharged,
permanently retired for physical disability, or retired for years of
service, after which records are transmitted for permanent storage to
the:
National Personnel Records Center, (Military Personnel Records)
GSA,
9700 Page Boulevard,
St. Louis, MO 63132.
In the case of members transferred to the Reserve, their records
are sent to Commandant (G-RA-2) after separation documents are
received.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to, or
visiting, Commandant (G-CMA) at the address in `Notification
Procedure` or the local Coast Guard District or unit administrative
officer for the area in which an individual's duty station is located.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Information is obtained from the
individual, and Coast Guard Officials.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a(k)(5), which provide, in
part, that investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information may be withheld from disclosure but only to the
extent that the disclosure of such 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 the effective date of this section, under an
implied promise that the identity of the source would be held in
confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(7), which provide, in part,
that evaluation material used to determine potential for promotion
in the armed services may be withheld from disclosure but only to
the extent that the disclosure of such 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 the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
DOT/CG 630
System name: System Name: Coast Guard Family Housing, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-P),
2100 2nd Street, SW,
Washington, DC 20593.
Decentralized segments are maintained at:
Each District and Headquarters Unit. See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Military and civilian personnel of all pay
grades who make application for government and/or government leased
housing.
Military personnel who make application in locating community
housing, married officers and married E-3 or above (over 2 years
service).
Certain government employees occupying government housing.
Military or civilian personnel who have corresponded with the
President, a Congressman, or the Commandant concerning family
housing.
Categories of records in the system:
Categories of Records: Applicants name, pay grade, marital status,
current address and dependent information maintained for the Coast
Guard Housing Administration Information and Liaison (HAIL) System.
Includes family housing survey; computer data summaries are
maintained for the family housing survey.
Copies of correspondence from individual to the President, a
Congressman or the Commandant, inquiry sheets, and replies
maintained for Congressional correspondence files.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For use by authorized Coast Guard employees in
performance of their duties in placing the applicant in government
owned or leased housing or community housing.
Assessing housing needs of District and Headquarters Units.
Answering inquiries from individuals, Congressmen or the Commandant
concerning family housing.
Preparing budgets.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: By name of individual, Coast Guard District and date
received.
Safeguards:
Safeguards: Records are maintained in locked file cabinets and desk
file drawers.
Retention and disposal:
Retention and Disposal: Records are maintained until the applicant is
placed in housing and then destroyed.
Records concerning Congressional correspondence are maintained
indefinitely.
System manager(s) and address:
System Manager: Chief, Office of Personnel, Department of
Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by individual whose record is being
requested.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District Office. See address in Appendix I.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information is obtained from applicants,
individuals who complete family housing survey forms, initiate
correspondence concerning family housing and Coast Guard Officials.
DOT/CG 631
System name: Family Advocacy Case Record System.
System location:
Commandant (G-PS), U.S. Coast Guard Headquarters, 2100 2nd St. SW,
Washington, DC 20593.
Decentralized segments may be maintained at the District, Maintenance
and Logistics Command (MLC), or Headquarters Unit Social Worker's
office, at the duty station of the sponsor, and at selected medical
facilities. Decentralized segments may also be maintained at the duty
station of the District, MLC, or Headquarters Unit Family Advocacy
Representative (FAR) under whose jurisdiction an incident occurred.
Categories of individuals covered by the system:
Active duty, reserve and retired personnel and dependents entitled to
care at Coast Guard or any other military medical and dental facility
whose abuse or neglect is brought to the attention of appropriate
authorities, and persons suspected of abusing or neglecting such
beneficiaries.
Categories of records in the system:
Medical records of suspected and confirmed cases of family member
abuse or neglect, investigative reports, correspondence, family
advocacy committee reports, follow up and evaluation reports, and any
other supportive data assembled relevant to individual family advocacy
program files.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. To Federal, State and Local government or private agencies for
coordination of family advocacy programs, medical care, mental health
treatment, civil or criminal law enforcement, and research into the
causes and prevention of family domestic violence.
b. To individuals or organizations providing family support program
care under contract to the Federal Government.
c. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records may be stored in file folders, microfilm, magnetic tape,
punched cards, machine lists, discs, and other computerized or machine
readable media.
Retrievability:
Records are retrieved through indices and cross indices of all
individuals and relevant incident data. Types of indices used, but not
limited to include: Name, social security number, and types of
incidents.
Safeguards:
Records are maintained in various kinds of locked filing equipment in
specified monitored or controlled access rooms or areas. Records are
accessible only to authorized personnel. Computer terminals are
located in supervised areas, with access controlled by password or
other user code system.
Retention and disposal:
a. Records will be maintained at a decentralized location until the
case is closed or the sponsor is separated.
b. Upon case closure or separation of the sponsor, the record will be
transferred to Commandant (G-PS). The record will be retained for 5
years from case closure or date of last action. At the end of 5 years
the record will be destroyed, except for information concerning
certain minor Coast Guard dependents. Information concerning minor
Coast Guard dependents who were victims or suspected victims of child
abuse, neglect or sexual abuse will be retained until the dependent
attains majority.
System manager(s) and address:
Chief, Office of Personnel and Training (G-P), Department of
Transportation, U.S. Coast Guard Headquarters, 2100 2nd Street, SW,
Washington, DC 20593-0001.
Notification procedure:
a. Central location: Notarized written requests should contain the
full name and social security number of the member and be addressed to
Commandant (G-TIS), U.S. Coast Guard, 2100 Second Street, SW,
Washington, DC 20593-0001.
b. Decentralized locations: Notarized written request should contain
the full name and social security number of the member and be
addressed to the MLC, district, or unit where the individual is
assigned.
Record access procedures:
Access may be obtained by writing to Commandant (G-TIS) at the address
in Notification Procedure.
Contesting record procedures:
Same as ``Record Access Procedures''.
Record source categories:
Reports from medical personnel, educational institutions, law
enforcement agencies, public and private health and welfare agencies,
Coast Guard personnel and private individuals.
Systems exempted from certain provisions of the act:
Part of this system may be exempt under 5 U.S.C. 552a(k) (2) and (5)
which provide in part the exemption of investigatory material compiled
for law enforcement purposes or solely for the purposes of determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, Federal contracts, or access to
classified information, but only to the extent that the disclosure
would reveal the identity of a source who furnished information to the
Government under an express promise of confidentiality.
DOT/CG 632
System name: System Name: Uniformed Services Identification and
Privilege Card Record System, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-PS),
2100 2nd Street, SW,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Dependents of U.S. Coast Guard personnel
(active, retired, reserve and deceased).
Former Coast Guard personnel who have been rated by the Veterans
Administration as one-hundred percent disabled and their eligible
dependents.
Categories of records in the system:
Categories of Records: Applications for Uniformed Service
Identification and Privilege Card (DD-1172).
Verification for eligibility to possess the Identification and
Privilege Cards (DD-1173).
Pertinent miscellaneous correspondence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by authorized Coast Guard employees to verify that
applicant is entitled to be issued an Identification and Privilege
Card.
Verification provided to other Armed Forces authorized personnel as
required.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Maintained in file folders.
Retrievability:
Retrievability: Alphabetical by name.
Safeguards:
Safeguards: Maintained in file cabinets. During working hours access
to records is controlled by office personnel. During non-working hours
building is patrolled by roving security guards.
Retention and disposal:
Retention and Disposal: Retained for 10 years after which they are
destroyed.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must contain, full name, social security number
(SSN) and be signed by individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to, or
visiting, Commandant (G-CMA) at the address in `Notification
Procedure.`
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information is supplied by the sponsor and/
or his dependents.
DOT/CG 633
System name: Coast Guard Personnel Security Program.
System location:
Office of Law Enforcement and Defense Operations, U.S. Coast Guard,
2100 Second Street, SW, Washington, DC 20593-0001.
Decentralized segments are located at military or civilian personnel
offices serving the person's duty station or the Office of the
Director of Auxiliary serving the Auxiliarist's flotilla.
Categories of individuals covered by the system:
Coast Guard military members; civilian applicants, employees and
former employees; detailees from other Federal agencies; contract
applicants and employees; and Coast Guard Auxiliarists.
Categories of records in the system:
a. Records of security clearances issued/terminated;
b. Investigative files which serve as the basis for granting or
denying a security clearance (civilian and auxiliary personnel only),
determining suitability for hire and for assignment to sensitive
positions (not in decentralized segments); and
c. Correspondence and records concerning security actions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, index cards, and automated data.
Retrievability:
Records are retrieved by name or social security number.
Safeguards:
Records are kept in lockable cabinets and safes, and protected
automated systems. Access is controlled to work areas which are locked
and alarmed. Individual identification is required for users of the
records.
Retention and disposal:
Destroy upon notification of death or not later than 5 years after
separation or transfer of the individual or no later than 5 years
after contract relationship expires, whichever is applicable.
Investigative reports and related material will be destroyed or
returned in accordance with the investigating agency instructions. The
SF 312 will be destroyed 50 years from date of execution.
System manager(s) and address:
Office of Law Enforcement and Defense Operations, U.S. Coast Guard,
2100 Second Street, SW, Washington, DC 20593-0001.
Notification procedure:
Commandant (G-TIS), U.S. Coast Guard, 2100 Second Street, SW,
Washington, DC 20593-0001.
Written request must be signed by the individual whose record is being
requested, or if signed by a person other than the individual, must
specify the relationship to that individual.
Record access procedures:
Access may be obtained by writing to:
a. Commandant (G-TIS) at the address in ``Notification procedure'' for
records in the centralized records.
b. The military or civilian personnel office serving the individual's
duty station for records in the decentralized segment.
c. The Director of Auxiliary serving the Auxiliarist's flotilla of
records in the decentralized segment.
Access requests for records containing information which originated
with or were obtained by a part of the Federal Government, other than
the Coast Guard, shall be referred to that agency for release
determination.
Contesting record procedures:
Same as ``Record access procedure.''
Record source categories:
The individual, Department of Transportation employees and records,
other Government agencies.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 U.S.C. 552a(k)(5), which provide,
in part, that investigatory material compiled solely for the purpose
of determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information may be withheld from disclosure but only to the
extent that the disclosure of such material would reveal the identity
of a source who furnished information to the Government under and
express promise that the identify of the source would be held in
confidence, or, prior to December 31, 1974, under an implied promise
that the identity of the source would be held in confidence.
Portions of this system of records may be exempt from disclosure under
the provisions of 5 U.S.C. 552a(k)(7), which provide, in part, that
evaluation material used to determine potential for promotion in the
Armed Services may be withheld from disclosure but only to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an expressed
promise that the identity of a source would be held in confidence, or,
prior to December 31, 1974, under an implied promise that the identity
of the source would be held in confidence.
DOT/CG 634
System name: Child Care Program Record System.
System location:
At the facility where the care was provided or is being provided.
Categories of individuals covered by system:
a. Children enrolled in a U.S. Coast Guard child care program;
b. Children being cared for in U.S. Coast Guard family quarters, and
eligible children of active duty members of the Uniformed Services and
children of Federal employees.
Categories of records in the system:
a. Information about the family;
b. Medical history of child;
c. Authorization for emergency medical care;
d. Permission for field trips;
e. Authorization to release child to someone other than parent;
f. Establishment of eligibility for participation in State or
federally sponsored programs;
g. Communication between the care provider and parents about child;
and
h. Other necessary records to protect health and safety of children.
Routine uses of records maontained in the system, including categories
of users and purposes for such uses:
a. Provided to Federal, State, or local governments and agencies to
report medical conditions and other data required by law; to aid in
preventive health and communicable disease conrol problems;
b. Provided to Department of Agriculture for use in determining
eligibility to participate in the Child Care Food Programs;
c. Records for children provided care in U.S. Coast Guard programs
will be in the custody of and disclosed to the care provider; and
d. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on forms in file folders or in computer file.
Retrievability:
Name of child.
Safeguards:
a. Files are maintained in a secured filing cabinet. Access is limited
to authorized center staff.
b. Files for child care in U.S. Coast Guard family quarters are
maintained in a cabinet or drawer in the quarters.
Retention and disposal:
a. Child's record file is destroyed 3 years after date of last action.
Registration/medical forms may be sent to another facility if child
transfers. Child Care Food Program eligibility records are transferred
to an audit file at the end of each year where they are not retrieved
by child's name. Audit records are destroyed after 3 years or after
audited, whichever is sooner.
System manager(s) and address:
Chief, Office of Personnel and Training, (G-P), Department of
Transportation, United States Coast Guard, Washington, DC 20593-0001.
Notification procedure:
a. Written request or personal visit to the child care facility which
provided care; or
b. Written request to Commandant (G-TIS), U.S. Coast Guard,
Washington, DC 20593-0001.
Proof of identity may be required prior to permitting access to
records. Written request should include full name of the individual
requestor and the full name of the child whose records are requested.
Record access procedures:
Same as Notification Procedure.
Contesting record procedures:
Same as Notification Procedure.
Record source categories:
Parents or medical personnel familiar with the child's medical
history.
Systems exempted from certain provisions of the act:
None.
DOT/CG 635
System name: System Name: Coast Guard Mutual Assistance, DOT/
USCG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-PS-3),
2100 2nd Street, SW,
Washington, DC 20593.
Decentralized segments are located at:
Each District Office or Headquarters Unit. See Appendix I for
locations.
Categories of individuals covered by the system:
Categories of Individuals: Enlisted military personnel (active duty
and retired) and dependents.
Officer personnel (active duty and retired) and dependents.
Categories of records in the system:
Categories of Records: Card Index.
Loan applications forms filed by month.
Educational loan file.
Organization financial records.
Bad debts listing.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by authorized Coast Guard officials in approving
loan and grant applications.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Debt Collection Act of 1982 (31 USC
3711(d)(4)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Index boxes and file folders.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Maintained in separate correspondence files.
All correspondence regarding an applicant is considered privileged
and personnel are screened prior to access.
No loan records or correspondence are placed in service record of
individual.
Periodic inspections are performed.
Retention and disposal:
Retention and Disposal; Administrative and financial data relating to
CG Mutual Assistance Cases are disposed of four years after date of
last transaction.
All other records and correspondence are disposed of after four
years.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written requests must be signed by individual whose record is being
requested. Give date and place assistance is believed to have been
received.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District office or unit for the area in which
an individual's duty station is located. See Appendix I for addresses.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license, or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Individual requesting loan or grant.
DOT/CG 636
System name: System Name: Personal Affairs Record System Coast
Guard Military Personnel, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-PS),
2100 2nd Street, SW,
Washington, DC 20593.
Decentralized segments at:
Each District and Headquarters Unit. See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Active duty and retired Coast Guard
military personnel who have been subject to damage arising out of
domestic relations disputes, alleged personal indebtedness, and claims
of alleged paternity.
Categories of records in the system:
Categories of Records: Case files containing complaint concerning
alleged personal indebtedness, complaints arising out of domestic
relations disputes, claims of alleged paternity.
Files contain correspondence including investigative steps,
response to complaints and follow up correspondence on recurring
complaints. Index card files contain summary of material contained
in case file for each reference.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For use in attempting to resolve complaints in an
expeditious manner.
For reference in development of future policy.
Information is used by:
Authorized Coast Guard employees in performance of the duties.
Complainant and/or authorized representatives.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Case file and card index file.
Retrievability:
Retrievability: Alphabetical listing.
Safeguards:
Safeguards: Kept in locked filing cabinet.
Personnel are screened prior to granting access.
Retention and disposal:
Retention and Disposal: Maintained for 5 years after action completed
and then destroyed.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written requests must be signed by the individual whose record is
being requested.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District Office or unit for the area in which
an individual's duty station is located. See Appendix I for addresses.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information is obtained from complainants,
their legal representatives and Coast Guard officials.
DOT/CG 637
System name: System Name: Appointment of Trustee or Guardian
for Mentally Incompetent Personnel, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard Headquarters (CG),
Commandant (G-PS),
2100 2nd Street, SW,
Washington, DC 20593.
Decentralized segments are located at:
Each District and Headquarters Unit. See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Active duty and retired Coast Guard
military personnel.
Categories of records in the system:
Categories of Records: Case files containing information relating to
the mental incompetency of certain Coast Guard personnel.
Records used to assist Coast Guard Officials in appointing trustees
for mentally incompetent Coast Guard persons.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Authorized Coast Guard employees in performance of
their duties, prospective appointees, including but not limited to
relatives, lawyers, physicians or other designated respresentatives.
Veterans Administration upon request for the determination of
eligibility for benefits administered by that agency.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Locked file cabinet.
Retrievability:
Retrievability: Alphabetical listing.
Safeguards:
Safeguards: Stored in locked file cabinets.
Access restricted to representatives of incompetent.
Identification required, such as, a military identification card,
valid state driver's license, or other picture identification card.
Retention and disposal:
Retention and Disposal: Maintained for 5 years after action is
completed then destroyed.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by trustee or guardian.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District office or unit having custody of the
records. See Appendix I for addresses.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Coast Guard officials, legal
representatives of individuals and/or individuals concerned, and
complainants.
DOT/CG 638
System name: USCG Alcohol Abuse Prevention Program Record
System.
System location:
Records are maintained in the office of:
a. Commander, U.S. Coast Guard, Maintenance and Logistics Command,
Atlantic, New York, NY 10004-5098.
b. Commander, U.S. Coast Guard, Maintenance and Logistics Command,
Pacific, Alameda, CA 94501-5100.
Categories of individuals covered by the system:
Active duty Coast Guard personnel receiving alcohol rehabilitation
treatment.
Categories of records in the system:
Alcohol rehabilitation particulars which include: Name, Social
Security Number, Prior Service, Rate/Rank, Date of Birth, History of
Alcohol Abuse, Treatment Center, Dates of Treatment, Notes on
Aftercare, and Final Disposition and Type.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on file cards (3'' X 5'') and/or a computer
data base.
Retrievability:
Records are retrieved by the name of the individual.
Safeguards:
File cards are maintained in locked filing cabinets. The computer data
base is protected by password access limited to the Alcohol Program
Managers.
Retention and disposal:
Records will be destroyed three years after last activity.
System manager(s) and address:
Commandant (G-KOM), United States Coast Guard, 400 7th Street SW,
Washington, DC 20590-0001.
Notification procedure:
Written inquiries shall be submitted to the Alcohol Program Manager in
the area in which the member most recently received treatment, at the
following addresses:
a. Commander, U.S. Coast Guard, Maintenance and Logistics Command,
Atlantic, New York, NY 10004-5098.
b. Commander, U.S. Coast Guard, Maintenance and Logistics Command,
Pacific, Alameda, CA 94501-5100.
Record access procedures:
Access may be obtained by writing to, or visiting Commander, U.S.
Coast Guard Maintenance and Logistics Command, Atlantic, or U.S. Coast
Guard Maintenance and Logistics Command, Pacific, at the addresses in
``System location.'' Written requests must be signed by the member. An
individual visiting the Maintenance and Logistics Command must provide
identification to obtain access to records. A military identification
card, a driver's license, or similar document will be considered
suitable identification.
a. For individuals undergoing treatment, the record is maintained at
the Coast Guard Maintenance and Logistics Command responsible for the
geographic region where the member is permanently assigned.
b. For individuals who have completed treatment, the record is
maintained at the Coast Guard Maintenance and Logistics Command
responsible for the geographic region where treatment was completed.
Contesting record procedures:
Same as ``Record access procedure.''
Record source categories:
a. Personnel records.
b. Medical records.
c. Security records.
d. Treatment facility reports.
e. Post treatment aftercare reports.
DOT/CG 639
System name: System Name: Request for Remission of
Indebtedness, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-PS),
2100 2nd Street, SW,
Washington, DC 20593.
Decentralized segments are located at:
Each District and Headquarters Unit. See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Active Duty Enlisted Coast Guard
Personnel.
Categories of records in the system:
Categories of Records: Files containing correspondence, requests with
endorsements, research material, paneling action, Commandant's
decisions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For use in making determinations based on the best
interests of the individual and the Government.
Categories of users are Coast Guard Officials in performance of
their official duties.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Locked filing cabinets.
Retrievability:
Retrievability: Alphabetical listing.
Safeguards:
Safeguards: Locked filing cabinets.
Retention and disposal:
Retention and Disposal: Retained for 5 years after decision is made,
then destroyed.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written requests must be signed by individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
or the local Coast Guard District or unit for the area in which an
individual's duty station is located.
Proof of identity will be required prior to affording an individual
access to records. A military identification card, a driver's
license or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information is obtained from individual and
Coast Guard Officials.
DOT/CG 640
System name: System Name: Outside Employment of Active Duty
Coast Guard Personnel, DOT/CG.
System location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-PS),
2100 2nd Street, SW,
Washington, DC 20593.
Decentralized segments are located at:
Each District Office and Headquarters Unit. See Appendix I for
locations.
Categories of individuals covered by the system:
Categories of Individuals: Active Duty and Reserve Coast Guard
Personnel.
Categories of records in the system:
Categories of Records: Correspondence relating to individual's
request for part time employment.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For use by Coast Guard officials in determining in
questionable cases whether an individual should hold a particular job
or position. Both the legality and the propriety of the request are
considered.
See Prefatory Statement of General Routine Uses; 3 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Locked filing cabinet.
Retrievability:
Retrievability: Alphabetical listing.
Safeguards:
Safeguards: Kept in locked filing cabinet.
Access restricted to individuals who request outside employment,
and authorized Coast Guard officials.
Proper identification is required.
Retention and disposal:
Retention and Disposal: Retained indefinitely.
System manager(s) and address:
System Manager: Chief, Office of Personnel,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written requests must be signed by the individual whose record(s)
is being requested.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
above or the local Coast Guard District Office or unit for the area in
which an individual's duty station is located. See addresses in
Appendix I.
Proof of identity will be required, prior to affording an
individual access to records. A military identification card, a
driver's license or similar document will be considered suitable
identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information is obtained from the individual
and Coast Guard officials.
DOT/CG 641
System name: Coast Guard Family Special Needs Program.
System location:
Commandant (G-PS), U.S. Coast Guard, Washington, DC 20593-0001.
Decentralized segments of this system of records may be maintained at
the district, Maintenance and Logistics Command (MLC), or Headquarters
Unit Social Worker's Office, at the duty station of the sponsor, and
at selected medical facilities. Decentralized segments may also be
maintained in the office of the district, MLC, or Headquarters Unit
Family Advocacy Representative (FAR) which serves the unit of the
sponsor.
Categories of individuals covered by the system:
Active duty and retired Coast Guard personnel and their dependents who
have diagnosed medical, physical, psychological, or educational need
which constitutes a developmental disability or handicapped condition.
Active duty Coast Guard personnel and their dependents considered for
overseas assignment.
Categories of records in the system:
Extracts or copies of medical, educational and psychological records
of members and/or dependents with special needs, follow-up and
evaluation reports, and any other data relevant to individual special
needs program files or overseas screening.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. Provide to Federal Government agencies for coordination of special
needs programs, medical care, mental health treatment, and monitoring
and tracking special needs families.
b. Provide to individuals or organizations providing family support
program care under contract to the Federal Government.
c. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records may be stored in file folders, microfilm, magnetic tape,
punched cards, machine lists, discs, and other computerized or machine
readable media.
Retrievability:
Records are retrieved through indices and cross indices of all
individuals and relevant incident data. Types of indices used include,
but not limited to: Name, social security number, and the diagnosis or
International Classification of Diseases (ICD) code of the special
needs condition.
Safeguards:
Records are maintained in various kinds of locked filing equipment in
specified monitored or controlled access rooms or areas. Records are
accessible only to authorized personnel. Computer terminals are
located in supervised areas, with access controlled by password or
other user code system.
Retention and disposal:
a. Records will be maintained at a decentralized location until the
sponsor is separated or the dependent is no longer diagnosed as having
special needs.
b. Upon separation of the sponsor or when the dependent is no longer
diagnosed as having special needs, the record will be transferred to
Commandant (G-PS). After a 3 year retention, the record will be
destroyed.
System manager(s) and address:
Chief, Office of Personnel and Training (G-P), Department of
Transportation, United States Coast Guard, Washington, DC 20593-0001.
Notification procedure:
a. Central location: Notarized written requests should contain the
full name and social security number of the member and be addressed to
Commandant (G-TIS), U.S. Coast Guard, Washington, DC 20593-0001.
b. Decentralized locations: Notarized written request should contain
the full name and social security number of the member and be
addressed to the MLC, district, or unit where the individual is
assigned.
Record access procedures:
Same as Notification Procedure.
Contesting record procedures:
Same as Notification Procedure.
Record source categories:
Reports from medical personnel, mental health and educational
institutions, public and private health and welfare agencies, and
Coast Guard personnel and private individuals.
DOT/CG 642
System name:
Joint Maritime Information Element (JMIE) Support System (JSS).
System location:
U.S. Coast Guard, Operations Systems Center, Martinsburg, WV 25401
Categories of individuals covered by the system:
Individuals with established relationship(s) / association(s) to
maritime vessels that are included in the Joint Maritime Information
Element (JMIE) Support System (JSS). Specifically, information on ship
owners, passengers and crew will be stored in the JSS.
Categories of records in the system:
a. Records containing information on maritime vessels and vessel
characteristics including: Performance data, vessel identification
data, registration data, movements, reported locations, activity and
associate information (data pertaining to people or organizations
associated with vessels) for owners, passengers, and crew members.
b. Copies of reports submitted by Coast Guard crews relating to
boardings and/or overflights, as well as any violations of U.S. law,
along with enforcement actions taken during boarding. Such reports
could contain names of passengers on vessels, as well as owners and
crew members.
c. Records involving vessels and associates which are known, suspected
or alleged to be involved in contraband trafficking. Within the JMIE
Support System, contraband is meant to refer to any item that is
illegally imported/exported to/from the United States via maritime
activity.
Authority for maintenance of the system:
This system has been established in order for various United States
Government agencies or military services/commands from the Law
Enforcement and Intelligence Communities, that require timely sharing
of multi-source maritime information, to perform their mission. The
consortium members empowered to perform law enforcement, the only ones
that will have access to information covered by the Privacy Act, and
their authority, are:
a. U.S. Coast Guard, 14 USC 89
b. U.S. Customs Service, 19 USC 1589a
c. Drug Enforcement Administration, 21 USC 878
d. Immigration and Naturalization Service, 8 USC 1324
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. With the single exception that the Intelligence Community will not
have access to Privacy Act data, records may be disclosed to JMIE
consortium member agencies through remote terminal access for purposes
such as maintaining suspect lists, enforcing U.S. laws dealing with
items such as counternarcotics, fisheries, and boating safety.
On behalf of the JMIE consortium, the U.S. Coast Guard serves as the
executive agent for this system. The agencies currently comprising the
JMIE consortium are as follows:
(1) U.S. Coast Guard
(2) U.S. Customs Service
(3) Maritime Administration
(4) Drug Enforcement Administration
(5) Office of Naval Intelligence
(6) Military Sealift Command
(7) Central Intelligence Agency
(8) Defense Intelligence Agency
(9) National Security Agency
(10) Department of State
(11) Department of Energy
(12) Office of National Drug Control Policy
(13) Bureau of Census
(14) Immigration and Naturalization Service
(15) U.S. National Central Bureau--INTERPOL
Consortium members gain access to the JSS data and records via remote
computer terminals operating on a secure communications network.
In addition to the data access granted to each of the JMIE consortium
members and their respective agencies or offices, JMIE data (except
for Privacy Act data or where authorized by appropriate statute) is
also available, through the same secure communications network and
remote computer terminals, to the following U.S. Government entities:
Commander, Joint Task Force 4, Key West, FL
Commander, Joint Task Force 5, Alameda, CA
U.S. European Command
Commander-in Chief, U.S. Forces Atlantic
Navy and Marine Corps Intelligence Training Center
Joint Intelligence Center, Pacific
Authorized U.S. Government contractors involved in system
development.
b. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage of all records is in an ADP data base operated and maintained
by the U.S. Coast Guard. Privacy Act data are stored and controlled
separately from other information in the data base. Classified and
non-classified information from consortium members and other sources
is merged into a classified data base.
Dynamic information on vessel location and movements is obtained daily
and stored on-line (disk resident) for a period of two (2) years.
Other information such as characteristics, identification status and
associate records is updated at prescribed intervals of three (3)
months to one year to remain current and is retained indefinitely.
Classified information, downloaded from the host and then extracted
from the PC workstations and recorded on paper (or magnetic media),
may be stored at user sites in classified storage containers or on
secured magnetic media.
Unclassified information will be stored in accordance with each user
sites' handling procedures. All records provided to a JSS subscriber
in response to a ``specific name'' query, will be kept in an audit
record and retained for a minimum of five (5) years or the life of the
system, whichever is longer.
Retrievability:
a. Although records are retrievable by requesting a match on any of
the 500+ information items retained within the system, normal matching
will be by ``vessel name'' or ``vessel location''.
b. Specifically, information on individuals may be retrieved by
matching individual name, Social Security Number, passport number, or
the individual's relationship to the vessel (e.g., owner, shipper,
consignee, crew member, passenger, etc.). Controls have been installed
to ensure that information on individuals is not retrievable or
accessed by members of the intelligence community.
Safeguards:
The JMIE Support System (JSS) has its own approved System Security
Plan which provides that:
a. All classified JSS equipment, records and storage devices are
located within facilities or stored in containers approved for the
storage of SECRET level information.
b. All statutory and regulatory requirements pertinent to classified
and unclassified information have been identified in the JMIE System
Security Plan and have been implemented, and
c. Access to records is limited strictly to personnel with SECRET
level clearances, who have been determined to have the appropriate
``need to know''.
The U.S. Coast Guard will operate the JMIE Support System in
consonance with Federal security regulations, policy, procedures,
standards and guidance for implementing the Automated Information
Systems Security Program. Specific operating rules to ensure
compliance with national policy are reflected in each site's Standard
Operating Procedures. These rules include specifications that access
to records containing information on U.S. persons are as follows:
a. Only authorized personnel may access such records.
b. Each access to such records must specify a ``purpose'' before
access will be granted.
c. Each access to such records will be entered into audit records
which are maintained for five (5) years or the life of the system,
whichever is longer.
Retention and disposal:
Records relating to ship characteristics are retained indefinitely.
Records of a transitory nature (relative to ship locations, and
individuals identified as passengers or crew, etc.) are maintained on
line for a minimum of two (2) years, then purged per General Records
Schedule 23. Audit records, maintained to document JSS user access to
information relating to specific individuals, are maintained for five
(5) years, or the life of the system, whichever is longer. Access to
audit records will only be granted to authorized personnel approved by
the Executive Agent. Information retrieved from the host and stored at
user sites will be disposed of in accordance with the requirements for
classified and sensitive information.
System manager(s) and address:
JMIE Executive Agent, United States Coast Guard Intelligence Division
(G-OIN-3), 2100 Second Street, SW, Washington, DC 20593-0001.
Notification procedure:
Submit a written request noting the information desired. The request
must be signed by the individual, or his/her legal representative, and
must be notarized to certify the identity of the requesting
individual. Send the request to: Commanding Officer, U.S. Coast Guard,
Operations Systems Center, Martinsburg, WV 25401.
Record access procedure:
Write the Commanding Officer at the address given above in accordance
with the ``Notification Procedure''.
Contesting record procedures:
Same as record access procedure.
Record source categories:
Federal, State and local law enforcement agencies, other Federal
agencies, commercial sources.
System exempted from certain provisions of the act:
Under subsection (j)(2) of the Privacy Act (5 USC 552a), portions of
the system of records that consist of
a. Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition
of criminal charges, sentencing, confinement, release, and parole and
probation status;
b. Information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; or
c. Reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision, are exempt from all parts of 5 USC
552a except subsections: (b) (Conditions of disclosure); (c)(1) and
(2) (Accounting of certain disclosures); (e)(4)(A) through (F)
(Publication of existence and character of system); (e)(6) (Ensure
records are accurate, relevant, timely, and complete before disclosure
to persons other than an agency and other than pursuant to a Freedom
of Information Act request), (e)(7) (Restrict recordkeeping on First
Amendment rights), (e)(9) (Rules of conduct), (e)(10) Safeguards),
(e)(11) (Routine use publication); and (i) (Criminal penalties).
Portions of this system may be exempt from disclosure under 5 U.S.C.
552a(k)(1) as being subject to the provisions of 5 U.S.C. 552(b)(1),
matters that are ``(A) specifically authorized under criteria
established by an Executive order to be kept secret in the interest of
national defense or foreign policy and (B) are in fact properly
classified pursuant to such Executive Order.''
With regard to material meeting the provisions of 5 U.S.C. 552a(k)(1),
the JSS Data Base system of records is exempted from the following
provisions: 5 U.S.C. 552a (c)(3); 5 U.S.C. 552a (d)(1), (2), (3) and
(4); 5 U.S.C. 552a (e)(1), (4)(G), (4)(H), and (4)(I); and 5 U.S.C.
552a (f).
Under the provisions of 5 U.S.C. 552a(k)(2), portions of this system
may be exempt from disclosure. Section (k)(2) provides for exemption
of records which include: Investigatory material compiled for law
enforcement purposes, other than material within the scope of
subsection (j)(2) of this section: Provided however, that if any
individual is denied any right, privilege, or benefit that he/she
would otherwise be entitled by Federal law, or for which he/she would
otherwise be eligible, as a result of the maintenance of such
material, such material shall be provided to such individual, except
to the extent that the disclosure of such 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. Among
these provisions are the requirements in subsection (c)(3) to maintain
an accounting of disclosures of information from a system of records
and make that accounting available on request to the record subject,
and subsection (d) to grant to a record subject access to information
maintained on him/her under the Act.
To the extent that the system of records may contain information which
meets the criteria for exemption under 5 U.S.C.552a (k)(2), the JSS
Data Base system of records is exempted from the following provisions
of 5 U.S.C.: 5 U.S.C. 552a (c)(3); 5 U.S.C. 552a (d)(1), (2), (3), and
(4); 5 U.S.C. 552a (e)(1), (4)(G), (4)(H), and (4)(I); and 5 U.S.C.
552a (f).
DOT/CG 671
System name: System Name: Biographical Statement, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-B),
2100 2nd Street, SW,
Washington, DC 20593.
Categories of individuals covered by the system:
Categories of Individuals: Key DOT officials, USCG officers.
Categories of records in the system:
Categories of Records: Individual biographical data.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Public Affairs Staff - uses records for publicity.
Personnel Office - uses records for promotion.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper forms and correspondence are stored in filing
cabinets.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Personnel are screened prior to granting access.
Stored in building having roving security guards during non-working
hours.
Retention and disposal:
Retention and Disposal: Transferred to historical file upon
termination of active duty.
System manager(s) and address:
System Manager:
Chief, Office of Boating, Public and Consumer Affairs.
Department of Transportation,
U. S. Coast Guard Headquarters
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593. Written request must be signed by individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification
Procedure.`
Proof of identity will be required prior to granting access. A
military identification card, drivers license, or similar document
will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Individual named in file.
DOT/CG 676
System name: System Name: Official Coast Guard Reserve Service
Record, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-RA),
2100 2nd Street, SW,
Washington, DC 20593. For official records on discharged, retired,
and separated former members:
General Services Administration (GSA),
National Personnel Records Center (Military Personnel Records),
9700 Page Boulevard,
St. Louis, MO 63132.
Decentralized segments are located at:
Each Coast Guard District Reserve office (for District records).
Categories of individuals covered by the system:
Categories of Individuals: Reserve officer and enlisted personnel
(not on extended active duty) in an active, inactive, retired,
discharged, separated or former member status; including those
Reservists released from extended active duty to fulfill a specified
term of obligated inactive reserve service.
Enrolled and disenrolled members of the Temporary Coast Guard
Reserve.
Categories of records in the system:
Categories of Records: Official career history of each Reservist
including (as applicable):
Enlistment contract or Oath of Office.
Record of Emergency Data.
Training Courses/Educational achievements.
Rate/Grade/Rating qualifications.
Leave record.
Performance of duty marks/fitness reports.
Medals and commendations.
Record of sea duty/duty outside continental United States.
Statements of creditable and former service (including pay base
date).
Statements and computations of retirement points.
Official orders.
Correspondence pertaining to any/all of the above.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses:
Fulfillment of normal administrative personnel procedures,
including examining and screening for completeness and accuracy of
records and correspondence pertaining thereto.
Screening of service records for advancement, promotion, or
retention of individual Reservists by various Reserve Boards.
Answering of Congressional and personal inquiries initiated by the
individual whose record is concerned.
Preparation of forms, statements, compilations and computations
necessary in the daily personnel administration of each individual
entering, reentering or leaving the Coast Guard Reserve. Routine
personnel administration requires copies of this and other service
record material to be included in administrative files physically
separated from the record; however, the original copy of this
material will be included in the official service record maintained
at Coast Guard Headquarters.
Furnishing of information (authorized and specified by the
individual concerned) to other agencies or individuals (specified by
the individual concerned) normally concerned with employment,
educational or Veterans benefits, claims, or applications.
Furnishing specified material in a Reservist's service record
pursuant to the order of a court of competent jurisdiction.
Used by:
Individual upon whom records are kept (personal review).
File clerks and personnel from the Office of Reserve,
Administration, Training, and Programs Divisions in the normal
performance of their duties.
Other personnel within the Coast Guard in the normal performance of
their duties, as authorized by the Chief, Reserve Administration
Division or his designated representative.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records maintained on paper assembled and filed in one
official service record per member.
Retrievability:
Retrievability: Individual Service Records are indexed and
retrievable by name and/or triple terminal digit of member's service
number.
Safeguards:
Safeguards: Service records are maintained in a central storage area
locked behind two separate doors.
During non-working hours the building security consists of roving
and static security patrols.
During working hours physical access to records is controlled by
Records Control Branch personnel.
Retention and disposal:
Retention and Disposal: Individual records are maintained at CG
Headquarters until six months after an enlisted member's separation
from the service (three months for officers), after which it is
transmitted for permanent storage to the:
Military Personnel Record Center (MPRC)
National Personnel Records Center (NPRC),
9700 Page Boulevard,
St. Louis, MO 63132.
In the case of retired members, the service record is shipped to
NPRC upon retirement.
System manager(s) and address:
System Manager:
Chief, Office of Reserve (G-R),
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure: Inquiry requests for determination whether
this system contains records on an individual should be made by that
individual, in person or in writing to:
Department of Transportation,
United States Cost Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written requests must be signed by the individual and must include
the member's name, social security number and/or reserve number.
Record access procedures:
Record Access Procedure: Procedures for access may be obtained by
writing to or visiting Commandant (G-CMA) at the address in
`Notification Procedure` or the District Office in which an
individual's duty station is located.
Proof of identity will be required prior to affording an individual
access (may consist of a military identification, driver's license,
or other suitable identification.)
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information contained in a member's service
record is obtained from the individual concerned, CG Headquarters,
District offices and other CG units.
Systems exempted from certain provisions of the act:
Exemptions: Portions of this system of records may be exempt from
disclosure under the provisions of 5 USC 552a(k)(5), which provide, in
part, that investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information may be withheld from disclosure but only to the
extent that the disclosure of such 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 the effective date of this section, under an
implied promise that the identity of the source would be held in
confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(7), which provides, in part,
that evaluation material used to determine potential for promotion
in the armed services may be withheld from disclosure but only to
the extent that the disclosure of such 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 the effective date of this section,
under an implied promise that the identity of the source would be
held in confidence.
Portions of this system of records may be exempt from disclosure
under the provisions of 5 USC 552a(k)(6), which provides, in part,
that testing or examination material used soley to determine
individual qualifications for appointment or promotion in the
Federal service may be withheld from disclosure to the extent that
disclosure of these records would compromise the objectivity or
fairness of the testing or examination process.
DOT/CG 677
System name: System Name: Coast Guard Reserve Personnel
Mobilization System, DOT/CG.
System location:
System Location: Department of Transportation, (DOT),
United States Coast Guard (CG),
Commandant (G-RP),
2100 2nd Street, SW,
Washington, DC 20593.
Commander Reserve in each Coast Guard District Office (except
17th).
Each District and Headquarters Unit.
See Appendix I for locations.
Categories of individuals covered by the system:
Categories of Individuals: Reserve officer and enlisted personnel
(not on extended active duty) in an Active or Retired status;
including those Reservists released from extended active duty to
fulfill a specified term of obligated inactive Reserve service.
Categories of records in the system:
Categories of Records:
Mobilization and qualification cards and orders.
Initial, Annual, and Retired Screening and Qualification
Questionaires.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Fulfillment of normal administrative procedures
including the examining and screening for completeness and accuracy of
records, correspondence pertaining thereto as a basis for assignment
to active duty for training; special active duty for training or
extended active duty and mobilization billets.
Users of these Records are Coast Guard employees in performance of
official duties.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Records maintained on paper, punched cards and magnetic tape
Retrievability:
Retrievability: Individual Reservists are indexed by name and/or
social security account number.
Safeguards:
Safeguards: Safeguards and controls afforded this system of records
are similar to those normally employed `For Official Use Only`
material, both at Headquarters and District Offices.
Records are maintained in locked secure areas when not in use and
personnel screening is employed prior to granting access.
Retention and disposal:
Retention and Disposal: Individual records are maintained at CG
Districts and at Headquarters throughout the members active Reserve
status and during any period in a Retired Status thereafter (as
applicable, and for as long as that member is considered a mobilizable
resource).
A `dead file` is often maintained for those Reservists transferred,
discharged, or otherwise separated (this procedure varies from
District to District.)
The majority of records in this system (in any form) are generally
destroyed immediately after the expiration of their useful life,
except those retained in the aforementioned `dead files' (which are
subsequently destroyed one year after placement in the file). The
major exceptions to this policy are the Screening and Qualification
Questionaires, which are filed in the Reservists District Service
Record.
Records are destroyed by mutilating, shredding or burning.
System manager(s) and address:
System Manager:
Chief, Office of Reserve (G-R),
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedures: Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written request must be signed by the individual.
Record access procedures:
Records Access Procedures: Individual should contact Commandant (G-
CMA) in person or in writing at the address in `Notification
Procedure`.
For records maintained at the District, individual should contact
the Commander (r) at the District to which the individual is
assigned. Refer to Appendix I for addresses.
Contesting record procedures:
Contesting Record Procedures: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information contained in this system of
records is obtained from the following sources: The individual
himself, CG Headquarters, and CG District Offices,
DOT/CG 678
System name: System Name: Reserve Personnel Management
Information System (Automated).
System location:
System Location: Department of Transportation (DOT)
United States Coast Guard (CG)
Commandant (G-RA)
2100 2nd Street, SW,
Washington, DC 20593
Categories of individuals covered by the system:
Categories of Individuals: Reserve officers and enlisted personnel in
an active or inactive status, including retired reservist, and those
reservists released from extended active duty to fulfill a specific
term of inactive obligated service.
Categories of records in the system:
Categories of Records: Included in RPMIS are the following data
concerning each Coast Guard Reservist in this system which are
necessary to administer the Coast Guard program: Name, social security
number, present and last five grades or rates, educational background,
civilian and military, foreign language and proficiency, history of
unit assignments and dates assigned, duty status, date of birth, date
of enlistment, appointment or extension, AFQT scores, source of entry,
date of commission, prior service, date of expiration of obligation,
anniversary data on pay base date, aviation pay and administrative
pay, training rating, reserve category and class, training/pay
category, data on ADT for last five years, number of dependents,
Federal withholding exemptions, Selective Service induction
certification, date of completion of Ready obligation, officer
experience indicator, last screening date and result, civilian
occupation, date of last National Agency Check, Background
Investigation and security clearance, domestic emergency volunteer,
date of last physical and immunization, data on special active duty
for training and extended active duty, annual training date, total
retirement points and satisfactory years of service for retirement
purpose, current year retirement point accounting data, including
inactive duty training participation, correspondence course activity,
taxable wages paid and withholdings, uniform allowances, Servicemens
Group Life Insurance (SGLI) information, mailing address, and work and
home phone number.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The RPMIS is used for the personnel administration of
individual reservists and the overall management of the reserve
program. See Prefatory Statement of General Routine Uses. The Master
Personnel File provides status and qualification listings, expiration
of enlistment and physical reports, strength management reports, unit
and district roster, and advancement and promotion reports. The Pay
and Point File provides point count statements, budgeting reports,
inactive duty and active duty pay, and retirement eligibility
listings. The addresses of individual reservists are used for mailing
paychecks, earning statements, `The Reservist`, and Annual Screening
Questionnaires. Records in this system are routinely disclosed to the
Treasury Department to complete payroll checks. Used by: Authorized
personnel from the Office of Reserve and the Office of the
Comptroller, authorized personnel on the staff of the various district
commanders in the normal performance of their official duties, the
Deputy Assistant Secretary of Defense for Manpower, Logistics and
Reserve Affairs and others as authorized by Chief, Office of Reserve
or his representative.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: The storage is on computer disks with magnetic tape backups.
The file is updated weekly.
Retrievability:
Retrievability: Individual records in the system are retrieved by
Social Security Number.
Safeguards:
Safeguards: Magnetic tapes are stored in locked storage areas when
not in use and are accounted for at all times during actual use.
Personnel screening is employed prior to granting access.
Retention and disposal:
Retention and Disposal: Magnetic tapes are used, corrected and
updated until the tapes become physically deteriorated after which
they are destroyed. A reservist's address is maintained on file for
approximately one year after discharge, to allow for processing of
annual point statements and W-2 forms. Audit trails are maintained
indefinitely and the Master Personnel file and Pay and Points file are
continually updated.
System manager(s) and address:
System Manager: Chief, Office of Reserve, Department of
Transportation, United States Coast Guard Headquarters, Commandant (G-
R), 2100 2nd Street, SW, Washington, DC 20593.
Notification procedure:
Notification Procedure: Requests to determine if this system contains
information on any individual should be made in person or in writing
to: Department of Transportation, United States Coast Guard
Headquarters, Commandant (G-CMA), 2100 2nd Street, SW, Washington, DC
20593. Written request must be signed by the individual.
Record access procedures:
Record Access Procedures: Procedures for access to records may be
obtained by writing to or visiting Commandant (G-CMA) at the address
in `Notification Procedures`. Prior written notification of personal
visit will insure that the record will be available at the time of
visit. Proof of identity will be required prior to release of records.
A military identification or similar document will be considered
suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedures`.
Record source categories:
Record Source Categories: Information contained in the system is
obtained from the individual, Coast Guard Headquarters and district
offices, and the various operating units of the Coast Guard.
DOT/CG 691
System name: System Name: Master Chief Petty Officer of the
Coast Guard Individual Grievance and Correspondence File, DOT/CG.
System location:
System Location: Department of Transportation (DOT),
United States Coast Guard (CG),
Commandant (G-CMCPO),
2100 2nd Street, SW,
Washington, DC 20593.
System is also maintained at:
Each District and Headquarters Unit which has a Senior Enlisted
Advisor assigned. See Appendix I for addresses.
Categories of individuals covered by the system:
Categories of Individuals: Enlisted Coast Guard Personnel who have
filed a grievance or requested information through the Master Chief
Petty Officer of the Coast Guard (at Headquarters) or the Senior
Enlisted Advisors at field units.
Categories of records in the system:
Categories of Records: Correspondence and other related information
compiled during the process of resolving alleged grievance.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by Master Chief Petty Officer, Commandant/Vice
Commandant, Special Assistant, Administrative Aide and other
authorized officials, to resolve enlisted personnel problems and
inquiries.
See Prefatory Statement of General Routine Uses; 2 through 5 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders in locked file cabinet.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Locked room and file cabinets.
Screening of personnel prior to granting access.
Retention and disposal:
Retention and Disposal: Kept until individual is discharged or
retired at which time the records are destroyed by mutilating,
shredding and burning.
System manager(s) and address:
System Manager: Master Chief Petty Officer of the Coast Guard,
Department of Transportation,
United States Coast Guard Headquarters,
2100 2nd Street, SW,
Washington, DC 20593.
Notification procedure:
Notification Procedure:
Department of Transportation,
United States Coast Guard Headquarters,
Commandant (G-CMA),
2100 2nd Street, SW,
Washington, DC 20593.
Written requests must be signed by the individual.
Record access procedures:
Record Access Procedure: Procedures may be obtained by writing to or
visiting Commandant (G-CMA) at the address in `Notification Procedure`
above or the local activity where the complaint was filed. See
Appendix I for addresses.
Prior written notification of personnel visits is required to
insure that the records will be available at the time of visit.
Proof of identity will be required prior to release of records. A
military identification card, driver's license or similiar document
will be considered suitable identification.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Information received from individuals and
Coast Guard Units.
DOT/FAA 801
System name: System Name: Aircraft Registration System, DOT/
FAA.
System location:
System Location: Aircraft Registration Branch,
Aeronautical Center,
Oklahoma City, OK 73125.
Portions of these records are located in:
General Aviation District Offices (GADO's).
Air Carrier District Offices (ACDO's).
Flight Standards District Offices (FSDO's).
Categories of individuals covered by the system:
Categories of Individuals: This system identifies aircraft owners,
partners, corporations, lien holders, operators, and lessees.
Categories of records in the system:
Categories of Records: This system consists of a series of records
that identify:
Aircraft types.
Current certification status and ownership of registered aircraft.
Aircraft to be registered, or aircraft that have been registered
and are now temporarily deregistered.
These records contain information about:
N - Number assignment.
Airworthiness of aircraft.
Bills of sale.
Applications for certification of amateur aircraft.
Major repairs and alterations maintenance inspection forms.
Revalidation and use forms.
Lien and collateral documents.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To determine that aircraft are registered in accordance
with the provisions of the Federal Aviation Act of 1958.
To support investigative efforts of investigation and law
enforcement agencies of Federal, State, and foreign governments.
To serve as a repository of legal documents used by individuals and
title search companies to determine the legal ownership of an
aircraft.
To provide aircraft owners and operators information about
potential mechanical defects or unsafe conditions of their aircraft
in the form of airworthiness directives.
To provide supporting information in court cases concerning
liability of individual in law suits.
To serve as a data source for management information for production
of summary descriptive statistics and analytical studies in support
of agency functions for which the records are collected and
maintained.
To respond to general requests from the aviation community or the
public for statistical information under the Freedom of Information
Act or to locate specific individuals or specific aircraft for
accident investigation, violation, or other safety related
requirements.
To provide data for the automated aircraft registration master
file.
To provide data for development of the aircraft registration
statistical system.
To prepare an Aircraft Registry in magnetic tape and microfiche
form required by ICAO agreement containing information on aircraft
owners by name, address, N-Number, type of aircraft, used for
internal FAA safety program purposes and also available to the
public (individuals, aviation organizations, direct mail
advertisers, State and local governments, etc.) upon payment of user
chargers reimbursing the Federal Government for its costs.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are maintained in file folders, magnetic tape, punch
cards, and on microfiche.
Retrievability:
Retrievability: Records are filed by registration number, but may be
retrieved by name of the current individual aircraft owners.
Safeguards:
Safeguards: Records are stored in open shelves in a room that is open
only to authorized employees and by special permission.
Magnetic tapes are maintained in secure data processing area
accessed by pass only.
Backup records for microfiche are maintained in remote storage.
Retention and disposal:
Retention and Disposal: If records are microfiched: (1) Original
Records. Destroy original records after microfiche is determined to be
an adequate substitute for paper records; (2) Microfiche of Original
Records. Destroy when it is determined that the aircraft is no longer
in existence.
If records are not microfiched: Destroy when it is determined that
the aircraft is no longer in existence.
System manager(s) and address:
System Manager(s) and Address: For official agency records, contact:
Manager, Aircraft Registration Branch,
Aeronautical Center,
Oklahoma City, OK 73125.
Chief of the nearest GADO, ACDO, or FSDO.
Notification procedure:
Notification Procedure: Individual owners of currently registered
aircraft who wish to know if their records appear in this system of
records may inquire in person or in writing to the System Manager.
Record access procedures:
Record Access Procedure: Individual owners of currently registered
aircraft who desire access to the information about themselves in this
system of records should contact or address their inquiries to the
System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Information is collected from individuals,
manufacturers of aircraft, maintenance inspectors, mechanics, and FAA
officials.
DOT/FAA 807
System name: System Name: Police Warrant File and Central Files
DOT/FAA.
System location:
System Location:
Police Branches,
Washington National and Dulles International Airports.
Civil Aviation Security Division,
Aeronautical Center,
Oklahoma City, OK 73125.
Categories of individuals covered by the system:
Categories of Individuals: Individuals failing to pay Violation
Notices and individuals involved in a situation requiring a police
report.
Individuals cited for parking and a traffic violation.
Individuals having criminal records.
Categories of records in the system:
Categories of Records: Individual Case File, file cards with warrant
numbers, arrest records, traffic accident records, injury reports,
loss, theft and complaints reports, traffic violations notice files.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: These records are used to carry out such required
functions as:
Check for wanted individuals and vehicles.
Vehicle registration information.
Prior offense status, to testify in court hearings, to assist in
case preparation by U.S. Attorney's Office.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are maintained in file folders. Stored in metal file
cabinets.
Retrievability:
Retrievability: Data are retrievable by individual name and/or cross
referenced to a warrant number as a case file number.
Safeguards:
Safeguards: Files are retained in a secured work area accessible only
by consent of guard on duty.
Retention and disposal:
Retention and Disposal: Warrants are disposed of when warrant has
been paid, case files are kept permanently. Records of citations
destroyed after 1 year.
System manager(s) and address:
System Manager(s) and Address: Director, Metropolitan Washington
Airports.
Washington National Airport,
Hangar 9,
Washington, DC 20001.
Manager, Civil Aviation Security Division,
Aeronautical Center,
Oklahoma City, OK 73125.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Agency employees, arresting officers,
investigating officers, other agencies, witnesses.
Systems exempted from certain provisions of the act:
Exemptions: System is exempt from certain subsections of the Privacy
Act. The purpose of the exemption is to prevent compromise or
impairment of criminal investigations conducted by the Airport Police
Branches. The exemption rule may be found on page 49887 of the Friday,
October 24, 1975, issue of the Federal Register.
DOT/FAA 810
System name: System Name: Discrimination Complaint Files, DOT/
FAA.
System location:
System Location: These records are maintained at FAA regional and
center Civil Rights Offices and at the FAA Office of Civil Rights in
Washington, DC.
Categories of individuals covered by the system:
Categories of Individuals: This system of records contains
information regarding FAA employees, and applicants for FAA
employment, who are directly or indirectly involved in a
discrimination complaint filed with FAA.
Categories of records in the system:
Categories of Records: Case files developed in processing complaints
of discrimination.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Investigation of alleged discrimination.
Preparation of analytical and statistical studies and reports.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: These records are maintained in approved security files and
containers.
Retrievability:
Retrievability: These records are retrieved by name.
Safeguards:
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal:
Retention and Disposal: These records are destroyed 5 years after the
final decision is rendered.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Civil Rights, ACR-
1, FAA,
800 Independence Avenue, SW,
Washington, DC 20591.
and regional and center Civil Rights Offices.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Information contained in this system comes
from complaints filed by complainants; EEO counselor reports;
investigative reports; and departmental decisions.
DOT/FAA 811
System name: System Name: Employee Health Record System, DOT/
FAA.
System location:
System Location: These records are maintained at DOT regional, center
and Washington medical facilities or other government health units
servicing the employees' geographic locations.
Categories of individuals covered by the system:
Categories of Individuals: This system of records contains
information regarding DOT employees.
Categories of records in the system:
Categories of Records: This system of records contains documents
constituting the basic medical record of a DOT employee, including
medical examination reports, laboratory findings, correspondence,
retirement, fitness for duty examinations, health and physical
training records, and related papers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To document employee health unit visits and nature of
complaint or physical examination findings, treatment rendered and
case disposition. To be used by agency officials and consultants to
determine employee fitness for duty or employment.
To monitor the physical condition of employees enrolled in the DOT
Employee Fitness Program.
To prepare analytical and statistical studies and reports.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: These records are maintained in approved security files and
containers, on magnetic tape and magnetic disk.
Retrievability:
Retrievability: These records are indexed by name and social security
number.
Safeguards:
Safeguards: Access to and use of these records in manual or automated
form is limited to those persons whose official duties require such
access. This record management principle is reinforced by appropriate
physical, technical and administrative safeguards as prescribed by FAA
Security directives applicable to both manual and automated record
systems.
Retention and disposal:
Retention and Disposal: These records are destroyed 20 years after
the date of last entry.
System manager(s) and address:
System Manager(s) and Address: Regional Flight Surgeon within region
where examination was conducted.
Manager, Aeromedical Clinical Branch, AAC-160
Aeronautical Center, Oklahoma City, Oklahoma.
Manager, Clinical Specialties Division,
Washington, DC 20591
Manager, DOT Employee Fitness Center,
Washington, DC 20590
Manager, Occupational Health Division, AAM-400
Washington, DC 20591
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegatee, 800 Independence Avenue, SW, Washington, DC 20591 or the
Assistant Secretary for Administration or his delegatee, Department of
Transportation, 400 Seventh Street, SW, Washington, DC 20590.
Record source categories:
Record Source Categories: Information contained in this system comes
from the employee and from attending physicians and nurses and from
associated medical reports.
DOT/FAA 813
System name: Civil Aviation Security, DOT/FAA 813.
System location:
These records are maintained at the Civil Aviation Security Office of
Policy and Planning, Planning Division, in Washington, DC; the FAA
Regional Civil Aviation Security Divisions; the Civil Aviation
Security Division at the Mike Monroney Aeronautical Center in Oklahoma
City, Oklahoma; and the Civil Aviation Security Staff at the FAA
Technical Center, Atlantic City, New Jersey.
Categories of individuals covered by the system:
This system of records contains information regarding persons who have
been involved or might be involved in crimes against civil aviation or
air piracy/sabotage threats, data regarding K-9 handlers, and
information regarding Federal Air Marshals (FAM).
Categories of records in the system:
This system of records contains information concerning hijacking or
attempted hijacking incidents at airports or aboard civil aviation
aircraft; other civil aviation criminal acts; information of K-9
assignments to airports, K-9 handler evaluations; and information
necessary to manage the FAM program.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Source of data by which to inform airport and air carrier
security officials and officers regarding air piracy/civil aviation
sabotage threats.
Source of data for preparation of alerts, bulletins, and
summaries of incidents regarding threats to civil aviation for
distribution to authorized government and aviation recipients for use
in affecting appropriate changes/modifications to civil aviation
security.
Source of data from which to prepare summaries, reports, and
policy statements for development/change of security procedures in
civil aviation which will be distributed to appropriate government and
aviation-oriented organizations which have direct civil aviation
security responsibilities.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in approved security files and containers
and in computer processable ADP storage media.
Retrievability:
These records are retrieved by name or other personal identifying
symbol.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access and use. This record management
principle is reinforced by appropriate physical, technical, and
administrative safeguards as prescribed by FAA security directives
applicable to both manual and automated record systems.
Retention and disposal:
These records are destroyed or retired to the area Federal Records
Center and then destroyed in accordance with the current issue of FAA
Order 1350.15, Records Organization, Transfer and Destruction
Standards. The retention and destruction period for each record varies
depending on the type of record, category of investigation, or
significance of the information contained in the record. All records
are destroyed by approved methods.
System manager(s) and address:
Office of Policy and Planning, Planning Division, ACP-200, Federal
Aviation Administration, 800 Independence Avenue SW, Washington, DC
20591.
Notification procedure:
An individual may inquire as to whether the system of records contains
a record pertaining to him or her by addressing a written request to
the System Manager identified above. The request should include enough
information to allow for accurate identification of the record. For
example, full name, date and place of birth, social security number of
the requester, and any available information regarding the type of
record involved should be provided.
Record access procedures:
Individuals who wish to gain access to such systems of records should
contact the System Manager. However, classified data and investigative
data compiled for law enforcement purposes may be exempt from the
access provision pursuant to 5 U.S.C. 552a(k)(2).
Contesting record procedures:
Individuals who desire to contest information about themselves
contained in this system of records should contact or address their
inquiries to the Administrator or his delegate at: 800 Independence
Avenue, SW, Washington, DC 20591.
Record source categories:
Information contained in this system comes from FAA records; Federal,
State, or local agencies; foreign sources; public record sources;
first party; and third parties.
Systems exempted from certain provisions of the act:
This system of records is exempt from certain subsections of the
Privacy Act. Investigatory material and records in this system
compiled for law enforcement purposes, in accordance with 5 U.S.C.
552a(k)(2), are exempt from subsections (c)(3) (Accounting of Certain
Disclosures), (d) (Access to Records), (e)(4)(G), (H) and (I) (Notice
Requirements), and (f) (Agency Rules) of 5 U.S.C. 552a. National
security information and records consisting of information properly
classified, in accordance with 5 U.S.C. 552(b)(1), are exempt from
subsections (c)(3) (Accounting of Certain Disclosures), (d) (Access to
Records), (e)(4)(G), (H) and (I) (Notice Requirements), and (f)
(Agency Rules) of 5 U.S.C. 552a. The purposes of these exemptions are
to prevent the disclosure of material authorized to be kept secret in
the interest of national defense or foreign policy, in accordance with
5 U.S.C. 552(b)(1) and 552a(k)(1), and to protect investigatory
materials compiled for law enforcement purposes in accordance with 5
U.S.C. 552a(k)(2). Disclosure of such material would hamper law
enforcement by prematurely disclosing the knowledge of illegal
activity and the evidentiary basis for possible enforcement actions.
DOT/FAA 814
System name: System Name: Equal Employment Opportunity
Minority/Female Statistical Reporting System, DOT/FAA.
System location:
System Location: These records are maintained at FAA regional and
center Civil Rights Offices and at the FAA Office of Civil Rights in
Washington, DC.
Categories of individuals covered by the system:
Categories of Individuals: This system of records contains
information on all FAA employees.
Categories of records in the system:
Categories of Records: This system of records contains information
(187 data elements) such as name, organization, social security
number, racial background, etc.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Monitor and evaluate status and progress of minority/
female employment.
Preparation of analytical and statistical studies and reports.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: These records are in the form of magnetic tape and computer
listings and are stored in magnetic tape security areas and in file
cabinets.
Retrievability:
Retrievability: These records are retrieved by name or Social
Security Number.
Safeguards:
Safeguards: Access to data in this system is limited to the Director,
Office of Civil Rights, or to those authorized by him.
Retention and disposal:
Retention and Disposal: This system is updated monthly and the
replaced master tape is reused in the normal data processing manner.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Civil Rights,
FAA,
800 Independence Avenue, SW,
Washington, DC 20591 and regional and center Civil Rights Offices.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of record may inquire in person or in writing to
the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Personal observation.
Self identification.
Manpower records.
Organization records.
DOT/FAA 815
System name: Investigative Record System, DOT/FAA 815.
System location:
These records are maintained at the Office of Civil Aviation Security
in Washington, DC; the FAA regional Civil Aviation Security Divisions;
the Civil Aviation Security Division at the Mike Monroney Aeronautical
Center in Oklahoma City, Oklahoma; the Civil Aviation Security Staff
at the FAA Technical Center, in Atlantic City, New Jersey; and the
various Federal Records Centers located throughout the country.
Categories of individuals covered by the system:
Current and former applicants for FAA employment
Current and former FAA employees
Individuals considered for access to classified information or
restricted areas and/or security determinations such as contractors,
employees of contractors, experts, instructors, and consultants to
Federal programs
Aircraft owners
Flight instructors
Pilots
Mechanics
Designated FAA representatives
Other individuals certified by the FAA
Individuals involved in tort claims against the FAA
Employees, grantees, subgrantees, contractors, subcontractors, and
applicants for FAA-funded programs
Other individuals who are of investigative interest to the FAA, law
enforcement, or investigative agencies
Categories of records in the system:
Results of investigations and inquiries conducted by the Office of
Civil Aviation Security, the FAA regional Civil Aviation Security
Divisions, the Mike Monroney Aeronautical Center Civil Aviation
Security Division, and the FAA Technical Center Civil Aviation
Security Staff; information received in various formats as the result
of investigations conducted by Federal, State, and local investigative
or law enforcement agencies, which relate to the mission and function
of the Office of Civil Aviation Security and field elements; and
information received in various formats as the result of
investigations conducted by authorized personnel of the FAA, other
Federal agencies, State and local drug enforcement agencies regarding
the actual or probable violation by pilots, aircraft owners, or
aircraft mechanics of civil and criminal laws regulating controlled
substances.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To the Department of Justice when: (a) The agency, or any component
thereof; or (b) any employee of the agency in his or her official
capacity; or (c) any employee of the agency in his or her individual
capacity where the Department of Justice has agreed to represent the
employee; or, (d) the United States, where the agency determines that
litigation is likely to affect the agency or any of its components, is
a party to litigation or has an interest in such litigation, and the
use of such records by the Department of Justice is deemed by the
agency to be relevant and necessary to the litigation, provided,
however, that in each case, the agency determines that disclosure of
the records to the Department of Justice is a use of the information
contained in the records that is compatible with the purpose for which
the records were collected.
To disclose the records in a proceeding before a court or adjudicative
body, including an administrative tribunal or hearing, before which
the agency is authorized to appear, when: (a) The agency, or any
component thereof; or (b) any employee of the agency in his or her
official capacity; or (c) any employee of the agency in his or her
individual capacity where the agency has agreed to represent the
employee; or, (d) the United States, where the agency determines the
litigation is likely to affect the agency or any of its components, is
a party to litigation or has an interest in such litigation, and the
agency determines that use of such records to be relevant and
necessary to the litigation, provided, however, that in each case, the
agency determines that disclosure of the records to the Department of
Justice is a use of the information contained in the records that is
compatible with the purpose for which the records were collected.
To authorized representatives of U.S. air carriers where air safety
might be affected.
To authorized representatives of Federal, State, local agencies and
departments, including the District of Columbia, and foreign
governments, who require access to the file pursuant in an
investigation or inquiry conducted for use in law enforcement
activities, either civil or criminal, or to expose fraudulent claims.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are stored in approved security file cabinets and
containers, in file folders, on lists and forms, and in computer
processable storage media.
Retrievability:
These records are retrieved by name or other identifying symbols.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access and use. Computer processing of
information is conducted within established FAA computer security
regulations. A risk assessment of the FAA computer facility used to
process this system of records has been accomplished.
Retention and disposal:
These records are destroyed or retired to the area Federal Records
Center and then destroyed in accordance with FAA Order 1350.15B,
Records Organization, Transfer and Destruction Standards. The
retention and destruction period for each record varies depending on
the type of record, category of investigation, or significance of the
information contained in the record. All records are destroyed by
approved methods.
System manager(s) and address:
The FAA Investigative Record System is decentralized and requests for
such records should be directed to the appropriate system manager as
follows:
For the Washington Metropolitan area, excluding Eastern Region
jurisdiction: Director of Civil Aviation Security, 800 Independence
Avenue, SW, Washington, DC 20591
For the geographical area under the jurisdiction of the various
regions: Manager, Civil Aviation Security Division, of the
appropriate region (See the FAA Directory for addresses)
For the jurisdiction of the FAA Technical Center: Manager, Civil
Aviation Security Staff, FAA Technical Center, Atlantic City, NJ
08405
For the jurisdiction of the Mike Monroney Aeronautical Center:
Manager, Civil Aviation Security Division, Aeronautical Center,
Oklahoma City, OK 73125
Notification procedure:
An individual may inquire as to whether the system of records contains
a record pertaining to him or her by addressing a written request to
any of the systems managers identified above. The request should
include enough information to allow for accurate identification of the
record. For example, the full name, date and place of birth, social
security number of the requester, and any available information
regarding the type of record involved should be provided.
Record access procedures:
Individuals who wish to gain access to such systems of records should
contact the system manager. However, investigative data compiled for
law enforcement purposes may be exempt from the access provision
pursuant to 5 U.S.C. 552a(k)(2) and (k)(5).
Contesting record procedures:
Individuals who desire to contest information about themselves
contained in this system of records should contact or address their
inquiries to the Administrator or his delegate, 800 Independence
Avenue, SW, Washington, DC 20591.
Record source categories:
These records contain information obtained from the subject
individual, interviews, review of records, and other authorized
applicable investigative techniques.
Systems exempted from certain provisions of the act:
The purpose of the exemption is to protect materials classified in the
national interest and to protect investigatory materials compiled for
law enforcement purposes. The exemptions which have been published in
the Federal Register for this system may be applied pursuant to 5
U.S.C. 552a(k)(1), (k)(2), and (k)(5).
DOT/FAA 816
System name: System Name: Tort Claims and Personal Property
Claims Record System, DOT/FAA.
System location:
System Location: These records are maintained at regional and center
FAA Counsel Offices and Logistics Divisions.
Categories of individuals covered by the system:
Categories of Individuals: This system of records contains
information regarding tort and property claimants who have filed
claims against the Government/FAA.
Categories of records in the system:
Categories of Records: This system of records contains reports,
vouchers, witness statements, legal decisions, and related material
pertaining to claims by or against the Government resulting from FAA
transactions, other than litigation cases.
Approved claims are sent to the Accounting Division for
certification and payment by Treasury check.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Investigation purposes.
Reference purposes.
Court action.
Doubtful claims are sent by Accounting Division to GAO for
adjudication.
Some larger claims go to Department of Justice for approval or
disapproval.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: These records are stored in approved file cabinets and
containers.
Retrievability:
Retrievability: These records are indexed by name.
Safeguards:
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access.
Retention and disposal:
Retention and Disposal: These records are destroyed 3 years after the
final decision is rendered.
System manager(s) and address:
System Manager(s) and Address: Regional and center counsels and/or
motor vehicle organization element.
Notification procedure:
Notification Procedure: Individuals who wish to know if they appear
in this system should contact the system manager.
Record access procedures:
Record Access Procedure: Individuals who wish to gain access to their
records should contact the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the
Associate Administrator for Administration,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Claimant, investigation reports, and
courts.
DOT/FAA 820
System name: System Name: Pending legislation (Employee's) -
Private Relief and Public/Private Laws (Employee's) Private
Reliefs, DOT/FAA.
System location:
System Location: This system of records is located in the Office of
Chief Counsel, Federal Aviation Administration, 800 Independence
Avenue, SW, Washington, DC 20591.
Categories of individuals covered by the system:
Categories of Individuals: FAA employees for whom private relief
legislation has been introduced in Congress.
Categories of records in the system:
Categories of Records: Travel information, litigation reports,
collection vouchers, and real estate contracts.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: This system is for reference in order to formulate
FAA's position on proposed private relief legislation for FAA
employees. All information is released to the Office of Management and
Budget.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Information is stored in file cabinets.
Retrievability:
Retrievability: Data are indexed and retrieved by name of employee
and employee number.
Safeguards:
Safeguards: No special safeguards required.
Retention and disposal:
Retention and Disposal: Records are transferred to Federal Records
Center or destroyed when no longer needed.
System manager(s) and address:
System Manager(s) and Address: Legislative Assistant,
Legislative Staff,
Office of Chief Counsel,
FAA, 800 Independence Avenue, SW,
Washington, DC 20591.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Data are obtained from members of Congress
and FAA records.
DOT/FAA 821
System name: System Name: Litigation Information Management
Systems, DOT/FAA.
System location:
System Location: This system of records is maintained within the
Office of the Chief Counsel, FAA, 800 Independence Avenue, SW,
Washington, DC 20591.
Categories of individuals covered by the system:
Categories of Individuals: This file contains information on
Litigants, Claimants, Witnesses, Decedents, Plaintiff's Attorney, FAA
Attorney and Department of Justice Attorney.
Categories of records in the system:
Categories of Records: Litigation and claim pleadings, discovery
material, related documents (including background data on individual,
or decedent involved), memoranda, correspondence, and other material
necessary to respond to claims or prepare for litigation or hearings.
Types of claims or litigation: Aircraft accidents, auto accidents,
personnel and general litigation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The documents are produced or used in and for
litigation and claims. These documents are disclosed to the Department
of Justice. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Data are stored in lockable and unlockable file cabinets,
individuals attorneys' offices, binders, index files and in computers.
Retrievability:
Retrievability: Access is by name, location of accident, and/or
docket number.
Safeguards:
Safeguards: Data from these files are retrievable only by persons
within the Office of the Chief Counsel or Regional Counsels.
Retention and disposal:
Retention and Disposal: Litigation files are kept for 2 years after
case is closed, then sent to the Federal Records Center. All other
records in this system are retained indefinitely.
System manager(s) and address:
System Manager(s) and Address: Chief,
Litigation Division,
Office of Chief Counsel,
Federal Aviation Administration,
800 Independence Avenue, SW,
Washington, DC 20591.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Employees of the Office of Chief Counsel,
Federal courts, individuals and their attorney, FAA records,
litigation files, etc.
DOT/FAA 822
System name: System Name: Aviation Medical Examiner System,
DOT/FAA.
System location:
System Location: Aeromedical Education Branch,
Civil Aeromedical Institute,
Aeronautical Center,
Oklahoma City, OK 73125.
Regional Flight Surgeons in all regional headquarters.
Categories of individuals covered by the system:
Categories of Individuals: Private physicians appointed as Aviation
Medical Examiners and selected military units through agreement with
the Surgeon Generals.
Categories of records in the system:
Categories of Records: The system includes records necessary to the
operation of the system to establish qualifications of physicians,
identification as to location within the system, actual performance in
support of the system and records pertaining to training received from
the system.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: By the Aeromedical Education Branch, AME Section, to
determine training needs.
By Regional Flight Surgeons to evaluate the physician's performance
in the AME System and determine reappointments.
By the Office of Aviation Medicine in Washington, D.C., in policy
determination.
By General Aviation District Offices in locating and obtaining
support of qualified AMEs.
By private organizations needing to contact and utilize the
physician's services in his capacity of an AME.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders, magnetic tapes, and hard copy.
Retrievability:
Retrievability: Information stored by Region, State, Name, and
Control Number.
Safeguards:
Safeguards: File rooms with restricted access, three-combination safe
with access by authorized personnel.
Retention and disposal:
Retention and Disposal: Paper designated examiner case files are
retained until the physician is designated. Paper records of
designations are transferred to the Federal Records Center after 10
years and destroyed after 25 years. Magnetic tapes of designations are
updated continuously.
System manager(s) and address:
System Manager(s) and Address: Records from Master files:
Manager, Aeromedical Education Branch,
Aeronautical Center,
Oklahoma City, OK 73125.
Regional files from Regional Flight Surgeon within Region wherein
the AME is appointed.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Information is obtained from the Aviation
Medical Examiners themselves.
DOT/FAA 825
System name: System Name: Petitions for Rulemaking - Public
Dockets, DOT/FAA.
System location:
System Location: Located in the Office of the Chief Counsel, Federal
Aviation Administration, Washington, DC 20591.
Categories of individuals covered by the system:
Categories of Individuals: Persons petitioning for a change in the
Federal Aviation Regulations.
Categories of records in the system:
Categories of Records: Petitions for rulemaking, correspondence,
documents showing disposition of the petition and public comments on
any resulting NPRM.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Compliance with statutory and regulatory provisions for
public accessibility to rulemaking actions.
Disclosure to general public and other government agencies.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Original and copies of records are stored in unlocked file
cabinets.
Retrievability:
Retrievability: Retrieved by exemption number, docket number, or
alphabetical listing of petitioner names.
Safeguards:
Safeguards: Access through request to Dockets Specialist.
Retention and disposal:
Retention and Disposal: Transferred to Federal Records Center when
inactive; destruction not authorized.
System manager(s) and address:
System Manager(s) and Address: Docket and Regulations Specialist,
Office of the Chief Counsel,
FAA,
800 Independence Avenue, SW,
Washington, DC 20591.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Petitions for rulemaking.
DOT/FAA 826
System name: System Name: Petitions for Exemption (Other than
Medical Exemption) - Public Dockets, DOT/FAA.
System location:
System Location: Located in the Office of the Chief Counsel, FAA,
Washington, DC.
Categories of individuals covered by the system:
Categories of Individuals: Persons petitioning for an exemption
(other than medical) under the Federal Aviation Regulations.
Categories of records in the system:
Categories of Records: Petitions for exemptions, supplementary
information, correspondence and the grant or denial of the exemption.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Compliance with statutory and regulatory provisions for
public accessibility to rulemaking actions.
Disclosure to general public and other government agencies.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Original and copies of records stored in unlocked file
cabinets.
Retrievability:
Retrievability: Retrieved by exemption number, docket number, or
alphabetical listing of petitioner names.
Safeguards:
Safeguards: Access through request to Dockets Specialist.
Retention and disposal:
Retention and Disposal: Transferred to Federal Records Center when
inactive; destruction not authorized.
System manager(s) and address:
System Manager(s) and Address: Rules Docket Section, AGC-204
Office of the Chief Counsel,
FAA,
800 Independence Avenue, SW,
Washington, DC 20591.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Petitions for exemptions.
DOT/FAA 827
System name: System Name: Environmental Litigation Files, DOT/
FAA.
System location:
System Location: Located in the Office of the Chief Counsel, FAA,
Washington, DC.
Categories of individuals covered by the system:
Categories of Individuals: Litigants, witnesses, plaintiff's
attorney, FAA attorney, Department of Justice Attorney, etc.
Categories of records in the system:
Categories of Records: Information on litigation, pleadings,
discovery material, related documents, (including background data on
individual involved), memoranda, correspondence, and other material
necessary to respond to claim or prepare for litigation or hearings.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Litigation; documents are produced or used in and for
litigation and are disclosed to the Department of Justice.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders stored in locked and unlocked file cabinets and
individual attorney's offices.
Retrievability:
Retrievability: Retrieved by caption of the particular litigation.
Safeguards:
Safeguards: Access by Office of Chief Counsel personnel only.
Retention and disposal:
Retention and Disposal: Files are kept for 2 years after case has
been closed and then sent to Records Center.
System manager(s) and address:
System Manager(s) and Address: Manager, Airports/Environmental Law
Branch, AGC-130
Office of the Chief Counsel,
FAA,
800 Independence Avenue, SW,
Washington, DC 20591.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Federal courts, individuals and their
attorneys, FAA records, litigation files, etc.
DOT/FAA 828
System name: System Name: Physiological Training System, DOT/
FAA.
System location:
System Location: Aeromedical Education Branch,
Civil Aeromedical Institute,
Aeronautical Center,
Oklahoma City, OK 73125.
Categories of individuals covered by the system:
Categories of Individuals: The training is primarily of benefit to
pilots. It is also recommended for other air crew personnel, Air
Traffic Controllers, Aviation Medical Examiners, and other personnel
from the national aviation system.
Categories of records in the system:
Categories of Records: The system includes records necessary to
establish qualifications of eligibility to receive physiological
training, maintain accountability of funds required for training and
transfer of funds to involved agencies, and to provide proper evidence
of training.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: By the Aeromedical Education Branch, Airman Education
Section to determine training qualifications.
By the Accounting Division, General Accounting Branch, for receipt
and transfer of training funds.
By the Aeromedical Education Branch, Airman Education Section, to
provide proper evidence of training.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Card file, and file folders.
Retrievability:
Retrievability: Information files by name and location of training.
Safeguards:
Safeguards: Files access restricted to Aeromedical Education Branch
personnel.
Retention and disposal:
Retention and Disposal: Files are retained for 5 years after
completion of training and then destroyed.
System manager(s) and address:
System Manager(s) and Address: Chief, Aeromedical Education Branch,
Aeronautical Center,
Oklahoma City, OK 73125.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Information is obtained from the
individuals themselves.
DOT/FAA 830
System name: System Name: Representatives of the Administrator,
DOT/FAA.
System location:
System Location: This system is located and maintained as a
decentralized system with all designations being maintained at General
Aviation District Offices, Air Carrier District Offices, Flight
Standards District Offices, Manufacturing Inspection District Offices
and Satellite offices, Aircraft Certification Divisions, Flight
Standards Divisions, Aircraft Certification offices, Air Traffic and
Aviation Medicine Headquarters, regional or field offices that
designate Air Traffic Control Tower Operator Examiners, Aviation
Medical Examiners, Forensic Pathologists, and the International field
offices where designations were made with lists of certain categories
of representatives maintained by individual FAA Regional Offices to
whom the designating field offices report, and with master lists of
certain categories of representatives maintained at the Aeronautical
Center and FAA Headquarters, Washington, DC.
Categories of individuals covered by the system:
Categories of Individuals: Aviation Medical Examiners, Pilot
Examiners, Technical Personnel Examiners, designated Engineering
Representatives, designated Manufacturing Inspection Representatives,
Designated Mechanic Examiners, Designated Parachute Riggers,
Examiners, Designated Airworthiness Representatives.
Categories of records in the system:
Categories of Records: Records on qualification, certification, and
appointment authorization.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To provide a data base for management use of the
numbers and qualifications of individuals designated as
representatives.
To facilitate written and oral communication between the FAA and
its representatives.
To provide the public with the names and addresses of certain
categories of representatives who may provide service to them.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are maintained in file folders and card files.
Retrievability:
Retrievability: Records are filed by designee name and retrieved by
same.
Safeguards:
Safeguards: Records are stored in lockable file cabinets.
Retention and disposal:
Retention and Disposal: Records are retained during the life of the
designated, then destroyed 2 years after expiration of the
designation.
System manager(s) and address:
System Manager(s) and Address: Manager of the office where the
designation was made.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Information in this system of records
either comes from the individual to whom it applies or is derived from
information he supplied.
DOT/FAA 831
System name: System Name: Standard Procedure Uniform Reporting
System (SPUR), DOT/FAA.
System location:
System Location: This system is located at all General Aviation
District Offices (GADO), Air Carrier District Offices (ACDO), Flight
Standards District Offices (FSDO) in all regions.
Categories of individuals covered by the system:
Categories of Individuals: Pilots, mechanics, parachute rigger
examiners, flight instructors, authorized inspectors, air taxi
operators, and avionics repairmen.
Categories of records in the system:
Categories of Records: Accident reports, supplement reports, remedial
checks, violations, records of inspections, surveillance and
certification.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Aids supervisors in developing work plans and work
measurements to accomplish agency mission.
Release to state aviation authorities for seminars and workshops.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Posted on big board in office and in file cabinets in
office.
Retrievability:
Retrievability: Data are retrieved by name of individual to be
examined.
Safeguards:
Safeguards: Data are available only in the conduct of official
business.
Retention and disposal:
Retention and Disposal: When the individual is no longer affiliated
with the agency, or no further action is required.
System manager(s) and address:
System Manager(s) and Address: Manager of the GADO, ACDO, FSDO in
region where individual is operating or assigned.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: By the applicant, by inspector
surveillance, or by being reported by an FAA official.
DOT/FAA 832
System name: System Name: Pilot/Flight Engineer/Navigator
Flight Record System, DOT/FAA.
System location:
System Location: Headquarters Aircraft Management Staff
Washington National Airport
Aviation Standards National Field Office
Washington, DC.
Aeronautical Center,
Oklahoma City, Oklahoma;
FAA Technical Center
Atlantic City, New Jersey;
and all regional offices.
Categories of individuals covered by the system:
Categories of Individuals: All FAA pilots, flight engineers and
navigators assigned to FAA Flight Programs.
Categories of records in the system:
Categories of Records: Flight check records, list showing flight
time, certifications and flight logs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: These records are used by flight program management
personnel to determine qualifications of crewmembers to:
Fly agency aircraft.
Utilize rental aircraft.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored on magnetic tape, cardex files, and in
file folders.
Retrievability:
Retrievability: Records are retrieved by employee name and crewmember
number.
Safeguards:
Safeguards: Records are stored in a restricted, controlled-access
area and are used only in the conduct of official business.
Retention and disposal:
Retention and Disposal: Cardex and folder files are destroyed one
year after pilot's separation and transfer from agency. Magnetic tape
is updated periodically.
System manager(s) and address:
System Manager(s) and Address: Manager, Planning and Scheduling
Branch, AAC-850.
Aeronautical Center,
Oklahoma City, OK 73125.
Manager, Flight Programs Division
Aviation Standards National Field Office Oklahoma City, OK 73125
or Aircraft Management Branch in region where employed.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Flight check records submitted by the
individual to whom the record pertains; reports submitted by the pilot
in command of each flight.
DOT/FAA 833
System name: System Name: Housing Management Monthly Report,
RIS: AL-4930-3, DOT/FAA.
System location:
System Location: Alaskan Regional Office,
701 C Street, Box 14
Anchorage, AK 99513.
Categories of individuals covered by the system:
Categories of Individuals: Names of employees occupying FAA owned or
leased housing.
Names of employees and agencies who lease FAA housing in Alaska.
Categories of records in the system:
Categories of Records: Housing records, leases, maintenance bills,
damage reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Maintain percentage of occupancy.
Maintain up-to-date record of maintenance cost.
Maintain up-to-date list of persons occupying FAA units.
Provide above information to Sector Managers.
Provide above information to local station.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Filing cabinet, Real Estate and Utilities Branch AAL-58B.
Retrievability:
Retrievability: Station location.
Unit numbers.
Name of employee.
Number of dependents.
Pay period rental rate.
Safeguards:
Safeguards: Retrieved only by agency personnel and used only in the
conduct of official business.
Retention and disposal:
Retention and Disposal: Monthly records are destroyed upon receipt of
next month's ADP run.
End of year reports are retained.
System manager(s) and address:
System Manager(s) and Address: Housing Management Officer, AAL-58B
701 C Street, Box 14
Anchorage, AK 99513.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Employees.
Employees of other agencies that lease housing from FAA.
DOT/FAA 837
System name: System Name: Photographs and Biographical
Information, DOT/FAA.
System location:
System Location: Office of Public Affairs,
FAA,
800 Independence Avenue, SW,
Washington, DC 20591.
And
Public Affairs Offices at the following FAA Regions and Centers:
Aeronautical Center,
P.O. Box 25082,
Oklahoma City, OK 73125.
Alaskan Region,
701 C Street, Box 14,
Anchorage, AK 99513
Central Region,
601 East 12th Street,
Kansas City, MO 64106.
Eastern Region,
Federal Bldg., JFK International Airport,
Jamaica, NY 11430.
Great Lakes Region,
2300 E. Devon Avenue,
Des Plaines, IL 60018.
FAA Technical Center
Atlantic City, NJ 08405.
New England Region,
12 New England Executive Park,
Burlington, MA 01803.
Northwest Region,
FAA Building, Boeing Field,
Seattle, WA 98108.
Pacific-Asia Region,
PO Box 4009,
Honolulu, HA 96813.
Rocky Mountain Region,
10455 E. 25th Ave.
Aurora, CO 80010.
Southern Region,
P.O. Box 20636,
Atlanta, GA 30320.
Southwest Region,
PO Box 1689,
Fort Worth, TX 76101.
Western Region,
PO Box 92007,
World Way Postal Center,
Los Angeles, CA 90009.
Categories of individuals covered by the system:
Categories of Individuals: FAA employees and other individuals who
may appear with them in candid photographs.
Categories of records in the system:
Categories of Records: Biographical data; portrait and candid
photographs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The system is maintained to provide information to the
public--particularly the news media--and for use in employee
publications. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored in file cabinets.
Retrievability:
Retrievability: Records indexed alphabetically by name or subject.
Safeguards:
Safeguards: Access through request to the System Manager. These
records are used only in the conduct of official business.
Retention and disposal:
Retention and Disposal: Materials retained as long as individual or
event is newsworthy, following which they are destroyed. In certain
cases, material is retained for historical purposes.
System manager(s) and address:
System Manager(s) and Address: Assistant Administrator for Public
Affairs and Public Affairs Officers at above addresses.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedures: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedures: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: FAA employees and other individuals who may
appear with them in candid photographs.
DOT/FAA 839
System name: System Name: Printing Branch Distribution System,
DOT/FAA.
System location:
System Location: FAA Office of Management Systems,
Data Processing Center, AMS-350
400 7th St., SW
Washington, DC 20591.
Categories of individuals covered by the system:
Categories of Individuals: Individuals or governmental agencies
interested in receiving Federal Aviation Documents.
Categories of records in the system:
Categories of Records: Names and addresses of those individuals and/
or governmental organizations wishing to be placed on the mailing
lists for FAR's, AC's, NPRM's, the AIM, and various miscellaneous
publications.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To serve as a comprehensive mailing list of individuals
and/or governmental agencies for dissemination of all and/or specific
parts of FAR's, AC's, NPRM's, the AIM, and various miscellaneous
publications.
Subject system of records correlates or matches specific consumer
information requirement to subject category information contained in
the FAR's, AC's, NPRM's, the AIM, and miscellaneous publications,
thereby reducing printing costs and, at the same time, satisfying
the particular needs and interests of the recipients of desired
information.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored on magnetic tape.
Retrievability:
Retrievability: Records are retrieved by record identification
numbers (state code, city code, first five characters of last name of
customer, and first initial of customer).
Safeguards:
Safeguards: Magnetic Tape - Data can only be retrieved by computer
operators as authorized by the System Manager or delegate.
Requests for disclosure of and access to records are screened
carefully and must satisfy the `need-to-know` policy.
The file room is open to agency personnel only.
Retention and disposal:
Retention and Disposal: Magnetic tapes are updated annually as a
result of canvassing, and retention and disposal of records are
governed by consumer requests, in writing.
System manager(s) and address:
System Manager(s) and Address: Manager, Systems Support Division,
AMS-100,
Office of Management Systems,
FAA,
800 Independence Avenue, SW,
Washington, DC 20591.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Records Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: Information is obtained from:
Aviation Medical Examiners.
General aviation public.
Consumers and consumer organizations.
Other government agencies.
Libraries.
Army, Navy, Air Force, etc.
DOT/FAA 843
System name: System Name: FAA World Magazine Address System.
System location:
System Location: DOT/M-482.2, Washington, DC.
Categories of individuals covered by the system:
Categories of Individuals: Non-FAA employees.
Categories of records in the system:
Categories of Records: Address labels, master list (names,
addresses).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Mailing of FAA World to retirees, governmental and
union offices, libraries, industry PR offices, publication exchanges
and DOT internal distribution.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices: This is a limited list supplementing FAA
Employee home address distribution.
Storage:
Storage: Standard card and Xerox list.
Retrievability:
Retrievability: By name or routing symbol.
Safeguards:
Safeguards: Card and Xerox list available only to authorized DOT
personnel.
Retention and disposal:
Retention and Disposal: Periodic canvassing and culling.
System manager(s) and address:
System Manager(s) and Address: Assistant Administrator,
Office of Public Affairs,
Federal Aviation Administration,
800 Independence Avenue, SW,
Washington, DC 20591.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the Administrator or his
delegate,
800 Independence Avenue, SW,
Washington, DC 20591.
Record source categories:
Record Source Categories: All sources, on a voluntary basis.
DOT/FAA 845
System name: Correspondence Control and Information System, DOT/
FAA.
System location:
Federal Aviation Administration.
Office of the Administrator, 800 Independence Ave., SW, Washington, DC
20591.
Security classification:
None.
Categories of individuals covered by the system:
Individuals who write, call (including HOTLINE calls), or are referred
in writing by a second party, to the Administrator, to the Deputy
Administrator, and their immediate offices; individuals who write,
call, or are referred in writing by a second party to the Secretary,
to the Deputy Secretary, and their immediate offices and the
correspondence which has been referred to the Federal Aviation
Administration; individuals who are the subject of an action requiring
approval or action by one of the forenamed, such as appeals, actions,
training, awards, foreign travel, promotions, selections, grievances,
delegations, application of waivers from the Federal Aviation
Administration, etc.
Categories of records in the system:
Correspondence and/or records of calls submitted by, or on behalf of,
an individual including resumes, letters of reference, etc; responses
to such correspondence and calls, staff recommendations on actions
requiring approval or action by the Administrator, the Deputy
Administrator, the Secretary, and the Deputy Secretary.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Referral to the appropriate action office within or outside the
Department or agency for preparation of a response. Referral, to the
appropriate agency for actions involving matters or law, of
regulations beyond the responsibility of the agency or Department,
such as the Department of Justice in matters of law enforcement. As a
data source for management information, such as briefing material on
hearings, trend analysis, responsiveness, etc.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer magnetic disk, microfilm, and hardcopy. Access to the records
will be by means of identification numbers and passwords known only to
the user and the System Manager.
Retrievability:
Records will be retrieved by control number, suspense date,
correspondence date, subject matter, last name and location of
originator and addressee, constituent's name, action office, and type.
Safeguards:
Terminal access through the system's software is limited to the Office
of the Administrator.
Retention and disposal:
Hard copies are destroyed after material is microfilmed.
System manager(s) and address:
Manager, Administrative Staff, Office of the Administrator, Federal
Aviation Administration, 800 Independence Avenue, SW, Washington, DC
20591.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Individuals who desire access to the information about themselves in
this system of records should contact or address their inquiries to
the System Manager.
Contesting record procedures:
Individuals who desire to contest information about themselves
contained in this system of records should contact or address their
inquiries to the Administrator, or his delegate, at the following
address:
Federal Aviation Administration, Office of the Administrator, 800
Independence Avenue, SW, Washington, DC 20591.
Record source categories:
Correspondence, records of calls from individuals, their
representatives, or sponsors. Response to incoming correspondence and
records of calls. Related material for background as appropriate.
DOT/FAA 847
System name: General Air Transportation Records on Individuals,
DOT/FAA.
System location:
Records are maintained primarily at:
Department of Transportation (DOT)
Federal Aviation Administration (FAA), Mike Monroney Aeronautical
Center, Oklahoma City, Oklahoma 73125
Portions of these records are located in:
U.S. Department of Transportation
Federal Aviation Administration, 800 Independence Avenue SW,
Washington, DC 20591
General Aviation District Offices (GADO's)
Flight Standards District Offices (FSDO's)
Air Carrier District Offices (ACDO's)
International Field Offices
Civil Aviation Security Field Offices (CASFO's)
FAA regional offices
(Contact your nearest FAA office for location)
Categories of individuals covered by the system:
Current certificated airmen, airmen whose certificates have expired,
airmen who are deceased, airmen rejected for medical certification,
airmen with special certification, and others requiring medical
certification.
Air traffic controllers in air route traffic control centers,
terminals, and flight service stations and applicants for these
positions.
Holders of and applicants for airmen certificates, airmen seeking
additional certifications or additional ratings, individuals denied
certification, airmen holding inactive certificates, airmen who have
had certificates revoked, and airmen and flight attendants engaged in
international air transportation.
Persons who are involved in aircraft accidents or incidents; pilots,
crew members, passengers, persons on the ground, and witnesses.
Individuals against whom the Federal Aviation Administration has
initiated administrative action or legal enforcement action for
violation of certain Federal Aviation Regulations (FAR) or Department
of Transportation Hazardous Materials Regulations (HMR).
Categories of records in the system:
All categories of records include identifying information such as
name(s), date of birth, place of residence, mailing address, social
security number, airman certificate number, and home telephone number.
Records in this system are:
Records that are required to determine the physical condition of an
individual with respect to the medical standards established by FAA.
Records concerning applications for certification, applications for
written examinations, results of written tests, applications for
inspection authority, certificates held, ratings, stop orders, and
requests for duplicate certificates.
Reports of fatal accidents, autopsies, toxicological studies, aviation
medical examiner reports, medical record printouts, nonfatal reports,
injury reports, accident name cards, magnetic tape records of fatal
accidents, physiological autopsy, and consulting pathologist's summary
of findings.
Records of accident investigations, preliminary notices of accident
injury reports, engineering analyses, witness statements,
investigators' analyses, pictures of accident scenes.
Records concerning safety compliance notices, letters of warning,
letters of correction, letters of investigation, letters of proposed
legal enforcement action, final action legal documents in enforcement
actions, correspondence of Regional Counsels, Office of Chief Counsel,
and others in enforcement cases.
Purpose(s):
General Air Transportation Records on Individuals are the official
repository of records, documents, and papers required in connection
with the issuance of airmen certificates by the Federal Aviation
Administration. Basic information in this file concerning the
qualifications of airmen has traditionally been regarded as available
to the public upon request. Examples of basic information about these
individuals include the type of certificates and ratings held, the
date and class of latest physical, pilot's license number, and
information relating to the status of the airmen's certificate; that
is, whether it is current or has been suspended or revoked for any
reason.
The file also serves as a repository for legal documents that relate
to an individual's physical status or condition used to determine
statistically the validity of FAA medical standards. These files are
used to provide information for determining eligibility for airmen
medical certification, for review of requests for exemption from
medical requirements, and for review of certificate denials. Also, the
information in the system is used to inform airmen of meetings and
seminars conducted by the FAA regarding aviation safety.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used:
a. To provide basic airmen certification and qualification information
to the public upon request.
b. To disclose information to the National Transportation Safety Board
(NTSB) in connection with its investigation responsibilities.
c. To provide information about airmen to Federal, state, and local
law enforcement agencies when engaged in the investigation and
apprehension of drug law violators.
d. To provide information about enforcement actions arising out of
violations of the Federal Aviation Regulations to government agencies,
the aviation industry, and the public upon request.
e. To disclose information to another Federal agency, or to a court or
an administrative tribunal, when the Government or one of its agencies
is a party to a judicial proceeding before the court or involved in
administrative proceedings before the tribunal.
f. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made
from these systems to `consumer reporting agencies' (collecting on
behalf of the U.S. Government) as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982
(31 U.S.C. 3701(a)(3)) and to debt collection agencies as defined by
inference in the Federal Collection Act of 1966 (31 U.S.C. 3711(f)(1))
as amended.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders, on lists and forms, and
in computer processable storage media. Records are also stored on
microfiche and roll microfilm.
Retrievability:
These records are retrieved by various combinations of name, birth
date, social security account number, airman certificate number, or
other identification number of the individual on whom the records are
maintained. Records are also indexed by sex. Records are also filed by
accident number and/or incident number, and administrative action or
legal enforcement numbers.
Safeguards:
Personal information in this system of records is processed in both
hard copy and digital environments. Applicable safeguards for each are
described in the following subparagraphs:
Manual records: Strict information handling procedures have been
developed to cover the use, transmission, storage, and destination of
personal data in hard copy form. These are periodically reviewed for
compliance.
Automated Processing (FAA Systems): Computer processing of personal
information is conducted within established FAA computer security
regulations. A risk assessment of the FAA computer facility used to
process this system of records has been accomplished.
Automated Processing (Commercial Time Sharing Contractor): A limited
amount of personal information covered by this system of records will
be processed at a commercial facility. This data is of low sensitivity
to disclosure. A comprehensive security review of the contractor
installation was accomplished by the FAA security organization.
Computer programs operated on commercial time share systems that
contain data on individuals have multiple security levels and record
element restrictions to prevent release data to unauthorized parties.
Retention and disposal:
All records and files are retained and/or disposed of in accordance
with the provisions of Order 1350.15B, Records Organization, Transfer,
and Destruction Standards.
System manager(s) and address:
Records Concerning Aviation Medical Certification: Manager,
Aeromedical Certification Branch, Mike Monroney Aeronautical Center,
6500 South MacArthur, Oklahoma City, Oklahoma 73125
Records From Regional Files: Regional Flight Surgeon within the region
where examination was conducted.
FAA Certification Records and General Airmen Records: Manager, Airmen
Certification Branch, Mike Monroney Aeronautical Center, 6500 South
MacArthur, Oklahoma City, Oklahoma 73125. Requests for assistance may
be made to the originating district office.
Records Concerning General Aviation Accidents and Incidents and Air
Carrier Incidents: Aviation Standards National Field Office, Attn:
Manager, National Safety Data Branch, Mike Monroney Aeronautical
Center, 6500 South MacArthur, Oklahoma City, Oklahoma 73125.
Records Concerning Administrative and Legal Enforcement Action:
FAA Enforcement Information System Data Bases for Administrative and
Legal Enforcement Actions: Aviation Standards National Field Office,
Attn: Manager, National Safety Data Branch, AVN-120, Mike Monroney
Aeronautical Center, 6500 South MacArthur, Oklahoma City, Oklahoma
73125.
Official FAA Enforcement Files: The Office of the Chief Counsel, the
Office of the Regional Counsel, or the investigating FAA field office,
as appropriate. (The address of the appropriate FAA legal or field
office maintaining the official agency enforcement file may be
obtained from AVN-120.)
(Visit or call the local FAA office in the area in which you reside
for any proper address not specifically listed above).
Notification procedure:
Individuals wishing to know if their records appear on this system of
records may inquire in person, or in writing, to the system manager.
Record access procedures:
Individuals who desire access to information about themselves in this
system of records should contact or address their inquiries to the
system manager.
Contesting record procedures:
Individuals who desire to contest information about themselves
contained in this system of records should contact or address their
inquiries to the Associate Administrator for Administration or his
delegate at the following address: Department of Transportation,
Federal Aviation Administration, Associate Administrator for
Administration, AAD-1, 800 Independence Avenue SW, Washington, DC
20591.
Record source categories:
Medical Information: Information is obtained from Aviation Medical
Examiners, individuals themselves, consultants, hospitals, treating or
examining physicians, and other Government agencies.
Airmen Certification Records: Information is obtained from the
individual to whom the records pertain, FAA aviation safety
inspectors, and FAA designated representatives. Written test scores
are derived from answers given by individuals. Actions filed by FAA
personnel.
General Aviation Accident/Incident Records and Air Carrier Incident
Records: Information is obtained from Aviation Medical Examiners,
pathologists, accident investigations, medical laboratories, law
enforcement officials, and FAA employees. Data is also collected from
manufacturers of aircraft, and involved passengers.
Administrative Action and Legal Enforcement Records: Information is
obtained from witnesses, Regional Counsels, the National
Transportation Safety Board, Civil Aviation Security personnel, Flight
Standards personnel, Aeronautical Center personnel, and the Office of
Chief Counsel.
Systems exempted from certain provisions of the act:
Consistent with the provisions of Section (j)(2) and (k)(2) of the
Privacy Act, records in this system which relate to administrative
actions and legal enforcement may be exempted from certain access and
disclosure requirements of the Act.
DOT/FAA 849
System name: Back to Basics Seminar Attendance System.
Security classification:
Unclassified.
System location:
Department of Transportation (DOT), Transportation System Center
(TSC), DTS-45, Kendall Square, Cambridge, MA 02142.
Categories of individuals covered by the system:
All attendees at FAA Back to Basics safety seminars who voluntarily
respond to the questionnaire.
Categories of records in the system:
The types of information to be retained in the system include the
following:
(a) A compilation of the attendees at the Back to Basics seminars.
(b) A characterization of the type and experience level of the pilots
who attend the seminars with information such as:
(1) Name, address and date of birth.
(2) Pilot certificate number/certificates held.
(3) Pilot/aircraft currency/flight time.
(4) Educational level.
(5) Safety seminar attendance.
(6) Specific Back to Basics seminars attended.
(c) A comparison of the list of attendees with actual aircraft
accidents/incidents to determine the level of involvement or
noninvolvement of the seminar attendees will be made.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information will be entered into a computer data base at TSC for
automatic data processing application.
Retrievability:
The data processing clerks and the analyst will be able to retrieve
individual information as indicated in Categories of Information in
the System by name or pilot certificate number.
Safeguards:
Only the data processing clerks and the analyst will have access to
the computer program that contains these records. This program will be
provided the normal safeguards to prevent unauthorized access. A
restricted password for access to the program will be used in the
computer program and any magnetic tapes or floppy disks will be stored
and locked when not in use. All individual paper inputs will be
destroyed after the information is entered into the computer.
Retention and disposal:
Computer records will be maintained until the analysis is completed.
The Back to Basics Program for general aviation is planned to end in
December 1988. The analysis period is expected to be from the present
until late 1990 to allow sufficient time for changes to occur. When
the analysis is completed, the records will be destroyed.
System manager(s) and address:
Dr. Stephen Huntley, Transportation System Center (TSC), DTS-45,
Kendall Square, Cambridge, MA 02142.
Notification procedure:
Individuals desiring to know if they are included in the system should
contact the system manager.
Record access procedures:
Individuals desiring access to information about themselves in this
system should contact the system manager.
Contesting record procedures:
Individuals who wish to contest the information about themselves in
this system should contact the system manager.
Record source categories:
Information provided only by the individual respondent is included as
a source of records.
DOT/FHWA 202
System name: System Name: University and Industry Programs
Coding and Filing System, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
National Highway Institute,
400 7th Street, SW,
Room 4136,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Current and prior year candidates for FHWA
fellowships/scholarships employees of FHWA and State and local
transportation agencies.
Categories of records in the system:
Categories of Records: Applications for fellowships.
Transcripts of grades.
Follow-up evaluation reports.
Study progress reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Applications and transcripts used by fellowship
selection panel.
Study progress reports and follow-up evaluation reports used by the
National Highway Institute in program evaluation.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: Name.
Safeguards:
Safeguards: Stored in file cabinets.
Retention and disposal:
Retention and Disposal: 5 years - discarded in trash.
System manager(s) and address:
System Manager: Administrative Assistant, Department of
Transportation,
Federal Highway Administration,
National Highway Institute,
400 7th Street, SW, Room 4206,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Any individual that has applied for a
fellowship/scholarship may obtain such information by written request
to the Institute. The requestor should know the year of his
application.
Record access procedures:
Record Access Procedure: May be obtained from the `System Manager` at
the address given above.
Contesting record procedures:
Contesting Record Procedure: May be obtained from the `System
Manager` at the address given above.
Record source categories:
Record Source Categories: The information comes from individual
applications, reports prepared by the individuals and their faculty
advisors, and college transcripts.
DOT/FHWA 204
System name: System Name: FHWA Motor Carrier Safety Proposed
Civil and Criminal Enforcement Cases, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
All FHWA Regional Offices. (See 49 CFR part 7 Appendix D for
addresses).
Categories of individuals covered by the system:
Categories of Individuals: Officers, agents or employees of motor
carriers, including drivers who have been the subject of investigation
for Motor Carrier Safety regulation violations.
Categories of records in the system:
Categories of Records: This system of records contains information
pertaining to Motor Carrier safety regulation violations and
identifying features.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: These records and information in the records are used
for referral to U.S. Attorney civil proceedings or referred to other
agencies for criminal or civil investigation of other Federal
violations.
Prefatory Statement of General Routine Uses, 5 does not apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders in the Regional Counsel's Office.
Retrievability:
Retrievability: These records are indexed by names of motor carriers
or individuals.
Safeguards:
Safeguards: The records are marked `Confidential.` Only Office of
Chief Counselor Regional Counsel Office employees or Bureau of Motor
Carrier Safety (BMCS) employees have access to the files.
Retention and disposal:
Retention and Disposal: The records are retained for one year and
then are sent to the Central Files for an additional three year
period.
System manager(s) and address:
System Manager: FHWA
Office of the Chief Counsel
400 7th Street, SW, Room 4224
Washington, DC 20590
FHWA, Regional Counsel,
FHWA, Regional Offices (See 49 CFR part 7 Appendix D for
addresses).
Notification procedure:
Notification Procedure: Same as `System Manager`.
Record access procedures:
Record Access Procedure: Same as `System Manager`.
Contesting record procedures:
Contesting Record Procedure: Same as `System Manager`.
Record source categories:
Record Source Categories: Individuals, motor carrier files, and BMCS
files, etc., as gathered by BMCS investigators.
Systems exempted from certain provisions of the act:
Exemptions: Pursuant to (k) (2) of 5 U.S.C. 552a this system of
records is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I) and (f).
DOT/FHWA 209
System name: System Name: Driver Accident Record Cross-
Reference File, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
FHWA Regional Office,
Associate Regional Administrator for Motor Carrier Safety
Room 210, Mohawk Building,
222 SW Morrison Street,
Portland, OR 97204.
Categories of individuals covered by the system:
Categories of Individuals: All Motor Carrier drivers who have had
commercial accidents in the Region 10 geographic area and drivers from
motor carriers based in Region 10 who have had commercial accidents
anywhere in the United States.
Categories of records in the system:
Categories of Records: Data tapes cross-referenced to motor carrier
files.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To identify commercial drivers who have been involved
in one or more commercial accidents.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Data tapes.
Retrievability:
Retrievability: Filed alphabetically by driver's name.
Safeguards:
Safeguards: Personnel screening of those individuals requesting
driver accident information.
Retention and disposal:
Retention and Disposal: Data maintained continuously on tape.
System manager(s) and address:
System Manager:
Associate Regional Administrator for Motor Carrier Safety
FHWA Regional Office,
Room 210, Mohawk Building,
222 SW Morrison Street,
Portland, OR 97204.
Notification procedure:
Notification Procedure: May be obtained upon request by supplying
name to the address in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager`.
Record source categories:
Record Source Categories: Accident information on the cards and data
tapes is transposed from the Motor Carrier Safety Accident Forms (MCS
50-T) and State Police Accident Reports.
DOT/FHWA 210
System name: System Name: Occupational Safety and Health
Accident Reporting System, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
Office of Management Systems, HMS-4,
400 7th Street, SW, Room 4317,
Washington, DC 20590. Duplicate copies may be retained in Regional
and Division offices (See 49 CFR part 7 Appendix D for addresses).
Categories of individuals covered by the system:
Categories of Individuals: Any FHWA employee involved in an
occupational accident.
Categories of records in the system:
Categories of Records: The system contains all type of occupational
accidents such as, employees' injuries, occupational illnesses, motor
vehicle, property damage, fire and explosion, vessel, train, and
incidents not resulting in injuries or property damage.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The use and purpose of the information is to obtain
information for accident prevention.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: The records are maintained in a file cabinet in folders.
Retrievability:
Retrievability: The system is indexed by organizational element and
name.
Safeguards:
Safeguards: Personnel screening.
Retention and disposal:
Retention and Disposal: Records are retained for five years as
required by Occupational Safety and Health Act of 1970, as amended,
Title 29, U.S.C., Part 1960, Safety and Health Provisions for Federal
Employees. The records are then forwarded to the Records Center of
National Archives and Records Administration, GSA.
System manager(s) and address:
System Manager: Occupational Safety Engineer,
Department of Transportation,
Federal Highway Administration,
Office of Management Systems,
400 7th Street, SW, Room 4317,
Washington, DC 20590.
Notification procedure:
Notification Procedure: The requester must provide his name,
organizational element, and/or date of the accident, and proper
identification to address in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager` above.
Record source categories:
Record Source Categories The information is obtained from individuals
involved in the accident, and by investigation by the individual's
supervisors. Management obtains the information through investigation.
DOT/FHWA 211
System name: System Name: Motor Carrier Accident File -
Property and Passenger, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
400 7th Street, SW,
Washington, DC 20590.
(Hard copy is located in Room 4432-Magnetic tape storage is located
in Room 2401.)
Hard copy is also stored in the Federal Records Center.
Categories of individuals covered by the system:
Categories of Individuals: Accidents reported by motor carriers of
passengers and property.
Categories of records in the system:
Categories of Records: Motor Carrier Accident Report Form.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Compilation of data concerning accident frequency and
causation.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Hard copy and magnetic tape.
Retrievability:
Retrievability: Indexed by carrier name.
Safeguards:
Safeguards: Personnel screening.
Retention and disposal:
Retention and Disposal: Retained indefinitely - continuing data
reference for comparison purposes.
System manager(s) and address:
System Manager:
Department of Transportation,
Federal Highway Administration,
Bureau of Motor Carrier Safety
Compliance Analysis Branch
400 7th Street, SW, Room 3408
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager` above.
Record source categories:
Record Source Categories: Information supplied by motor carrier.
DOT/FHWA 212
System name: System Name: Medals of Honor File, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
Bureau of Motor Carrier Safety,
Operations Division,
400 7th Street, SW, Room 3408,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Nominees and recipients of Presidential
Medals of Honor for Lifesaving on Highways.
Categories of records in the system:
Categories of Records: Description of incidents, Investigator's
report, and related correspondence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Determination of applicability of Medals of Honor
criteria, background information for preparation of Medal
presentation.
See Prefatory Statement of General Routine Uses, 1, 2, 4, 9 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folder, one file drawer.
Retrievability:
Retrievability: Indexed by name of nominee/recipient.
Safeguards:
Safeguards: Personnel screening.
Retention and disposal:
Retention and Disposal: Approximately two years retention after
presentation or denial.
System manager(s) and address:
System Manager: Chief, Operations Division,
Department of Transportation,
Federal Highway Administration,
Bureau of Motor Carrier Safety,
400 7th Street, SW, Room 3408,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager` above.
Record source categories:
Record Source Categories: Medal of Honor Nomination.
DOT/FHWA 213
System name: System Name: Driver Waiver File, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Regional Driver Waiver Specialist,
Associate Regional Administrator for Motor Carrier Safety,
(See 49 CFR part 7, Appendix D for Addresses).
Categories of individuals covered by the system:
Categories of Individuals: Operators of interstate commercial
vehicles transporting certain commodities.
Categories of records in the system:
Categories of Records: Application for waiver (usually involving
physical disability).
Final disposition of request for waiver.
Waiver renewal.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Control of physically impaired operators of commercial
motor vehicles.
See Prefatory Statement of General Routine Uses, 5 does not apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folder, entire file cabinet.
Retrievability:
Retrievability: Information retained by name.
Safeguards:
Safeguards: File is classified as non-confidential. Accessible to
certain employees of Regulations Division, Bureau of Motor Carrier
Safety.
Retention and disposal:
Retention and Disposal: Files are retained while waiver is active.
Inactive waiver files are purged each year.
System manager(s) and address:
System Manager: Chief, Driver Requirements Branch,
Department of Transportation,
Federal Highway Administration,
Bureau of Motor Carrier Safety,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager` above.
Record source categories:
Record Source Categories: Information obtained from Application for
Waiver or Waiver Renewal.
DOT/FHWA 215
System name: System Name: Travel Advance File, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
Office of Fiscal Services,
400 7th Street, SW,
Washington, DC 20590.
All FHWA Regional Offices (See 49 CFR part 7 Appendix D for
addresses).
Categories of individuals covered by the system:
Categories of Individuals: Recipients of travel advances.
Categories of records in the system:
Categories of Records: Record of travel advances and repayments.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To control repayment of travel advances.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this system to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Maintained on a 5 x 8 inch form.
Retrievability:
Retrievability: Indexed by name.
Safeguards:
Safeguards: Records are maintained in a locked file.
Retention and disposal:
Retention and Disposal: Schedule 9, Travel and Transportation
Records, of the General Records Schedules (FPMR 101-11.4).
System manager(s) and address:
System Manager: Chief, Voucher Review & Disbursement Section,
Department of Transportation,
Federal Highway Administration,
Office of Fiscal Services,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as System Manager.
Record access procedures:
Record Access Procedure: Same as System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as System Manager.
Record source categories:
Record Source Categories: Individual on whom the record is
maintained.
DOT/FHWA 216
System name: System Name: Travel Voucher - Change of Duty
Station, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
Office of Fiscal Services,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees reimbursed for change of duty
station travel.
Categories of records in the system:
Categories of Records: Record of travel expenses claimed for change
of duty station.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Record of travel expenses for change of duty station.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Maintained on a 8 x 10 inch form.
Retrievability:
Retrievability: Indexed by name.
Safeguards:
Safeguards: Supervised by the Chief, Voucher Review & Disbursements
Section.
Retention and disposal:
Retention and Disposal: Schedule 9, Travel and Transportation
Records, of the General Records Schedules (FPMR 101-11.4).
System manager(s) and address:
System Manager: Chief, Voucher Review & Disbursements Section,
Department of Transportation,
Federal Highway Administration,
Office of Fiscal Services,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager` above.
Record source categories:
Record Source Categories: Individual on whom the record is
maintained.
DOT/FHWA 217
System name: System Name: Accounts Receivable, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
Office of Fiscal Services,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals indebted to the Federal
Highway Administration.
Categories of records in the system:
Categories of Records: Amount of indebtedness.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To control accounts receivable.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Maintained in indexed loose-leaf book.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Supervised by Chief, General Ledger and Funds Control
Section.
Retention and disposal:
Retention and Disposal: Schedule 7, Expenditure Accounting Records,
of General Records Schedules (FPMR-101-11.4).
System manager(s) and address:
System Manager: Chief, General Ledger & Funds Control Section,
Department of Transportation,
Federal Highway Administration,
Office of Fiscal Services,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager` above.
Record source categories:
Record Source Categories: Employer.
DOT/FHWA 219
System name: System Name: Employee Utilization (monthly
report), DOT/FHWA.
System location:
System Location: Department of Transportation,
Federal Highway Administration,
Data Systems Division,
400 7th Street, SW, Room 2410,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: All computer programmers and systems
analysts in the Data Systems Division (DSD), FHWA.
Categories of records in the system:
Categories of Records: Working file (internal).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Basis for reimbursable charges for services to other
organizational elements (computer program maintenance and/or
development).
Basis for Planning Staff projections of current and future
workloads; estimates, etc.
Can be used to evaluate employee proficiency and productivity.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Computer printouts and magnetic tape.
Retrievability:
Retrievability: Organization, two digit employee numbers, Project
No., operation code, date.
Safeguards:
Safeguards: Secure building.
Retention and disposal:
Retention & Disposal: Magnetically recorded data is erased on a
quarterly basis.
Printouts are usually destroyed on a monthly or quarterly basis.
One complete historical printout is retained by the planning staff
for long range reference.
System manager(s) and address:
System Manager: Chief, Data System Division,
Department of Transportation,
Federal Highway Administration,
400 7th Street, SW, Room 2418,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager` above.
Record source categories:
Record Source Categories: Data Systems Division computer programmers
and system analysts provide this information on a weekly basis -
accounting for their various work activities plus leave, training,
etc.
DOT/FHWA 220
System name: System Name: Payroll Administration, DOT/FHWA.
System location:
System Location: Department of Transportation (DOT),
Federal Highway Administration (FHWA),
Office of Fiscal Services,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the following Headquarters
Elements:
Federal Highway Administration.
Categories of records in the system:
Categories of Records: Contains all data relative to payrolling
employees. Includes time, attendance, leave, gross pay and payroll
deduction records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Payrolling and Leave Administration.
The purpose of each use of categories of records within the DOT/
FHWA Payroll Administration is to enable the administration of the
payroll function and related financial matters in accordance with
applicable laws and regulations and to comply with the requirements
of the Comptroller General.
System Uses:
1. For providing a permanent record of actions taken pertinent to
the administration of pay, leave and allowances.
2. For any of the routine uses specified in the Prefatory
Statement.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this system to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Supervised by Chief, Payroll & Employee Records Section.
Retention and disposal:
Retention and Disposal: Schedule 2 of General Records Schedules
Payrolling and Pay Administration Records (FPMR 101-11.4).
System manager(s) and address:
System Manager: Chief, Payroll & Employee Records Section,
Department of Transportation,
Federal Highway Administration,
Office of Fiscal Services,
400 7th Street, SW,
Washington, DC 20590.
Appropriate Finance Officer in FHWA Region 8 or 10.
Notification procedure:
Notification Procedure: Same as in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as in `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as in `System Manager` above.
Record source categories:
Record Source Categories: Individual on whom the record is
maintained, Office of Personnel and Training, Federal, State and City
Tax Regulations.
DOT/FRA 100
System name: System Name: Alaska Railroad Examination of
Operating Personnel, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
The Alaska Railroad,
Pouch 7-2111,
Anchorage, Alaska 99510.
Categories of individuals covered by the system:
Categories of Individuals: Alaska Railroad operating employees.
Categories of records in the system:
Categories of Records: Examination papers on rules and safety
practices.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Determination of employees understanding of safety
practices and rules of the Alaska Railroad.
Qualification for employment.
Review for promotion.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Kept under lock and key.
Only authorized Alaska Railroad officials can handle the
examinations.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Access to examinations limited to Alaska Railroad
officials only.
Retention and disposal:
Retention and Disposal: Examinations kept during employment of
individual with Alaska Railroad; upon termination, disposed of by
destruction by either burning or shredding.
System manager(s) and address:
System Manager: Operations Officer,
Department of Transportation,
Federal Railroad Administration,
The Alaska Railroad,
Pouch 7-2111,
Anchorage, Alaska 99510.
Notification procedure:
Notification Procedure: Individuals may request from the System
Manager whether or not this system of records pertains to him.
Record access procedures:
Record Access Procedure: The System Manager may allow an individual
to review his score on the examination.
Contesting record procedures:
Contesting Record Procedure: Contest of these records, if
appropriate, is through the System Manager.
Record source categories:
Record Source Categories: Official examination papers.
Systems exempted from certain provisions of the act:
Exemptions: This system is exempted under section 552a(k)6, `testing
or examination material used solely to determine individual
qualifications for appointment or promotion in the Federal Service the
disclosure of which would compromise the objectivity or fairness of
the testing or examination process.`
DOT/FRA 101
System name: System Name: Alaska Railroad Personnel and Pay
Management Information System, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
The Alaska Railroad,
Pouch 7-2111,
Anchorage, Alaska 99510.
Categories of individuals covered by the system:
Categories of Individuals: Alaska Railroad officials and employees.
Categories of records in the system:
Categories of Records: Time, attendance and leave.
Payroll data.
Payroll computation and history.
Personnel records.
Personnel Management Records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Personnel Status Reports.
Personnel Strength Reports.
Payroll computation and related reports.
Record of leave accrued and used.
Labor distribution and accounting reports.
Personnel management and budget reports.
Reports to Internal Revenue Service (IRS), U.S. Treasury, Civil
Service Commission (CSC), etc.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Integrated data based on mag-tape.
Retrievability:
Retrievability: By name or I.D. Number.
Safeguards:
Safeguards: Access to the data base is limited to computer programs.
Outputs from computer programs are disclosed only to employees or
officials in discharge of their official duties. Primary control is
achieved through a separation of functions wherein no one person is
responsible for the input processing and auditing of any given
transaction.
Retention and disposal:
Retention and disposal: Individual records are deleted from the
automated data base at the end of the calendar year in which Alaska
Railroad employment is terminated. Input document and printed outputs
are disposed of by burning or shredding or transfer to a records
center in accordance with established records disposition schedules.
System manager(s) and address:
System Manager: General Manager,
Department of Transportation,
Federal Railroad Administration,
The Alaska Railroad,
Pouch 7-2111,
Anchorage, Alaska 99510.
Notification procedure:
Notification Procedure: The individual who feels that this system of
records pertains to him may present himself to the General Manager,
The Alaska Railroad requesting confirmation.
Record access procedures:
Record Access Procedure: Contact the system manager for access.
Contesting record procedures:
Contesting Record Procedure: In case of contest employee is
instructed to first contact the immediate supervisor. Procedures are
established which permit an employee to pursue an appeal to the
General Manager, The Alaska Railroad, then to the U.S. Civil Service
Commission.
Record source categories:
Record Source Categories: Official Personnel Folders.
Time, attendance and leave records.
Organizational code structure.
Computations and historical record of pay.
DOT/FRA 102
System name: System Name: Alaska Railroad Security and Freight
Claims Investigatory Files, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
The Alaska Railroad,
Pouch 7-2111,
Anchorage, Alaska 99510.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the Alaska Railroad.
Categories of records in the system:
Categories of Records: Investigatory files.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used in routine investigatory work for the DOT/Alaska
Railroad Security and Freight Claims division.
Review by General Manager or his designee.
Review by General Counsel, Alaska Railroad.
May be forwarded to U.S. Attorney to assist in prosecution where
warranted.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Locked in fire class C safe with combination lock.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: In addition to the combination safe only two officials of
the railroad maintain the combination.
Retention and disposal:
Retention and Disposal: Records are maintained in the official safe
for two years, then transferred to secured holding area for two years
and then destroyed by burning or shredding.
System manager(s) and address:
System Manager: Chief, Security and Claims,
Department of Transportation,
Federal Railroad Administration,
The Alaska Railroad,
Pouch 7-2111,
Anchorage, Alaska 99510.
Notification procedure:
Notification Procedure: Individual may confirm through the System
Manager whether or not the System contains records on him or her.
Record access procedures:
Record Access Procedure: Access of records requires the individual to
contact in person or in writing the System Manager. The records in
this system are exempted by section 552(k)(2) if investigatory matter
is being pursued in a court case.
Contesting record procedures:
Contesting Record Procedure: However, contest procedures through the
System Manager and the General Manager are available if the
investigatory files are maintained for general purposes.
Confidentiality of sources will be maintained.
Record source categories:
Record Source Categories: Personal information provided by
individual.
Confidential Statements.
Photographs.
Systems exempted from certain provisions of the act:
Exemptions: This system of records is exempted under section 552a(1)
(2); `investigatory material compiled for law enforcement purposes
other than material within the scope of subsection (j)(2) of this
section: Provided, however, that if any individual is denied any
right, privilege, or benefit that he would otherwise be entitled by
Federal Law, or for which he would otherwise be eligible, as a result
of the maintenance of such material, such material shall be provided
to such individual, except to the extent that the disclosure of such
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 the
effective date of this section, under an implied promise that the
identity of the source would be held in confidence.`
DOT/FRA 104
System name: System Name: Statement of Employment and Financial
Interest, DOT/FRA.
System location:
System Location: Department of Transportation,
Federal Railroad Administration,
Office of the Chief Counsel,
400 7th Street, SW, Room 5101,
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: FRA Permanent Employees GS-13 and above,
supervisors, procurement personnel, and safety inspectors.
Categories of records in the system:
Categories of Records: Standard Forms on Employment and Financial
Interest.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Review of Financial Interest to Employment.
Administrative References.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: All records are maintained on standard form in a locked file
cabinet located in the Chief Counsel's Office.
Retrievability:
Records are indexed by name.
Safeguards:
Physical security consists of locked file cabinet; records provided to
individuals only after physical screening.
Records are maintained until new or amended forms are received. Upon
receipt of new statements old records are removed and destroyed.
System manager(s) and address:
System Manager: Chief Counsel,
Department of Transportation,
Federal Railroad Administration,
Office of Chief Counsel,
400 7th Street, SW, Room 5101,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Requests for information about this system
should be addressed to the System Manager either in person or in
writing. Prior employees must provide notarized signature or provide
valid security number.
Record access procedures:
Record Access Procedures: Access to records require the individual to
contact in person or write the System Manager.
Contesting record procedures:
Contesting Record Procedures: Contest of a record is first through
the System Manager. FRA procedures are in Appendix F to 49 CFR part
10.
Record source categories:
Record Source Categories: Information is provided by the individual
on Standard Form DOT F 3700.1, Confidential Statement of Employment
and Financial Interest, and Form 278, Financial Disclosure Report.
DOT/FRA 105
System name: System Name: Employee Travel Records, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
Office of Financial and Administrative Services, RAD-40,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: All FRA employees.
Private persons issued invitational travel orders to confer on
government problems.
Categories of records in the system:
Categories of Records: Travel logs.
Individual travel folders.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Provide back-up to support FRA General Accounting
Ledger.
Analysis of travel trends.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained in a file drawer secured with lock
and key.
Retrievability:
Retrievability: System is indexed by name.
Safeguards:
Safeguards: Physical security maintained by secured file system.
Individuals requesting individual travel folders are screened by
accounting personnel.
Retention and disposal:
Retention and Disposal: Records are maintained three years then
forwarded to the Federal Records Center.
System manager(s) and address:
System Manager: Accounting Officer,
Department of Transportation,
Federal Railroad Administration,
Accounting Division,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Requests for information about this system
should be addressed to the System Manager either in person or in
writing.
Record access procedures:
Record Access Procedure: Access of records requires the individual to
contact in person or in writing the System Manager.
Contesting record procedures:
Contesting Record Procedure: Initial contest of any record will be
with the System Manager; if resolvement at this level is not
satisfactory the individual may file an appeal in writing with the
Secretary of Transportation addressed as follows:
Department of Transportation,
Federal Railroad Administration,
Office of the Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Individual Travel Vouchers.
DOT/FRA 106
System name: System Name: Occupational Safety and Health
Reporting System, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
Office of Administration,
Office of Management Systems, RAD-20,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: FRA employees (injury-illnesses).
FRA employees involved in government property accidents.
Categories of records in the system:
Categories of Records: Federal Occupational Injuries and Illnesses
Survey (Standard Form OSHA-102).
Departmental Accident/Injury Reports DOT Forms 3902.1-8.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Maintain accident records per departmental orders.
Provide data to Office of the Secretary.
Develop causative trends.
Use for corrective accident prevention.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Maintained on copies of basic documents.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Physical security consists of file drawer with data;
records provided to authorized individuals by FRA Safety Manager after
physical screening.
Retention and disposal:
Retention and Disposal: Records are retained for five years.
Documents are then destroyed by shredding or burning.
System manager(s) and address:
System Manager: FRA Safety Manager,
Department of Transportation,
Federal Railroad Administration,
Office of Administration,
Office of Management Systems, RAD-20,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries may be addressed to the Systems
Manager either in person or in writing. If written the individual must
provide a notarized signature, or provide a valid social security
number.
Record access procedures:
Record Access Procedure: Access to records requires the individual to
contact in person or write the System Manager.
Contesting record procedures:
Contesting Record Procedure: Contest of a record is also through the
System Manager. If a change is valid after System Manager review it
will be made as requested. If resolvement is not possible at this
level an appeal may be filed in writing with the Secretary of
Transportation addressed as follows:
Department of Transportation,
Federal Railroad Administration,
Office of the Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Documents provided by the individual.
DOT/FRA 112
System name: System Name: Personnel and Pay Management
Information System, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
Office of Personnel and Training, RAD-10,
400 7th Street, SW, Room 8125,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the Federal Railroad
Administration.
Categories of records in the system:
Categories of Records: Payroll data.
Personnel records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Personnel Status Reports.
Personnel Strength Reports.
Payroll computations and related reports.
Personnel Management and Budget Reports.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Integrated data based on magnetic tape, reports are prepared
on computer readable form.
Retrievability:
Retrievability: By name or I.D. number.
Safeguards:
Safeguards: Access to programs limited to employees or officials of
the Transportation Computer Center (TCC).
Retention and disposal:
Retention and Disposal: Individual records are deleted from automated
data base at end of calendar year in which separation occurs.
Computer readable programs are destroyed in accordance with
established internal procedures.
System manager(s) and address:
System Manager: Director, Office of Personnel and Training, RAD-10,
Department of Transportation,
Federal Railroad Administration,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Any individual who feels that this system of
records pertains to him may visit or write the System Manager at the
address in `System Manager: requesting confirmation.
Record access procedures:
Record Access Procedure: Contact the System Mananger for access.
Contesting record procedures:
Contesting Record Procedure: Employee should, in case of contest,
contact the System Manager. Procedures are established which permit an
employee to pursue appeal through agency levels to U.S. Civil Service
Commission.
Record source categories:
Record Source Categories: Official personnel folders.
Time, attendance and leave records.
Organizational code structure.
Computations and historical records.
DOT/FRA 113
System name: System Name: Regional Personnel Convenience Files,
DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Region 1, Federal Railroad Administration.
150 Causeway Street,
Boston, Mass. 02114
Region 2, Federal Railroad Administration (FRA),
Independence Building, Room 1020,
434 Walnut Street,
Philadelphia, PA 19106.
Region 3, Federal Railroad Administration,
Suite 440, North Tower,
1720 Peachtree Rd., NW,
Atlanta, GA 30309.
Region 4, Federal Railroad Administration,
536 South Clark Street,
Chicago, IL 60605.
Region 5, Federal Railroad Administration,
819 Taylor Street, Room 11A23,
Fort Worth, TX 76102.
Region 7, Federal Railroad Administration,
911 Walnut Street,
Rm. 1807, Federal Building,
Kansas City, MO 64106
Region 6, Federal Railroad Administration,
2 Embarcadero, Suite 630,
San Francisco, CA 94111.
Region 8, Federal Railroad Administration,
421 Southwest Fifth Avenue
Portland, Oregon 97204
Categories of individuals covered by the system:
Categories of Individuals: Federal Supervisory Inspectors.
Federal Safety Inspectors.
Federal clerical personnel.
Regional Directors.
Categories of records in the system:
Categories of Records: Standard Form 52.
Standard Form 171.
Performance evaluations.
Within grade increases.
Travel authority and vouchers.
Use of Government-owned vehicles and authority.
Training records.
Payroll and leave records.
Copies of commendations and awards.
Work measurement records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses:
For the individual's use.
Schedule training.
Statistics to recommend personnel actions.
Administrative reference material.
Budgetary information material.
Technical information material.
Work territory assignments.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained from copies of original documents.
Retrievability:
Retrievability: The system is indexed by name.
Safeguards:
Safeguards: Physical security is maintained by locked file cabinets.
Any individual requesting data is screened by the Regional
Director's secretary.
Retention and disposal:
Retention and Disposal: Personnel records are retained until employee
is terminated, retired, or transferred.
Records are then disposed of as trash.
Records used for budgetary purposes are retained for 1 year then
disposed of.
System manager(s) and address:
System Manager: The responsible System Manager for each regional
system is the Regional Director. The location is identical to those
previously listed.
Notification procedure:
Notification Procedure: The individual may present himself to the
Regional Office (Regional Director) to inquire about whether this
system of records applies to him either in person or in writing.
Record access procedures:
Record Access Procedure: An individual may gain access to his records
by request to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Contest of these records will be at the
Regional level, if resolvement is not satisfactory to the individual
at that level an appeal may be field in writing with the Secretary of
Transportation addressed as follows:
Department of Transportation,
Federal Railroad Administration,
Office of the Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories:
Informational copies provided by the individual.
Informational copies provided by Office of Personnel.
Informational copies generated by on-going work programs.
DOT/FRA 114
System name: System Name: Transportation Test Center Employee
Service Record File, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
Transportation Test Center,
Pueblo, CO 81001.
Categories of individuals covered by the system:
Categories of Individuals: Federal employees of the Transportation
Test Center.
Categories of records in the system:
Categories of Records: Personal data submitted by individuals.
Personnel actions.
Training data.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Record of personal data on SF 7.
Computer service computations dates.
Review performance ratings.
Follow-up dates for within-grade pay increases.
Training data used to determine training needs.
Awards information.
Used to prepare manpower and budget reports and requests.
Used in preparing requests for personnel actions.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Service records are maintained by a clerk during working
hours. File cabinet is secured by lock during non-duty hours.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Physical security is maintained by locked file cabinet.
Physical screening is insured by clerk who cannot release records
without approval.
Retention and disposal:
Retention and Disposal: Each individual's service record is
maintained until termination of employment. After termination record
is maintained for one year and then destroyed.
System manager(s) and address:
System Manager:
Director, Transportation Test Center,
Department of Transportation,
Federal Railroad Administration,
Transportation Test Center,
Pueblo, CO 81001.
Notification procedure:
Notification Procedure: The individual who feels that this system of
records pertains to him may write or present himself to the Director,
Transportation Test Center (System Manager) requesting confirmation.
Record access procedures:
Record Access Procedure: An individual may gain access to his records
by request to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Contest of these records, if
appropriate, may be settled by informal communication. If this is
unsatisfactory to the individual, the person may file an appeal in
writing with the Secretary of Transportation addressed as follows:
Department of Transportation,
Federal Railroad Administration,
Office of the Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Information supplied by employee.
Personnel actions, SF 50.
Evaluation and training forms.
Information supplied by supervisors.
DOT/FRA 115
System name: System Name: Travel Advance Records, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
Office of Financial and Administrative Service, RAD-40,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: All FRA employees.
Private persons traveling on government request.
Categories of records in the system:
Categories or Records: Travel Advance Card.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Maintain accounting records.
Ensure collection of amounts due to the U.S.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Maintained in file drawer.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Records controlled by Accounting Division personnel.
Retention and disposal:
Retention and Disposal: Retained three years then forwarded to
Federal Record Center with other accounting records.
System manager(s) and address:
System Manager: Accounting Officer,
Department of Transportation,
Federal Railroad Administration,
Accounting Division,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Individuals may contact the System Manager to
confirm whether or not the system contains a record on them.
Record access procedures:
Record Access Procedure: An individual may gain access to his records
by request to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Content of these records may be settled
with the System Manager. If this is unsatisfactory to the individual,
the person may file an appeal in writing with the Secretary of
Transportation addressed as follows:
Department of Transportation,
Federal Railroad Administration,
Office of the Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Travel advance card signed by individual,
forwarded to Accounting Division.
DOT/FRA 118
System name: System Name: Transportation Test Center Cost
Tracking System, DOT/FRA.
System location:
System Location: Department of Transportation (DOT),
Federal Railroad Administration (FRA),
Transportation Test Center,
Pueblo, CO 81001.
Categories of individuals covered by the system:
Categories of Individuals: Operations and Maintenance (O&M)
contractor employees.
Categories of records in the system:
Categories of Records: Employee weekly time cards.
Employee work order charges.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For the individual's use.
Administrative reference material.
Budgetary information material.
Technical information material.
DOT/FRA and other Government agencies that need Project/Work Order
Cost Accounting Data.
Statistical purposes such as labor utilization assessment.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: O&M contractor employee labor distribution records are
stored on magnetic tape files.
Retrievability:
Retrievability: The system is indexed by name and employee clock
number.
Safeguards:
Safeguards: Primary system record input and output control is
assigned to the Operations and Maintenance Contractor Accounting
Office which functions as a single point interface with data
processing operations.
Retention and disposal:
Retention and Disposal: Employee labor distribution records are
retained in fiscal year transaction history files on magnetic tapes.
Input document (employee time cards) and printed output are disposed
of after three years from termination of the O&M contract.
System manager(s) and address:
System Manager: Director, Transportation Test Center,
Department of Transportation,
Federal Railroad Administration,
Pueblo, CO 81001.
Notification procedure:
Notification Procedure: Any individual who wishes to inquire about
whether this system of records applies to him may request confirmation
from the System Manager.
Record access procedures:
Record Access Procedure: An individual may gain access to his records
by request to the System Manager who will notify the appropriate O&M
Project Manager.
Contesting record procedures:
Contesting Record Procedure: Contest of record content will be with
the System Manager. If resolvement at this level is not satisfactory
the individual may file an appeal in writing with the Secretary of
Transportation addressed as follows:
Department of Transportation,
Federal Railroad Administration,
Office of the Chief Counsel,
400 7th Street, SW, Room 5101,
Washington, DC 20590.
Record source categories:
Record Source Categories: Employee time cards.
DOT/FRA 130
System name: Office of Chief Counsel Individual Enforcement Case
System.
System location:
Federal Railroad Administration, Office of the Chief Counsel, Safety
Division (RCC-30), 400 Seventh Street SW, Washington, DC 20590.
Categories of individuals covered by the system:
Individuals that have allegedly failed to comply with certain railroad
safety statutes and regulations.
Categories of records in the system:
Facts and circumstances surrounding alleged rail safety violations by
individuals; recommendations for enforcement actions; and enforcement
cases.
Authority for maintenance of the system:
Hazardous Materials Transportation Act (49 App. U.S.C. 1801 et. seq.);
Safety Appliance Acts, (45 U.S.C. 1-16); Locomotive Inspection Act,
(45 U.S.C. 22-34); Accident Reports Act, (45 U.S.C. 38-43); Hours of
Service Act, (45 U.S.C. 61-64a); Signal Inspection Act, (49 App.
U.S.C. 26); Federal Railroad Safety Act of 1970 (45 U.S.C. 421 et
seq.); 18 U.S.C. 1001; and Rail Safety Improvement Act of 1988 (Pub.
L. 100-342).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To disclose pertinent information to any source from which additional
information is requested in the course of conducting an investigation
to the extent necessary to identify the purpose(s) of the request and
identify the information requested.
To provide notice of the investigation and its outcome to the
individual's employing railroad or shipper, or other railroad related
to the case through joint facilities or trackage rights in order to
give those entities information they may need to assist in preventing
a recurrence of noncompliance.
To provide information concerning enforcement actions for violations
of safety statutes and regulations to government agencies and the
regulated industry in order to provide them with information necessary
to carry out their responsibilities, and to the public in order to
increase the deterrent effect of the actions and keep the public
apprised of how the laws are being enforced.
To be reviewed by the Safety Division and to form the basis, or
support for, civil and/or criminal enforcement actions against the
individuals involved.
The general routine uses in the prefatory statement apply to all of
these files.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, file cabinets and an automated tracking system.
Retrievability:
Records are retrievable by name of individual and/or his or her
employer.
Safeguards:
Information in this system is maintained in both manual and automated
forms. Access in each case is limited to authorized officials.
Manual records will be maintained in file cabinets which will be
locked after working hours.
Automated records will be password protected.
Retention and disposal:
Appropriate records retention schedules will be applied and disposal
will be by shredding. Certain automated records will be retained
indefinitely to provide complete compliance histories.
System manager(s) and address:
Enforcement Information Technician, Safety Division, Office of Chief
Counsel, Federal Railroad Administration, 400 Seventh Street, SW,
Washington, DC 20590.
Notification procedure:
Inquiries should be directed to: Assistant Chief Counsel, Safety
Division, Office of the Chief Counsel, Federal Railroad
Administration, 400 Seventh Street SW, Washington, DC 20590.
Record access procedures:
Contact (202) 366-0635 or write to the System Manager for information
on procedures for gaining access to records.
Contesting record procedures:
Same as record access procedure.
Record source categories:
Information is obtained directly from the individual or from other
persons with personal knowledge of the facts and circumstances
involved.
DOT/FRA 131
System name: Office of Safety Individual Enforcement Case
System.
System location:
Each regional office and Federal Railroad Administration, Office of
Safety, RRS-10, 400 Seventh Street SW, Washington, DC 20590.
Categories of individuals covered by the system:
Individuals who have allegedly failed to comply with certain railroad
safety statutes and regulations.
Categories of records in the system:
Facts and circumstances surrounding alleged rail safety violations by
individuals; recommendations for enforcement actions; and enforcement
cases.
Authority for maintenance of the system:
Hazardous Materials Transportation Act (49 U.S.C. 1801 et seq.);
Safety Appliance Acts, (45 U.S.C. 1-16); Locomotive Inspection Act,
(45 U.S.C. 22-34); Accident Reports Act, (45 U.S.C. 38-43); Hours of
Service Act, (45 U.S.C. 61-64a); Signal Inspection Act, (49 App.
U.S.C. 26); Federal Railroad Safety Act of 1970 (45 U.S.C. 421 et
seq.); 18 U.S.C. 1001, and Rail Safety Improvement Act of 1988 (Pub.
L. 100-342).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To be reviewed by the Associate Administrator for Safety and his staff
to determine whether cases should be forwarded to the Office of Chief
Counsel for prosecution and to otherwise accomplish the mission of the
Office of Safety.
To disclose pertinent information to any source from which additional
information is requested in the course of conducting an investigation
to the extent necessary to identify the purpose(s) of the request and
identify the information requested.
To provide notice of the investigation and its outcome to the
individual's employing railroad or shipper, or other railroad related
to the case through joint facilities or trackage rights in order to
give those entities information they may need to assist in preventing
a recurrence of noncompliance.
To provide information concerning enforcement actions for violations
of safety statutes and regulations to government agencies and the
regulated industry in order to provide them with information necessary
to carry out their responsibilities, and to the public in order to
increase the deterrent effect of the actions and keep the public
apprised of how the laws are being enforced.
The general routine uses in the prefatory statement apply to all of
these files.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, file cabinets and an automated tracking system.
Retrievability:
Records are retrievable by direct terminal access with the selection
of the data elements determined by the authorized user.
Safeguards:
Information in this system is maintained in both manual and automated
forms. Access in each case is limited to authorized officials.
Manual records will be maintained in file cabinets which will be
locked after working hours.
Automated records will be password protected.
Retention and disposal:
File records will be retained for a period of three years, automated
records will be maintained for a period of five years. Disposal will
be by shredding except certain automated records will be retained
indefinitely to provide complete compliance histories.
System manager(s) and address:
Director, Office of Safety Enforcement, RRS-10, Federal Railroad
Administration, RRS-1, 400 Seventh Street SW, Washington, DC 20590.
Notification procedure: Inquiries should be directed to: Associate
Administrator for Safety, Federal Railroad Administration, 400
Seventh Street SW, Washington, DC 20590.
Record access procedures: Contact the System Manager for information on
procedures for gaining access to records.
Contesting record procedures: Same as record access procedure.
Record source categories: Information is obtained directly from the
individual or from other persons with personal knowledge of the fact
and circumstances involved.
DOT/FTA 196
System name:
Office of Technical Assistance & Safety (TTS) Mailing List.
System location:
Department of Transportation (DOT), Federal Transit Administration
(FTA), Office of Technical Assistance & Safety, Office of Program
Management Staff, TTS-5, 400 7th Street NW, room 6431, Washington, DC
20590.
Categories of individuals covered by the system:
Individuals interested in technical information about transit issues.
Categories of records in the system:
Individual's name, business address, telephone number, fax number,
areas of interest, organization type, job type, date of last update.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
For technical information dissemination. See Prefatory Statement of
General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in a master computer file by a contractor and a
working file in FTA.
Retrievability:
Access by computer terminal by any item.
Safeguards:
Available for use under the control of the Mailing List Manager.
Computer file is protected by password logon and access rights to data
file.
Retention and disposal:
Records are retained until notified that individual no longer desires
information and then record is destroyed.
System manager(s) and address:
Director, Program Management Staff, TTS-5, Federal Transit
Administration (FTA), Office of Technical Assistance & Safety, Program
Management Staff, TTS-5, 400 7th Street SW, room 6431, Washington, DC
20590.
Notification procedure:
Inquiries are addressed to the Program Management Staff, TTS-5
(address same as system manager).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Conference registration lists, Post Office return forms, letter and/or
verbal request to be placed on mailing list and other DOT/FTA mailing
lists.
DOT/MARAD-1
System name: System Name: Attendance, Leave and Payroll Records
of Employees and Certain Other Persons.
System location:
System Location: Department of Transportation (DOT)
Maritime Administration (MarAd)
Division of Accounting Operations
400 7th Street, SW
Room 4429
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: All Maritime Administration employees and
certain other employees.
Categories of records in the system:
Categories of Records: Name, date of birth, social security number
and employee number, service computation date, grade, step, and
salary; organization (code), retirement or FICA data, as applicable;
federal, state, and local tax deductions, as appropriate; optional
Government life insurance deduction(s), health insurance deduction and
plan or code; cash award data; jury duty data; military leave data;
pay differentials; union dues deductions; allotments, by type and
amount; financial institution code and employee account number; leave
status and leave data of all types (including annual, compensatory,
jury duty, maternity, military retirement advisability, sick,
transferred, absence without leave, and without pay); time and
attendance records including number of regular, overtime, holiday,
Sunday, and other hours worked; pay period number and ending date;
cost of living allowances; mailing address; co-owner and/or
beneficiary of bonds, marital status and number of dependants; and
`Notification of Personnel Action.` The individual records listed
herein are included only as pertinent or applicable to the individual
employee.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Transmittal of data to U.S. Treasury and employee-
designated financial institutions to effect issuance of paycheck to
employees and distribution of pay according to employee directions for
saving bonds, allotments, and other authorized purposes.
Reporting: Tax withholding to Internal Revenue Service and
appropriate state and local taxing authorities; FICA deductions to
the Social Security Administration; dues deduction to labor unions;
withholding for health and life insurance to the insurance carriers
and the U.S. Office of Personnel Management; charity contribution
deductions to agents of charitable institutions; annual W-2
statements to taxing authorities and the individual; wage,
employment, and separation information to state unemployment
compensation agencies, to the Department of Labor to determine
eligibility for unemployment compensation, and to housing
authorities for low-cost housing applications; injury compensation
claims to Office of Workers Compensation Program at the Department
of Labor. Also see Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Manual and automated.
Retrievability:
Retrievability: By name or social security number.
Safeguards:
Safeguards: Physical, technical, and administrative security is
maintained, with all storage equipment and/or rooms locked when not in
use. Admittance, when open, is restricted to authorized personnel
only. All payroll personnel and computer operators and programmers are
instructed and cautioned on the confidentiality of the records.
Retention and disposal:
Retention and Disposal: Retained on site until after GAO audit, then
disposed of, or transferred to Federal Records Storage Center in
accordance with the fiscal record programs approved by GAO, as
appropriate, or General Record Schedules of GSA.
System manager(s) and address:
System Manager(s) and Address: Chief, Division of Accounting
Operations
Department of Transportation
Maritime Administration
400 7th Street, SW,
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name, social
security number, and time and organization unit of employment.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in Notification section above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting, and appealing initial determinations by the individual
concerned appear in 49 CFR part 10. Use above address for desired
location.
Record source categories:
Record Source Categories: The individual.
Those authorized by individual to furnish information.
Supervisors.
Timekeepers.
Personnel Offices.
IRS.
DOT/MARAD-2
System name: System Name: Accounts Receivable.
System location:
System Location: Department of Transportation
Maritime Administration
Division of Accounting Operations
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Debtors owing money to MarAd, including
employees, former employees, business firms, general public and
institutions.
Categories of records in the system:
Categories of Records: Name and address; amount owed, and service,
overpayment or other accounting therefor; invoice number, if any.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Billing debtors, reporting delinquent debts to credit
bureaus, referrals to the General Accounting Office and the Department
of Justice, reporting to Office of Personnel Management for
liquidating debts from retirement and other benefits. Also see
Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Manual.
Retrievability:
Retrievability: By name, and invoice number as appropriate.
Safeguards:
Safeguards: Physical security; handling by authorized personnel only.
Retention and disposal:
Retention and Disposal: Retained until payment is received and
account is audited, then disposed of in accordance with Records
Control Schedule.
System manager(s) and address:
System Manager(s) and Address: Chief, Division of Accounting
Operations
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual should provide name and
address, and invoice number as appropriate.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The individual.
Those authorized by the individual to furnish information.
Contracting officer as appropriate.
Accounting records.
DOT/MARAD-3
System name: System Name: Freedom of Information and Privacy
Request Records.
System location:
System Location: Office of the Secretary, Maritime Administration,
Department of Transportation, 400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Individuals who have requested records
under the Freedom of Information and/or Privacy Acts contained in
files maintained by the organizational units shown in the System
Location paragraph above.
Categories of records in the system:
Categories of Records: Incoming requests; correspondence developed
during processing of requests; initial and final determination
letters; records summarizing pertinent facts about requests and action
taken; copy or description of records released; description of records
denied (copies of records denied are often kept with these files).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by DOT and MarAd management and legal personnel to
assure that each request receives an appropriate reply and to compile
data for the required annual reports on activities under the Acts.
Also see Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Chronologically by date of initial determination.
Safeguards:
Safeguards: Privacy Act request records are stored in file cabinets
in secured premises with access limited to those whose official duties
require access. Freedom of Information Act request records are
generally available to the public with the exception of records
denied.
Retention and disposal:
Retention and Disposal: Records are disposed of in accordance with
the appropriate records disposition authorization approved by the
Archivist of the United States.
System manager(s) and address:
System Manager(s) and Address: Secretary, Maritime Administration
U.S. Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Same individual and address for each as shown
in System Manager section above.
Written request, signed by individual, should provide name and
address.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to same address as stated above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The individual. Records derived from
processing Freedom of Information and Privacy Act requests.
DOT/MARAD-4
System name: System Name: Visitor Logs and Permits for
Facilities Under Department Control.
System location:
System Location: Beaumont Reserve Fleet, Beaumont, Texas; James River
Reserve Fleet, Fort Eustis, Virginia; Suisun Bay Reserve Fleet,
Benicia, California; and U.S. Merchant Marine Academy, Kings Point,
New York.
Categories of individuals covered by the system:
Categories of Individuals: Non-Federal visitors, Federal personnel
entering facilities after duty hours, and employees seeking parking
and firearm permits.
Categories of records in the system:
Categories of Records: Name, address, place of birth, citizenship,
physical characteristics, type and number of firearms and amount of
ammunition, purpose of visit, affiliation, time in and time out,
license numbers, and records of violations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by name, or date and time.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Retained on site for five years, then
disposed of in accordance with unit's Record Control Schedule.
System manager(s) and address:
System Manager(s) and Address: Superintendent of respective Reserve
Fleets and Chief, Fire and Security, U.S. Merchant Marine Academy,
Kings Point, New York.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name and
address, date of visit or type of permit, as appropriate.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The individual.
Those authorized by the individual to furnish information.
Employees.
DOT/MARAD-5
System name: System Name: Travel Records (Domestic and Foreign)
of Employees and Certain Other Persons.
System location:
System Location: Division of Accounting Operations
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
U.S. Merchant Marine Academy Travel Clerk
U.S. Merchant Marine Academy
Kings Point, New York 11024
Categories of individuals covered by the system:
Categories of Individuals: Employees, Consultants, Advisory Committee
Members, and official guests of the Department.
Categories of records in the system:
Categories of Records: Name, address, social security number;
destination, itinerary, mode and purpose of travel; dates; expenses
including amounts advanced (if any), amounts claimed, and amounts
reimbursed; travel orders, travel vouchers, receipts, and passport
record card.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Transmittal to U.S. Treasury for payment, to State
Department for passports. Also see Prefatory Statement of General
Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Manual.
Retrievability:
Retrievability: Filed by name, social security number, or travel
order number.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
secured rooms or secured premises with access limited to those whose
official duties require access.
Retention and disposal:
Retention and Disposal: Retained according to GSA Federal Travel
Regulations, and then disposed of according to unit's Records Control
Schedule.
System manager(s) and address:
System Manager(s) and Address: Chief, Division of Accounting
Operations,
MarAd
Department of Transportation
400 7th Street, SW
Washington, DC 20590
U.S. Merchant Marine Academy Travel Clerk
U.S. Merchant Marine Academy
Kings Point, NY 11024
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name, travel
order number, if known, and date of travel.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The individual.
Those authorized by the individual to furnish information.
Supervisors.
Finance (or accounting) office standard references.
DOT/MARAD-6
System name: System Name: Executive Correspondence Files.
System location:
System Location: Office of Maritime Administrator
Department of Transportation
Maritime Administration
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Individuals who correspond with top-level
officials in MarAd and express views or seek information or
assistance. Freedom of Information Act or Privacy Act requests are not
indexed in this system.
Categories of records in the system:
Categories of Records: The system may include the name and address of
correspondent, summary of subject matter, original correspondence,
official response, referral letters, memoranda or notes concerning
subject of the correspondence, or copies of any enclosures. The
records in the system are arranged chronologically by date of official
Agency action, numerically by control number assigned to each items of
correspondence and by name of correspondent.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by personnel in the Office of the Maritime
Administrator and administrative offices to assure that each request
receives an appropriate and timely reply and to prepare statistical
reports for management on correspondence volume or topics of public
interest.
Information from or copies of the records may be provided to the
original addresses of the original correspondence. Also see
Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Maintained in paper form.
Retrievability:
Retrievability: By control number, by correspondent's name, by
subject, and by date.
Safeguards:
Safeguards: Paper records are stored in file cabinets on secured
premises with access limited to personnel whose official duties
require access.
Retention and disposal:
Retention and Disposal: Records are disposed in accordance with the
appropriate records disposition schedule approved by the Archivist of
the United States.
System manager(s) and address:
System Manager(s) and Address: Maritime Administrator
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written requests, signed by individual, should provide the
correspondent's name as included in original correspondence, or
provide any items listed under the retrievability section above.
Record access procedures:
Record Access Procedures: Request for access and disclosures should
be addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and for appealing initial determination by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The correspondent, referral source,
Department employees involved in processing the correspondence, and
other individuals, as required to prepare an appropriate response.
DOT/MARAD-7
System name: System Name: Litigation, Claims and Administrative
Proceeding Records.
System location:
System Location: Office of Chief Counsel
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Individuals the subject of any litigation
which MarAd is involved; individuals who make administrative claims or
appeals against MarAd; individuals the subject of claims and
administrative actions brought by MarAd. Individuals who may have
provided statements or other evidence with respect to any of the
above.
Categories of records in the system:
Categories of Records: Names, addresses, social security account
numbers, statements of claims and analyses thereof, investigatory
reports, opinions of law, and pleadings, motions, depositions,
rulings, opinions citation particulars (description of vehicle, date
of birth, physical characteristics, driving permit or license data,
vehicle license data, etc.) and other litigation and claims
documentation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Records are disposed of according to unit's
Record Control Schedule.
System manager(s) and address:
System Manager(s) and Address: Chief Counsel, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name,
address, social security number, case number; date of claim,
organization unit in which employed, as appropriate.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject claimant or plaintiff.
Those authorized by the foregoing to furnish information.
Whatever sources pertinent to the nature of the case.
Systems exempted from certain provisions of the act:
Systems Exempted: Pursuant to 5 USC 552a (k)(1), (k)(2) and (k)(5),
all investigatory material and material subject to the provisions of 5
USC 552(b)(1) in the record which meets the criteria of these
subsections is exempted from the notice, access, and contest
requirements (under 5 USC 552a (c)(3), (d), (e)(1), (e)(4)(G), (H),
and (l), and (f)) of the agency regulations because of the necessity
to exempt this information and material in order to prevent disclosure
of classified information as required by Executive Order 12065 in the
interest of the national defense and foreign policy and in order for
the Department's legal staff to properly perform its functions.
DOT/MARAD-8
System name: System Name: Property Accountability Files.
System location:
System Location: Office of Management Services and
Procurement
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Department of Administrative Service and Procurement
U.S. Merchant Marine Academy
Kings Point, NY 11024
Office of Ship Operations
Division of Reserve Fleet
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
James River Reserve Fleet, Fort Eustis
Virginia; Beaumont Researve Fleet,
Beaumont, Texas; Suisun Bay Reserve
Fleet, Benicia, California
National Maritime Research Center
U.S. Merchang Marine Academy
Kings Point, NY 11024
Categories of individuals covered by the system:
Categories of Individuals: Employees, general public, institutions,
and anyone who charges out or signs for property or other materials.
Categories of records in the system:
Categories of Records: Name; telephone number; identification of
property or equipment; home and business address; employee I.D.
number; position; job title; grade; organization; explanation for
items not accounted for, correspondence; clearances; and, key number.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Paper copy of file folders and trays.
Retrievability:
Retrievability: Filed alphabetically by name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets, or
lockable desks, or in metal file cabinets in secured rooms or secured
premises with access limited to those whose official duties require
access.
Retention and disposal:
Retention and Disposal: Retained until property is accounted for,
then disposed of in accordance with Record Control Schedule.
System manager(s) and address:
System Manager(s) and Address: Chief, Supply Operations Division
Department of Transportation
Maritime Administration
400 7th Street, SW
Washington, DC 20590
Administrative Services Office
U.S. Merchant Marine Academy
Kings Point, NY 11024
Director, National Maritme Research Center
U.S. Merchant Marine Academy
Kings Point, NY 11024
Chief, Division of Reserve Fleet
Maritime Administration
Department of Transportation
400 7th St, SW
Washington, DC 20590
Superintendent, James River Reserve
Fleet, Fort Eustis, Virginia; Superintendent,
Beaumont Reserve Fleet, Beaumont, Texas;
Superintendent, Suisun Bay Reserve
Fleet, Benicia, California
Notification procedure:
Notification Procedure: Secretary
Maritime Administration
U.S. Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name and
address.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject individual.
Those authorized by the individual to furnish information.
Book cards.
Supply person providing the equipment.
DOT/MARAD-9
System name: System Name: Records of Cash Receipts.
System location:
System Location: Director, Office of Financial Management
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Individuals paying for goods or services,
reimbursing overpayments, or otherwise delivering cash to the
Department.
Categories of records in the system:
Categories of Records: Individual's name, the goods or services
purchased, amount, date, check number, division or office, bank
deposit, treasury deposit number.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Manual and machine readable.
Retrievability:
Retrievability: Name and/or account or case number.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
secured premises with access limited to those whose official duties
require access.
Retention and disposal:
Retention and Disposal: Permanently maintained.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Financial
Management
MarAd
Department of Transportation
400 7th St., SW,
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name,
address, date of receipt, and check number or case number.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10.
Record source categories:
Record Source Categories: Subject individual. Those authorized by the
individual to furnish information.
DOT/MARAD-10
System name: System Name: Employees Personnel Files Not Covered
by Notices of Other Agencies.
System location:
System Location: Director, Office of Personnel
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Current and former employees.
Categories of records in the system:
Categories of Records: All personnel records in MarAd which are
subject to the Privacy Act but are not covered in the notices of
systems of records published by the Office of Personnel Management,
Merit Systems Protection Board, or Equal Employment Opportunity
Commission. The records of this system may include, but are not
limited to: Employee Development; Incentive Awards; Employee
Relations; Grievance Records; Medical; Career Management Program; Ship
Personnel; Employee Overseas Assignments; Minority Group Statistics
Program; Work Performance and Appraisal Records; including supervisory
records which have been disclosed; Re-Employment and Priority
Placement Programs; Within-Grade Denials (Reconsideration File); and,
Automated Employee Information System.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To provide information to officials or labor
organizations reorganized under the Civil Service Reform Act when
relevant and necessary to their duties of exclusive representation
concerning personnel policies, practices, and matters affecting work
conditions. Also see Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Manual and machine-readable.
Retrievability:
Retrievability: Filed by name and/or social security number.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
secured rooms or secured premises with access limited to those whose
official duties require access.
Retention and disposal:
Retention and Disposal: Retained according to Unit's Records Control
Schedule.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Personnel
Maritime Administration
U.S. Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name, social
security number, and time and organization unit of employment.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject individual and those authorized by
the individual to furnish information.
Others involved in references of the individual.
Physicians.
Employee's supervisor.
DOT/MARAD-11
System name: System Name: Biographical Files.
System location:
System Location: Office of Public Affairs, Maritime
Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Key present and former Maritime
Administration personnel, and members of Advisory Board to the U.S.
Merchant Marine Academy.
Categories of records in the system:
Categories of Records: Biographical information which may include
date and place of birth; education; military service; present
position; employment history; field of research; publications;
inventions and patents; awards and honors; memberships and
affiliations; present and past residences; telephone numbers; names,
ages, and addresses of family members; hobbies and outside interests;
and photograph of individual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Distributed to the press, other government agencies,
and the general public for use in connection with written articles,
oral interviews, speaking engagements, retirement and obituary
notices, and other purposes of public information. Also see Prefatory
Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders or notebooks.
Retrievability:
Retrievability: By name alphabetically or by position or work unit.
Safeguards:
Safeguards: Records are located in locked metal file cabinets or
locked rooms during non-business hours.
Retention and disposal:
Retention and Disposal: Records retention and disposal is in accord
with operating unit's Records Control Schedule.
System manager(s) and address:
System Manager(s) and Address: Public Affairs Officer, Maritime
Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Record access procedures:
Record Access Procedures: Written requests, signed by individual,
should be addressed to the same address of the desired location as
stated in the Notification section above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR Part 10. Use above address for
desired location.
Record source categories:
Record Source Categories: The individuals.
Other sources such as news releases, articles and publications
relating to the subject individuals.
DOT/MARAD-12
System name: System Name: Applications to U.S. Merchant Marine
Academy (USMMA).
System location:
System Location: Office of Admissions
U.S. Merchant Marine Academy
Kings Point, Long Island, NY 11204
Categories of individuals covered by the system:
Categories of Individuals: Applicants for admission to the Academy.
Categories of records in the system:
Categories of Records: Contains name; address; name of nominating
Congressman and his congressional district; social security number;
citizenship; sex; marital status; scholastic background; names of
relatives who attended the Academy; high school record; personality
record (compiled by high school authorities); seaman's experience;
military service data; and biographical sketch. (Form: KP 2-65).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses. Also,
the Member of Congress or other nominating authority is advised of the
outcome of an individual's candidacy.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Manual and automated.
Retrievability:
Retrievability: Filed alphabetically by last name.
Safeguards:
Safeguards: Access to and use of these records is limited to those
persons whose official duties require such access. Personnel screening
is employed to prevent unauthorized disclosure.
Retention and disposal:
Retention and Disposal: If admitted, the application becomes part of
the Midshipman's Personnel Record for permanent retention. The file is
transferred to the Federal Records Center after 5 years. If not
admitted, it is retained for one year and destroyed.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Admissions, see
address above.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name of
applicant.
Record access procedures:
Record Access Procedures: Subject individual, the individual's high
school officials, references, and those authorized by the individual
to furnish information.
Contesting record procedures:
Contesting Record Procedures: The Department's rules of access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject individual.
The individual's high schools officials.
References.
Those authorized by the individual to furnish information.
Systems exempted from certain provisions of the act:
Systems Exempted: Pursuant to 5 USC 552a(k)(5), all investigatory
material in the record which meets the criteria of 5 USC 552a(k)(5) is
exempted from the notice, access, and contest requirements (under 5
USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f)) of the
agency regulations in order to fulfill commitments made to protect the
confidentiality of sources, and to maintain access to sources of
information which are necessary to determine applicant's suitability
for civilian employment and military service.
DOT/MARAD-13
System name: System Name: Cadet Files, State Maritime
Academies.
System location:
System Location: Office of Maritime Labor and Training
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Current and former cadets enrolled in the
State Maritime Academies.
Categories of records in the system:
Categories of Records: Name; service number; date of change in pay;
reenrollment or reinstatement; disenrollment; date of graduation; and
service obligation. (Forms: MA-1005, MA-850 and MA-890).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by last name.
Safeguards:
Safeguards: Records are located in lockable file cabinets or in metal
file cabinets in secured rooms or secured premises with access limited
to those whose official duties require access.
Retention and disposal:
Retention and Disposal: The records are retained until six years
after graduation and then destroyed.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Labor and Training
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide cadet's name
and State school attended.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The subject student.
State Merchant Marine Academies.
Those authorized by the student to furnish information.
DOT/MARAD-14
System name: System Name: Citizenship Statements and
Affidavits.
System location:
System Location: Division of Ship Disposals and Foreign
Transfers (bidders on surplus vessels)
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Office of Chief Counsel, Maritime
Administration (for all other purposes)
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Officers and shareholders of non-personal
applicants and individual applicants.
Categories of records in the system:
Categories of Records: Name; date and place of birth; nationality;
and naturalization data.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by applicant's name, name of
individual or vessel name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: The records are transferred to the Federal
Records Center after five years where they are retained for twenty
years or the time period of the ship mortgage, whichever is longer.
System manager(s) and address:
System Manager(s) and Address: Chief, Division of Ship Disposals and
Foreign Transfers and Office of the Chief Counsel, addresses are same
as above.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name of
applicant, or name of individual, or name of vessel, the program
under which filed and the date.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject applicant and individual. Those
authorized by the foregoing to furnish information.
DOT/MARAD-15
System name: System Name: General Agent's Protection and
Indemnity and Second Seaman's Insurance: WSA and NSA.
System location:
System Location: Office of Marine Insurance
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Individuals (e.g., seamen, passengers,
stevedores) filing claims against general agents for death,
disability, loss of personal effects, detention and repatriation and
property damage.
Categories of records in the system:
Categories of Records: Claimant's name; address; mariner's document
number; sea service record; disciplinary records; selective service
classification; names of parents; marriage and divorce data; social
security number; alien registration and citizenship data; medical
information; next-of-kin; wages per month; birth date; witness
statements; investigator's report; names of counsel; and executors and
administrators of estates (Forms: MA-574, MA-570, MA-269, MA-26 and
270).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To evaluate filed claims, negotiate settlements, award
money, contest or to initiate lawsuits; and to arrange for proper
medical treatment by establishing seaman's eligibility for acceptance
under regulations of Public Health Service, U.S. Department of Health
and Human Services, or other appropriate medical facilities. Users are
the Office of Marine Insurance; adjustors and attorneys acting for the
Government; Office of Worker's Compensation Programs, U.S. Department
of Labor, the Marine Index Bureau, 17 Battery Place, New York, NY (a
contract service centralizing data on seamen claims); and hospitals of
the Public Health Service, U.S. Department of Health and Human
Services, or, when appropriate, other medical facilities providing
treatment to the individual. Also see Prefatory Statement of General
Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by seaman's name and vessel's
name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: The records are transferred to the Federal
Records Center after one year where they are retained indefinitely.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Marine Insurance,
see above address.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide seaman's
name, vessel name, and date of incident.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject individual.
The individual's attorney.
Adjustors, investigators.
Attorneys.
Office of Marine Insurance.
Witness.
The Marine Index Bureau.
Those authorized by the individual to furnish information.
DOT/MARAD-16
System name: System Name: Marine Training School Registrants.
System location:
System Location: MA regional offices: Eastern-26 Federal Plaza, New
York, NY 10007; Central-No. 2 Canal Street, New Orleans, LA 70130;
Western- 211 Main Street, RM 1112, San Francisco, CA 94105; and, Great
Lakes, 2300 E. Devon Avenue Des Plaines, IL 60018.
Categories of individuals covered by the system:
Categories of Individuals: Each seafarer enrolling in an agency
training course.
Categories of records in the system:
Categories of Records: Name; address; position title; owner's
document number; social security number; certificate number;
sponsoring organization; course completed; date of course completion;
course grade; date of birth; and telephone number. (Forms: MA-1005 and
1006).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses. In
addition, the information is used by the U.S. Coast Guard for
verification of attendance and performance.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by student's name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those whose duties require access.
Retention and disposal:
Retention and Disposal: The records are transferred to the Federal
Records Center one year after graduation or termination and disposed
of 60 years after date of enrollment.
System manager(s) and address:
System Manager(s) and Address: Training Facility Registrar where the
training was taken, see address above.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name, date
and facility attended, course description.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use address above.
Record source categories:
Record Source Categories: The student.
The training instructors.
Those authorized by the individual to furnish information.
DOT/MARAD-17
System name: System Name: Waivers of Liability to Board Reserve
Fleet Vessels and Other Craft Located at U.S. Merchant Marine
Academy.
System location:
System Location: Beaumount Reserve Fleet, Beaumount, Texas; James
River Reserve Fleet, Fort Eustis, Virginia; and Suisun Bay Reserve
Fleet, Benicia, California; U.S. Merchant Marine Academy, Kings Point,
Long Island, New York 11024.
Categories of individuals covered by the system:
Categories of Individuals: All individuals boarding Reserve Fleet
vessels.
Categories of records in the system:
Categories of Records: Name, affiliation, date, and signature (Form:
MA-118).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or
metal file cabinets in secured rooms or in secured premises with
access limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Records are maintained for three years and
then destroyed.
System manager(s) and address:
System Manager(s) and Address: Superintendent of Respective Reserve
Fleets; and U.S. Merchant Marine Academy, Kings Point, New York 11024.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide the name of
the visitor.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject individual. Those authorized by the
individual to furnish information.
DOT/MARAD-18
System name: System Name: National Defense Executive Reserve.
System location:
System Location: Division of National Security Plans, Maritime
Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Nominees and members of the National
Defense Executive Reserve.
Categories of records in the system:
Categories of Records: Name; home address; photograph; brief career
history; names of close relatives; marital status; previous Government
experience; previous residences; current and recent employment;
citizenship; social security number; business and residence telephone
numbers; security clearance; statement of understanding; request for
appointment; appointment affidavits; secrecy agreement; sex; date and
place of birth; education; and professional and other memberships.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Transferring data to the Federal Preparedness Agency
pursuant to E.O. 11179. Also see Prefatory Statement of General
Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by last name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Retained until one year after individual's
appointment is terminated or until death and then discarded.
System manager(s) and address:
System Manager(s) and Address: Chief, Division of National Security
Plans, Maritime Administration, see above address.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The individual.
Those authorized by the individual to furnish information.
The investigator performing personal and security investigation.
Sources contacted by the investigator.
DOT/MARAD-19
System name: System Name: Non-Attorney Practitioner
Applications and `Section 807 Reports.`
System location:
System Location: Office of the Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Those representing others in agency
proceedings.
Categories of records in the system:
Categories of Records: Name; home address; compensation paid;
expenses incurred; exact nature of the representation (Forms: MA-807-
1, 807-2). Education; experience; employment history for last five
years; date and place of birth; citizenship; past Federal service;
involvement in litigation alleging fraud; and Communist, Fascist, etc.
affiliations (Form: MA-327).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by name of practitioner and by
name of principal.
Safeguards:
Safeguards: Records are located in metal file cabinets in secured
premises with access limited to those whose official duties require
access.
Retention and disposal:
Retention and Disposal: Records are retained in accordance with
general retention schedule.
System manager(s) and address:
System Manager(s) and Address: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration, see above
address.
Written request, signed by individuals, should provide name of
practitioner.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject individual.
The individual's principal.
Those authorized by the individual to furnish information.
DOT/MARAD-20
System name: System Name: Seamen's Awards for Service, Valor,
etc.
System location:
System Location: Office of Maritime Labor and Training
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Seamen given awards for service, valor,
etc.
Categories of records in the system:
Categories of Records: Name; address; mariner's document number;
social security number; names of ships and dates of service.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored in paper copy in file folders and on
magnetic tape.
Retrievabilitys:
Retrievability: Files are maintained alphabetically by name of
seaman.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Paper records containing letters of
commendation, name of seamen, address, name of vessel and mariner's
document number are transferred to the Federal Records Center
immediately, where they are retained for 75 years.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Maritime Labor and
Training
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide seaman's name
and name of vessel.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject individual.
The individual's co-workers.
Witnesses to incidents.
Those authorized by the individual to furnish information.
DOT/MARAD-21
System name: System Name: Seaman's Employment Analysis Records.
System location:
System Location: Transportation Computer Center
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Current and recent merchant seamen.
Categories of records in the system:
Categories of Records: Social security number; date of birth; records
of U.S. Coast Guard issued documents; voyage employment information
(e.g., ship and date signed on); and maritime schools attended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored on magnetic tape.
Retrievability:
Retrievability: Filed by social security number.
Safeguards:
Safeguards: In addition to technical securities, the records are
located in secured rooms or premises with access limited to those
whose official duties require access.
Retention and disposal:
Retention and Disposal: Basic biographical data are retained
indefinitely.
System manager(s) and address:
System Manager(s) and Address: Director, Office of Maritime Labor and
Training
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name and
social security number.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Magnetic tape is produced from information
received from the U.S. Coast Guard.
DOT/MARAD-22
System name: System Name: Seaman's Unclaimed Wages (Vietnam
Conflict).
System location:
System Location: Division of Accounting Operations
Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Seamen owed wages for service aboard
Government vessels operated by general agents.
Categories of records in the system:
Categories of Records: Name; social security number; employing
general agent; and wages due and owing.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: These records are disclosed to the U.S. Treasury for
the purpose of reporting wages owed. Also see Prefatory Statement of
General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Paper records are filed alphabetically by name and by
social security number.
Safeguards:
Safeguards: Paper records are secured in lockable metal file
cabinets. Records are located in secured areas with access limited to
those whose official duties require access.
Retention and disposal:
Retention and Disposal: Retained until such time as claim is resolved
or wages are disbursed.
System manager(s) and address:
System Manager(s) and Address: Chief, Division of Accounting
Operations, see above address.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name and
social security number.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The general agents.
DOT/MARAD-24
System name: System Name: USMMA Non-Appropriated Fund
Employees.
System location:
System Location: a. Office of the Commandant of Midshipmen; b. Office
of the Director of Athletics; c. Office of the General Manager, Ship's
Service; d. Officer's Club; e. Junior Officer's Mess; f. Petty
Officers Club; g. Fiscal Control Office; and h. Department of
Administrative Services and Procurement, (address for a. through h.
above) U.S. Merchant Marine Academy, Kings Point, NY 11024.
Categories of individuals covered by the system:
Categories of Individuals: All current and former employees of non-
appropriated fund activities since 1970.
Categories of records in the system:
Categories of Records: Name; telephone number; social security
number; address; date of birth; height; weight; birthplace; employment
history; special qualifications; education summary; references;
personnel actions showing positions held and salary paid; insurance
coverage; and letters of commendation or reprimand.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by employees name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets in
secured rooms or secured premises with access limited to those whose
official duties require access.
Retention and disposal:
Retention and Disposal: Records are retained indefinitely.
System manager(s) and address:
System Manager(s) and Address: a. Commandant of Midshipmen, USMMA; b.
Director of Athletics, USMMA; c. General Manager, Ship's Service; d.
President, Officer's Club; e. Manager, Junior Officers Mess; f.
President, Petty Officers Club; g. Head, Department of Budget and
Accounts; and h. Head, Department of Administrative Services and
Procurement, see above address.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name of
employee and date of employment.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject employee.
Those authorized by the employee to furnish information.
Past employers and references.
The employee's supervisor.
Systems exempted from certain provisions of the act:
Systems Exempted: Pursuant to 5 USC 552a(k)(5), all investigatory
material in the record which meets the criteria of 5 USC 552a(k)(5) is
exempted from the notice, access and contest requirements (under 5 USC
552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I) and (f)) of the agency
regulations in order to fulfill commitments made to protect the
confidentiality of sources, and to maintain access to sources of
information which are necessary to determine suitability for
employment.
DOT/MARAD-25
System name: System Name: USMMA Graduates.
System location:
System Location: Office of External Affairs
U.S. Merchant Marine Academy
Kings Point, NY 11024
Categories of individuals covered by the system:
Categories of Individuals: All graduates of USMMA, since 1942, and
some parents of graduates.
Categories of records in the system:
Categories of Records: Name, address (home and business); vocation;
class year; social security number; employee's name and address; years
of maritime service, at sea and ashore; military service; maritime
licenses; post-graduate education; honors and awards; and union
affiliation. Graduate registration for job-placement also contains
graduate's preferred salary and job location.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To make employment referrals, to compile statistical
reports for Congress and its Members on the professional progress of
the graduates, and to mail alumni publications, notices and
announcements. The users are the Director, Office of External Affairs
and his immediate administrative staff, prospective employers,
Congress and its Members, the United States Merchant Marine Academy
Alumni Association, Inc., the United States Merchant Marine Academy
Foundation, Inc. and the commercial contractor providing automated
services for the United States Merchant Marine Academy Foundation,
Inc. Also see Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders and basic information are on
magentic tape.
Retrievability:
Retrievability: Filed alphabetically by name, and by social security
number.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or secured premises with access
limited to those whose official duties require access. Records on tape
also are subject to physical securities, including those maintained by
contract.
Retention and disposal:
Retention and Disposal: The records are kept indefinitely.
System manager(s) and address:
System Manager(s) and Address: Director, Office of External Affairs
U.S. Merchant Marine Academy
Kings Point, NY 10024
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name.
Record access procedures:
Record Access Procedures: Requests from individual should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: A questionnaire voluntarily returned by
graduates every few years.
Graduates asking to be registered for job-placement.
Families of graduates.
Public and private employment of graduates.
Persons nominating graduates for alumni awards.
United States Merchant Marine Academy Alumni Association, Inc.
Published articles naming graduates.
DOT/MARAD-26
System name: System Name: USMMA Midshipmen Deposit Account
Records.
System location:
System Location: Department of Budgets and Accounts
U.S. Merchant Marine Academy
Kings Point, NY 11024
Categories of individuals covered by the system:
Categories of Individuals: All current midshipmen.
Categories of records in the system:
Categories of Records: Name, social security number, and all
midshipmen activity fee deposits to the Academy.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed by class year and then alphabetically by name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or in secured premises with
access limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Maintained for one year after graduation or
separation, and then destroyed.
System manager(s) and address:
System Manager(s) and Address: Assistant Head, Department of Budgets
and Accounts, see above address.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name of
midshipman and dates of attendance.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Midshipmen.
Those authorized by midshipman to furnish information.
Department of Budgets and Accounts personnel.
DOT/MARAD-27
System name: System Name: USMMA Midshipman Grade Transcripts.
System location:
System Location: Registrar's Office
U.S. Merchant Marine Academy
Kings Point, NY 11024
Categories of individuals covered by the system:
Categories of Individuals: All present and past midshipmen.
Categories of records in the system:
Categories of Records: Name; social security number; courses taken;
grades received; and cumulative average.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Sent to other schools or employers when requested by
the midshipman. Users are the midshipman, the Academy registrar, other
schools and employers. Also see Prefatory Statement of General Routine
Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders, paper records in file
drawers, microfilm records, and magnetic tape.
Retrievability:
Retrievability: Filed alphabetically by midshipman's name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets in
secured rooms or secured premises with access limited to those whose
official duties require access.
Retention and disposal:
Retention and Disposal: Transfer to Federal Records Center five years
after graduation. Dispose of sixty years after graduation.
System manager(s) and address:
System Manager(s) and Address: Registrar's Office
U.S. Merchant Marine Academy
Kings Point, NY 10024
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name of
midshipman.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The midshipman.
Those authorized by the midshipman to furnish information.
Faculty.
Registrar's staff.
DOT/MARAD-28
System name: System Name: USMMA Midshipman Medical Files.
System location:
System Location: Medical Department
U.S. Merchant Marine Academy
Kings Point, NY 11024
Categories of individuals covered by the system:
Categories of Individuals: All midshipmen.
Categories of records in the system:
Categories of Records: Complete medical history prior to and during
enrollment at the Academy.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by midshipman's name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or in secured premises with
access limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Radiographic file salvage five years after
graduation. All other documents combine within MA-18 Midshipmen
Personnel Records after graduation. If not appointed as Midshipman,
the record is retained for one year and destroyed.
System manager(s) and address:
System Manager(s) and Address: Medical Officer
U.S. Merchant Marine Academy
Kings Point, NY 11024
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name of
applicant or midshipman and date of application or appointment.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting contents, and appealing initial determinations by the
individual concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: Subject applicant or midshipman.
Those authorized by foregoing to furnish information.
Individual's physician.
Academy medical officers.
Contract medical personnel.
Private and other medical personnel.
Systems exempted from certain provisions of the act:
Systems Exempted: Pursuant to 5 USC 552a(k)(5), all investigatory
material in the record which meets the criteria of 5 USC 552a(k)(5) is
exempted from the notice, access, and contest requirements (under 5
USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f)) of the
agency regulations in order to fulfill commitments made to protect the
confidentiality of sources, and to maintain access to sources of
information which are necessary to determine suitability for civilian
employment and military service.
DOT/MARAD-29
System name: System Name: USMMA Midshipman Personnel Records.
System location:
System Location: Office of the Commandant of Midshipman
U.S. Merchant Marine Academy
Kings Point, NY 11024
Categories of individuals covered by the system:
Categories of Individuals: All current and former midshipmen since
inception of the Academy in 1942. Also, all cadet corps personnel from
1938 to 1942.
Categories of records in the system:
Categories of Records: Nominations to U.S. Merchant Marine Academy;
College Board Scores; high school transcript; name; address; social
security number; parent's name and address and occupation; relatives
who attended USMMA; number of brothers and sisters; medical report;
height; weight; color of hair; color of eyes; complexion;
commendations; record of disciplinary cases; resignation notice;
graduation certification; and report of deficiencies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper records in file folders.
Retrievability:
Retrievability: Filed alphabetically by midshipman's name.
Safeguards:
Safeguards: Records are located in lockable metal file cabinets or in
metal file cabinets in secured rooms or in secured premises with
access limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Retained on site for five years after
graduation, then disposed of in accordance with the unit's record
control schedule.
System manager(s) and address:
System Manager(s) and Address: Commandant of Midshipmen, see above
address.
Notification procedure:
Notification Procedure: Secretary, Maritime Administration
Department of Transportation
400 7th Street, SW
Washington, DC 20590
Written request, signed by individual, should provide name and
period of attendance.
Record access procedures:
Record Access Procedures: Requests from individuals should be
addressed to the same address as stated in the Notification section
above.
Contesting record procedures:
Contesting Record Procedures: The Department's rules for access, for
contesting content, and appealing initial determinations by
individuals concerned appear in 49 CFR part 10. Use above address.
Record source categories:
Record Source Categories: The subject midshipman.
Faculty administrators and midshipman corps officers who provide
copies to the midshipman.
Former employers, teachers, and school authorities, and references.
Government or private physicians.
U.S. Navy Security Officers. Those authorized by the midshipman to
furnish the information.
Systems exempted from certain provisions of the act:
Systems Exempted: Pursuant to 5 USC 552a(k)(5), all investigatory
material in the record which meets the criteria of 5 USC 552a(k)(5) is
exempted from the notice, access, and contest requirements (under 5
USC 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f)) of the
agency regulations in order to fulfill commitments made to protect the
confidentiality of sources, and to maintain access to sources of
information which are necessary to determine suitability for civilian
employment and military service.
DOT/NHTSA 400
System name: System Name: National Highway Safety Advisory
Committee Membership/Nominee Files, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
400 7th Street, SW, Room 5221,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Members, past members, and nominees for
membership on a committee dealing with highway safety.
Categories of records in the system:
Categories of Records: Biographical information (date and place of
birth; education; current and past experience).
Appointment papers (oath; withholding form).
Photograph.
Travel vouchers.
Compensation payment forms.
Miscellaneous correspondence from and to members.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Files are maintained on members and nominees for use in
specific situations, i.e., biographical information to be used for
meetings, conferences, news articles when pertinent and when needed
for recommendations for membership on committee.
Used only by support staff members.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: By individual name.
Safeguards:
Safeguards: Locked files.
Retention and disposal:
Retention and Disposal: Records are stored indefinitely.
System manager(s) and address:
System Manager: Executive Secretary,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW, Room 5215,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of the Executive Secretary,
Privacy Act Coordinator,
400 7th Street, SW, Room 5217,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: See `Notification Procedure` above.
Contesting record procedures:
Contesting Record Procedure: See `Notification Procedure` above.
Record source categories:
Record Source Categories: All information has been obtained from the
individual upon appointment to the advisory committee, or, in the case
of nominees, on that individual's behalf by another person or
organization.
DOT/NHTSA 401
System name: System Name: Docket System, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Administrative Operations
Technical Reference Division
400 7th Street, SW, Room 5708
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Individuals who have commented on notices
of NHTSA appearing in the Federal Register.
Authors of reports which are added to the docket as background
information.
Categories of records in the system:
Categories of Records: Summary of the nature of the comment or the
report, date written and filed, author affiliation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To gather information on responses to rules promulgated
by NHTSA. Users are both NHTSA staff members and public.
Other uses include searching for background data on standards,
determining areas for further research, and preparation for
litigation.
Prefatory Statement of General Routine Uses apply where feasible.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Manual file.
Retrievability:
Retrievability: By individual name.
Safeguards:
Safeguards: Records are maintained in a Technical Reference Library.
Retention and disposal:
Retention and Disposal: Indefinitely held.
System manager(s) and address:
System Manager: Chief, Technical Reference Division,
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Administrative Operations, Room 5108
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Administrative Operations
Technical Reference Division
400 7th Street, SW, Room 5108
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Same as `Notification Procedure` above.
Contesting record procedures:
Contesting Record Procedure: Same as `Notification Procedure` above.
Record source categories:
Record Source Categories: From letters freely sent to NHTSA by the
public; publications used by engineers in writing standards.
DOT/NHTSA 402
System name: System Name: Highway Safety Literature Personal
Author File, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
DIALOG Information Services, Inc.
3460 Hillview Ave.
Palo Alto, CA 94304.
Categories of individuals covered by the system:
Categories of Individuals: Writers of technical articles and reports
who have authored publications selected for inclusion in the abstract
journal Highway Safety Literature.
Categories of records in the system:
Categories of Records: Bibliographic information giving title of
article, book, or paper written; journal or other publication in which
it appears; date of publication; abstract.
The file is similar in nature to the card catalog of a library.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Users are principally NHTSA staff members and their
contractors who require literature searches prior to performing
research.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Magnetic tape.
Retrievability:
Retrievability: By individual name.
Safeguards:
Safeguards: Records are stored in file cabinets.
Retention and disposal:
Retention and Disposal: Records are maintained indefinitely.
System manager(s) and address:
System Manager: Chief, Technical Services Division,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW, Room 4109,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Technical Reference Branch,
400 7th Street, SW, Room 4109,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Same as `Notification Procedure` above.
Contesting record procedures:
Contesting Record Procedure: Same as `Notification Procedure` above.
Record source categories:
Record Source Categories: Publications related to highway safety.
DOT/NHTSA 403
System name: System Name: Active Contract Run, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
400 7th Street, SW, Room 5301,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: NHTSA employees.
Categories of records in the system:
Categories of Records: List of names of contract specialists and
contract technical managers managing active NHTSA contracts and
agreements.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used in routine contract administration.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Computer.
Retrievability:
Retrievability: By individual name.
Safeguards:
Safeguards: Records are maintained in a secured office.
Retention and disposal:
Retention and Disposal: Retained for life of contract; destroyed when
no longer needed.
System manager(s) and address:
System Manager: Director, Office of Contracts and Procurement,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Director, Office of Contracts and Procurement,
400 7th Street, SW,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Director, Office of Contracts and Procurement,
400 7th Street, SW,
Washington, DC 20590.
Contesting record procedures:
Contesting Record Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Director, Office of Contracts and Procurement,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Employee job assignments.
DOT/NHTSA 404
System name: System Name: Alcohol Projects, DOT/NHTSA.
System location:
System Location: In connection with the Alcohol Safety Action Program
of the:
Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA);
Systems of records are maintained at various locations, as follows:
ASAP Staff Office and ASAP Probation,
The following offices in Nassau County, New York: Nassau County
Police Dept., Nassau County Traffic Safety Board, Nassau County
Central Traffic Court, NY Dept. of Motor Vehicles.
Mississippi State University,
Social Science Research Center,
Mississippi State, MS 39762.
Hennepin County ASAP,
625 Second Avenue South, Room 404,
Minneapolis, MN 55402.
STR Project,
11a Government Center,
Minneapolis, MN 55402.
Data Processing,
City Hall,
Stockton, CA 95202.
Bureau of Motor Vehicle Services,
Categories of individuals covered by the system:
Categories of Individuals: Vehicle operators having committed
alcohol-related driving violations.
Categories of records in the system:
Categories of Records: DMV records, police arrest and citation
records, court and probation records, various official and social
services rehabilitation records, and voluntary personal interviews.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses:
Records are used to evaluate the status of activities within a
project, including the status of different groups for purposes of
subsequent comparison and analysis, such as recidivism rates.
Reports and management information are compiled, using statistical
and comparative analysis of the records, which may be released to
relevant authorities monitoring the progress of the project.
Data contained in these systems of records may be routinely
distributed to the lower courts, police departments, public health
services, probation authorities, or juvenile and rehabilitation
services within the system if that agency's purpose for maintaining
the records is compatible with the Project usage.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Punch-card, disk, paper files, magnetic tape.
Retrievability:
Retrievability: Individual name, ID number, social security number.
Safeguards:
Safeguards: Locked file cabinet, code and restricted access.
Retention and disposal:
Retention and Disposal: Two years after project termination.
System manager(s) and address:
System Manager: Chief, Program Development Division (NTS-21),
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Driver and Pedestrian Programs,
400 7th Street, SW, Room 5130,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as Location.
Record access procedures:
Record Access Procedure: Letter of request to the System Manager (see
address above) with notarized statement as to personal identification.
Contesting record procedures:
Contesting Record Procedure: See address of `System Manager` above.
Record source categories:
Record Source Categories: Local law enforcement, court, health, and
motor vehicle division records.
DOT/NHTSA 409
System name: System Name: Federal Motor Vehicle Safety
Standards (FMVSS) Compliance, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Vehicle Safety Compliance
400 7th Street, SW
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals suspected of violation of
FMVSS.
Categories of records in the system:
Categories of Records: Data gathered regarding alleged non-compliance
of FMVSS.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Information is used to assist investigations of alleged
violators, and in the effort to secure proper compliance.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper file, microfilm, disc.
Retrievability:
Retrievability: Fiscal year, date, name, number.
Safeguards:
Safeguards: Stored in locked file cabinets in a security room.
Retention and disposal:
Retention and Disposal: Indefinite or until obsolete.
System manager(s) and address:
System Manager: Director, Office of Vehicle Safety Compliance,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW,
Washington, DC 20590.
Notification Procedure:
Write or visit applicable office at address in `System Location`
above.
Record access procedures:
Record Access Procedure: Same as `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as `System Manager` above.
Record source categories:
Record Source Categories: Manufacturers, importation officials,
dealers, purchasers, inspector, informants.
DOT/NHTSA 411
System name: System Name: General Public Correspondence System,
DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of the Executive Secretary,
400 7th Street, SW, Room 5221.
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals who have requested information
or advice.
Categories of records in the system:
Categories of Records: Files containing correspondence with
individuals who have requested information or advice on promoting
devices.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Reference purposes.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: In file folders.
Retrievability:
Retrievability: By individual name.
Safeguards:
Safeguards: Conserva-Files; locked when not in use.
Retention and disposal:
Retention and Disposal: Records are retained for one year and are
then disposed of.
System manager(s) and address:
System Manager: Executive Secretary,
Department of Transportation,
National Highway Traffic Safety Administration,
Office of the Executive Secretary,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of the Executive Secretary,
Privacy Act Coordinator,
400 7th Street, SW,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: See `Notification Procedure` above.
Contesting record procedures:
Contesting Record Procedure: See `Notification Procedure` above.
Record source categories:
Record Source Categories: Individuals.
DOT/NHTSA 413
System name: System Name: Odometer Rollback, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT):
National Highway Traffic Safety Administration (NHTSA):
Director, Odometer Fraud Staff
Associate Administrator for Enforcement,
400 7th Street, SW, Room 4109,
Washington, DC 20590.
Automated Sciences Group, Inc.,
Summit Office Building, Suite 713,
8555 16th Street, Silver Spring, MD 20910.
Categories of individuals covered by the system:
Categories of Individuals: Private individuals who may be involved in
odometer rollbacks.
Categories of records in the system:
Categories of Records: Alleged circumstances surrounding odometer
rollbacks on used cars sold or offered for sale. Information is used
to assist in investigations of alleged violators.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Data is made available to legal authorities for
appropriate action.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders.
Retrievability:
Retrievability: By individual name.
Safeguards:
Safeguards: Locked file.
Retention and disposal:
Retention and Disposal: Retained indefinitely.
System manager(s) and address:
System Manager: Director, Odometer Fraud Staff
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW, Room 5219,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Director, Odometer Fraud Staff
400 7th Street, SW, Room 4109,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Same as `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as `System Manager` above.
Record source categories:
Record Source Categories: Individual complaint by used car purchaser,
automobile dealers, state agencies.
DOT/NHTSA 415
System name: System Name: Office of Defects Investigation/
Defects Information System (ODI/DIS).
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Defects Investigation,
400 7th Street, SW, Room 5326
Washington, DC 20590.
Opportunity Systems, Inc.
1406 L Street, NW
Washington, DC 20005
National Institutes of Health
Computer Center
Computer Research and Technology
Building 12, Room 1100
Bethesda, MD 20205
Categories of individuals covered by the system:
Categories of Individuals: Vehicle owners.
Categories of records in the system:
Categories of Records: Vehicle identification, vehicle problem,
vehicle owner.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Check complaints about vehicle defects to spot trends,
resulting in investigations of the vehicle model.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Disc pack and paper file.
Retrievability:
Retrievability: Identification number for each vehicle owner.
Safeguards:
Safeguards: Coded entry numbers.
Retention and disposal:
Retention and Disposal: Eight years or indefinite.
System manager(s) and address:
System Manager: Chief, Defects Information Processing Group
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Defects Investigation,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Write or visit the applicable address in
`System Location` above.
Record access procedures:
Record Access Procedures: Same as `System Manager` above.
Contesting record procedures:
Contesting Record Procedures: Same as `System Manager` above.
Record source categories:
Record Source Categories: General public, State highway offices,
insurance companies, vehicle manufacturers.
DOT/NHTSA 417
System name: System Name; National Driver Register (NDR), DOT/
NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of State Program Assistance
National Driver Register Division
400 7th Street, SW, Room 5117
Washington, DC 20590.
Master file is located at:
Transportation Computer Center,
400 7th Street, SW, Plaza Level, SE Corner
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Persons who have had their driver's
license denied, withdrawn, revoked or suspended as reported by State/
Territorial driver licensing authorities.
Categories of records in the system:
Categories of Records: NDR records include: The reporting
jurisdiction, the subject's full name, other names used, date of
birth, driver license number and/or social security number (if used by
the reporting jurisdiction), sex, height, weight, eye color, the
reason for withdrawal, the date of the withdrawal, and the date
eligible for restoration of driving privilege or the date license was
actually restored.
It should be noted that very frequently the physical data is not
provided by the reporting agency.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Provide identification of drivers who have had their
licenses withdrawn, suspended, revoked or otherwise denied in response
to inquiries from State or Federal driver licensing agencies relative
to driver license applicants.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: The NDR master file is maintained on magnetic tape.
Source data; i.e., manual input (forms, letters) are retained in
that form.
Source data received on magnetic tape are converted into printed
listings.
All source data is batch filed.
Retrievability:
Retrievability: The magnetic tape master file is indexed by surname
and refined by program application of screening criteria involving
given names, date of birth and physical characteristics.
Source data batch files are indexed by the processing date as
determined from test inquiry of the master file. A manual search of
the appropriate batch is then required to access the specific
record.
Safeguards:
Safeguards: The master file is kept in the Transportation Computer
Center, a limited access area.
The source data files are maintained in a building under
surveillance of a 24 hour guard force.
In addition, the spaces in which the files are maintained are
equipped with lockable doors which are locked when vacated.
All personnel have met the investigative requirements for secret
classified matter.
In addition, all NDR employees are orally briefed on NDR security
requirements and their responsibilities.
Retention and disposal:
Retention and Disposal: Records of actions that have been cancelled
or rescinded are purged from the file upon receipt of notification
from the reporting jurisdiction. Other records are retained for seven
or five years depending on the reason for withdrawal of the
individual's license.
Withdrawals for drunk driving, hit and run, fatal accident, felony
and misrepresentation are retained for seven years.
Records of `habitual offenders` as stipulated by certain states are
retained indefinitely, unless otherwise requested by the reporting
state.
All other master file records are retained for five years.
Source data files are retained for one year.
Magnetic tape records are erased by degaussing, using 86db
degaussing equipment, prior to disposing of the tapes.
Paper source data reports of withdrawal are destroyed by shredding.
System manager(s) and address:
System Manager: Chief, National Driver Register,
National Highway Traffic Safety Administration, NTS-33
Department of Transportation, Room 5117
Washington, DC 20590.
Notification procedure:
Notification Procedure: Mailed inquiries should be addressed as above
under `System Manager.`
For inquiries made in person, the inquirer should present himself
at the National Driver Register office at the following location:
400 7th Street, SW, Room 5117
Washington, DC 20590.
In order to conduct a file search the requesting party must
provide:
Full legal name,
Other names used (nickname, professional name, maiden name),
Date of birth,
Sex,
Height,
Weight,
Color of eyes,
Social security number and/or driver license number (provision of
the social security number is voluntary).
In addition, although not mandatory, it would help to more
positively identify any records we may have concerning the inquirer
if the following information is included:
The reason his/her driver license was withdrawn or denied.
The date of the action.
The State which took the action.
An inquirer presenting himself/herself in person should have at
least two means of identification sufficient to reasonably insure
that he/she is who he/she purports to be.
For mailed inquiries the foregoing identification elements should
be included in the form of a notarized affidavit and addressed to
the System Manager.
Record access procedures:
Record Access Procedures: An individual desiring to obtain
information on procedures to obtain his or her record(s) should
contact the Chief, National Driver Register, at the address under
`System Manager` above.
Contesting record procedures:
Contesting Record Procedures: To obtain information on procedures to
contest records one should contact the Chief, National Driver
Register, at the address in `System Manager` above.
With regard to contesting records it must be realized that the file
is made up of State records. As such, these can only be changed or
corrected by the reporting State. The records in the Driver Register
file are changed only when advised by the originating jurisdiction.
Record source categories:
Record Source Categories: The records comprising the National Driver
Register file are provided by States. District of Columbia, Puerto
Rico, Canal Zone, Virgin Islands and Guam driver licensing
administrators or the agency within the jurisdictions responsible for
such records.
DOT/NHTSA 422
System name: System Name: Temporary Exemption Petitions, DOT/
NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Chief Counsel,
400 7th Street, SW, Room 5219,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Petitioners (commercial entities) seeking
exemption from Federal motor vehicle safety standards.
Categories of records in the system:
Categories of Records: Income statement and balance sheets,
production information.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For consultation by attorneys while file is active;
copies in public docket.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Office files.
Retrievability:
Retrievability: Temporary exemptions; filed by corporation's names.
Safeguards:
Safeguards: Available only to the System Manager and his secretary.
Retention and disposal:
Retention and Disposal: Thus far all records have been retained.
System manager(s) and address:
System Manager: Senior Staff Attorney,
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Chief Counsel,
400 7th Street, SW, Room 5219,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Contesting record procedures:
Contesting Record Procedures: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Submitted by petitioners.
DOT/NHTSA 423
System name: System Name: Vendor Edit Table Listing
(Employees), DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Financial Management,
400 7th Street, SW, Room 6134,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: NHTSA employees.
Categories of records in the system:
Categories of Records: Employee name.
Employee number.
Residence - City, County, State, Zip Code.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses Employee travel orders are controlled by employee number
to maintain a record of authorized travel and the related expenses for
each trip. This file is assessed to match the employee number coded
from the travel order and the voucher and for retrieval of this data
for the travel report by organization and by individual.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Magnetic disc.
Retrievability:
Retrievability: Table is indexed by employee number (vendor number).
Safeguards:
Safeguards: System operators are identified as individuals given
authority for processing data in terminal room.
No others are allowed access to data.
Job controls (JCL's) for retrieval of data are kept in locked
cabinet under custody of System Manager.
Retention and disposal:
Retention and Disposal: Table maintenance is the responsibility of
the System Manager who adds new employee data as it is received from
Personnel Director. Deletions are also controlled by the System
Manager, as employees retire or otherwise leave the agency.
System manager(s) and address:
System Manager: Chief, Policies and Procedures Division,
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Financial Management,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Address inquiries to the Privacy Act
Coordinator at the address under `System Manager`. Requests for data
may be made by any employee of NHTSA. Requests must be in writing and
identify:
System Name: DOT/NHTSA FMS-940.
Employee number.
Employee name.
Record access procedures:
Record Access Procedure: All inquiries as to procedures for gaining
access to records shall be directed to:
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Financial Management,
400 7th Street, SW, Room 6134,
Washington, DC 20590.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Source of data is from the Office of
Personnel Management, NHTSA.
DOT/NHTSA 424
System name: System Name: Offerors Mailing List, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Contracts and Procurement,
400 7th Street, SW, Room 5301,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Offerors that may bid on Requests for
Proposal as individuals or to serve as experts and consultants.
Categories of records in the system:
Category of Records: Offerors name, address, and NHTSA areas of
interest that the offeror wishes to bid on and their history of
response or non-response to requests for proposals.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used to identify suppliers to fulfill NHTSA
requirements.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Forms; magnetic tape.
Retrievability:
Retrievability: Name, codes of contractual field of interest.
Safeguards:
Safeguards: The records are maintained in a secure area.
Retention and disposal:
Retention and Disposal: Indefinitely and destroyed when no longer
needed.
System manager(s) and address:
System Manager: Director, Office of Contracts and Procurement,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Write or visit the System Manager at the
address in `System Manager` above.
Record access procedures:
Record Access Procedure: Same as `Notification Procedure` above.
Contesting record procedures:
Contesting Record Procedure: Same as `Notification Procedure` above.
Record source categories:
Record Source Categories: From the individual himself or proposal
submissions to requests for proposal.
DOT/NHTSA 427
System name: System Name: Statement of Employment and Financial
Interest, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Personnel Management,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals encumbering positions listed
in Appendix C of part 99 title 49 CFR.
Special government employees.
Categories of records in the system:
Categories of Records: Records contain Statements of Financial
Interest including but not limited to stocks, bonds and real estate
that are held by individuals whose records are in the system.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Financial statements are reviewed by the Director,
Office of Personnel Management or his delegate to ascertain conflicts
or apparent conflicts of interest between the holdings of individuals
and the discharge of the individual's official duties.
Assistance of the NHTSA Chief Counsel or his delegate may be
secured in the determination process.
Where potential conflict may arise the individual is contacted by
the Chief Counsel or his delegate to attempt to resolve the issue.
Should further action be necessary the Administrator NHTSA may
attempt to resolve the issue.
If necessary, remedial action may be instituted to resolve the
conflict.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored on forms DOT F 3700.1 and DOT F 3700.2.
Retrievability:
Retrievability: Records are retrieved by individual's name.
Safeguards:
Safeguards: Records are stored in safes or locked files. Access is
only by authorized individuals on a `need to know` basis.
Personnel screening is employed to prevent unauthorized access.
Retention and disposal:
Retention and Disposal: Five years following termination of
employment and then destroyed.
System manager(s) and address:
System Manager: Director, Office of Personnel Management,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Adminstration,
Director, Office of Personnel Management,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Current employees may contact the:
Director, Office of Personnel Management,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Former employees who wish to gain access to their records should
direct such a request in writing including their names, date of
birth and social security number to:
Department of Transportation,
National Highway Traffic Safety Administration,
Director, Office of Personnel Management,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Information in this system of records comes
from the individual to whom it applies or is derived from information
he supplied.
DOT/NHTSA 431
System name: System Name: Civil Penalty Enforcement Files, DOT/
NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration,
Office of the Chief Counsel,
400 7th Street, SW, Room 5219,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Persons (corporate or individual) against
whom civil penalties are sought or contemplated for violations of
NHTSA - administered statutes.
Categories of records in the system:
Category of Records: Investigatory records of alleged violations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For consultation by attorneys regarding a civil suit
against an individual.
See Prefatory Statement of General Routine uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Office files.
Retrievability:
Retrievability: Files in CIR numerical order.
Safeguards:
Safeguards: Available only to the System Manager and his secretary.
Retention and disposal:
Retention and Disposal: Records are retained indefinitely.
System manager(s) and address:
System Manager: Senior Staff Attorney,
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Chief Counsel,
400 7th Street, SW, Room 5219, Washington, DC 20590.
Record access procedures:
Record Access Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of the Chief Counsel,
Chief Counsel,
400 7th Street, SW, Washington, DC 20590.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: NHSTA investigations and tests.
DOT/NHTSA 432
System name: System Name: EEO Counseling Program and
Discrimination Complaint File, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Civil Rights,
400 7th Street, SW, Room 5312,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: NHTSA personnel or those seeking employment
with NHTSA (clerical and professional).
Categories of records in the system:
Categories of Records: Detailed description of alleged discrimination.
Background and support material.
Transcripts of hearings.
Personnel evaluation forms.
Record of interviews.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used for reference to aid EEO investigations.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are kept on the original forms.
Retrievability:
Retrievability: Subject, individual's name.
Safeguards:
Safeguards: Personnel screening; kept in locked files.
Retention and disposal:
Retention and Disposal: Retained indefinitely.
System manager(s) and address:
System Manager: Director, Office of Civil Rights,
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Civil Rights,
400 7th Street, SW, Room 5312,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Civil Rights,
400 7th Street, SW, Room 5312, Washington, DC 20590.
Record access procedures:
Record Access Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Public Affairs and Consumer Services,
400 7th Street, SW, Room 5232,
Washington, DC 20590.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: From interviews with the complainants,
others involved in the alleged discrimination action.
DOT/NHTSA 433
System name: System Name: Injuries, Illnesses, Motor Vehicle
Accidents and Property Damages, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Administrative Operations,
General Services Division, - NAD-51
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals involved in injuries on the
job.
Individual motor vehicle accident reports.
Individual Property Damage reports.
Categories of records in the system:
Categories of Records: Accident Report - DOT F 3902.1.
Injury Report, Supplement - I - DOT F 3902.2.
Motor Vehicle Report, Supplement - M - DOT F 3902.3.
Property Damage Report, Supplement - P - DOT F 3902.4.
Log of Federal Occupational Injuries and Illnesses - DOT F 3902.8.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Legal.
Security.
Budget.
Audit.
Personnel Management.
Investigation.
Recordkeeping.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folder.
Retrievability:
Retrievability: Alphabetical, by individual's name.
Safeguards:
Safeguards: File cabinet with lock.
Retention and disposal:
Retention and Disposal: Destroyed when 5 years old.
System manager(s) and address:
System Manager: Chief, General Services Division,
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Administrative Operations
400 7th Street, SW, NAD-51
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Management Systems,
400 7th Street, SW,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Individual to whom record pertains.
Investigations.
Reports of witnesses.
DOT/NHTSA 434
System name: System Name: Government Driver Licenses, DOT/
NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Administrative Operations
General Services Division,
400 7th Street, SW, Room NAD-51,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Government drivers.
Categories of records in the system:
Categories of Records: Application for Operator's Identification
Card.
Physical Fitness Inquiry for Motor Vehicle Operators.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Records are used to verify that an applicant is
qualified both legally and physically to operate a government vehicle.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored on the original forms.
Retrievability:
Retrievability: Alphabetical, by individual's name.
Safeguards:
Safeguards: File cabinet with lock.
Retention and disposal:
Retention and Disposal: Destroyed 3 years after separation of
employees or 3 years after rescission of authorization to operate
government-owned vehicle, whichever is sooner.
System manager(s) and address:
System Manager: Chief, General Services Division,
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Administrative Operations
400 7th Street, SW, NAD-51
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Management Systems,
400 7th Street, SW,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of the Chief Counsel,
400 7th Street, SW,
Washington, DC 20590.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Individual to whom record pertains.
National Driver Register.
DOT/NHTSA 435
System name: System Name: Investigations and Security, DOT/
NHTSA.
System location:
System Location Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Administrative Operations
General Services Division,
400 7th Street, SW, NAD-51
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees who allegedly violate NHTSA
security regulations.
Categories of records in the system:
Categories of Records: A memoranda specifying security violations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For security purposes.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Stored on original form HS 154.
Retrievability:
Retrievability: Individual's name and organization.
Safeguards:
Safeguards: Locked file cabinet.
Retention and disposal:
Retention and Disposal: Destroyed 2 years after completion of final
action or when no longer needed, whichever is sooner.
System manager(s) and address:
System Manager: Security Coordinator, NHTSA,
Department of Transportation,
National Highway Traffic Safety Administration,
General Services Division, NAD-51
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Administrative Operations 400 7th Street, SW, NAD-51,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of the Chief Counsel, 400 7th Street, SW, Washington, DC
20590.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Security Coordinator.
DOT/NHTSA 436
System name: System Name: Contract Grievance Records, DOT/
NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Personnel Management,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees in the non-professional
exclusive unit covered by the NHTSA/AFGE contract of March 5, 1974.
Categories of records in the system:
Categories of Records: Records contain information or documents
relating to a decision by the Administration or an arbitrator
affecting an individual.
The records consist of:
The initial grievance.
Letters or notices to the individual.
Record of arbitration hearing when conducted.
Materials placed into the record to support the decision or
determination affidavits or statements.
Testimonies of witnesses.
Investigative reports.
Instructions to the Administration about action to be taken to
comply with decisions.
Related correspondence opinions and recommendations, opinions and
recommendations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To respond to a Member of Congress regarding status of
a grievance.
To provide information to the public as requested by the Freedom of
Information Act.
To respond to the Federal Labor Relation Authority in connection
with an Unfair Labor Practice Procedure or to respond to the on
appeal of an arbitration award.
To respond to a court subpoena in connection with a civil suit.
To adjudicate a grievance.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Maintained in file folders and index cards.
Retrievability:
Retrievability: Retrieved by names of grievant(s).
Safeguards:
Safeguards: Access limited to those with official `need to know.`
Personnel screening is employed to prevent unauthorized disclosure.
Retention and disposal:
Retention and Disposal: The records are maintained up to 3 years and
then retired to the Washington National Records Center.
System manager(s) and address:
System Manager: Director, Office of Personnel Management,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Individuals who have filed grievances under
the NHTSA/AFGE contract should address inquiries to the:
Department of Transportation,
National Highway Traffic Safety Administration,
Director, Office of Personnel Management,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Individuals requesting information about this system of records
should provide their full name, date of birth, social security
number, name and address of office in which currently or formerly
employed in the Federal service.
Record access procedures:
Record Access Procedure: After a grievance case has been closed an
individual or his representative may gain access to the official copy
of a grievance record by contacting the System Manager. Individuals
should provide their names, date of birth, approximate date and
subject of the grievance.
Contesting record procedures:
Contesting Record Procedure: Contest, correction or amendment of the
record is permitted during the prosecution of the grievance by the
individual to whom the record pertains or his representative.
Record source categories:
Record Source Categories: Individual to whom record pertains and/or
representative.
Administration officials.
Affidavits or statements from employees.
Testimonies of witnesses.
Official documents relating to grievance.
Correspondence from organizations or persons.
DOT/NHTSA 447
System name: System Name: Drinking Driver Tracking System, DOT/
NHTSA.
System location:
System Location: Under the auspices of:
Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
System is located at:
State Office Building,
Salt Lake City, Utah 84114.
Categories of individuals covered by the system:
Categories of Individuals: Persons convicted while under the
influence of alcohol.
Categories of records in the system:
Categories of Records: Identification data, driving record history
and probation record.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To analyze and evaluate drunk driver's records to look
for trends, similarities and redivision rates.
To extract statistical information for evaluation purposes.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Magnetic tape.
Retrievability:
Retrievability: By individual name or driver's license number.
Safeguards:
Safeguards: Only personnel of the Utah Highway Safety Program Office
can get information from file, which is stored in secured file
cabinets.
Retention and disposal:
Retention and Disposal: 5 years; erased from file.
Source documents are destroyed after information is taken off.
System manager(s) and address:
System Manager: Regional Administrator,
Department of Transportation,
Region VIII,
330 South Garrison Street,
Lakewood, CO 80226.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Contracts and Procurement, N48-30,
400 7th Street, SW, Room 5301,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: See address in `Notification Procedure`
above.
Contesting record procedures:
Contesting Record Procedure: See address in `Notification Procedure`
above.
Record source categories:
Record Source Categories: Police arrest records.
Court records.
Probation records.
State Driver License Division.
DOT/NHTSA 451
System name: System Name: Medical Records and Research Data,
DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
System is located at:
Naval Aerospace Medical Research Laboratory (NAMRL),
Pensacola, FL 32512; and at:
NAMRL Detachment,
New Orleans, LA
Categories of individuals covered by the system:
Categories of Individuals: Military research subjects.
Categories of records in the system:
Categories of Records: Medical Histories, results of physical
examinations, psychological testing, electrocardiograms, audiograms,
x-rays, and miscellaneous clinical laboratory results.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Records are used to screen research subjects and for
statistical purposes by military and civilian personnel employed at
this activity.
Prefatory Statement of General Routine Uses 3 through 6 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: The records are maintained in file folders, magnetic tape
and punch cards.
Retrievability:
Retrievability: The key for retrieval is name or social security
number.
Safeguards:
Retention and Disposal: Records are not sent to records center
because they are considered raw scientific data.
Records are destroyed by burning when research projects are
completed.
The military health records are sent to Naval Manpower Center,
Bainbridge, Maryland when an active duty member completes his tour
of service.
System manager(s) and address:
System Manager: Crashworthiness Research Division
Department of Transportation,
National Highway Traffic Safety Administration,
Office of Vehicle Research,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Attention: Director, Office of Contracts and Procurement, N48-30,
400 7th Street, SW, Room 5301,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: See address under `Notification Procedure`
above.
Contesting record procedures:
Contesting Record Procedure: See address under `Notification
Procedure` above.
Record source categories:
Record Source Categories: Personal medical history, personal
responses to test, medical examinations, and results of experimental
data.
DOT/NHTSA 454
System name: System Name: Alcohol Behavior Research, DOT/NHTSA.
System location:
System Location: Under Auspices of:
Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
System is located at:
13766 S. Hawthorne Boulevard,
Hawthorne, CA 90250.
Categories of individuals covered by the system:
Categories of Individuals: Male, heavy drinkers.
Categories of records in the system:
Categories of Records: Self-professed drinking ability, medical
condition, personality traits, experimental drinking data,
experimental performance data.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Experimenters' selection of subjects for alcohol and
automobile control behavior research.
Prefatory Statement of General Routine Uses, 3 through 6 do not
apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders are kept in the technical library.
Retrievability:
Retrievability: System is indexed by subject's name.
Safeguards:
Safeguards: Accessible by the experimenter from the locked storage
cabinet.
Retention and disposal:
Retention and Disposal: Depend on the success and longevity of the
particular line of research.
System manager(s) and address:
System Manager: Director, Office of Driver and Pedestrian Research,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW, Room 6240
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Contracts and Procurement, N48-30,
400 7th Street, SW, Room 5301,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: See address in `Notification Procedure`
above.
Contesting record procedures:
Contesting Record Procedure: See address in Notification Procedure`
above.
Record source categories:
Record Source Categories: Written examination filled out by the
individual and experimental data collected during tests.
DOT/NHTSA 455
System name: System Name: Debt Complaint File, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT), National Highway
Traffic Safety Administration (NHTSA),
Office of Personnel Management,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the NHTSA on whom the Agency
has received contacts from creditors concerning indebtedness.
Categories of records in the system:
Categories of Records: Letters and other correspondence from
creditors, collection agents, and state and local tax supported
institutions with claims upon employees of the NHTSA.
System also contains copies of agency responses, employee
statements of intention to pay debts, and other related
correspondence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Information in the system may be used by officials of
the agency to determine an employee's suitability for continued
employment.
Documents in the file may be used to substantiate disciplinary
actions related to indebtedness.
Material in file may be used to verify prior debt complaints from
the same creditor on the same individual in order to respond to the
creditor's current correspondence.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records stored in file folders.
Retrievability:
Retrievability: Indexed by name.
Safeguards:
Safeguards: Records are located in lockable file cabinets with access
limited to individuals with an official need to know.
Retention and disposal:
Retention and Disposal: Retained in file for 6 months following
separation or transfer of employee unless documents become part of
disciplinary or appeal files covered by Civil Service Commission
regulations.
System manager(s) and address:
System Manager: Director, Office of Personnel Management,
National Highway Traffic Safety Administration,
Department of Transportation,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Individuals desiring to review information
about them in the system of records should address inquiries to the
System Manager. Individuals requesting the information should provide
their full name, date of birth, and social security number.
Record access procedures:
Record Access Procedure: Individuals desiring to access information
in this system should address inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals desiring to contest
information in this system of records should address inquiries to the
System Manager.
Record source categories:
Record Source Categories: The individual to whom the record applies.
Creditors.
Tax supported institutions.
Courts.
DOT/NHTSA 457
System name: System Name: Reference Files, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Personnel Management,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the National Highway Traffic
Safety Administration.
Categories of records in the system:
Categories of Records: File consists of reference checks, medical
examination reports, and fitness-for-duty medical examination reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Information in the system may be used by officials of
the Agency to determine employee's suitability for employment and
continued employment.
Documents in the file may be utilized as basis for separation
actions after appointment.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Records are stored in manila envelopes.
Retrievability:
Retrievability: Records are retrievable by employee name.
Safeguards:
Safeguards: Records are maintained in locked file cabinets. Access is
limited to those whose official duties require access.
Retention and disposal:
Retention and Disposal: Files are maintained during period of
employment. Except for medical examination reports, which will be
transferred to another agency if employee transfers, the records in
the file are destroyed upon employee separation. Medical examination
records are destroyed, however, when inter-agency transfer is not the
basis for separation.
System manager(s) and address:
Director, Office of Personnel Management,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW, Room 5306,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries about the system of records should
be directed to the System Manager. Individuals requesting information
should provide their name, mailing address, and social security
number.
Record access procedures:
Record Access Procedure: Individuals who desire access to or to
contest information about them in this system of records should
contact the System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure` above.
Record source categories:
Record Source Categories: Previous Employers.
Medical Practitioners.
Employee to whom the record pertains.
DOT/NHTSA 458
System name: System Name: Investigations of Alleged Misconduct
or Conflict of Interest, DOT/NHTSA.
System location:
System Location: Department of Transportation (DOT),
National Highway Traffic Safety Administration (NHTSA),
Office of Associate Administrator for Administration,
400 7th Street, SW, Room 5238,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Name of individual, state or contractor.
Categories of records in the system:
Categories of Records: Copies of allegations, investigations, audits,
and recommendations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: In assessing need for corrective action as necessary.
Available to Associate Administrator for Administration, individual
assigned to the review or investigation, and Special Assistant and
Secretary to the Associate Administrator for Administration.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Maintained in folders in safe.
Retrievability:
Retrievability: Identified alphabetically by name.
Safeguards:
Safeguards: Safe combination is available only to the secretary and
Special Assistant to the Associate Administrator for Administration
and secretary to the Director.
Retention and disposal:
Retention and disposal: Until one year following final disposition of
case then shredded.
System manager(s) and address:
System Manager: Associate Administrator for Administration,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Attention: Associate Administrator for Administration, NAD-01.
400 7th Street, SW, Room 5238,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: See address in `Notification Procedure`
above.
Contesting record procedures:
Contesting Record Procedure: See address in `Notification Procedure`
above.
Record source categories:
Record Source Categories: OST Office of Investigations and Security,
FBI, Office of Audits, and internal investigative individuals.
State and local investigative and law enforcement agencies.
DOT/NHTSA 459
System name: System Name: Stockton Increased DUI Enforcement/
DUI Citation and Arrest File, DOT/NHTSA.
This file will be modified specifically for this project to include
driver's license numbers and BAC levels.
Other files to be used are already maintained by the City of
Stockton (traffic and criminal information) or will contain no
information by which an individual could be identified (roadside
survey data).
System location:
System Location: Under the auspices of the:
Department of Highway Traffic Safety Administration (NHTSA),
System is located at:
Department of Psychology,
University of the Pacific,
Stockton, CA 95211.
and at the
Records Division,
City Hall,
22 East Market Street,
Stockton, CA 95202.
Categories of individuals covered by the system:
Categories of Individuals: Persons cited and/or arrested for DUI in
City of Stockton.
Categories of records in the system:
Categories of Records: Citation and/or arrest records; court records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Records are used to determine BACs of DUI offenders and
recidivism rate overtime.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Record are maintained on magnetic tape and cards.
Retrievability:
Retrievability: By name and driver's license number.
Safeguards:
Safeguards: Records will be available for use by professional
personnel only on evaluation team.
Records will be stored in a locked file cabinet in the Psychology
Department or on tape at either computer center.
Retention and disposal:
Retention and Disposal: Retained for 10 years.
System manager(s) and address:
System Manager: Chief, Program and Demonstration Management Division,
N42-11,
Department of Transportation,
National Highway Traffic Safety Administration,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
National Highway Traffic Safety Administration,
Attention: Director, Office of Contracts and Procurement, N48-30,
400 7th Street, SW, Room 5301,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: See address in `Notification Procedure`
above.
Contesting record procedures:
Contesting Record Procedure: See address in `Notification Procedure`
above.
Record source categories:
Record Source Categories: Citation and/or Arrest Records.
DOT/NHTSA 463
System name: System Name: Motor Vehicle and Motor Vehicle
Equipment Import, DOT/NHTSA.
System location:
System Location: Department of Transportation,
National Highway Traffic Safety Administration,
Office of Vehicle Safety Compliance,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Importers or declarants of imported motor
vehicles and motor vehicles equipment, both private and commercial.
Categories of records in the system:
Categories of Records: Forms HS-7, declaration on motor vehicles and
motor vehicle equipment subject to Federal Motor Vehicle Safety
Standards.
Customs reports of declarations and inspections.
Records relating to refusal of entry or penalties, and in some
instances law enforcement and court records in alleged fraud cases.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used for monitoring compliance with Federal Motor
Vehicle Safety Standards by NHTSA.
Records may be released to the Environmental Protection Agency for
compliance with the Clean Air Act and to the U.S. Customs Service
for import requirements.
Released to State divisions of motor vehicles for state purposes
and to law enforcement agencies in alleged fraud cases.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Paper forms and computer disc tapes.
Retrievability:
Retrievability: By name of importer or declarant, addressee(s)
vehicle or vehicle identification, customs district and entry number,
and port of entry.
Safeguards:
Safeguards: Disc or tape may be accessed only by discrete
identification code known to the System Manager and staff.
Hard paper copies are maintained in locked cabinets.
Retention and disposal:
Retention and Disposal: Hard paper copy is retained one year if no
official claims are lodged against importer or declarant.
Disc and tapes retained for period of U.S. Customs Service statute
of limitations before erasure.
System manager(s) and address:
System Manager: Chief, Verification Division
Office of Vehicle Safety Compliance,
National Highway Traffic Safety Administration,
Department of Transportation,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure; Same as `System Manager.`
Record access procedures:
Record Access Procedure: Same as `System Manager.`
Contesting record procedures:
Contesting Record Procedure: Same as `System Manager.`
Record source categories:
Record Source Categories: Data is obtained from forms executed by
importers or declarants for the NHTSA,U.S. Customs Service, and the
Environmental Protection Agency,
DOT/NHTSA 466
System name: System Name: National Highway Traffic Safety
Administration Employee Travel Advances and Expense File.
System location:
System Location: Room 6134.
DOT Headquarters Building,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: NHTSA Employees at Headquarters and the
ten Regional Offices
Intergovernmental Personnel Act Employees of NHTSA
Temporary Employees of NHTSA
Categories of records in the system:
Categories of Records: Employee Name
Employee Number
Travel Order Number
Travel Advances Outstanding:
Continuing Advance Amount and date issued
Trip advance amount and date issued
Change of Station advance amount and date issued
Payments of advances
Travel Expense:
Subsistence
Transportation of Persons
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To maintain accountability of travel and transportation
costs by object class for each allottee - Budget and Accounting Report
- RIC-0033.
To control funds advanced to employees for travel and change of
station.
To record detail of transactions processed for each budget
allotment/allowance - Operating Budget - RIC0038.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Original records are maintained by the Office of Financial
Management as follows:
Travel Orders, DOT 1500.3 and DOT 1500.4
Travel Vouchers, SF-1012
Travel Advance Record, DOT 1500.5
Data coded from these documents are keypunched to cards and
processed for disc storage.
Retrievability:
Retrievability: Job controls (JCL's) for retrieving data for periodic
reports are maintained. Each report is identified by Report I.D. and
by Report Name.
Safeguards:
Safeguards: JCL's are kept in a locked cabinet under custody of
System Manager.
Retention and disposal:
Retention and Disposal: Original Records are retained in accordance
with the Comptroller General's requirements for record retention.
Hard copies of reports are retained for one year.
System manager(s) and address:
System Manager: Chief,
Accounting Operations
Room 6134,
Office of Financial Management
400 7th Street, SW
National Highway Traffic Safety Administration
Washington, DC 20590.
Notification procedure:
Notification Procedure: Address all inquiries to:
Privacy Act Coordinator, Room 6134
Office of Financial Management
National Highway Traffic Safety Administration
400 7th Street, SW
Washington, DC 20590
Request for data may be made by any employee of NHTSA concerning
the employee's own record. Request must be in writing and must
identify:
System Name: DOT/NHTSA Travel Advances and Expense
Employee Number
Employee Name
Record access procedures:
Record Access Procedure: All inquiries as to procedures for gaining
access to and contesting records shall be directed to:
Privacy Act Coordinator - Room 6134
Office of Financial Management
National Highway Traffic Safety Administration
400 7th Street, SW
Washington, DC 20590
Contesting record procedures:
Record Source Categories: DOT Form 1500.2 Application and Account for
Advance of Funds
DOT Form 1500.3 Travel Order for Temporary Duty
DOT Form 1500.4 Travel Order for Permanent Change of Station
SF-1012 Travel Expense.
DOT/NHTSA 467
System name: System Name: Driver Programs Data System, DOT/
NHTSA. Safe Performance Secondary School Driver Education
Curriculum/Demonstration Project Analysis File.
System location:
System Location: Battelle-Columbus Laboratories (BCL), 505 King
Avenue, Columbus, Ohio 43201.
Categories of individuals covered by the system:
Categories of Individuals: 15-16 year old, non-licensed DeKalb
County, Ga., High School student volunteers for Driver Education.
Categories of records in the system:
Categories of Records:
(a) DeKalb County School System Records:
(1) Student Entry Data consisting of name, DeKalb County student
number, driver's license number, student project number (a unique
number assigned to each student participating in the project),
birthdate, sex, high school, site, socioeconomic status index, term
of instruction, driver's education groups Safe Performance
Curriculum (SPC), Pre-Driver Licensing Curriculum (PDL), and Control
Group. (2) DeKalb County Student Master Data consisting of grade
point average, address, schedule information, driver education
teacher, driver education class, changes in student status,
transferring schools within DeKalb County, leaving the DeKalb County
School District. (3) Driver Education Project Information consisting
of driver education test scores, pretest, unit tests, skill tests,
post test, result of driving habit survey(s). (b) Driver History
File consisting of student project number, cumulative number of
points, name/date/length of suspensions, restrictions on driving,
issue date of driver's license/learner's permit, exam date of
driver's test, habitual offender/date, currently licensed, record of
each citation; type of violation(s), date of violation, number of
points for each violation, accident involved, license suspended/
revoked. (c) Accident History File consisting of citation to project
person, one vehicle or multi-vehicle accident, pedestrian/bicyclist
accident, date of accident, violations for this accident, type of
accident, property damage/injury/fatality, number of injuries,
number of fatalities, position in car of injured/dead, severity of
injuries.
Authority for maintenance of the system:
Authority: Highway Safety Act of 1966, Section 403.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Battelle-Columbus Laboratories at six month intervals
will evaluate the effectiveness of Safe Performance Curriculum as a
driver education program and report results to NHTSA program manager.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: The automated records are stored at Battelle-Columbus
Laboratories (BCL) on magnetic tape and disk. The manual records are
kept in files in a physically secured room.
Retrievability:
Retrievability: The manual records are indexed by student project
number to preclude the use of names. However, the automated records
can also be retrieved by name, address, birthday and Georgia drivers
license number.
Safeguards:
Safeguards: The contents of the collected data will not be available
to any public source. Records are maintained in a secure area with
controlled access. In addition, access to the computer system is
through the use of account numbers.
Retention and disposal:
Retention and Disposal: All client data will be retained until
project termination, at that time de-identified (ID number, DL number,
and name removed) copies of the analysis file will be submitted to the
Office of Driver and Pedestrian Programs, NHTSA, Washington, DC, and
to other research organizations specifically requesting the de-
identified data, as per NHTSA approval.
System manager(s) and address:
System Manager: Department of Transportation, Chief, Program and
Demonstration Management Division, National Highway Traffic Safety
Administration, Room 5130, 400 7th Street SW, Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries should be directed to the System
Manager.
Record access procedures:
Record Access Procedure: Contact or write to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Initiate requests for changes to records
by writing to Systems Manager.
Record source categories:
Record Source Categories: DeKalb County, GA, school system records,
Georgia Department of Public Safety Driving Records.
DOT/NHTSA 471
System name: System Name: National Driver Register Advisory
Committee - Membership/Nominee Files, DOT/NHTSA.
System location:
System Location: Department of Transportation
National Highway Traffic Safety Administration
Executive Secretariat
400 7th Street, SW, Room 5221
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: This system of records contains
information regarding members, past members, and nominees for
membership on a committee dealing with the National Driver Register.
Categories of records in the system:
Categories of Records: Files containing information on biographical
data (Date and place of birth, education, current and past
experience), political affiliation, appointment papers (oath,
withholding forms), photographs, travel vouchers, compensation payment
forms, and miscellaneous correspondence from and to members.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Files are maintained on members and nominees for use in
specific situations, i.e., biographical information to be used for
meetings, conferences, news articles when pertinent, and when needed
for recommendations for membership on committees. Files are used only
by support staff members. See Prefatory Statement of General Routine
Uses, except number 9.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folder storage.
Retrievability:
Retrievability: By individual name.
Safeguards:
Safeguards: Locked files.
Retention and disposal:
Retention and Disposal: Records are stored indefinitely.
System manager(s) and address:
System Manager: Committee Management Coordinator
Department of Transportation
National Highway Traffic Safety Administration
400 7th Street, SW, Room 5221
Washington, DC 20590
Notification procedure:
Notification Procedure: Same as `System Manager` above.
Record access procedures:
Record Access Procedure: Same as `System Manager` above.
Contesting record procedures:
Contesting Record Procedure: Same as `System Manager' above.
Record source categories:
Record Source Categories: All information has been obtained from the
individual upon appointment to the advisory committee, or in the case
of nominees, on that individual's behalf by another person or
organization.
DOT/OST 003
System name: System Name: Allegations of Infringement of United
States Patents, DOT/OST.
System location:
System Location: Office of the Secretary of Transportation,
Office of the General Counsel,
400 7th Street, SW, Room 10424,
Washington, DC, 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals who believe that an agency of
the Department of Transportation is infringing a United States patent
owned by the individual.
Categories of records in the system:
Categories of Records: Copies of correspondence alleging that
agencies of the Department of Transportation have infringed, or are
infringing, United States patents owned by the originators of the
correspondence. Copies of replies by the Department Patent Counsel to
the originator of the allegation. Copies of correspondence forwarding
the allegation to the particular Department agency accused for their
comment; their replies to Patent Counsel. Copies of correspondence
between the Department of Transportation and the Department of Justice
concerning the allegations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used as a record of allegations and Patent Counsel's
actions thereon.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders stored in file cabinets.
Retrievability:
Retrievability: Indexed individually by name in alphabetical
sequence.
Safeguards:
Safeguards: Records are disclosed only to individuals with
established legal interest or legal `need to know.`
Retention and disposal:
Retention and Disposal: Transfer to Federal Records Center two years
after close of file; destroy 25 years after close of file.
System manager(s) and address:
System Manager: Mail Address:
Patent Counsel, C-15,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10424
Notification procedure:
Notification Procedure: Apply to System Manager
Record access procedures:
Record Access Procedures: Apply to System Manager
Contesting record procedures:
Contesting record procedure: Apply to System Manager
Record source categories:
Record source categories: Patent owners.
DOT/OST 004
System name: System Name: Board for Correction of Military
Records (BCMR), DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the General Counsel,
400 7th Street, SW, Room 10424,
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Military personnel requesting the Board
for Correction of Military Records to correct their military records.
Categories of records in the system:
Category of Record: Copies of actions of the General Counsel acting
under delegated authority approving or disapproving BCMR cases.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used as a record of the General Counsel's action in
individual BCMR cases.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: File folders stored in file cabinets (Conserv-a-File).
Retrievability:
Retrievability: Indexed individually by name in alphabetical
sequence.
Safeguards:
Safeguards: Files are kept in the office of the Assistant General
Counsel. Requests are referred to the Executive Secretary, BCMR.
Retention and disposal:
Retention and Disposal: Retire in 3 years; destroy in 6 years.
System manager(s) and address:
System Manager: Mail Address:
Assistant General Counsel for Environmental, Civil
Rights and General Law, C-10,
U.S. Department of Transportation
Washington, DC 20590
Office Location:
400 7th Street, SW, Room 10424
Notification procedure:
Notification: Contact System Manager.
Record access procedures:
Record Access Procedure: Contact System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record source categories: Official agency records; hearings,
documentary material from outside the agency.
DOT/OST 006
System name: System Name: Confidential Statement of Employment
and Financial Interests, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the General Counsel,
400 7th Street, SW, Room 10424,
Washington DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the Department of
Transportation in supervisory or other positions where a conflict of
interest or the appearance of a conflict of interest might occur. Also
included in this category are Consultants and Experts of the
Department of Transportation.
Categories of records in the system:
Categories of Records: Information on employment and financial
interests and debts.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The information to be furnished is required by
Executive Order 11222 and the regulations of the Office of Personnel
Management (OPM) issued thereunder and may not be disclosed except as
the OPM or the agency head may determine. The purpose of the use of
this information is to avoid a conflict of interest or the appearance
of a conflict of interest in DOT employees.
Prefatory Statement of General Routine Uses 1, 4 and 6 apply.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Accordion - type file folder.
Retrievability:
Retrievability: Indexed individually by name in alphabetical
sequence.
Safeguards:
Safeguards: Records are stored in safe.
Retention and disposal:
Retention and Disposal: Records are kept 3 years and then destroyed.
System manager(s) and address:
System Manager: Mail Address:
Deputy General Counsel, C-2,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10428
Notification Procedure:
Inquiries may be addressed to the Deputy General Counsel either in
person or in writing. If written the individual must provide a
notarized signature.
Record access procedures:
Record Access Procedure: Access to records requires the individual to
contact in person or write the Deputy General Counsel.
Contesting record procedures:
Contesting Record Procedure: Contest of a record is also through the
Deputy General Counsel.
Record source categories:
Record Source Categories: Statements of employment and financial
interests, creditors, interests in real property are submitted by
employees and consultants of the Department of Transportation. Initial
requests for submission of statements are through the Office of
Personnel and Training.
DOT/OST 008
System name: Departmental Advisory Committee Files, DOT/OST.
System location:
Department of Transportation (DOT), Office of the Secretary (OST),
Office of the Executive Secretary (S-10), 400 7th Street, SW, Room
10203, Washington, DC 20590.
Security classification:
None.
Categories of individuals covered by the system:
Present and former members of Departmental advisory committees and
candidates applying for a position on an advisory committee.
Categories of records in the system:
Membership file listing name, address, occupation, committee name, and
term of appointment. Biographical information on committee members and
applicants.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To maintain records in accordance with the requirements of the Federal
Advisory Committee Act and GSA's Interim Rule on Advisory Committee
Management. To prepare required reports to GSA and to the Congress. To
answer membership inquiries from Departmental elements, from the
Congress, from public and private organizations and individuals. To
provide a current list of qualified applicants for vacancies which
occur on the advisory committees.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All data is stored on a disk which is located inside the processor,
with magnetic tape backup. The hard copies will be stored in the
Executive Secretariat and will be secured at all times. Access to the
records will be by means of identification number and password known
only to the user and the system manager.
Retrievability:
Records will be retrievable by name or by any of the categories listed
under ``Categories of Records''.
Safeguards:
The records are safeguarded by (1) user identification and password;
(2) establishment of permission to view the file by the system or
owner of the record; and (3) encryption of documents, records and data
elements. All hard copies are stored in a locked storage area and are
only accessible by permission of the Committee Management Coordinator.
Retention and disposal:
Hardcopies will be sent to the Archives, until such time as we receive
instruction from the Archives regarding the permanent retention of
discs or magnetic tapes. Discs and tapes will be destroyed. Records
are retired to the Federal Records Center within five years after a
committee becomes inactive. All records over five years old may be
retired to the Federal Records Center.
System manager(s) and address:
Executive Secretary and DOT Committee Management Officer, Office of
the Secretary (OST), Department of Transportation (DOT), 400 7th
Street, SW, Room 10205, Washington, DC 20590.
Notification procedure:
Any individual who wishes to be notified if the system of records
contains a record pertaining to him may apply in writing to the System
Manager at the above address.
Record access procedures:
Any individual who wishes to review the contents of a record
pertaining to him may apply in writing to the System Manager.
Contesting record procedures:
Same as ``Record Access Procedures''. Appeals should be directed to
the Secretary of Transportation, if request for modification or
deletion is denied.
Record source categories:
Information contained in the system is obtained from (1) committee
sponsor; (2) individuals who apply for advisory committee
appointments; and (3) persons who recommend them for appointment. Each
applicant must complete a Candidate Biographical Information Request
form which contains all of the data to be stored in the ``Categories
of Records'', and the individual signs a permission statement
authorizing the Department of Transportation to retain such records.
DOT/OST 010
System name: System Name: Departmental Personnel Management
Information System, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Transportation Computer Center,
400 7th Street, SW, Room 2401,
Washington, DC 20590.
Informatics, Inc.,
Six Kings Bridge Road,
Fairfield, New Jersey 07006.
Categories of individuals covered by the system:
Categories of Individuals: Federal civilian employees of the U. S.
Department of Transportation.
Categories of records in the system:
Categories of Records: Personnel Records and Training Records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Issue automated records to the Office of Personnel
Management.
Submit personnel reports, summaries and name listings to the Office
of Personnel Management, Office of Management and Budget, U. S.
Department of Commerce, U.S. Congress, and other government
agencies.
Develop statistical summaries and name listings for use in
performing personnel management functions and other manpower and
budgetary functions of the Department.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Magnetic Tapes and Disks.
Retrievability:
Retrievability: Social Security Number.
Safeguards:
Safeguards: Transportation Computer Center maintains both physical
security and personal access by retrieve/access procedures and secured
storage and operative areas.
Retention and disposal:
Retention and Disposal: The personnel records are maintained for a 3
year period while the training records will be maintained for a 10
year period. The records disposed by blending the magnetic tapes or
disks.
System manager(s) and address:
Department of Transportation,
Office of the Secretary,
Personnel Systems Division (M-15)
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: The individual may address the Office of
Personnel and Training (Director of Personnel and Training), in person
or in writing, at the above address.
Record access procedures:
Record Access Procedure: Same as `Notification Procedure`.
Contesting record procedures:
Contesting Record Procedure: Contest of these records will be to the
Office of Personnel and Training. If resolution is not satisfactory to
the individual, an appeal may be filed with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of The Secretary,
Office of the General Counsel,
400 7th Street, SW, Room 10428,
Washington, DC 20590.
Record source categories:
Record Source Categories: Standard Form 50 (Notification of Personnel
Action).
Standard Form 52 (Request for Personnel Action).
Standard Form 171 (Personnel Qualifications Statement).
Standard Form 1126 (Pay Change Action).
Optional Form 170 (Training) and other internal training forms.
Internal Forms (Minority Identification Record).
DOT/OST 011
System name: System Name: Discrimination Complaint
Investigative Files, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Departmental Office of Civil Rights,
Complaints Division,
2100 Second Street, SW, Rm 5300,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Complaints of discrimination by employees
of, and applicants to, the Department. Complaints of discrimination by
individuals affected by departmental programs for which the Department
has compliance responsibility.
Categories of records in the system:
Categories of Records: Formal complaint.
Personnel record information.
Racial-ethnic data.
Investigative reports.
Affidavits.
Departmental decision.
Hearing transcript, if hearing is held.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Internal Complaints:
Investigation and adjudication of complaint by the Departmental
Office of Civil Rights.
Referral to the General Counsel and, upon request, to the
appropriate U.S. Attorney's Office, if complainant files suit in
court.
Referral to the Civil Service Commission (CSC) if complainant
requests a hearing or appeals a Departmental decision.
Referral to the CSC for investigation of complaint.
Information copies to the Civil Rights Office of the employee's
administration and to the employee.
External Complaints:
Referral to Office of Federal Contract Compliance (OFCC) of
discrimination complaints relating to employment.
Referral to operating administration with compliance responsibility
of class-action complaints, for purpose of a compliance review.
Investigation by Departmental Office of Civil Rights personnel of
Title VI complaints.
Referral, upon request, to Department of Justice, which has overall
program responsibility for Title VI enforcement.
Referral to General Counsel when conciliation fails and sanction
action is anticipated.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders.
Retrievability:
Retrievability: Alphabetically within operating administration.
Safeguards:
Safeguards: Maintained in locked file cabinets in a locked room.
Retention and disposal:
Retention and Disposal: Maintained three years, then retired to NARA.
System manager(s) and address:
System Manager: Director of Civil Rights,
Department of Transportation,
Office of the Secretary,
Director of Civil Rights,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries should be directed to the System
Manager.
Record access procedures:
Record Access Procedure: Contact System Manager for information on
procedures for gaining access to records.
Contesting record procedures:
Contesting Record Procedure: Contact System Manager for information
on procedures for contesting records. Appeals should be directed to
the Secretary of Transportation, if request for modification or
deletion is denied.
Record source categories:
Record Source Categories: Information provided by the complainant.
Personnel files and employment records.
Interviews with witnesses.
DOT/OST 012
System name: System Name: Files Relating to Personnel Hearings,
DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the General Counsel,
400 7th Street, SW, Room 10424,
Washington, DC 20590.
Categories of individuals covered by the system:
Category of Individual: Certain employees of the Office of the
Secretary who have availed themselves of the opportunity for a hearing
in certain personnel matters.
Categories of records in the system:
Categories of Records: A record of the legal services performed and
reference material for future cases.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by agency management in the preparation and
conduct of administrative hearings.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders stored in file cabinets (Conserv-a-File).
Retrievability:
Retrievability: Indexed individually by name in alphabetical
sequence.
Safeguards:
Safeguards: Files are kept in the office of the Assistant General
Counsel.
Retention and disposal:
Retention and Disposal: Retire in 3 years; destroy in 6 years.
System manager(s) and address:
System Manager: Mail Address:
Assistant General Counsel for Environmental, Civil Rights and
General Law, C-10,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10424
Notification procedure:
Notification Procedure: Apply to System Manager.
Record access procedures:
Record Acess Procedures: Apply to System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Official agency records; hearings;
documentary material from outside the agency.
DOT/OST 013
System name: Employee Management Convenience Files--Office of
Inspector General.
System location:
Office of Inspector General, DOT/OST, 400 Seventh Street, SW,
Washington, DC 20590
Office of Inspector General, DOT/OST, Kendall Square, 55 Broadway,
Room 1055, Cambridge, MA 02142
Office of Inspector General, DOT/OST, 26 Federal Plaza, Room 14-130,
New York, NY 10278
Office of Inspector General, DOT/OST, 31 Hopkins Plaza, Room 1628,
Baltimore, MD 21201
Office of Inspector General, DOT/OST, Suite 376, 1718 Peachtree
Road, NW., Atlanta, GA 30309
Office of Inspector General, DOT/OST, 165 N. Canal Street, Room
1400B, Chicago, IL 60606
Office of Inspector General, DOT/OST, Federal Office Building, Room
9A27, 819 Taylor Street, Fort Worth, TX 76102
Office of Inspector General, DOT/OST, 601 East 12th Street, Room
113, Kansas City, MO 64106
Office of Inspector General, DOT/OST, 211 Main Street, Suite 1022,
San Francisco, CA 94105
Office of Inspector General, DOT/OST, Federal Office Building, Room
644, 915 Second Avenue, Seattle, WA 98174.
Categories of individuals covered by the system:
Present employees.
Categories of records in the system:
Performance Evaluation Records, Position Descriptions, SF-171s, and
Employee Relations Documents.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Employment, pay, performance evaluations, and employee conduct.
Used by supervisor and administrative personnel in preparation of
personnel documents. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Safe and file cabinets.
Retrievability:
By name.
Safeguards:
Locked safe and files.
Retention and disposal:
Retained for current employment. Destroyed by shredding.
System manager(s) and address:
Assistant Inspector General for Policy, Planning, and Resources (Jp-
1), Office of Inspector General, Department of Transportation, 400
Seventh Street, SW, Room 9210, Washington, DC 20590.
Notification procedure:
Same as ``System Manager.''
Record access procedures:
Current employees may have access to contents through the System
Manager.
Contesting record procedures:
Current employees may contest contents through the System Manager.
Record source categories:
Subject, supervisor, responsible official, personnel and payroll
offices.
DOT/OST 014
System name: System Name: Employment Applications Files, DOT/
OST.
System location:
System Location: The following Secretarial Offices located at:
400 7th Street, SW,
Washington, DC 20590:
Office of the Deputy Secretary, S-2.
Special Assistants to the Secretary, S-3 through S-9.
Office ot the Executive Secretary, S-10.
Contract Appeals Board, S-20.
Office of Civil Rights, S-30.
Categories of individuals covered by the system:
Categories of Individuals: Prospective employees.
Categories of records in the system:
Categories of Records: Resumes, employee applications, samples of
work and letters of recommendation and referral. (Note: Not all items
are held in all offices.)
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Consideration for in-house employment.
Where appropriate, referral to other offices and agencies for
consideration of employment.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders.
Retrievability:
Retrievability: Filed alphabetically by name, except in the Office of
Civil Rights of the Department, where they are filed alphabetically by
name within occupational series.
Safeguards:
Safeguards: Files are accessible only with the permission of each
System Manager.
Retention and disposal:
Retention and Disposal: Files are retained as long as position(s) for
which individual(s) is (are) being considered remain(s) viable.
System manager(s) and address:
System Manager: Senior official of each office listed.
Notification procedure:
Notification Procedure: Inquiries should be directed to the
appropriate System Manager.
Record access procedures:
Record Access Procedure: Contact the appropriate System Manager for
information on procedures for gaining access to records.
Contesting record procedures:
Contesting Record Procedure: Contact the appropriate System Manager
for information on procedures for contesting records. Appeals should
be directed to the Secretary of Transportation, if request for
modification or deletion is denied.
Record source categories:
Record Source Categories: Applicant.
Referring individual.
Other agencies, including the Civil Service Commission.
DOT officials.
Office of Personnel Operations.
Note: Not all sources are used by all offices.
DOT/OST 016
System name: System Name: General Investigations Record System,
DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Security Staff, M-441
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: DOT employees.
Categories of records in the system:
Categories of Records: Incident reports covering occurrences relating
to the security of DOT personnel and headquarters buildings.
Authority for maintenance of the system:
Authority for Maintenance: The information contained in the incident
reports is collected and maintained in accordance with the mission and
functions of the Office of Investigations and Security for the
protection of DOT employees and headquarters buildings.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: These records may be disseminated to DOT Officials in
the administration of their responsibilities.
See Prefatory Statement of General Routine Uses, 5 and 9 do not
apply.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Paper records in case folders in manual filing system.
Retrievability:
Retrievability: By name or incident title.
Safeguards:
Safeguards: Files are maintained in a locked room with appropriate
access controls. Access to the files is restricted to authorized
personnel on a `need-to-know` basis. with appropriate access controls.
Retention and disposal:
Retention and Disposal: Material held indefinitely.
System manager(s) and address:
System Manager: Chief, Security Staff, M-441
Department of Transportation,
Office of the Secretary,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as `System Manager`.
Record access procedures:
Record Access Procedure: Same as `System Manager`.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: These records contain information obtained
from interviews, review of records and other authorized techniques.
Systems exempted from certain provisions of the act:
Systems Exempted from Certain Provisions of the Act: Investigative
data compiled for law enforcement purposes may be exempt from the
access provisions pursuant to 5 USC 552a (j)(2), (k)(l) or (2).
DOT/OST 019
System name: System Name: Individual Personal Interests in
Intellectual Property, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the General Counsel,
400 7th Street, SW, Room 10424,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Inventors employed by or having
contractual relationships with the Department of Transportation and
other Government agencies.
Categories of records in the system:
Categories of Records: Invention disclosures, Government Patents
Branch cases, patent applications, issued patents, and license
agreement files.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by Patent Counsel and his staff as a record of
determination of rights in inventions, determination of novelty and
patentability, determination of patent coverage, and allocation of
rights in issued patents.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders stored in file cabinets.
Retrievability:
Retrievability: Indexed individually by name in alphabetical
sequence.
Safeguards:
Safeguards: Records are disclosed only to individuals who have legal
interest in the records or legal `need to know.`
Retention and disposal:
Retention and Disposal: Transfer to Federal Records Center two years
after close of file; destroy 25 years after close of file.
System manager(s) and address:
System Manager: Mail Address:
Patent Counsel, C-15,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10424.
Notification procedure:
Notification Procedure: Apply to System Manager.
Record access procedures:
Record Access Procedure: Apply to System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedures`.
Record source categories:
Record Source Categories: Individual inventors, technical evaluators,
and United States Patent and Trademark Office.
DOT/OST 024
System name: Parking Permit Application Files and Vanpool
Application Files.
System location:
Department of Transportation, Office of the Secretary (OST), Parking
Management Office, M-443.3, 400 Seventh Street, SW, Washington, DC
20590.
Categories of individuals covered by the system:
DOT parking permit holders (Washington, DC), DOT carpool members
(Washington, DC), and DOT vanpool applicants (Washington, DC).
Categories of records in the system:
Parking permit application forms and vanpool application forms.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The following routine uses apply:
In an effort to match people for carpools or vanpools.
To determine criteria for permit issuance.
To update data as changes occur.
To record garage violations.
For periodic review or revalidation.
As part of a program designed to expose fraudulent
applications. (This is not a computer matching program as stated in
the Computer Matching and Privacy Protection Act of 1988 because it is
a routine administrative match using Federal personnel records (5 USC
552a(8)(b)(v)(I)).
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12):Disclosures may be made from
this system to consumer reporting agencies (collecting on behalf of
the U.S. Government) as defined in the Fair Credit Reporting Act (15
USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored in lockable visible edge file in a security locked workroom.
Retrievability:
Parking permit application forms are indexed sequentially by permit
number; vanpool applications are alphabetical by name and organized
for retrieval by ``home cell'' numbers for areas.
Safeguards:
Records maintained in lockable files within the Parking Management
Office. Printout of carpool listing used in matching program has name,
agency, DOT permit number, and work telephone number only.
Retention and disposal:
Records cards are retained for 3 years locally, sent to the Federal
Records Center for 2 more years, and then destroyed.
System manager and address:
Chief, Transportation and Parking Section, M443.3, U.S. Department of
Transportation, Office of the Secretary, 400 Seventh Street, SW,
Washington, DC 20590.
Notification procedure:
Individual may review own data upon presentation of valid DOT ID card.
Record access procedure:
Same as Notification Procedure.
Contesting record procedures:
Apply to System Manager.
Record source categories:
Information obtained from applications submitted by individual and
from notifications from other agencies in the matching program.
DOT/OST 025
System name: Parking Permit Management System.
System location:
Department of Transportation, Office of the Secretary (OST), Parking
Management Office, M-443.3, 400 Seventh Street, SW, Washington, DC
20590.
Categories of individuals covered by the system:
DOT parking permit holders and DOT carpool members (Washington, DC).
Categories of records in the system:
Status record of carpool permits, member record of carpools, and
carpool location listings.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The following routine uses apply:
Used for ADP report and listing production.
Used by the Parking Management Office for system administration.
Location listings are for use in forming and enlarging carpools and
are used by the general public.
Carpool listing printouts are furnished to other Federal Parking
Management offices in a program designed to expose fraudulent
applications. (This is not a computer matching program as stated in
the Computer Matching and Privacy Protection Act of 1988 because it is
a routine administrative match using Federal personnel records (5 USC
552a(a)(8)(b)(v)(I)).
Prefatory Statement of General Routine Uses applies.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12).Disclosures may be made from
this system to consumer reporting agencies (collecting on behalf of
the U.S. Government) as defined in the Fair Credit Reporting Act (15
USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Must enter password to access data. Password known only to Parking
Management Office personnel.
Retrievability:
Indexed sequentially by permit number.
Safeguards:
Parking Management Office personnel have only access to general files
through data password. The carpool location list is available for
general public use, but is secured in the Parking Management Office.
Printout of carpool listing used in matching program has name, agency,
DOT permit number, and work telephone number only.
Retention and disposal:
Data is deleted from ADP files when individual leaves the system.
Record copies of monthly reports and listings are retained locally for
3 years, forwarded to the Federal Records Center for 2 more years,
then destroyed.
System manager(s) and address:
Chief, Transportation and Parking Section, M443.3, U.S. Department of
Transportation, Office of the Secretary, 400 Seventh Street, SW,
Washington, DC 20590.
Notification procedures:
Individual may review own data upon presentation of valid DOT ID card.
Record access procedures:
Same as Notification Procedure.
Contesting record procedures:
Apply to System Manager.
Record source categories:
Information obtained from applications submitted by individual and
from notifications from other Federal agencies in the matching
program.
DOT/OST 026
System name: System Name: Payroll Management System, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Accounting Operations Division, M-45,
400 7th Street SW, Room 2228,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Office of the Secretary.
Categories of records in the system:
Categories of Records: Gross to net payroll.
Payroll master.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Support for payment of payroll.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this system to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: ADP listing.
Retrievability:
Retrievability: Alpha-numeric by employee.
Safeguards:
Safeguards: People given access are screened by responsible
management personnel.
Retention and disposal:
Retention and disposal: Federal records retention schedule.
Retained for 1 year - destroyed.
System manager(s) and address:
System Manager: Chief, Accounting Operations Division, M-45,
Department of Transportation,
Office of the Secretary,
Accounting Operations Division, M-45,
400 7th Street, SW, Room 2227,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
Office of the Secretary,
Accounting Operations Division, M-45,
400 7th Street, SW, Room 2227,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Same as `Notification Procedure`.
Contesting record procedures:
Contesting Record Procedure: Same address as `Notification
Procedure`.
Record source categories:
Record Source Categories: Time and attendance records.
Personnel actions (SF So).
DOT/OST 028
System name: System Name: Personnel Convenience Files, DOT/OST.
System location:
System Location: The following Secretarial Offices located at the
Department of Transportation (DOT),
Office of the Secretary (OST),
400 7th Street, SW,
Washington, DC 20590:
Immediate Office of the Secretary, S-1.
Office of the Deputy Secretary, S-2.
Special Assistants to the Secretary, S-3 through S-9.
Executive Secretary, S-10.
Contract Appeals Board, S-20.
Departmental Office of Civil Rights (except for the Complaints
Division), S-30.
White House Fellow, S-9.
Additionally:
Departmental Office of Civil Rights,
Complaints Division, S-35,
2100 2nd Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees, past and present.
Categories of records in the system:
Categories of Records: The following documents are kept in all
offices:
Copies of orders, vouchers, and related documentation for local and
non-local travel. Copies of some of the following documents are kept
in all offices: Except the Immediate Office of the Secretary and the
Offices of the Deputy Secretary, Deputy Under Secretary, the White
House Fellow and Special Assistants to the Secretary, for whom such
documents are maintained by the Office of the Executive Secretary:
Standard Form 52, Request for Personnel Action.
Standard Form 7-B, Employee Record
Position Descriptions.
Performance evaluations.
Training records.
Payroll and leave records.
Commendations and awards.
Savings Bond and CFC campaign records.
Security classification documents.
Monthly Personnel Roster.
Savings Bond and CFC campaign records are maintained for reference
in connection with future campaigns.
All other records are maintained for effective budgetary, manpower,
and employee management and also for the use of the individual (not
all items and not in all offices).
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Hard copy in file folders and binders.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Data available only by request of the senior official,
his deputy, or secretaries to them, of the office or division in which
the information is maintained. Provided only on a need-to-know basis.
Retention and disposal:
Retention and Disposal: Personnel records are retained until employee
leaves.
Payroll records are retained three years.
Travel records normally retained at least one year.
Records are disposed of following minimal period of retention on a
space-needed basis.
System manager(s) and address:
System Manager: Senior official of each office listed.
Notification procedure:
Notification Procedure: Inquiries should be directed to the
employee's supervisor.
Record access procedures:
Record Access Procedure: Contact supervisor for information on
procedures for gaining access to records.
Contesting record procedures:
Contesting Record Procedure: Contact supervisor for information on
procedures for contesting records.
Appeals should be directed to the Secretary of Transportation, if
request for modification or deletion is denied by the senior
official of the employee's office.
Further appeal, if necessary, should be to the Secretary of
Transportation.
Record source categories:
Record Source Categories: Information provided by the employee.
Informational copies provided by Personnel Operations Division.
Material generated within the employing office.
DOT/OST 030
System name: System Name: Personnel Management Files, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the Assistant Secretary for Policy, and International
Affairs,
400 7th Street, SW,
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Current employees.
Prospective employees.
Prior employees - three years (payroll/time cards only).
Categories of records in the system:
Categories of Records: Basic recruitment, employment, status and pay
records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Employment, pay and performance decisions.
Use by subject, supervisor, responsible official; administrative
personnel in preparation; personnel and payroll offices in
processing.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Copies of basic documents.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Locked files with personnel screening for access.
Retention and disposal:
Retention and Disposal: Retained only for control purposes, pending
official action by Personnel or Payroll offices or management
officials.
Pay records are retained for 3 years, then destroyed by burning or
shredding.
System manager(s) and address:
System Manager: Assistant Secretary for Policy, and International
Affairs, and the Directors of the subordinate offices for records
maintained in their respective offices.
All of which are located at the:
Department of Transportation,
Office of the Secretary,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries: Oral request by current employees
to the System Manager. Written or direct inquiry by prior employees or
applicants to:
Department of Transportation,
Office of the Secretary,
Director Management Staff, P-5,
400 7th Street, SW,
Washington, DC 20590.
Must provide notarized signature or social security number.
Record access procedures:
Record Access Procedure: Current employees may have access to
contents through the System Manager.
For all other inquiries - Office Director, P-5 at the address under
Notification Procedure.
Contesting record procedures:
Contesting Record Procedure: Present employees may request changes
through the System Manager, as above. If request denied, may refer to
Review Officer, P-5, then to OST Review Officer. For all other
inquiries - Office Director, P-5.
Record source categories:
Record Source Categories: Subject, supervisor, responsible official,
personnel and payroll offices.
DOT/OST 032
System name: System Name: Management Operating Record System,
DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Security Staff, M-441
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Current employees of the Security Staff,
OST, DOT.
Categories of records in the system:
Categories of Records: This system of records contains current
employee Time and Attendance Cards, Travel Orders and Vouchers and
Position Descriptions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: This system of records is maintained for internal
administrative management and operating purposes by the M-441 Chief.
Time and Attendance Cards are maintained for M-441 employees pay
purposes and are forwarded to the Payroll Office.
Travel Orders are maintained for M-441 employees authorized to
travel on DOT business and are forwarded to Travel Office and the
Accounting Office to arrange necessary transportation and payment of
expenses.
Travel Vouchers are maintained on M-441 employees to provide an
ongoing tabulation of the Office's travel expenses.
Position Descriptions are maintained for positions within M-441 and
are utilized internally by the Director and Division Chiefs for
reference and to assure effective employee utilization.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12):Disclosures may be made from
this systems to `consumer reporting agencies` (collecting on behalf of
the U.S. Govt.) as defined in the Fair Credit Reporting Act (15 USC
1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Standard forms in individual folders in manual filing
system.
Retrievability:
Retrievability: By employee name.
Safeguards:
Safeguards: This system of records is stored in a locked room with
limited access.
Retention and disposal:
Retention and Disposal: Records are maintained while an individual is
an employee of the Security Staff and are destroyed upon transfer or
termination.
System manager(s) and address:
System Manager: Chief, Security Staff, M-441
Department of Transportation,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as `System Manager`.
Record access procedures:
Record Access Procedure: Same as `System Manager`.
Contesting record procedures:
Contesting Record Procedure: Same as `System Manager`.
Record source categories:
Record Source Categories: Employee and office generated statements
and forms.
DOT/OST 035
System name: System Name: Personnel Security Record System,
DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Security Staff, M-441
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: DOT applicants, employees, former
employees; candidates and designees to the DOT unit of the National
Defense Executive Reserve, and detailees to DOT from other Federal
agencies.
Categories of records in the system:
Categories of Records: Records of personnel security processing,
personal data on investigative and employment forms completed by the
individual, reports of investigations, records of security and
suitability determinations, records of access authorizations granted,
documentation of security briefings/debriefings received, record of
security violations by the individual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by Departmental personnel security officers for
making security determinations and granting access authorizations, by
Departmental personnel management officials for making suitability
determinations, by representatives of other Federal agencies with
which the individual is seeking employment, and by Federal agencies
conducting official inquiries to the extent that the information is
relevant and necessary to the requesting agency's inquiry, and by
Departmental officials, to the extent necessary, to identify the
individual to sources from whom information is requested for any of
the foregoing purposes to inform the source of the nature and purpose
of the request and to indicate the type of information requested.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Completed forms and typed pages in individual folders in a
manual filing system, and on a manual system control cards.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Stored in locked room with proprietary lock or in
approved security safe. Access limited to authorized staff members.
Retention and disposal:
Retention and Disposal: Retained during employment in the Department,
retained in accordance with GSA Records Schedule 18 after
employment is terminated, authorized destruction done by secure means
used for classified materials.
System manager(s) and address:
System Manager: Chief, Security Staff, M-441
Department of Transportation,
Office of the Secretary,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as System Manager.
Record access procedures:
Record Access Procedure: Same as System Manager. However, information
compiled solely for the purpose of determining suitability,
eligibility, or qualification for Federal civilian employment or
access to classified information may be exempted from the access
provisions pursuant to 5 USC 552a(k)(5).
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Investigative sources contacted in full
field, National Agency Check and Written Inquiry and similar
investigations; investigative reports reviewed at other Government
agencies; personal history statements, employment applications and
other data provided by the individual and/or other agencies.
Systems exempted from certain provisions of the act:
Exemptions: Information compiled solely for the purpose of
determining suitability, eligibility, or qualification for federal
civilian employment or access to classified information may be
exempted from the access provisions pursuant to 5 USC 552a(k)(1) and/
or(5).
DOT/OST 037
System name: System Name: Records of Confirmation Proceeding
Requirements for Proposed Executive Appointments to the Department
of Transportation, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the Assistant General Counsel for Environmental, Civil
Rights and General Law,
400 7th Street, SW, Room 10424,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals nominated for top executive
positions of the Department of Transportation.
Categories of records in the system:
Categories of Records: Financial data and biographical data.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Data submitted to the General Counsel as reviewing
official by subject individual for use by the Senate Commerce
Committee to determine if there would be a conflict of interest, or
the appearance of a conflict of interest, in subject's appointment to
the Department of Transportation.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Legal sized documents located in locked safe.
Retrievability:
Retrievability: Individual names filed alphabetically.
Safeguards:
Safeguards: Physical security consists of filing records in safe;
data released to Senate Commerce Committee and authorized officials
only of the Department.
Retention and disposal:
Retention and Disposal: Records are retained for 3 years then
destroyed.
System manager(s) and address:
System Manager: Mail Address:
Deputy General Counsel, C-2,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10428.
Notification procedure:
Notification Procedure: Inquiries may be addressed to the Deputy
General Counsel at the address above, either in person or in writing.
If written the individual must provide a notarized signature.
Record access procedures:
Record Access Procedure: Access to records requires the individual to
contact in person or write the Deputy General Counsel.
Contesting record procedures:
Contesting Record Procedure: Contest of a record is also through the
Deputy General Counsel.
Record source categories:
Record Source Categories: Documents are provided by subject
individual.
DOT/OST 041
System name: System Name: Secretariat Information Retrieval
System (SIRS) Secretary's Automated Management Information System
(SAMIS), DOT/OST. SAMIS will totally replace SIRS in 1984.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the Executive Secretary,
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals who write, or are referred in
writing by a second party, to the Secretary, Deputy Secretary, Deputy
Under Secretary, and their immediate offices.
Individuals who are the subject of an action requiring approval or
action by one of the forenamed, such as appeal actions, training,
awards, foreign travel, promotions, selections, grievances, and
discipline.
Categories of records in the system:
Categories of Records: Correspondence submitted by, or on behalf of,
an individual, including resumes, letters of reference, etc.
Responses to such correspondence.
Staff recommendations on actions requiring approval or action by
one of the forenamed.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Referral to the appropriate action office within or
outside the Department for preparation of a response.
Referral to the appropriate agency for actions involving matters of
law or regulation beyond the responsibility of the Department, such
as the Civil Service Commission for employee appeals, the Department
of Justice in matters of law enforcement, etc.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Computer microdisc and - selectively - on microfilm for all
records since 1/1/74.
In hard copy for all records prior to 1/1/74.
Retrievability:
Retrievability: Indexed by name of correspondent, referring
individual, and subject category (e.g., `employment` for applicants)
from 1/1/74 on.
Indexed by name of correspondent prior to 1/1/74.
Safeguards:
Safeguards: Computer microfilm records, and remote reader terminals,
which permit random access to the system records, are locked after
office hours.
During office hours computer is accessible only through terminals
operated by, and under the surveillance of, authorized employees of
the Executive Secretary.
Retention and disposal:
Retention and Disposal: Hard-copy records for 1967-1969 and duplicate
microfilms for 1974-1979 are in the custody of National Archives and
Records Administration (NARA).
Microfilm records from 1980 and following are retained in the
Departmental headquarters building.
Records are retired to NARA on a space-needed basis.
System manager(s) and address:
System Manager: The Executive Secretary at the address above.
Notification procedure:
Notification Procedure: Inquiries should be directed to the System
Manager. Helpful information, in addition to the individual's name,
includes date(s), subject matter, and addressee(s) of the incoming
correspondence, and date(s) and author(s) of the response(s).
Record access procedures:
Record Access Procedure: Contact System Manager for information on
procedures for gaining access to records.
Contesting record procedures:
Contesting Record Procedure: Contact System Manager for information
on procedures for contesting records. Appeals should be directed to
the Secretary of Transportation, if request for modification or
deletion is denied.
Record source categories:
Record Source Categories: Correspondence from individual, his
representative or sponsor.
Responses to incoming correspondence.
Related material provided for background as appropriate.
DOT/OST 043
System name: System Name: Telephone Directory and Locator
System, DOT/OST.
System location:
System Location: Opportunity Systems, Inc. (OSI),
1406 `L` St., NW
Washington, DC 20005.
Categories of individuals covered by the system:
Categories of Individuals: Department of Transportation (DOT)
headquarters employees.
Categories of records in the system:
Categories of Records: Alphabetic Employee Master Records and GSA
Metrocentrex Locator Records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Departmental Alphabetic Directory production,
DOT Mail Room,
DOT Locator Service, and
GSA Metrocentrex Locator Service.
Used by DOT Telephone Directory Representatives, DOT Mail room.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Policies and Practices:
Storage:
Storage: Magnetic tape storage via batch processing. Source data
returned to DOT.
Retrievability:
Retrievability: Can retrieve on social security number or on name.
Safeguards:
Safeguards: Only DOT & OSI personnel have access to tapes.
Retention and disposal:
Retention and Disposal: Tapes are retained through three (3) cycles,
grandfather, father, son, and then scratched. Source materials are
retained until the next update is completed.
System manager(s) and address:
System Manager: Chief, Publishing and Graphics Division, M-48,
Department of Transportation,
Office of the Secretary,
Office of Administrative Services,
400 7th Street, SW, Room 2317,
Washington, DC 20590.
Notification procedure:
Notification Procedures: Contact Publishing and Graphics Division at
the address above.
Record access procedures:
Record Access Procedure: Contact Publishing & Graphics Division, M-48
at the address above.
Individual may review own data upon presentation of valid DOT ID
card.
Contesting record procedures:
Contesting Record Procedure: Individual may change own data at any
time.
Record source categories:
Record Source Categories: DOT F 1700.1 - DOT Form prepared for each
employee.
DOT/OST 044
System name: System Name: Travel and Transportation Management
File, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Accounting Operations Division, M-45,
400 7th Street, SW, Room 2223,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: All travelers visits using OST travel
funds.
Categories of records in the system:
Categories of Records: Travel Vouchers.
Travel Authorizations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Subsidiary Accounting Records.
Records used by:
Accounting Operations Division employees.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Open files.
Retrievability:
Retrievability: Alphabetically by employee name.
Safeguards:
Safeguards: Persons given access are screened by responsible
management personnel.
Retention and disposal:
Retention and Disposal: Destroy after 4 years.
System manager(s) and address:
System Manager: Chief, Accounting Operations Division, M-45,
Department of Transportation,
Office of the Secretary,
400 7th Street, SW, Room 2227,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
Office of the Secretary,
Accounting Operations Division, M-45,
400 7th Street, SW, Room 2227,
Washington, DC 20590.
Record access procedures:
Record Access Procedure: Same as `Notification Procedure`.
Contesting record procedures:
Contesting Record Procedure: Same as `Notification Procedure`.
Record source categories:
Record Source Categories: Program Offices.
DOT/OST 045
System name: System Name: Unsolicited Contract or Research and
Development Proposals Embodying Claims of Proprietary Rights, DOT/
OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the General Counsel,
400 7th Street, SW, Room 10424,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals who believe they have original
and innovative ideas in the field of transportation.
Categories of records in the system:
Categories of Records: Copies of descriptions of proposed innovations
or inventions and methods of carrying out the proposal. Evaluations by
Patent Counsel of the adequacy and propriety of restrictive markings
on the proposals and correspondence of the Patent Counsel pertaining
thereto.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used as a record of Patent Counsel's action in
individual unsolicited proposal cases.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders stored in file cabinets (Conserv-a-File).
Retrievability:
Retrievability: Indexed individually by name and subject in
alphabetical sequence.
Safeguards:
Safeguards: Records are disclosed only in accordance with the terms
of restrictive markings agreed upon between submitter and DOT.
Retention and disposal:
Retention and Disposal: Transfer to storage when three years old;
Destroy after six years.
System manager(s) and address:
System Manager: Mail Address:
Patent Counsel, C-15,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10424.
Notification procedure:
Notification Procedure: Apply to System Manager.
Record access procedures:
Record Access Procedure: Apply to System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Forwarded by individual or by the DOT
office to whom unsolicited proposal was addressed.
DOT/OST 046
System name: System Name: Visit Control Records System, DOT/
OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Security Staff, M-441
400 7th Street, SW, Room 10401,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: DOT employees, Industrial Security
contractor employees, non-employee visitors to DOT facilities during
security hours.
Categories of records in the system:
Categories of Records: Record of clearance certification (level, date
granted and basis) on employees to visit facilities or attend meetings
involving classified information. Record of security clearance data
for visitors to DOT facility from other agencies and from contractors.
Record of individuals other than employees who are authorized access
to DOT facilities during security hours.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Confirming to the proper authorities the security
clearance for individuals requiring access to classified information;
identifying individuals authorized to be present in DOT facilities
during security hours.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Visitor forms and letters.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Stored in locked room with proprietary lock, available
only to authorized staff members.
Retention and disposal:
Retention and Disposal: Maintained until expiration of visit, then
destroyed.
System manager(s) and address:
System Manager: Chief, Security Staff, M-441
Department of Transportation,
Office of the Secretary,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as above.
Record access procedures:
Record Access Procedure: Same as above.
Contesting record procedures:
Contesting Record Procedure: Same as above.
Record source categories:
Record Source Categories: Security clearance information furnished by
personnel security officers. Visit data furnished by individual.
DOT/OST 056
System name: System Name: Garnishment Files, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the General Counsel,
Office of the Assistant General Counsel for Environmental,
Civil Rights and General Law,
400 7th Street, SW, Room 10424,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the Department of
Transportation, including members of the Coast Guard, whose pay is
sought to be attached under section 459 of the Social Security Act ,
42 U.S.C. 659.
Categories of records in the system:
Categories of Records: Correspondence and court orders, and copies
thereof, concerning attachment of employees' pay.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used as record of garnishments and Garnishment
Attorney's action thereon.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders stored in the Garnishment Attorney's office.
Retrievability:
Retrievability: Indexed individually by name in alphabetical order.
Safeguards:
Safeguards: Records are disclosed only to individuals with
established legal interest or legal `need to know`.
Retention and disposal:
Retention and Disposal: Retained for as long as the attachment of pay
continues and thereafter as needed for precedential value.
System manager(s) and address:
System Manager: Mail Address:
Garnishment Attorney, C-10,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10424.
Notification procedure:
Notification Procedure: Apply to System Manager.
Record access procedures:
Record Access Procedure: Apply to System Manager.
Contesting record procedures:
Contesting Record Procedure: Apply to System Manager.
Record source categories:
Record Source Categories: Data is obtained from state courts and
agencies, private attorneys, present and former spouses of employees,
and federal pay records.
DOT/OST 057
System name: System Name: Honors Attorney Recruitment Files,
DOT/OST.
Security classification:
None.
System Location:
Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the General Counsel,
400 7th Street, SW, Room 10428,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Third-year law students and recent law
school graduates.
Categories of records in the system:
Categories of Records: Resumes, transcripts, copies of Personnel Form
171.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by General Counsel, Chief Counsels, and their
staffs in filling job vacancies for attorneys.
See also Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders in file cabinets.
Retrievability:
Retrievability: Indexed individually by name in alphabetical order.
Safeguards:
Safeguards: Records are disclosed only to individuals who have legal
interests in the records or legal `need-to-know.`
Retention and disposal:
Retention and Disposal: Retained at system location for 5 years, then
destroyed.
System manager(s) and address:
System Manager: Mail Address:
Special Assistant to the General Counsel, C-4,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10428.
Notification procedure:
Notification Procedure: Contact the System Manager.
Record access procedures:
Record Access Procedure: Contact the System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure.`
Record source categories:
Record Source Categories: Law students, recent law school graduates,
General Counsel, Chief Counsels and their staffs.
DOT/OST 059
System name: System Name: Files of the Board for Correction of
Military Records (BCMR) for the Coast Guard, DOT/OST.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
Office of the General Counsel,
Board for Correction of Military Records,
400 7th Street, SW, Room 10402,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals who have filed applications
for relief before the Board.
Categories of records in the system:
Categories of Records: Applications and related documents, Board
decisions, and official military records of applicants.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used by the Chairman, the Board, the Executive
Secretary and Staff in determining whether to grant relief to
applicants.
Used by the Coast Guard in presenting its views to the Board
concerning pending cases. Also used by applicant and his
representative.
Used by the General Counsel and his staff in determining whether to
approve decisions of the board.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: File folders stored in file cabinets.
Retrievability:
Retrievability: Indexed individually by name in one of two
alphabetical sequences representing pending and closed cases. Also
indexed by docket number. Pending cases filed by docket number; closed
cases filed alphabetically.
Safeguards:
Safeguards: Records are disclosed only to the applicant, his
representative, interested members of Congress, and the Coast Guard.
Retention and disposal:
Retention and Disposal: Transfer of official military record of
individual separated from service to Federal Records Center when case
closed; transfer of official military record of Active or Reserve
member to Coast Guard Headquarters when case closed; retention of
application file in all cases.
System manager(s) and address:
System Manager: Mail Address:
Executive Secretary,
Board for the Correction of Military Records, C-60,
U.S. Department of Transportation,
Washington, DC 20590.
Office Location:
400 7th Street, SW, Room 10402.
Notification procedure:
Notification Procedure: Apply to System Manager.
Record access procedures:
Record Access Procedure: Apply to System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: U.S. Coast Guard, Veterans Administration,
individual applicants.
DOT/OST 061
System name: System Name: Records of Official Time Granted
Employees for Performing Representational Functions.
Security classification:
None.
System location:
System Location: All DOT locations.
Categories of individuals covered by the system:
Categories of Individuals: All employees representing other DOT
employees, pursuant to such employees' right to representation under
statute, regulation, executive order, or the terms of a collective
bargaining agreement.
Categories of records in the system:
Categories of Records: This system records the amount of official
time granted to individuals to perform employee representational
functions, and the purpose for which the official time was used.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Information in these records may be used: 1. By agency
officials and officially recognized labor unions for review to assure
that the use of official time is in accordance with applicable
government/agency policy and regulations. 2. Preparation of analytical
and statistical studies and reports. 3. See prefatory statement of
general routine uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained in file folders, punch cards,
magnetic tape, discs, or by other electronic means.
Retrievability:
Retrievability: These records are retrieved by name or by category of
use.
Safeguards:
Safeguards: Access to and use of these records are limited to agency
personnel whose official duties require such access, and to officially
recognized labor unions with respect to employees within the units
that they represent. Safeguards include locked buildings, guard
service, and locked file cabinets.
Retention and disposal:
Statistical information from these records may be made available to
other agencies or to the interested public. Retention and Disposal:
These records are destroyed after three years.
System manager(s) and address:
System Manager: The Personnel Officer of each DOT facility, or the
Chief, Labor-Management Relations Division, Office of Personnel and
Training, Office of the Assistant Secretary for Administration, U.S.
Department of Transportation, 400 7th Street SW., Washington, DC
20590.
Notification procedure:
Notification Procedure: Inquiries should be directed to the System
Manager.
Record access procedures:
Record Access Procedure: Contact or write to the System Manager for
information on procedures for gaining access to records.
Contesting record procedures:
Contesting Record Procedure: Contact or write the System Manager.
Reasonably identify the record and specify the information to be
contested.
Record source categories:
Record Source Categories: Federal employees.
DOT/OST 062
System name: System Name: Biographies of Key Officials Book,
DOT/OST.
System location:
System Location: Department of Transportation
400 7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: This system of records contains
information regarding DOT key officials. The key officials included in
the book are subject to change because of personnel changes or at the
request of the Secretary.
Categories of records in the system:
Categories of Records: This record contains basic biographical
information and pictures of persons holding key positions within the
Department of Transportation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To provide the Secretary with the professional
experience and educational background of his/her key executives, which
allows him/her to become more familiar with top executives.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: These records are maintained in locked file cabinets in a
locked room.
Retrievability:
Retrievability: The book is indexed first by organization, then
position title and name.
Safeguards:
Safeguards: Access to and use of this record is limited to the
Secretary and to those persons whose official duties require such
access. (Not releasable under the Freedom of Information Act without
the permission of those individuals in the book.)
Retention and disposal:
Retention and Disposal: These records are destroyed one year after
the person has left the covered position.
System manager(s) and address:
System Manager(s) and Address: Mail Address:
Department of Transportation
Office of the Secretary
Executive Personnel Management Division (M-13)
400 7th Street, SW
Washington, DC 20590
Office Location: Nassif Building Room 9103
Record access procedures:
Record Access Procedure: Employees who wish to gain access or contest
their records should contact the System Manager(s).
Notification procedure:
Notification Procedure: Contact System Manager.
Record source categories:
Record Source Categories: Information in this system of records
either comes from the individual to whom it applies or is derived from
information he supplied.
DOT/OST 063
System name: System Name: Civil Rights Case Tracking System.
System location:
System Location: Office of Civil Rights
U.S. Department of Transportation
Room 9201
400-7th Street, SW
Washington, DC 20590
Categories of individuals covered by the system:
Categories of Individuals: Records in this system will be maintained
on individuals who have submitted complaints of alleged civil rights
violations to the Department of Transportation or any of the
Administrations within the Department of Transportation, including:
The Office of the Secretary of Transportation
The U.S. Coast Guard
The Federal Aviation Administration
The National Highway Traffic Safety Administration
The Federal Highway Administration
The Federal Railroad Administration
The Urban Mass Transportation Administration
The St. Lawrence Seaway Development Corporation
The U.S. Maritime Administration
The Research and Special Programs Administration
Categories of records in the system:
Categories of Records: Records maintained in the system will be
categorized by source of complaint (internal or external to the
Department of Transportation) and by basis of complaint (race, sex,
age, etc.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Records will be accessed for the purpose of producing
reports and statistical profiles showing the progress of
investigations and the status of complaints. The use of reports
generated from these records will be within the Department of
Transportation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records will be stored in machine readable form on disk. All
stored disks will be kept in the Office of Civil Rights and will be
secured at all times. Computer access to the records will be
controlled by means of identification numbers and passwords known only
to the users and systems manager. Only employees of the Office of
Civil Rights and the Transportation Computer Center will have access
to the records.
Retrievability:
Retrievability: Records can be retrieved individually in order to
examine the status and progress of the investigation pertaining to the
complaint.
Safeguards:
Safeguards: Access to and use of these records are limited to agency
personnel whose official duties require such access, and to officially
recognized labor unions with respect to employees within the units
that they represent. Safeguards include locked buildings, guard
service and locked file cabinets. Statistical information from these
records may be made available to other agencies or to the interested
public without the person to whom the record pertains being
identified.
Retention and disposal:
Retention and Disposal: Records will be purged from the electronic
storage system at periodic intervals and transferred to printed
documents for storage and eventual retention in the archives.
System manager(s) and address:
System Manager(s) and Address: The official in the Department of
Transportation responsible for the system of records is the Director
of Civil Rights, Department of Transportation, Room 10215, 400 7th
Street, SW, Washington, DC 20590.
Notification procedure:
Notification Procedure: An individual who wishes to be notified if
the system of records contains a record pertaining to him may apply in
writing to the System Manager.
Record access procedures:
Record Access Procedures: An individual who wishes to review the
contents of a record pertaining to him may apply in writing to the
System Manager.
Contesting record procedures:
Contesting Record Procedures: Contact or write the System Manager.
Reasonably identify the record and specify the information to be
contested.
Record source categories:
Record Source Categories: The sources used for records in this system
are the complainant, witnesses of alleged violations of civil rights
statutes and regulations, written documents pertinent to such
investigations, and other records maintained by the Department of
Transportation.
DOT/OST 064
System name: System Name: Mobility Assignment Candidate File.
System location:
System Location: Office of the Secretary/Office of Personnel and
Training.
Security classification:
None.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the Department who apply for
listing in the file.
Categories of records in the system:
Categories of Records: The records will consist of an SF-171,
Personal Qualifications Statement, a copy of the employee's most
recent performance appraisal, a statement of interest and
availability, and an endorsement by the supervisor.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Information in these records may be used:
1. By Agency officials to consider employees for temporary
assignments.
2. Preparation of analytical and statistical studies and reports.
3. General routine use number 4 applies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained in file folders or magnetic disks.
Retrievability:
Retrievability: These records are retrieved by name or by category of
use.
Safeguards:
Safeguards: Access to and use of these records are limited to agency
personnel whose official duties require such access. Safeguards
include locked buildings, guard service, and locked file cabinets.
Statistical information from these records may be made available to
other agencies or to the interested public.
Retention and disposal:
Retention and Disposal: These records are destroyed after one year.
System manager(s) and address:
System Manager(s) and Address: The Chief, Special Programs Staff,
Office of Personnel and Training,
Office of the Assistant Secretary for Administration,
U.S. Department of Transportation,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries should be directed to the System
Manager.
Record access procedures:
Record Access Procedures: Contact or write the System Manager to
arrange for access to the record.
Contesting record procedures:
Contesting Record Procedures: Contact or write the System Manager.
Reasonable identify the record and specify the information be
contested. If error is found, the record will be corrected.
Record source categories:
Record Source Categories: Federal employees and supervisors.
DOT/OST 100
System name: Investigative Record System, DOT/OIG.
System location:
Office of Inspector General, DOT/OST, 400 Seventh Street, SW,
Washington, DC 20590
OIG Regional Office in Baltimore, MD; Atlanta, GA; Chicago, IL; Fort
Worth, TX; San Francisco, CA; and Federal Records Center (FRC),
Washington, DC.
Categories of individuals covered by the system:
Present and former DOT employees, DOT contractors and employees as
well as grantees, sub-grantees, contractors, subcontractors and their
employees and recipients of DOT monies, and other individuals or
incidents subject to investigation within the purview of the Inspector
General Act.
Categories of records in the system:
Results of investigations and inquiries conducted by Inspector General
(OST); reports of investigations conducted by other departmental,
Federal, state, and local investigative agencies which relate to the
mission and function of the Inspector General; reports and indices
relating to ``hotline'' complaints; and investigative case index card
files.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information contained in the Investigative Records System is
collected and maintained in the administration of the Inspector
General Act of 1978 (Pub. L. 95-452) to investigate, prevent, and
detect fraud and abuse in departmental programs and operations.
Material gathered is used for prosecutive, civil, or administrative
actions. These records may be disseminated, depending on jurisdiction
to:
DOT Officials in the administration of their responsibilities. Other
Federal, state, local or foreign agencies or administrations, having
interest or jurisdiction in the matter. See also Prefatory Statement
of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in case folders in manual filing system and on index
cards.
Retrievability:
By name or incident title.
Safeguards:
Investigative files and case index files are maintained in several
spaces with appropriate access controls. Access to investigative files
is restricted to authorized personnel on a ``need to know'' basis.
Retention and disposal:
Investigative material is destroyed by secure means used for
classified materials. Central OIG investigative files are maintained
in OIG Headquarters, from where the files are transferred to the FRC
Washington, DC, at prescribed intervals and destroyed in accordance
with the following schedule:
Lead Cases. Case files and temporary contents are destroyed 180 days
after transmittal of the investigative report and permanent case
documents to the case control office.
Official Case Folders. Official Investigative Case Folders are
maintained for a period of 2 years in OIG Headquarters upon completion
of legal or administrative action and transferred to the FRC
Washington, DC, where they are held and destroyed 10 years from the
date of receipt by FRC Washington, DC.
Investigative and Hotline Indices. Destroyed 20 years after date of
creation.
OIG Hotline Files. Transferred to FRC Washington, DC, 2 years after
completion of legal or administrative action. Destroyed 10 years from
date of receipt by FRC Washington, DC.
General Investigative and Hotline Files. Retained in OIG Headquarters
and Field Offices. Destroyed when 5 years old.
System manager(s) and address:
Assistant Inspector General for Investigations (JI-1), Office of
Inspector General, Department of Transportation, 400 Seventh Street,
SW, Room 9210, Washington, DC 20590.
Notification procedure:
Same as ``System Manager.''
Record access procedures:
Same as ``System Manager.'' Investigative data compiled for law
enforcement purposes may be exempt from the access provisions pursuant
to 5 U.S.C. 552a (j)(2), (k)(1), or (k)(2). The identity of an
employee or other personal source who makes a complaint or provides
information to the OIG via the OIG ``Hotline'' complaint center may be
exempt from disclosure pursuant to section 7(b) of the Inspector
General Act of 1978 (Pub. L. 95-452).
Contesting record procedures:
Same as ``Record Access Procedures.''
Record source categories:
These records contain information obtained from interviews, review of
records and other authorized investigative techniques.
Systems exempted from certain provisions of the act:
Investigative data compiled for law enforcement purposes may be exempt
from the access provisions pursuant to 5 U.S.C. 552a (j)(2), (k)(1),
or (k)(2).
DOT/OST 101
System name: Office of Inspector General, Management Information
System (OIG/MIS).
System location:
Office of Inspector General, DOT/OST, 400 Seventh Street, SW,
Washington, DC 20590, Using Boeing Computer Services, Timesharing
System, Vienna, VA.
Categories of individuals covered by the system:
All active employees of the OIG, with history data on previous
employees maintained for 2 years. Present and former DOT employees,
DOT contractors and employees as well as grantees, subgrantees,
contractors, subcontractors and their employees and recipients of DOT
monies, and other individuals or incidents subject to investigation
within the purview of the Inspector General Act.
Categories of records in the system:
Individual's current position and employment status, assignments,
travel, experience, training, with the following personal data: Name,
social security account number, date of birth, service computation
date, career status, address, assigned station, job series, education,
grade, minority status, and personnel transaction date. Investigative
information consists of investigation targets' name and social
security account number, organization name, type of investigation,
offense data, source of referral data and action taken.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
There will be no external uses. Internally, information will be used
as follows: (1) Security clearance notification alerts may be provided
to an examined activity in advance of visits by OIG personnel if
information to be examined requires a secret clearance or above; (2)
time and attendance reports will be used to track temporary duty
travel frequency and duration, to categorize indirect time for
periodic reports, and to accrue staff hour data on assigned projects;
(3) planned annual leave reporting will be used by various managers
for workload planning and travel scheduling; (4) assignments
information and workload status information will be used by managers
to control audits and investigations, and to maximize effectiveness of
staff resources; (5) miscellaneous personnel information will be used
by staff managers to determine training needs, promotional
eligibility, education and background, and professional organization
participation; (6) information will be used to produce resource
management reports; (7) travel information will be used by managers to
control temporary duty travel, travel costs and issuances of travel
orders; and (8) investigative information is collected and maintained
in the administration of the Inspector General Act of 1978 (Pub. L.
95-452) to investigate, prevent, and detect fraud and abuse in
departmental programs and operations. Material gathered is used for
investigative case management.
Used by DOT Officials in the administration of their responsibilities.
See also Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Active reports on magnetic disk, with backup active records and
inactive records maintained on magnetic tape.
Retrievability:
Records will be retrievable through employee social security number,
by name, or incident title, with selected records having certain
secondary keys consisting of certain other data elements, listed in
the ``Categories of Records in the System.''
Safeguards:
(1) Records will be maintained in a private library not accessible by
any unauthorized user; (2) authorized user identification codes will
be tied to multiple password system to afford additional protection;
(3) any attempt to bypass the password protection system will result
in ``Log-Off'' from the system or denial of access to data if access
to system is authorized; (4) physical access to system documentation,
hard copy printouts, personal data files, and terminals will be
restricted to authorized personnel by maintaining a secure environment
in the headquarters office; (5) access to data will be restricted to
thos who require it in the performance of their official duties and
the individual who is the subject of the record (or authorized
representative); and (6) tape files will be maintained in an
environmentally secure vault area when not in use.
Retention and disposal:
Records will be maintained for 2 years after they become inactive. All
inactive records will be maintained on magnetic tape within the
computer center and will be afforded the same safeguards as active
records. Machine-resident records will be destroyed at the end of the
2-year period. Hard copy records will be retained until the records
are replaced or become obsolete.
System manager(s) and address:
Assistant Inspector General for Policy, Planning, and Resources (JP-
1), Office of Inspector General, Department of Transportation, 400
Seventh Street, SW, Room 9210, Washington, DC 20590.
Notification procedure:
Same as ``System Manager.''
Record access procedures:
Same as ``System Manager.'' Investigative data compiled for law
enforcement purposes may be exempt from the access provisions pursuant
to 5 U.S.C. 552a (j)(2), (k)(1, (k)(2). The indentity of an employee
or other personal source who makes a complaint or provides information
to the OIG via the OIG ``Hotline'' complaint center may be exempt from
disclosure pursuant to Section 7(b) of the Inspector General Act of
1978 (Pub. L. 95-452).
Contesting record procedures:
Same as ``Record Access Procedures.''
Record source categories:
(1) Official personnel folder; (2) other personnel documents; (3)
activity supervisors; (4) individual applications and forms; and (5)
information obtained from interviews, review of records and other
authorized investigative techniques.
Systems exempted from certain provisions of the act:
Investigative data compiled for law enforcement purposes may be exempt
from the access provisions pursuant to 5 U.S.C. 552a (j)(2), (k)(1),
or (k)(2).
DOT/RSPA 01
System name: System Name: Funds Management Records, DOT/RSPA.
System location:
System Location: Department of Transportation (DOT),
Research and Special Programs Administration,
Office of Emergency Transportation, (OET), (DET-1)
400 7th Street, SW, Washington, DC 20590.
Regional Emergency Transportation Coordinator (RETCO),
Regions 1 and 2,
c/o Commander 1st Coast Guard District,
150 Causeway Street,
Boston, MA 02114.
RETCO, Region 3,
c/o Federal Highway Administration,
1633 Federal Building,
Baltimore, MD 21201.
RETCO, Region 4,
c/o Federal Aviation Administration,
PO Box 20636,
Atlanta, GA 30320.
RETCO, Region 5,
c/o Federal Highway Administration,
18209 Dixie Highway,
Homewood, IL 60430.
RETCO, Region 6,
c/o Federal Aviation Administration,
PO Box 1689,
Ft. Worth, TX 76101.
RETCO, Region 7,
c/o Federal Highway Administration,
PO Box 19715, Country Club Sta.,
Kansas City, MO 64141.
RETCO, Region 8,
c/o Federal Highway Administration,
Denver Federal Center,
Denver, CO 80225.
RETCO, Region 9,
c/o United States Coast Guard, Commander Pacific Area,
630 Sansome Street,
San Francisco, CA 94126.
RETCO, Region 10,
c/o Commander 13th Coast Guard District,
Federal Building, Room 3588,
915 Second Avenue,
Seattle, WA 98174.
RETCO, Alaska Region,
c/o Federal Aviation Administration,
PO Box 14, 701 C Street,
Anchorage, AK 99513.
Categories of individuals covered by the system:
Categories of Individual: Members of the National Defense Executive
Reserve (NDER): Private citizens; Military members; U.S., State, and
local government officials and civil servants, who participate in Fund
activities.
Categories of records in the system:
Categories of Records: Receipt forms by individual name, with dates,
amounts of money received, and purpose with vouchers to enter the
fund; checks with vouchers in payment of approved invoices;
procurement requests for authorized services; invoices for services
rendered and correspondence to agencies, firms and individuals
pertaining to the above.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Internal management of non-appropriated funds of NDER
units, National and Regional, in authorized training activities of
those units.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Individual records are maintained in a filing folder
appended to numbered vouchers.
Retrievability:
Retrievability: Retrieved only by incident or occasion to which
voucher pertains.
Safeguards:
Safeguards: Maintained in metal file containers or other standard
office equipments which are kept in a locked file room.
Retention and disposal:
Retention and Disposal: Retained for three years.
System manager(s) and address:
System Manager: Custodian, Organization Fund,
Department of Transportation,
Research and Special Programs Bureau,
Office of Emergency Transportation Unit,
National Defense Executive Reserve,
400 7th Street, SW, Room 8330,
Washington, DC 20590. For each Region the RETCO (Section 02) is
manager of the Regional Fund.
Notification procedure:
Notification Procedure: Inquiries may be addressed to any of the
offices listed under `System Locations`. Individuals requesting such
information must sign the request personally and include suitable
identification. Alternatively personal visits to the above locations
with presentation of suitable identification will enable individual to
learn of and have access to his or her record.
Record access procedures:
Record Access Procedure: Individual may secure or obtain information
or procedures for gaining access to records by addressing a written
query to the offices cited above or presenting him or herself in
person to those offices.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedures`.
Record source categories:
Record Source Categories: Data comes from individuals concerned.
DOT/RSPA 02
System name: System Name: National Defense Executive Reserve
(NDER) File, DOT/RSPA.
System location:
System Location Office of Emergency Transportation (OET) (DET-1)
Department of Transportation,
400 7th Street, SW,
Washington, DC 20590.
Some records are held only in the Office of Emergency
Transportation while others are held at various locations in the
custody of officials in the several regions, as indicated in the
paragraph labeled `Categories of Records` below. Holdings of the
Regional Directors-designate and Deputy Directors-designate are
partial duplications of the Regional Emergency Transportation
Coordinator (RETCO) files and may be accessed through the applicable
RETCO. The RETCO and the Regional Emergency Transportation
Representative (RETREP) for each region may be contacted directly at
the addresses shown below. The Regional Director-designate and
Deputy Director-designate for each region may be contacted by
addressing mail in care of the RETCO for that region at the address
shown in the following list:
Regions 1 and 2,
150 Causeway Street,
Boston, MA 02114.
Region 3,
1633 Federal Building,
Baltimore, MD 21201.
Region 4,
PO BOx 20636,
Atlanta, GA 30320.
Region 5,
18209 Dixie Highway,
Homewood, IL 60430.
Region 6,
PO Box 1689,
Ft. Worth, TX 76101.
Region 7,
PO Box 19715,
Country Club Sta.,
Kansas City, MO 64141.
Region 8,
Denver Federal Center,
Denver, CO 80225.
Region 9,
630 Sansome Street,
San Francisco, CA 94126.
Region 10,
Federal Bldg.,
Rm. 3588,
915 Second Ave.,
Seattle, WA 98174.
Alaska Region,
PO Box 14, 701 C Street,
Anchorage, AK 99513.
Emergency Facilities Liaison Officer,
FAA Records Center,
West King Street and South Maple Avenue,
Martinsburg, WV 25401.
Categories of individuals covered by the system:
Category of Individual: Upper, middle, and lower management members
of the transportation industry, university professors, lawyers, labor
leaders, and businessmen who are candidates for membership in NDER,
active members of NDER, or who are former members whose membership has
been terminated by death, resignation or involuntary release, and
emeritus members.
Categories of records in the system:
Categories of Records Personnel and security forms completed by
individuals consisting of applications, statements of understanding by
employers, security and identification data from individuals,
certificates of appointment and reappointment (located at DOT/RSPA/OET
and RETCOs only); names and addresses of individuals for directory
(maintained at DOT/RSPA/OET only); name and address card file
(maintained at DOT/OST/OET only); card file with name, date of
appointment and date of reappointment (in OET only); lists of
reservists in process including active and Emeritus members and former
members showing steps in process, numerical sequence, unit assignment,
name date of designation, state of residence, date of separation and
reason (in OET only); contact file of those previously nominated but
not appointed, or once in program but not no longer members, with date
and reason for non-affiliation (in OET only); personal data sheet for
each individual which presents summary of pertinent data including
photograph to assist professional staff in evaluating the member and
assigning member on appointment and reappointment or during active
membership (this record held at all locations).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Internal personnel management of the NDER for the
Department of Transportation, which includes staff action and exchange
of data with the Office of the Director, Federal Emergency Management
Agency, which is responsible for the entire National Defense Executive
Reserve Program. Available to the Secretary, any Secretarial Officer,
head of an operating administration, or their designated subordinates
who require access in the pursuit of their duties. Available to
director and staff members of OET, to RETCO's and their staff members,
to Regional Directors-designate and Deputies and the Emergency
Facilities Liaison Officer, FAA Records Center (for storage purposes
only) who require access in pursuit of their duties.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Individual records are maintained in a manual system in a
locked file room consisting of a filing jacket with the individual's
name tabbed and containing all papers pertaining to him or her, except
the following which are maintained as stated.
Directory - stored in bulk in steel containers.
Mailing List - maintained in standard card file.
Chronological File - maintained in standard card file.
Contact File - maintained in standard card file.
Personal Data Sheets - maintained in separate loose leaf note books
or in personnel jackets at option of holder.
Retrievability:
Retrievability: Indexed alphabetically by name. Retrieved manually.
Safeguards:
Safeguards: Maintained in metal file containers or other standard
office equipment.
Retention and disposal:
Retention and Disposal: Held for five years from date of separation
and then destroyed.
System manager(s) and address:
System Manager: Director of Emergency Transportation, Research and
Special Programs Administration (DPB-30), Department of Transportation
(Room 8330), Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries may be addressed to any of the
offices and officials listed under `System Locations`. Individuals
requesting such information must sign the request personally and
include in the text of the request suitable identification.
Alternatively, personal visits to the above locations with
presentation of suitable identification will enable individual to
learn of and have access to his or her record.
Record access procedures:
Record Access Procedures: Individual may secure or obtain information
on procedures for gaining access to records by (1) referral to the
information sheet issued to him or (2) addressing a written query to
the offices cited under `System Location` above (except the Emergency
Facilities Liaison Officer, FAA Records Center, West King Street and
South Maple Avenue, Martinsburg, WV 25401, which maintains duplicate
files in storage only) or (3) presenting himself or herself in person
to those offices.
Contesting record procedures:
Contesting Record Procedures: Same as `Record Access Procedures`.
Record source categories:
Record Source Categories: Personal data submitted by the individual;
data from his or her employer; recommendations from colleagues;
mailing data from existing distribution system.
DOT/RSPA 03
System name: System Name: Security Management Records, DOT/
RSPA.
System location:
System Location: Department of Transportation (DOT),
Research and Special Programs Administration (RSPA),
Office of Emergency Transportation (OET),
400 7th Street, SW, Room 8330,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: All members of OET.
Categories of records in the system:
Categories of Records: Jacket file of all security clearance records
of all personnel.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Management by Director OET and Security Officer of
security classification levels required by missions and functions of
OET.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Maintained in single folder with all pertinent items
included alphabetically.
Retrievability:
Retrievability: Alphabetically by name.
Safeguards:
Safeguards: Restricted to use by Director of Emergency Transportation
and the OET Security Officer. File maintained in a locked 3-
combination safe.
Retention and disposal:
Retention and Disposal: Retained during period of employment.
Transferred with the individual or returned to Security Office of OST.
System manager(s) and address:
System Manager: Director of Emergency Transportation,
Department of Transportation,
Research and Special Programs Administration (DET-1).
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries may be addressed to the office
listed under `System Location`. Individuals requesting such
information must sign the request personally. Alternatively, personal
visits to the above location with presentation of necessary
identification will enable individual to have access to his record.
Record access procedures:
Record Access Procedure: Individual may secure information on
procedures for gaining access to records by (1) addressing a written
query to the office cited under System Location above or (2)
presenting himself in person to that office.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedure`.
Record source categories:
Record Source Categories: Data from individual, and from Director of
Investigations and Security, Department of Transportation.
DOT/RSPA 04
System name: System Name: Transportation Research Activities
Information Service (TRAIS), DOT/RSPA.
System location:
System Location: Department of Transportation (DOT),
Research & Special Programs Administration (RSPA)
Transportation Systems Center (TSC),
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: Program/Project Managers and research
investigators.
Categories of records in the system:
Categories of Records: Notification of Technical Research and
Development.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Information on on-going and completed research and
development accomplishments.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Computer disc storage and magnetic tape.
Retrievability:
Retrievability: Retrievable by keywords and unique accession number
assigned by Data Base Administrator; batch process or on-line
interaction.
Safeguards:
Safeguards: Physical security - user identification and passwords.
Retention and disposal:
Retention and Disposal: Up to three-year retention and then tape is
reused which destroys previous data.
System manager(s) and address:
System Manager: Chief, Transportation Research Activity Information
Services Branch, TST-25.1,
Department of Transportation,
Office of the Secretary,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as System Manager.
Record access procedures:
Record Access Procedure: Same as System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as System Manager.
Record source categories:
Record Source Categories: Contract Awards from Contracting Offices,
Publication of Technical Report.
DOT/RSPA 05
System name: System Name: Transportation Research Information
Service On Line (TRIS-On-Line), DOT/RSPA.
System location:
System Location: Department of Transportation (DOT),
Office of the Secretary (OST),
System physically located at the:
Battelle Laboratories,
Columbus, OH
Categories of individuals covered by the system:
Categories of Individuals: Program/Project Managers and authors of
reports.
Categories of records in the system:
Categories of Records: Notification of technical research and
technical reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Information on on-going and completed research and
development accomplishments.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Computer disc storage and magnetic tape.
Retrievability:
Retrievability: Retrievable by keywords and accession number assigned
by Data Base Administrator, batch or on-line interaction.
Safeguards:
Safeguards: Physical security - User identification keywords and
passwords.
Retention and disposal:
Retention and Disposal: Up to five year accessibility, tape goes to
archival storage.
System manager(s) and address:
System Manager: Chief, Transportation Research Information Services
Branch, TST-25.1,
Department of Transportation,
Office of the Secretary,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Same as System Manager.
Record access procedures:
Record Access Procedure: Same as System Manager.
Contesting record procedures:
Contesting Record Procedure: Same as System Manager.
Record source categories:
Record Source Categories: Contract awards received from Contracting
Offices, Publication of Technical Reports.
DOT/RSPA 06
System name: System Name: Emergency Alerting Schedules, DOT/
RSPA.
System location:
System Location: These records are located in the national
headquarters of the Offices of the Secretary; the heads of operating
administrations, regional offices of the Regional Emergency
Transportation Coordinators, the Regional Administrators, Directors
and Commanders of the operating administrations and in headquarters of
operating administrations divisions, district commands, and other
field offices of the Department.
Categories of individuals covered by the system:
Categories of Individuals: Professional and clerical employees and
military members of the U.S. Government, Directors - designate and
Deputy Directors - designate and members of the National Defense
Executive Reserve who have been given emergency billet assignments
within the Department of Transportation Emergency Structure.
Categories of records in the system:
Categories of Records: The Alerting Charts and Schedules show names
and office and home telephone numbers of individuals in calling
sequence and are listed by national headquarters and by regional
offices; also contain similar listings designed for management
convenience within DOT and the operating elements.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For identification of individuals required to insure
viability of DOT in the immediate preattack - transattack - postattack
period of a national defense emergency. Available to the Secretarial
Officers, heads of operating administrations or designated
subordinates (national and regional) and to individuals listed.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Publication is maintained in stock, in listings in each
office of record, and in standard filing equipment in locked file
rooms.
Retrievability:
Retrievability: Manually by position listing.
Safeguards:
Safeguards: Metal file containers or other standard office equipment
secured in a locked file room during office duty hours.
Retention and disposal:
Retention and Disposal: Retained until republished then destroyed.
System manager(s) and address:
System Manager: Director of Emergency Transportation, (DET-1)
Department of Transportation,
Research and Special Programs Administration,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries may be addressed to any of the
offices listed under `System Locations`. Individuals requesting such
information must sign the request and include suitable identification.
Alternatively, personal visits to the above locations with
presentation of the above credentials will enable individual to
learn of and have access to his or her record.
Record access procedures:
Record Access Procedure: Individual may secure or obtain information
on procedures for gaining access to records by (1) referral to the
information sheet issued to him or (2) addressing a written query to
the offices cited under System Location, (except the Facility Manager,
FAA Records Center, West King Street and South Maple Avenue,
Martinsburg, WV 25401, who maintains duplicate files in storage only)
or (3) presenting himself to those offices.
Contesting record procedures:
Contesting Record Procedure: Same as `Record Access Procedures`.
Record source categories:
Record Source Categories: Office or Agency of employment.
DOT/RSPA 07
System name: System Name: Time and Attendance Report (FHWA Form
320 (7-73)) for the Office of Emergency Transportation, DOT/RSPA.
System location:
System Location: Department Transportation (DOT),
Research and Special Programs Administration,
Office of Emergency Transportation (OET), DET-1
400 7th Street, SW, Room 8330,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Professional and clerical employees,
permanent and temporary, and consultants employed in OET.
Categories of records in the system:
Categories of Records: Record consists of a computer punch card with
a tissue carbon.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Used to maintain record of attendance at duty station
and leave accounts of employees concerned.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained alphabetically in desk of the
Administrative Secretary to the Director.
Retrievability:
Retrievability: Maintained alphabetically; retrieved manually.
Safeguards:
Safeguards: Maintained in a locked file room in a building under 24
hour guard; admission by building pass only.
Retention and disposal:
Retention and Disposal: Hard copy forwarded to paymaster every pay
period; tissue retained indefinitely.
System manager(s) and address:
System Manager: Director of Emergency Transportation, DET-1,
Department of Transportation,
Research and Special Programs Administration,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries may be addressed to the System
Manager. Individuals requesting such information must sign the request
and provide suitable identification.
Alternatively, a personal request to the System Manager or his
representative will enable the individual to have access to his
record.
Record access procedures:
Record Access Procedure: Individual may obtain information on
procedures for gaining access by addressing a written query to the
system manager or by presenting himself to the office cited in
location above.
Contesting record procedures:
Contesting Record Procedure: Individual may obtain information on
contest by request to the System Manager.
Record source categories:
Record Source Categories: Individuals concerned. Personnel and pay
account records.
DOT/RSPA 08
System name: System Name: Technical Pipeline Safety Committee,
DOT/MTB.
System location:
System Location: Department of Transportation (DOT),
Research and Special Programs Administration
Materials Transportation Bureau (MTB),
Office of Pipeline Safety Regulation (DMT-30)
400 7th Street, SW, Room 8101.
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Members of Technical Pipeline Safety
Standards Committee- intermittent consultants.
Categories of records in the system:
Categories of Records: Biographical data in support of member's
nomination.
Letters and news releases for member's appointment/reappointment.
Personnel Actions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: General reference purposes for support functions.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: In file folders.
Retrievability:
Retrievability: Alphabetically by name within subject area.
Safeguards:
Safeguards: Room locked after hours, most information is public
knowledge.
Retention and disposal:
Retention and Disposal: Kept indefinitely.
System manager(s) and address:
System Manager: Director of Pipeline Safety Regulation, DMT-30,
Department of Transportation,
Materials Transportation Bureau,
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Address inquiries to System Manager including
individual's name.
Record access procedures:
Record Access Procedure: Information may be obtained from the System
Manager.
Contesting record procedures:
Record Contest Procedure: Same as for Access above.
Record source categories:
Record Source Categories: Personnel Action (SF 50).
Travel Vouchers (SF l0l2).
Certificate of Consultant's Services.
Press Releases.
Administrative Correspondence/Memorandums.
DOT/RSPA 09
System name: Hazardous Materials Incident Telephonic Report
System.
System location:
U.S. Department of Transportation, The John A. Volpe National
Transportation Systems Center Kendal Square, Cambridge, MA 02142
Categories of individuals covered by the system:
Individuals included in the system are those making telephonic
reports, either as a private citizen or as a representative of the
company involved, to the National Response Center (NRC) operated by
the USCG or to the EPA or to the USCG Office of Marine Safety,
Security & Environmental Protection (OMSSEP) of certain releases of
hazardous materials. The system may also contain information on
individuals affected by reported incidents.
Categories of records in the system:
Records of telephonic reports of incidents involving the release of
hazardous materials or environmental pollutants received by the NRC
acting on behalf of the Research and Special Programs Administration
(RSPA), the USCG, and/or the EPA, or made by or to the EPA or the
OMSSEP (USCG).
Authority for maintenance of the system:
Comprehensive Environmental Response, Compensation and Liability Act
of 1980, as amended and reauthorized by Superfund Amendments and
Reauthorization Act of 1986 (42 U.S.C. 9601 et seq.); Hazardous
Materials Transportation Act (49 U.S.C. 1801 et seq.); Natural Gas
Pipeline Safety Act of 1968, as amended (49 U.S.C. 1671 et seq.);
Hazardous Liquid Pipeline Safety Act of 1979 (49 U.S.C. 2001 et seq.);
Clean Water Act (33 U.S.C. 1251 et seq.); Deepwater Ports Act (33
U.S.C. 1501 et seq.); Outer Continental Shelf Land Act (43 U.S.C. 1331
et seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To disclose pertinent information to Federal, state, and local
governmental agencies responsible for responding to incidents
involving the release of hazardous materials to assist in efforts to
protect life, health, safety, and environmental conditions; to enforce
related Federal, state, and local regulations; or to evaluate or
develop regulatory programs.
To disseminate information on the transportation of hazardous
materials to industrial, commercial, educational, scientific,
research, or private entities to assess trends, risks, consequences,
or other potentialities associated with the release of hazardous
materials during transportation, or to analyze factors affecting
hazardous materials incidents.
To disseminate information to the public media for use in informing
the public of issues related to the transportation of hazardous
materials. The general routine uses in the prefatory statement apply
to these records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained on magnetic media.
Retrievability:
Records are retrievable by all entered fields including the names of
individuals included in the record.
Safeguards:
Access to all computer files is controlled through user-name/password
access procedures. The computer on which data is recorded is
maintained in an access-controlled room in an access-controlled
building.
Retention and disposal:
Records are retained permanently on magnetic disk or tape.
System manager(s) and address:
For records collected by the Office of Hazardous Materials
Transportation, RSPA, pursuant to 49 CFR 171.15: Information Systems
Manager, Office of Hazardous Materials Transportation (DHM-63),
Research and Special Programs Administration, U.S. Department of
Transportation, Washington, DC 20590.
For records collected by the Office of Pipeline Safety, RSPA, pursuant
to 49 CFR 191.5 or 49 CFR 195.52: Information Resources Manager,
Office of Pipeline Safety (DPS-21), Research and Special Programs
Administration, U.S. Department of Transportation, Washington, DC
20590.
Notification procedure:
Inquiries should be directed to the appropriate system manager at the
given address.
Record access procedures:
Contact the appropriate system manager at the given address for
information on procedures for gaining access to records.
Contesting record procedures:
Same as record access procedures.
Record source categories:
Information in this system of records is provided by the individuals
covered by this system; companies; Federal, state, and local
governmental agencies; and other entities reporting releases of
hazardous materials that occurred during transportation or that affect
the environment.
Systems exempted from certain provisions of the act:
None.
DOT/RSPA 10
System name: Hazardous Materials Incident Written Report System.
System location:
U.S. Department of Transportation, Research and Special Programs
Administration, 400 Seventh Street, SW., Washington, DC 20590;
U.S. Department of Transportation, The John A. Volpe National
Transportation Systems Center, Kendall Square, Cambridge, MA 02142.
Categories of individuals covered by the system:
Individuals included in the system are those affected by releases of
hazardous materials during transportation (including transportation by
pipeline) whose names and other personal information may have been
included in narrative descriptions of the incident.
Categories of records in the system:
Records of incidents involving the release of hazardous materials
during transportation (including transportation by pipeline) submitted
by the carrier pursuant to 49 CFR 171.16, 191.9, 191.15, 195.54, and
195.58.
Authority for maintenance of the system:
Hazardous Materials Transportation Act (49 U.S.C. 1801 et seq.);
Natural Gas Pipeline Safety Act of 1968, as amended (49 U.S.C. 1671 et
seq.); Hazardous Liquid Pipeline Safety Act of 1979 (49 U.S.C. 2001 et
seq.).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To disclose pertinent information to Federal, state, and local
governmental agencies responsible for oversight of incidents involving
the release of hazardous materials to assist in efforts to protect
life, health, and safety; to enforce related Federal, state, and local
regulations; or to evaluate or develop regulatory programs.
To disseminate information on the transportation of hazardous
materials to industrial, commercial, educational, scientific,
research, or private entities to assess trends, risks, consequences,
or other potentialities associated with the release of hazardous
materials during transportation, or to analyze factors affecting
hazardous materials incidents.
To disseminate information to the public media for use in informing
the public of issues related to the transportation of hazardous
materials.
The general routine uses in the prefatory statement apply to these
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained on magnetic disk. Duplicate paper or
microfilm copies are also retained by RSPA in file cabinets.
Retrievability:
Computer records are retrievable by all entered fields including the
name of individuals included in the record. Paper and microfilm copies
are not retrievable by individual name or other personal identifier
except through use of the search capabilities of the computer records.
Safeguards:
Access to all computer files is controlled through user-name/password
access procedures. The computer on which data is recorded is
maintained in an access-controlled room in an access-controlled
building. Paper and microfilm copies are stored in a room locked
during non-duty hours.
Retention and disposal:
Records are retained permanently on magnetic disk or tape. Paper or
microfilm copies are also retained permanently.
System manager(s) and address:
For records collected by the Office of Hazardous Materials
Transportation, RSPA, pursuant to 49 CFR 171.16: Information Systems
Manager, Office of Hazardous Materials Transportation (DHM-63),
Research and Special Programs Administration, U.S. Department of
Transportation, Washington, DC 20590.
For records collected by the Office of Pipeline Safety, RSPA, pursuant
to 49 CFR 191.9, 191.15, 195.54, or 195.58: Information Resources
Manager, Office of Pipeline Safety (DPS-21), Research and Special
Programs Administration, U.S. Department of Transportation,
Washington, DC 20590.
Notification procedure:
Inquiries should be directed to the appropriate system manager at the
given address.
Record access procedures:
Contact the appropriate system manager at the given address for
information on procedures for gaining access to records.
Contesting record procedures:
Same as record access procedures.
Record source categories:
Information in this system of records is provided by individuals
acting on behalf of the carriers that experience releases of hazardous
materials during transportation (including transportation by
pipeline).
Systems exempted from certain provisions of the act:
None.
DOT/RSPA 11
System name: Hazardous Materials Information Requests System.
System location:
U.S. Department of Transportation, Research and Special Programs
Administration, 400 Seventh Street, SW, Washington, DC 20590; U.S.
Department of Transportation, The John A. Volpe National
Transportation Systems Center, Kendall Square, Cambridge, MA 02142.
Categories of individuals covered by the system:
Individuals included in the system are those requesting information
from the Hazardous Materials Information Systems (HMIS) or requesting
the Research and Special Programs Administration (RSPA) publication,
Emergency Response Guidebook.
Categories of records in the system:
Records of requests for information from governmental, commercial, or
public media entities, or from private citizens.
Authority for maintenance of the system:
Hazardous Materials Transportation Act (49 U.S.C. 1801 et seq.);
Natural Gas Pipeline Safety Act of 1968, as amended (49 U.S.C. 1671 et
seq.); Hazardous Liquid Pipeline Safety Act of 1979 (49 U.S.C. 2001 et
seq.)
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to requests for information maintained on the hazardous
Materials Information System; to control the handling of such
responses; and to provide statistical information on the offices'
responsibility for responding to such requests.
To disseminate information concerning the availability of the
Emergency Response Guidebook or revisions to it to interested parties
in order to ensure that users of the Guidebook have the most current
available guidance information.
The general routine uses in the prefatory statement apply to these
records.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained on magnetic disk. Duplicate paper copies
of recent reports are retained by RSPA offices in file folders.
Retrievability:
Computer records are retrievable by all entered fields including the
names of individuals included in the record. Paper copies are not
retrievable by individual name or other personal identifier except
through use of the search capabilities of the computer records.
Safeguards:
Access to all computer files is controlled through user-name/password
access procedures which limit access to the files to authorized agency
personnel and to contract personnel whose duties directly involve the
creation and use of these files. The computer on which data is
recorded is maintained in an access-controlled room in an access-
controlled building. Paper copies are stored in a room locked during
non-duty hours.
Retention and disposal:
Records are retained permanently on magnetic disk or tape. Paper
copies are retained according to need in a room locked during non-duty
hours, and disposed of as appropriate.
System manager(s) and address:
For records maintained by the Office of Hazardous Materials
Transportation, RSPA: Information Systems Manager, Office of Hazardous
Materials Transportation (DHM-63), Research and Special Programs
Administration, U.S. Department of Transportation, Washington, DC
20590.
For records maintained by the Office of Pipeline Safety, RSPA:
Information Resources Manager, Office of Pipeline Safety (DPS-21),
Research and Special Programs Administration, U.S. Department of
Transportation, Washington, DC 20590.
Notification procedure:
Inquiries should be directed to the appropriate system manager at the
given address.
Record access procedures:
Contact the appropriate system manager at the given address for
information on procedures for gaining access to records.
Record source categories:
Same as record access procedures.
Record source categories:
Information in this system of records is provided by individuals,
companies, and other entities requesting information from the HMIS or
copies of the Emergency Response Guidebook.
Systems exempted from certain provisions of the act:
None.
DOT/SLS 151
System name: Claimants Under Federal Tort Claims Act.
System location:
Office of the Chief Counsel, Saint Lawrence Seaway Development
Corporation, 400 Seventh Street, SW, room 5424, Washington, DC 20590.
Categories of individuals covered by the system:
All individuals presenting claims for damages to personal property, or
personal injuries, or death resulting in connection with Corporation
activities, other than claims by Federal Government employees under
the Federal Employees' Compensation Act (5 U.S.C. 8102).
Categories of records in the system:
Claim documents on which are recorded name, address, age and marital
status of claimants and details of claims, documented evidence
relevant to the claims provided by claimants, and relevant, internal
Corporation investigation documents.
Authority for maintenance of the system:
5 U.S.C. section 301, 44 U.S.C. section 3101, and 33 U.S.C. 984(a)(4).
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
The following routine uses apply:
Used by Chief Counsel and others to determine allowability of claims.
Used as reference material.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are retrieved by name.
Safeguards:
Records are kept in locked file cabinets and are accessible only to
the Chief Counsel and his secretary and persons specifically
authorized by either.
Retention and disposal:
Records are retained indefinitely since they are not extensive and are
used for reference.
System manager(s) and address:
Chief Counsel, Saint Lawrence Seaway Development Corporation, 400
Seventh Street, NW, Room 5424, Washington, DC 20590.
Notification procedure:
An individual may inquire, in writing, to the system manager.
Record access procedures:
An individual may gain access to his/her records by written request
to: Chief Counsel, Saint Lawrence Seaway Development Corporation, PO
Box 44090, Washington, DC 20026-4090.
Contesting record procedures:
Contest of these records will be directed to the following: Director,
Finance and Administration, Saint Lawrence Seaway Development
Corporation, PO Box 520, Massena, New York 13662-0520.
Record source categories:
Information is obtained directly from claimants on Standard Form 95
and supporting documentation provided by claimants and relevant,
internal Corporation investigation documents.
DOT/SLS 152
System name: Data Automation Program Records.
System location:
Office of Finance and Administration, Saint Lawrence Seaway
Development Corporation, 180 Andrews Street, Massena, New York 13662-
0520.
Categories of individuals covered by the system:
Employees and consultants.
Categories of records in the system:
Payroll and leave records, work measurement records, and travel
vouchers.
Authority for maintenance of the system:
5 U.S.C. section 301, 44 U.S.C. section 3101, and 33 U.S.C. 984(a)(4).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The following routine uses apply:
Payroll and voucher disbursement: GAO audits.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures 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 U.S. Government) as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982
(31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape reels, diskettes, microfilm cassettes and supporting
documents.
Retrievability:
Records are retrievable by social security number and name.
Safeguards:
Records are kept in locked file cabinets or locked rooms accessible to
appropriate supervisor, his/her immediate assistants and secretary.
Retention and disposal:
Records are retained in accordance with GAO and GSA schedules.
System manager(s) and address:
Director, Finance and Administration, Saint Lawrence Seaway
Development Corporation, PO Box 520, Massena, New York 13662-0520.
Notification procedure:
The individual may inquire, in writing, to the system manager.
Record access procedure:
An individual may gain access to his/her records by written request to
the system manager.
Contesting record procedures:
Contest of these records will be directed to the system manager.
Record source categories:
Information obtained from employees, personnel records, and
consultants.
DOT/SLS 153
System name: Employees' Compensation Records.
System location:
Office of Human Resources, Saint Lawrence Seaway Development
Corporation, 180 Andrews Street, Massena, New York 13662-0520.
Categories of individuals covered by the system:
Employees.
Categories of records in the system:
Claim forms on which are recorded employees' personal statistics and
medical records.
Authority for maintenance of the system:
5 U.S.C. section 301, 44 U.S.C. section 3101, and 33 U.S.C. 984(a)(4).
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
The following routine uses apply:
For determining allowability of claims.
Used as reference material.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and microfilm cassettes.
Retrievability:
Records are retrievable by name.
Safeguards:
Records are kept in locked file cabinets and are accessible to
cognizant Personnel Officers.
Retention and disposal:
Retained indefinitely for possible future use.
System manager(s) and address:
Personnel Officer, Office of Human Resources, Saint Lawrence Seaway
Development Corporation, PO Box 520, Massena, New York 13662-0520.
Notification procedure:
The individual may inquire, in writing, to the system manager.
Record access procedures:
An individual may gain access to his/her records by written request to
the system manager.
Contesting record procedures:
Contest of these procedures will be directed to the following:
Director, Finance and Administration, Saint Lawrence Seaway
Development Corporation, PO Box 520, Massena, New York 13662-0520.
Record source categories:
Injured employees, witnesses, supervisors, hospitals, and physicians.
Appendix I--Saint Lawrence Seaway Development Corporation
1. Introduction. This appendix, with respect to the Saint Lawrence
Seaway Development Corporation:
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction of
a record; and
e. Describes identification requirements which may be in addition to
those delineated in section 10.35 of these regulations.
2. Availability for Inspection and Copying:
a. Place and time for records inspection and copying--Claimants Under
Federal Tort Claims Act: Saint Lawrence Seaway Development
Corporation, 400 Seventh Street, SW, Room 5424, Washington, DC 20590
(9 am to 4 pm). Data Automation Program Records and Employees'
Compensation Records: Saint Lawrence Seaway Development Corporation,
180 Andrews Street, Massena, New York 13662-0520 (9 am to 4 pm).
b. Systems of records located at each facility--Saint Lawrence Seaway
Development Corporation, 400 Seventh Street, SW, Room 5424,
Washington, DC. 20590: Claimants Under Federal Tort Claims Act. Saint
Lawrence Seaway Development Corporation, 180 Andrews Street, Massena,
New York 13662-0520: Data Automation Program Records and Employees'
Compensation Records.
c. Official having authority to deny requests for disclosure of
records under this part: Associate Administrator, Saint Lawrence
Seaway Development Corporation, PO Box 520, Massena, New York 13662-
0520.
3. Systems of Records. A complete listing of the systems of records
maintained by the Saint Lawrence Seaway Development Corporation was
published in the Federal Register, Privacy Act Issuances, 1989
Compilation, Volume II, pages 605-607.
4. Access to Records. Each individual desiring to determine whether a
record pertaining to him or her is contained in a system of records or
to obtain a copy of such record, shall make a request in writing to
the address provided in section 2 of this appendix. Each request shall
specify the name of the requesting individual and the system of
records in which the subject record is located or thought to be
located.
5. Requests to Correct or Alter a Record:
a. Any person who desires to have his or her own record corrected
shall submit a written request.
b. Only the individual to whom the record pertains may make the
written request and it shall be signed by that person.
c. Request should state the reasons that the record should be
corrected and that the request is made pursuant to the Privacy Act;
alternatively the requester may mark ``Privacy Act Amendment Request''
on the envelope in which the request is submitted.
d. Requests for correction of records shall be submitted to the
Personnel Officer, Office of Human Resources, Saint Lawrence Seaway
Development Corporation, PO Box 520, Massena, New York 13662-0520.
6. Personal Identification Requirements. Refer to section 10.35 for
normal requirements. In those cases involving mail requests for
sensitive records, e.g., medical records, the requester's signature
shall be notarized.
DOT/TSC 700
System name: System Name: Automated Management Information
System, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Computer Center, DTS-33
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: All TSC employees.
Categories of records in the system:
Categories of Records: Contains job related information associated
with the following applications: ADP services, property management,
procurement requests, contract information, travel information,
program and related job plans, patent data, space utilization, park
control and other pertinent management information.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of this system are intended for
internal management and control, including:
Computer facility planning.
ADP cost distribution.
Budget and planning analysis.
Procurement tracking.
Procurement statistics and analysis.
Information of travel incurred.
Contract administration.
Control of property.
Control of building space.
Control of parking facilities.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Punched cards, magnetic tape and disk.
Retrievability:
Retrievability: Indexed by employee's name.
Safeguards:
Safeguards: Access to the systems and their associated data banks is
available through the utilization of the unique project and programmer
numbers, and the passwords known only by the authorized custodians.
Access to reports is controlled by the Reports Distribution
function of the Administrative Directorate on a need-to-know basis.
For normal working requirements, the reports are distributed to the
functional areas responsible for the data generation.
Access to the computer room and its associated areas where data and
reports are stored is delineated in the TSC ADP Facility Document on
Safeguards and Controls.
Retention and disposal:
Retention and Disposal: The systems are permanent unless replaced.
The data banks, for the most part, are related to fiscal year
activity.
Subsequent to the fiscal year, the data banks become either part of
the history file of the system or are maintained by themselves for
historical reasons.
Data records are deleted from the data banks on an as-required
basis, and subsequently are eliminated from associated reports.
Reports used as daily working papers are retained only until
updated reports are produced and then the old reports are discarded.
Official closing reports corresponding to month-end and fiscal-year-
end periods are retained for longer periods and are not subject to
any rigid disposal procedure.
System manager(s) and address:
System Manager: Associate Director of Administration, DTS-80,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained through the
Associate Director of Administration from the
Department of Transportation,
Transportation Systems Center,
Chief, Computer Center, DTS-33,
Kendall Square,
Cambridge, MA 02142.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
An individual may gain access to his data by written request.
Contesting record procedures:
Contesting Record Procedure: Contest of this data will be made to the
System Manager. If administrative resolvement is not satisfactory to
the individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Administrative functional areas and
technical directorates utilizing standard forms and special TSC forms
such as the ADP Job Order form, the Procurement Request form, the TSC
Contract, the Property Control form the Project Program Agreement (PPA
form, and the Work Plan Budget (WP) form.
DOT/TSC 701
System name: System Name: Employee Travel Records, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Finance and Admin. Services Division
Accounting Branch, DTS-823,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: TSC employees and other Government
employees and private persons issued invitational travel orders to
confer on Government problems.
Categories of records in the system:
Categories of Records: Travel records pertaining to reimbursements to
individuals, consisting of:
Copies of travel orders.
Per diem vouchers.
Transportation requests.
Hotel reservations and all supporting papers relating to official
travel of TSC employees or others authorized to travel by law.
Travel logs.
Travel reservation record card.
ADP travel reports.
Teletype ticket listing.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of these records are intended for
internal management and control, and also to authorize travel and
reimbursement of expenses incurred.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Travel forms, logs, card files, basic documents and other
paper records, including ADP printouts.
Retrievability:
Retrievability: Indexed by employee's name.
Safeguards:
Safeguards: Records are maintained in locked file cabinets. Logs are
generally maintained in locked desk drawer.
Retention and disposal:
Retention and Disposal: Travel administration unit copies are
maintained two (2) years then forwarded to the Federal Records Center
where they are disposed of after one (1) additional year.
Obligation copies are disposed of when funds are obligated,
generally by shredding.
System manager(s) and address:
System Manager: Chief, Finance and Administrative Services
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager. An individual may gain access to his
records by written request.
Contesting record procedures:
Contesting Record Procedure: Contest of this data will be made to the
System Manager. If administrative resolvement is not satisfactory to
the individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Individual's request for travel and
reimbursement with all supporting papers relating to official travel.
DOT/TSC 702
System name: System Name: Legal Counsel Information Files, DOT/
TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Office of Chief Counsel, Code 14,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: TSC employees involved with legal matters.
Categories of records in the system:
Categories of Records: Counseling records, conflict of interest and
Source Evaluation Board (SEB), and individual claims and personnel
actions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of these records are intended for
internal management and control, including administrative reference
and advising and counseling in legal matters.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Paper record folders.
Retrievability:
Retrievability: Indexed by employee's name and subject matter.
Safeguards:
Safeguards: Records are maintained in locked desk drawers and safe.
Retention and disposal:
Retention and Disposal: One (1) year after final action.
System manager(s) and address:
System Manager: Chief Counsel,
Department of Transportation,
Transportation Systems Center,
Office of Legal Counsel,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
An individual may gain access to his records by written request.
Contesting record procedures:
Contesting Record Procedure: Contest of this data will be made to the
System Manager. If administrative resolvement is not satisfactory to
the individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Employee, Supervisor, Legal Office,
Personnel Office.
DOT/TSC 703
System name: System Name: Occupational Safety & Health
Reporting System, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Deputy Associate Director of Administration, DTS-81,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: TSC employees, in-house contractor
personnel and visitors who have occupational illnesses, injuries or
are involved in Government property accidents.
Categories of records in the system:
Categories of Records: Federal Occupational Injuries & Illnesses
Survey form. DOT Accident/Injury Reports, DOT forms 3902.1 through 8.
Department of Labor, for payment of medical bills and workmen's
compensation, as applicable.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of these records are intended for
internal management and control, and also for accident prevention.
The routine uses of the Department of Labor forms are for (1)
submission to doctors and medical institutions rendering services to
individuals and (2) to the Office of Employees Compensation,
Department of Labor, for payment of medical bills and workmen's
compensation, as applicable.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Forms and other paper records.
Retrievability:
Retrievability: Indexed by individual's name.
Safeguards:
Safeguards: Records are maintained in locked file cabinets and
folders are stamped `For Official Accident Prevention Use Only.`
Retention and disposal:
Retention and Disposal: Records are retained for five years and then
destroyed by shredding.
System manager(s) and address:
System Manager: Deputy Associate Director of Administration, DTS-81,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
An individual may gain access to his records by written request.
Contesting record procedures:
Contesting Record Procedure: Contest of this data will be made to the
System Manager. If administrative resolvement is not satisfactory to
the individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Documents provided by the individual
concerned and immediate supervisor.
DOT/TSC 704
System name: System Name: Stand-By Personnel Information, DOT/
TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Finance and Administrative Services Division,
Budget Branch, DTS-821,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: TSC technical directorate personnel
currently not fully assigned to authorized projects.
Categories of records in the system:
Categories of Records: Employee work project status and request for
approval for stand-by time.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of these files are intended for
internal management and control, including administrative reference
and scheduling of work projects, budgeting and overhead
classification.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Paper records.
Retrievability:
Retrievability: Indexed by employee's name and subject classification
`Stand-By Time.`
Safeguards:
Safeguards: Records are maintained in secured desk drawers and
cabinets.
Retention and disposal:
Retention and Disposal: Records are maintained for one (1) additional
year following completion of current fiscal year. Records are then
destroyed.
System manager(s) and address:
System Manager: Chief, Finance and Administrative Services Division,
DTS-82,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
An individual may gain access to his records by written request.
Contesting record procedures:
Contesting Record Procedure: Contest of this data will be made to the
System Manager. If administrative resolvement is not satisfactory to
the individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation
Office of the Secretary
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Supervisor.
DOT/TSC 706
System name: System Name: Automated Planning System, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Office of Plans and Programs, DTS-20,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: All TSC technical personnel, i.e., those
personnel working on direct projects.
Categories of records in the system:
Categories of Records: Information on all current and anticipated
programs/projects and respective limits of man-years and dollars
(total) budgeted.
Personnel information on all technical personnel.
Information on each technical person, based upon the planning/
assignment of an individual to a program/project.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purpose of this system is to aid in the
planning for an analysis of the loading (assignment) of manpower to
the numerous programs/projects undertaken by the TSC.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Punched cards, magnetic tape and disk.
Retrievability:
Retrievability: Indexed by employee's name.
Safeguards:
Safeguards: Access to the system and its associated data banks is
available through the utilization of the unique project and programmer
numbers, and the passwords known only by the authorized custodians.
Access to reports is controlled by the Reports Distribution
function of the Administrative Directorate on a need-to-know basis.
For normal working requirements, the reports are distributed to the
functional areas responsible for the data generation.
Access to the computer room and its associated areas where data and
reports are stored is delineated in the TSC ADP Facility Document on
safeguards and controls.
Retention and disposal:
Retention and Disposal: The system is permanent unless replaced. The
data banks, for the most part, are related to fiscal year activity.
Subsequent to the fiscal year, the data banks become either part of
the history file of the system or are maintained separately for
historical reasons.
Reports used as daily working papers are retained only until
updated reports are produced and then the old reports are discarded.
Official closing reports corresponding to month-end and fiscal-year-
end periods are retained for longer periods and are not subject to
any rigid disposal procedure.
System manager(s) and address:
System Manager: Director, DTS-1,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained through the
Associate Director of Administration from the Assistant Director,
Plans and Programs, DTS-20:
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
data by written request. Contest of this data will be made to the
System Manager. If administrative resolvement is not satisfactory to
the individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary.
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Program/Project files.
Personnel files.
Assignment forms.
DOT/TSC 707
System name: System Name: Automated Manpower Distribution
System, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Finance and Admin. Services Division, DTS-82
Accounting Branch, DTS-823,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: All TSC employees.
Categories of records in the system:
Categories of Records: Contains information delineating the time and
charges, including fringe and overhead, that TSC employees worked. The
main association of the time and charges is with employee job
assignment.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of this system are intended for
internal management and control, including:
Administrative reference.
Cost management.
Labor assignments and expenditures as they relate to both the job
and the employee.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Punched cards, magnetic tape and disk.
Retrievability:
Retrievability: Indexed by employee's number and job number.
Safeguards:
Safeguards: Access to the system and its associated data bank is
available through the utilization of the unique project and programmer
numbers, and the passwords known only by the authorized custodians.
Access to reports is controlled by the Reports Distribution
function of the Administration Directorate on a need-to-know basis.
For normal working requirements the reports are distributed to the
functional area responsible for the data generation.
Access to the computer room and its associated areas where data and
reports are stored is delineated in the TSC ADP Facility Document on
Safeguards and Controls.
Retention and disposal:
Retention and Disposal: The system is permanent unless replaced.
The data bank is related to fiscal year activity. Subsequent to the
fiscal year, the data bank becomes part of the system's history
file.
Data records are deleted from the data bank on an as required
basis, and subsequently are eliminated from associated reports.
Reports used as daily working papers are retained only until
updated reports are produced and then the old reports are discarded.
Official record copy reports are subject to retirement in
accordance with General Records Schedules (GRS).
System manager(s) and address:
System Manager: Associate Director of Administration, DTS-80,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained through the
Associate Director of Administration from the Chief, Accounting
Branch, DTS-823 at the address under `System Location`.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
data by written request.
Contest of this data will be made to the System Manager.
If administrative resolvement is not satisfactory to the
individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Transportation Systems Center,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: TSC form entitled `Manpower Distribution`.
DOT/TSC 708
System name: System Name: Combined Federal Campaign
Information, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Office of the Director, DTS-1,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: All TSC employees.
Categories of records in the system:
Categories of Records: A record of how much, if anything, each
employee has contributed.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purpose of this system is to gather and
disseminate statistics and information on the donations to the
Combined Federal Campaign.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Form filled out by keyman.
Retrievability:
Retrievability: Indexed by employee's name.
Safeguards:
Safeguards: Records are maintained in locked file cabinet.
Retention and disposal:
Retention and Disposal: Records are maintained for five years and
then destroyed by shredding.
System manager(s) and address:
System Manager: Director,
Department of Transportation,
Transportation Systems Center,
Director, DTS-1,
Kendall Square,
Cambridge, MA 02142,
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
records by written request.
Contest of this data will be made to the System Manager.
If administrative resolvement is not satisfactory to the
individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Combined Federal Campaign forms filled out
by employees.
DOT/TSC 709
System name: System Name: Minority Information Files, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Civil Rights Officer, DTS-86.
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: TSC minority employees.
Potential minority hires in New England.
Categories of records in the system:
Categories of Records: Counselor records, potential employee
applications, minority skills bank, ADP reports - minority evaluation,
personnel changes, minority reports, skills bank - resume card file,
minority training records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purpose of these files is for: Use by the
Civil Rights Office in DOT, administrative reference, and statistical
reporting.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Card files, paper records, ADP reports.
Retrievability:
Retrievability: Indexed by name, skills, standard personnel subject
classification.
Safeguards:
Safeguards: Records are maintained in locked file cabinet.
Retention and disposal:
Retention and Disposal: Records are maintained for 2 years and then
destroyed.
System manager(s) and address:
System Manager: Civil Rights Officer, DTS-86,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
records by written request.
Contest of this data will be made to the System Manager.
If administrative resolvement is not satisfactory to the
individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Equal Opportunity Officer.
Equal Opportunity Counselors.
Personnel Office.
Individual potential federal employees.
DOT/TSC 711
System name: System Name: Blood Donor Information File, DOT/
TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Facilities Division, DTS-83,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: All TSC employees and on-site contractor
personnel.
Categories of records in the system:
Categories of Records: Blood Donors Phone Book (name, organization
and telephone number of donor).
Blood Donors Schedule.
Requests for Blood Form (from hospital for employee or dependent).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of these records is for the
donation of blood by TSC employees and on-site contractor personnel to
ensure coverage for themselves, spouses, dependent children, parents
and grandparents of both employee and spouse, and all other people
living in the employee's household for whom the member has
responsibility.
The routine use of this system of records is to respond to requests
for blood from employees and their dependents by furnishing
information to the Red Cross to ensure the availability of blood.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage; Paper record.
Retrievability:
Retrievability: Indexed by employee's name.
Safeguards:
Safeguards: Records maintained in locked file cabinet.
Retention and disposal:
Retention and Disposal: Blood Donors Phone Book and Blood Donors
Schedule maintained for one year and then destroyed. Request for Blood
Form maintained until individual terminates employment with TSC,
records are then destroyed.
System manager(s) and address:
System Manager: Chief, Facilities Division, DTS-83,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
data by written request.
Contest of this data will be made to the System Manager.
If administrative resolvement is not satisfactory to the
individual, appeals may be filed with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office ot the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Blood Donors Phone Book and Blood Donors
Schedule are filled out by solicitors.
Request for Blood Form completed by employee or dependent
requesting blood.
DOT/TSC 712
System name: System Name: Automated Personnel/Communications/
Security System, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Computer Center, DTS-33
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: All TSC employees and tenants from other
government agencies.
Categories of records in the system:
Categories of Records: Contains the pertinent information for
activities involved with Personnel, Communications, and Security.
Contains information about an individual relating to:
Social security number.
Salary,
Birthdate.
Veteran preference.
Tenure.
Handicap.
Grade.
Marital status.
Service computation date.
Home address and telephone number.
TSC location including building and telephone number.
Security clearance level and date granted.
CSC title and classification code.
Competitive level.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of this system are intended for
internal management and control, including:
Administrative reference.
Source for management information for producing summary statistics
and registers in support of the Personnel, Communications and
Security functions.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Punched cards, magnetic tape and disk.
Retrievability:
Retrievability: Indexed by employee's number.
Safeguards:
Safeguards: Access to the systems and their associated data banks is
available through the utilization of the unique project and programmer
numbers, and the passwords known only by the authorized custodians.
Access to reports is controlled by the Reports Distribution
function of the Administrative Directorate on a need-to-know basis.
For normal working requirements, the reports are distributed to the
functional areas responsible for the data generation.
Access to the computer room and its associated areas where data and
reports are stored is delineated in the TSC ADP Facility Document on
Safeguards and Controls.
Retention and disposal:
Retention and Disposal: The systems are permanent unless replaced.
The data banks are related to both fiscal year and calendar year
activity. Subsequent to the appropriate period, the data banks
become either part of the history file of the system or are
maintained by themselves for historical reasons.
Data records are deleted from the data banks on an as-required
basis, and subsequently are eliminated from associated reports.
Reports used as daily working papers are retained only until
updated reports are produced and then the old reports are discarded.
Official closing reports corresponding to month-end, fiscal-year-end
and calendar year-end periods are retained for longer periods and
are not subject to any rigid disposal procedure.
System manager(s) and address:
System Manager: Associate Director of Administration, DTS-80,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained through the
Associate Director of Administration from the:
Department of Transportation,
Transportation Systems Center,
Chief, Computer Center, DTS-43,
Kendall Square,
Cambridge, MA 02142.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
data by written request.
Contest of this data will be made to the System Manager.
If administrative resolvement is not satisfactory to the
individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Employee, Personnel Office, Communications
Office, Security Office.
DOT/TSC 713
System name: System Name: Employee - Manpower Distribution
System, DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Finance and Administrative Services Division,
Accounting Branch, DTS-823,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: All TSC employees.
Categories of records in the system:
Categories of Records: Payroll and pay administration records
pertaining to TSC employees for personal services, consisting of
manpower distribution cards, retirement records, time and attendance
reports, withholding tax and savings bank records, ADP reports, etc.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of these records are intended for
internal management and control; to charge labor to the appropriate
direct or overhead job orders.
The routine uses of these records are as follows:
Transfer of information to the Department of Labor,
Transfer of payroll history 7/1/70 to 10/4/80.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Payroll and Manpower Distribution forms, cards, registers,
basic documents and other paper records, including ADP printouts.
Retrievability:
Retrievability: Indexed by employee's name and number.
Safeguards:
Safeguards: Employee's payroll folders are maintained in a locked
file cabinet.
Payroll office is locked during other than normal working hours.
Manpower Distribution records are maintained in a locked file
cabinet.
Access to and use of all these records are limited to individual
employee and those persons whose official duties require such
access.
Retention and disposal:
Retention and Disposal: Payroll System Records common to all federal
agencies are retained and disposed of in accordance with General
Records Schedule (GRS) No. 2.
Manpower Distribution cards are maintained one fiscal year and then
forwarded to the Federal Records Center (FRC) where they are
destroyed after 2
All ADP reports are maintained one fiscal year and then additional
years, destroyed except the year-end reports which are maintained
three fiscal years and then forwarded to the FRC where they are
destroyed in accordance with GRS No. 2.
System manager(s) and address:
System Manager: Chief, Finance and Admin. Services Division, DTS-82,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the Systems Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
data by written request.
Contest of this data will be made to the System Manager.
If administrative resolvement is not satisfactory to the
individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Basic payroll and manpower documents
(standard and TSC forms); duplicate copies provided by Personnel and
Training Division; individual employee on whom record is maintained.
DOT/TSC 714
System name: System Name: Health Unit Employee Medical Records,
DOT/TSC.
System location:
Department of Transportation (DOT),
Transportation Systems Center (TSC),
Human Resources Management Division, DTS-84,
Health Unit/Building 1, 9th Floor,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: TSC employees and support service
contractor personnel.
Categories of records in the system:
Categories of Records: Individual Health Record Cards.
Individual Health Record Case Files.
Register of Visits.
Laser Eye Tests and Government Driver's Tests.
Pre-employment Physical Examinations, Health Justification
Placement Records, Disability Retirement Examinations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purposes of these records are to maintain a
medical history of any TSC employee, including contractor personnel,
who receives services from the Health Unit; ensure applicants for
licenses to drive Government vehicles meet physical requirements; and
lasers are not adversely affecting employee's eyes.
The routine uses of these records are to respond to requests from
other Doctors, Universities and Insurance Companies, and to submit
medical reports to the Department of Labor, Office of Employees
Compensation, to meet requirements of the Occupational Safety and
Health Act of 1970 and DOT/TSC Safety Program.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Cards, forms, logs and other paper records.
Retrievability:
Retrievability: Indexed by employee's name.
Safeguards:
Safeguards: Records are maintained in locked file cabinets and room
secured when no one is there.
Information from records is provided only with consent of employee.
Retention and disposal:
Retention and Disposal: (In accordance with GRS No. 1):
Individual Health Record Cards are maintained until 6 years after
date of last entry on the card.
Individual Health Record Case Files are maintained until 6 years
after date of last papers in the file.
Registers of visits maintained until 2 years after last date in log
or register.
Upon termination of employment with TSC, latest Laser Eye Tests and
Government Driver's Tests records are combined with Health Record
Case Files and disposed of as part of these files.
Pre-employment Physical Examinations, Health Justification
Placement Records, and Disability Retirement Examinations become
part of the official personnel folder (OPF) upon separation, and are
transferred to the NPRS, St. Louis, MO., 30 days after separation,
where they are disposed of in accordance with GRS No. 1, Item 1.
System manager(s) and address:
System Manager: Chief, Human Resources Management Division, DTS-84,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained through the
Chief, Human Resources Management Division, from resident physician or
nurse, TSC Health Unit.
Record access procedures:
Record Access Procedure: Request from individuals should be addressed
to the System Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
data by written request.
Contest of this data will be made to the System Manager.
If administrative resolvement is not satisfactory to the
individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Employee.
Health Unit Doctor/Nurse.
TSC Safety Officer.
DOT/TSC 715
System name: System Name: Bi-Weekly Personnel Status Report,
DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Human Resources Management Division, DTS-84,
Kendall Square,
Cambridge, MA 02142.
Categories of individuals covered by the system:
Categories of Individuals: All TSC employees.
Categories of records in the system:
Categories of Records: Name, grade and title.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The general purpose of this system is to dispense
personnel management information in order to control billets.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Paper records.
Retrievability:
Retrievability: Chronologically.
Safeguards:
Safeguards: Records are maintained in a cabinet.
Retention and disposal:
Retention and Disposal: Records are maintained indefinitely.
System manager(s) and address:
System Manager: Chief, Human Resources Management Division, DTS-84,
Department of Transportation,
Transportation Systems Center,
Kendall Square,
Cambridge, MA 02142.
Notification procedure:
Notification Procedure: Information may be obtained from the System
Manager.
Record access procedures:
Record Access Procedure: Requests from individuals should be
addressed to the System Manager.
Contesting record procedures:
Contesting Record Procedure: An individual may gain access to his
records by written request.
Contest of this data will be made to the System Manager.
If administrative resolvement is not satisfactory to the
individual, appeals may be filed in writing with the Secretary of
Transportation addressed to the General Counsel as follows:
Department of Transportation,
Office of the Secretary,
Office of the General Counsel,
400 7th Street, SW,
Washington, DC 20590.
Record source categories:
Record Source Categories: Standard Form 50's are the source of the
records.
DOT/TSC 716
System name: System Name: UMTA/Technology Sharing Mailing List,
DOT/TSC.
System location:
System Location: Department of Transportation (DOT),
Transportation Systems Center (TSC),
Office of Information Resources
Technology Sharing Office, DTS-151
Kendall Square
Cambridge, MA 02142
Categories of individuals covered by the system:
Categories of Individuals: Government officials and transportation
professionals who have requested reports or have been selected by UMTA
or TSC to receive reports and conference notifications.
Categories of records in the system:
Categories of Records: These records contain names, job titles,
organizations, suborganizations and addresses. In addition, there are
special categories which allow for entering the following information
for each record in the data base: Organization Affiliation, Modal
Information Need/Type of Document, and Subject Informational Need.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To identify target audiences who have a need for
specific project results or who have expressed an interest in
receiving copies of project documentation; and to disseminate
programmatic results in an efficient and effective manner. Uses of
special codes -- organizational affiliation, modal informational need,
and subject informational need -- will allow for a more efficient
selection of audiences for specific types of reports, will permit
analyzses of information needs, and estimates of report quantities
needed. To communicate plans for scheduled conferences to likely
participants and disseminate conference proceedings if applicable. To
prepare mailing labels. Records are subject to examination by federal
officials concerned with the dissemination of programmatic results or
conference notification, but are not disclosed to members of the
public (except through publication in conference proceedings of names
of individuals who actually participated in each conference).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained in a computerized data base. Disc and
tape records, paper copies of coding forms, and listings of specific
target groups identified to receive a publication are maintained at
the U.S. Department of Transportation's Transportation Systems Center
(TSC). Upon request, a listing of the target audience for a specific
publication may be forwarded to the appropriate federal official
responsible for the dissemination of the report.
Retrievability:
Retrievability: By any attribute contained in the data base --
alphabetically by name, address or special attribute codes.
Safeguards:
Safeguards: Access is restricted to UMTA and TSC officials who are
involved in the dissemination of programmatic results and/or
notification of planned conferences. Terminal operators or
contractors, if designated by TSC, may access the system to enter
data, generate edit checks to assure data has been entered correctly,
and generate paper copies of specific audiences for examination by a
federal official. Access to the electronic data base is controlled by
the computer telephone number, and name of individual responsible for
the data base. Internally, the system is software protected so that
people without these combinations of codes cannot even examine the
data, let alone use it or modify it. Names are removed when the Postal
Service reports an incorrect address with no forwarding address or
when individuals request removal.
Retention and disposal:
Rentention and Disposal: Records are kept on tape and disc. Deleted
names and addresses are discarded completely.
System manager(s) and address:
System Manager: Chief, Technology Sharing Office, DTS-31.
Department of Transportation
Transportation Systems Center
Kendall Square
Cambridge, MA 02142
Notification procedure:
Notification Procedure: Individuals may contact system manager to
confirm whether or not their name and address is contained in the
system.
Record access procedures:
Record Access Procedures: Same as notification procedure.
Contesting record procedures:
Contesting Record Procedures: Contest of this data will be made to
the System Manager. If administrative resolvement is not satisfactory
to the individual, appeals may be filed in writing with the Secretary
of Transportation addressed to the General Counsel as follows:
Department of Transportation
Office of the Secretary
Office of the General Counsel
400 7th Street, SW
Washington, DC 20590
Record source categories:
Record Source Categories: Names of individuals who attended
conferences and individuals who have requested conference proceedings.
Names of individuals who have requested copies of publications
pertaining to specific projects. Various Departmental mailing lists
such as: Transit Properties, Planning Agencies, Transportation and
Planning Associations.
DOT/UMTA 175
System name: System Name: Personnel Convenience Files, DOT/
UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Systems are located at:
Region I,
Regional Administrator, UMTA,
c/o Transportation Systems Center,
Technology Building
55 Broadway,
Cambridge, MA 02142.
Region II,
Regional Administrator, UMTA,
26 Federal Plaza, Suite 14-110
New York, NY 10278
Region III,
Regional Administrator, UMTA,
434 Walnut Street, Suite 1010,
Philadelphia, PA 19106.
Region IV,
Regional Administrator, UMTA,
1720 Peachtree Road, NW, Suite 400,
Atlanta, GA 30309.
Region V,
Regional Administrator, UMTA,
300 South Wacker Drive - Suite 1720
Chicago, IL 60606.
Region VI,
Regional Administrator, UMTA,
819 Taylor Street, Suite 9A32,
Fort Worth, TX 76102.
Region VII,
Regional Administrator, UMTA,
6301 Rockhill Road - Suite 100,
Kansas City, MO 64131.
Region VIII,
Regional Administrator, UMTA,
Prudential Plaza - Suite 1822,
1050 17th Street,
Denver, CO 80265.
Region IX,
Regional Administrator, UMTA,
211 Main Street
San Francisco, CA 94111,
Region X,
Regional Administrator, UMTA,
915 Second Avenue,
Suite 3142, Federal Building,
Seattle, WA 98174.
Categories of individuals covered by the system:
Categories of Individuals: UMTA employees.
Categories of records in the system:
Categories of Records: Standard Form 171.
Resumes.
Personnel Action Forms.
Position Descriptions.
Performance evaluation forms.
Written performance standards.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Personal Use.
Personnel Reference Manual.
Statistical Information.
Technical Information.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12):Disclosures may be made from
this systems to `consumer reporting agencies` (collecting on behalf of
the U.S. Govt.) as defined in the Fair Credit Reporting Act (15 USC
1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are originals or copies of documents.
Retrievability:
Retrievability: Retrieved by name.
Safeguards:
Safeguards: Maintained in locked file cabinets.
Retention and disposal:
Retention and Disposal: Retained until termination of employment and
then shredded.
System manager(s) and address:
System Manager: Appropriate Associate Administrator or Regional
Office (addresses same as in `System Location`).
Notification procedure:
Notification Procedure: Inquiries are addressed to the System Manager
(addresses same as in `System Location`).
Record access procedures:
Record Access Procedure: Access is permitted by written or personal
request.
Direct control is maintained by the System Manager.
Contesting record procedures:
Contesting Record Procedure: Contest of these records is at the
Headquarters' level, addressed as follows:
Department of Transportation,
Urban Mass Transportation Administration,
Attention: Office of Personnel, UAD-60,
400 7th Street, SW,
Washington, DC 20590. Unsatisfactory resolvement by the individual
may be appealed in writing to the Secretary of Transportation
addressed as follows:
Department of Transportation,
Urban Mass Transportation Administration
Office of the Administrator,
400 7th Street, SW, Room 9324,
Washington, DC 20590.
Record source categories:
Personnel Action Forms as completed by the employee or prospective
employee.
DOT/UMTA 176
System name: System Name: Blood-Donor File, DOT/UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Office of Administration,
Office of Personnel, UAD-30
400 7th Street, SW, Room 7405,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: UMTA employees.
Categories of records in the system:
Categories of Records: Record of employee's donation to UMTA/Red
Cross Blood Program.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Computing participation in Blood Program identifying
donors by blood types.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained by telephone cardex.
Retrievability:
Retrievability: Access by name.
Safeguards:
Safeguards: Maintained in locked office during non-work hours.
Retention and disposal:
Retention and Disposal: Only information on current employees is
maintained. Card and information slips are destroyed in the year
following blood quota/program year.
System manager(s) and address:
System Manager: UMTA Blood Program Coordinator (Director of
Personnel, address as above in `System Location`).
Notification procedure:
Notification Procedure: Verbal notification from System Manager.
Record access procedures:
Record Access Procedure: Upon verbal request to System Manager.
Contesting record procedures:
Contesting Record Procedure: Record access not contested. Contact
System Manager to contest content.
Record source categories:
Record Source Categories: Red Cross Donor Registration Forms as
completed by UMTA employee.
DOT/UMTA 177
System name: System Name: UMTA-Sponsored Reports Author File,
DOT/UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Office of Technical Assistance,
Information Services Staff, URT-7
400 7th Street, SW
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Contributing authors of UMTA sponsored
reports.
Categories of records in the system:
Categories of Records: Author's name and address of organization at
time of report submission to UMTA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For technical information dissemination.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained on card file.
Retrievability:
Retrievability: Access by author's name or corporate author.
Access by author's organization.
Access by NTIS number
Access by report title.
Access by project number.
Access by geographical location of research.
Safeguards:
Safeguards: Available for use under control of System Manager.
Card files are maintained in a locked office.
Retention and disposal:
Retention and Disposal: Retained as archive files of UMTA-sponsored
report information.
System manager(s) and address:
System Manager: Chief, Information Service Staff, URT-7, (address as
in `System Location` above).
Notification procedure:
Notification Procedure: Inquiries are addressed to the System
Manager, URT-7 (address as in `System Location ` above).
Record access procedures:
Record Access Procedure: Access is permitted by written or personal
request. Direct control is maintained by the System Manager.
Contesting record procedures:
Contesting Record Procedure: Contest of these records is at the
Headquarter's level, (i.e., to the System Manager).
Unsatisfactory resolvement by the individual may be appealed in
writing to the Secretary of Transportation addressed as follows:
Department of Transportation,
Urban Mass Transportation Administration,
Office of the Administrator,
400 7th Street, SW, Room 9324,
Washington, DC 20590.
Record source categories:
Record Source Categories: Authors of UMTA-sponsored reports.
DOT/UMTA 178
System name: System Name: Minority Recruitment File, DOT/UMTA.
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA).
Office of Civil Rights,
400 7th Street, SW, Room 7410
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Minority applicants interested in UMTA
employment.
Categories of records in the system:
Categories of Records: Resumes and Personal Qualifications Statements
(S.F. 171).
Summary sheets summarizing general information on each applicant.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Referrals for UMTA position vacancies.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained in original and photocopied form.
Retrievability:
Retrievability: Retrieved by number assigned to applicant.
Safeguards:
Safeguards: Source documents are maintained in the Office of Civil
Rights storage facilities.
Only persons authorized by the Director of Civil Rights or the
Chief, Division of Internal Programs, are permitted access to these
files.
Retention and disposal:
Retention and Disposal: Records held for a year's period at which
time applicants are requested to update their forms; those forms
updated are retained and the forms of those non-responding destroyed.
System manager(s) and address:
System Manager: Director, Office of Civil Rights, UCR-1
Department of Transportation,
Urban Mass Transportation Administration,
Office of Civil Rights,
400 7th Street, SW, Room 7410
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries are addressed to the System
Manager.
Record access procedures:
Record Access Procedure: Access is permitted by written or personal
request. Direct control is maintained by the System Manager.
Contesting record procedures:
Contesting Record Procedure: Contest of these records is at
Headquarter's level (i.e., to the System Manager at the address shown
in `System Manager` above).
Unsatisfactory resolvement by the individual may be appealed in
writing to the Secretary of Transportation addressed as follows:
Department of Transportation,
Urban Mass Transportation Administration,
Office of the Administrator,
400 7th Street, SW, Room 9324,
Washington, DC 20590.
Record source categories:
Record Source Categories: Resumes and Personal Qualifications
Statements (S.F. 171) submitted by applicants.
Resumes and Personal Qualifications Statements (S.F. 171) submitted
by the DOT Office of Civil Rights, DOT modal administrations, and
other Federal agencies.
Established recruitment sources, e.g., community organizations,
national civil rights groups, professional societies, colleges and
universities, etc.
DOT/UMTA 180
System name: System Name: Occupational Safety and Health
Accident Reporting System, DOT/UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Personnel Office, UAD-30,
400 7th Street, SW, Room 47405,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Any UMTA employee involved in an accident
while on duty status which results in injury to an individual or
property damage.
Categories of records in the system:
Categories of Records: This system contains documents pertaining to
occupational accidents involving injury to employees and/or non-
employees. It will also contain documents pertaining to accidents
involving employees of UMTA when no injury is involved but property
damage has occurred.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Accumulate accident information and statistics per DOT
Order.
Develop accident cause trends.
For accident reports.
For accident prevention program.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained in a metal file cabinet.
Retrievability:
Retrievability: Folders are in alphabetic order by name.
Safeguards:
Safeguards: File cabinets are located in records room which has a
security approved lock on door.
Retention and disposal:
Retention and Disposal: Records are maintained for five years and
then destroyed by tearing or shredding.
System manager(s) and address:
System Manager: Director, Office of Personnel, UAD-30
Department of Transportation,
Urban Mass Transportation Administration,
400 7th Street, SW, Room 7405,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries should be addressed to the System
Manager at the address above.
If in person, proper identification will be required.
If written, notarized signature and social security number of the
individual involved in the accident must be presented.
Record access procedures:
Record Access Procedure: Same as `Notification Procedure.`
Contesting record procedures:
Contesting Record Procedure: Same as `Notification Procedure.`
Record source categories:
Record Source Categories: Individuals involved in accidents.
Witnesses to accidents.
Supervisor of the UMTA employee involved in an accident.
Doctors of medical facility where treated.
DOT/UMTA 190
System name: System Name: Employee Travel Records, DOT/UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Office of Financial Management,
Accounting Division, UFM-20
400 7th Street, SW
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: All UMTA employees.
Private persons, congressional committee members or other persons
issued invitational travel orders to confer on government matters.
Categories of records in the system:
Categories of Records: Individual travel folders.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Maintain accounting records.
Analysis of travel trends.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained in a file cabinet secured with lock
and key.
Retrievability:
Retrievability: System is indexed by name.
Safeguards:
Safeguards: Individuals requesting individual travel folders are
screened by Accounting Branch personnel.
Records are maintained by Accounting Branch personnel in secured
file.
Retention and disposal:
Retention and Disposal: Retained three years, then forwarded to
Federal Records Center with other accounting records.
System manager(s) and address:
System Manager: Chief, Accounting Division, UFM-20
Urban Mass Transportation Administration (UMTA),
Office of Financial Management,
Accounting Division, UFM-20
400 7th Street, SW
Washington, DC 20590.
Notification procedure:
Notification Procedure: Individuals may contact the System Manager to
confirm whether or not the system contains a record on them.
Record access procedures:
Record Access Procedure: An individual may gain access to his records
by request to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Content of these records may be settled
with the System Manager. If this is unsatisfactory to the individual,
the person may appeal in writing to the Secretary of Transportation
addressed to the following:
Department of Transportation,
Urban Mass Transportation Administration,
Office of the Chief Counsel,
400 7th Street, SW, Room 9320,
Washington, DC 20590.
Record source categories:
Record Source Categories: Travel orders, individual travel vouchers.
DOT/UMTA 191
System name: System Name: Travel Advance File, DOT/UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Office of Financial Management,
Accounting Division, UFM-20
400 7th Street, SW,
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Recipients of travel advances.
Categories of records in the system:
Categories of Records: Records of travel advances and liquidation and
repayment thereof.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: Maintain accounting records.
Ensure collection of amounts due the United States.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Maintained on 5 x 8 card form.
Retrievability:
Retrievability: By name.
Safeguards:
Safeguards: Records are maintained by Accounting Branch personnel in
locked file.
Retention and disposal:
Retention and Disposal: Retained three years then forwarded to
Federal Records Center with other accounting records.
System manager(s) and address:
System Manager: Chief, Accounting Division, UFM-20
Urban Mass Transportation Administration (UMTA),
Office of Financial Management,
Accounting Division, UFM-20
400 7th Street, SW,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Individuals may contact the System Manager to
confirm whether or not the system contains records on them.
Record access procedures:
Record Access Procedure: An individual may gain access to his records
by request to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Content of these records may be settled
with the System Manager. If this is unsatisfactory to the individual,
the person may appeal in writing to the Secretary of Transportation,
addressed to the following:
Department of Transportation,
Urban Mass Transportation Administration,
Office of the Chief Counsel,
400 7th Street, SW, Room 9320,
Washington, DC 20590.
Record source categories:
Record Source Categories: Travel advance card signed by individual.
DOT/UMTA 192
System name: System Name: Urban Transportation Planning System
(UTPS) Address File, DOT/UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Office of Technical Assistance
Office of Methods and Support, Methods Division, URT-41
400 7th Street, SW, Room 6107.
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: UTPS users.
Persons indicating continuing interest in UTPS developments.
Federal Highway Administration (FHWA) Planning Package users.
Categories of records in the system:
Categories of Records: Individual's name, business address, telephone
number, UTPS or FHWA Planning Package version date, UTPS course/
symposium/conference attendance.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: For technical information dissemination.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Records are maintained in a computer file.
Retrievability:
Retrievability: Access by computer terminal by any item.
Safeguards:
Safeguards: Available for use under the control of the System
Manager.
Computer file is protected by account number and code words.
Retention and disposal:
Retention and Disposal: Records are retained until notified that
individual no longer desires information and then record is destroyed.
System manager(s) and address:
System Manager: Chief, Methods Division, URT-41
Urban Mass Transportation Administration (UMTA),
Office of Technical Assistance
Office of Methods and Support, Methods Division, URT-41
400 7th Street, SW, Room 6107.
Washington, DC 20590.
Notification procedure:
Notification Procedure: Inquiries are addressed to the System
Manager, UTP-40 (address same as above).
Record access procedures:
Record Access Procedure: Direct control is maintained by the System
Manager.
Contesting record procedures:
Contesting Record Procedure: Contest of these records is at
Headquarter's level (i.e. the System Manager). Individual may appeal
adverse decision to the Secretary of Transportation, addressed as
follows:
Department of Transportation,
Urban Mass Transportation Administration,
Office of the Administrator,
400 7th Street, SW, Room 9324,
Washington, DC 20590.
Record source categories:
Record Source Categories: UTPS order forms, UTPS course registration
forms, letter and/or verbal request to be place on mailing list.
DOT/UMTA 193
System name: System Name: Docket, DOT/UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Office of the Chief Counsel,
400 7th Street, SW, Room 9228
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Individuals who have commented on notices
of UMTA appearing in the Federal Register; authors of reports which
are added to the Docket as background information.
Categories of records in the system:
Categories of Records: Summary of the nature of the comment or the
report, date written and filed, author affiliation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: To gather information in response to rules promulgated
by UMTA. Users are both UMTA staff members and the public.
See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Legal-size file folders stored in file cabinets.
Retrievability:
Retrievability: By name and Docket number assigned at the time of
receipt.
Safeguards:
Safeguards: None required. Publicly available file.
Retention and disposal:
Retention and Disposal: Indefinite.
System manager(s) and address:
System Manager: Docket Clerk, Office of the Chief Counsel,
Department of Transportation,
Urban Mass Transportation Administration,
400 7th Street, SW, Room 9228
Washington, DC 20590.
Notification procedure:
Record Access Procedure: Same as `System Manager.`
Record access procedures:
Notification Procedure: Same as `System Manager.`
Contesting record procedures:
Contesting Record Procedure: Same as `System Manager.`
Record source categories:
Record Source Categories: Correspondence freely sent by the public to
UMTA.
DOT/UMTA 194
System name: System Name: Litigation and Claims Files, DOT/
UMTA.
System location:
System Location: Department of Transportation (DOT),
Urban Mass Transportation Administration (UMTA),
Office of the Chief Counsel,
400 7th Street, SW, Room 9228
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Persons who are involved in litigation or
claims actions.
Categories of records in the system:
Categories of Records: Litigation and claim pleadings, discovery
material, related documents (including background data on individuals
involved), memoranda, correspondence, and other material necessary to
respond to claims or prepare for litigation or hearings.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Uses: The documents are produced or used in and for
litigation and claims.
These documents are disclosed to the Department of Justice.
See Prefatory Statement for General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Legal-size file folders stored in lockable and unlockable
file cabinets and individual attorney's offices.
Retrievability:
Retrievability: Retrieved by caption of the particular litigation.
Safeguards:
Safeguards: Data from these files are retrievable only by persons
within the Office of the Chief Counsel.
Retention and disposal:
Retention and Disposal: Litigation files are kept for two years after
case is closed, then sent to Federal Records Center. All other records
in the system are retained indefinitely.
System manager(s) and address:
System Manager: Chief Counsel,
Department of Transportation,
Urban Mass Transportation Administration,
400 7th Street, SW, Room 9320,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Individuals wishing to know if their records
appear in this system of records may inquire in person or in writing
to the System Manager.
Record access procedures:
Record Access Procedure: Individuals who desire access to the
information about themselves in this system of records should contact
or address their inquiries to the System Manager.
Contesting record procedures:
Contesting Record Procedure: Individuals who desire to contest
information about themselves contained in this system of records
should contact or address their inquiries to the System Manager.
Record source categories:
Record Source Categories: Federal courts, individuals and their
attorneys, UMTA records, litigation files, etc.
DOT/UMTA 195
System name: System Name: Confidential Statement of Employment
and Financial Interests, DOT/UMTA.
System location:
System Location: Department of Transportation, (DOT),
Urban Mass Transportation Administration, (UMTA),
Office of the Chief Counsel,
400 7th Street, SW, Room 9228
Washington, DC 20590.
Categories of individuals covered by the system:
Categories of Individuals: Employees of the Urban Mass Transportation
Administration in supervisory positions where a conflict of interest
or the appearance of a conflict of interest might occur. Also included
in this category are consultants and experts of the Urban Mass
Transportation Administration.
Categories of records in the system:
Categories of Records: Information on employment and financial
interests and debts.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Routine Users: The information to be furnished is required by
Executive Order 11222 and the requlations of the Office of Personnel
Management issued thereunder and may not be disclosed except as the
Commission or the agency head may determine.
The purpose of the use of this information is to avoid a conflict
of interest or the appearance of a conflict of interest in UMTA
employees.
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 USC 552a(b)(12): Disclosures may be made
from this systems to `consumer reporting agencies` (collecting on
behalf of the U.S. Govt.) as defined in the Fair Credit Reporting Act
(15 USC 1681a(f)) or the Federal Claims Collection Act of 1982 (31 USC
3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage: Legal size folders.
Retrievability:
Retrievability: Indexed by name in alphabetical sequence.
Safeguards:
Safeguards: Records are stored in locked file cabinet.
Retention and disposal:
Retention and Disposal: Records are kept 3 years and then transferred
to Federal Records Center for 6 years.
System manager(s) and address:
System Manager: Chief Counsel,
Department of Transportation,
Urban Mass Transportation Administration,
Office of the Chief Counsel,
400 7th Street, SW, Room 9228,
Washington, DC 20590.
Notification procedure:
Notification Procedure: Department of Transportation,
Urban Mass Transportation Administration,
Office of the Chief Counsel,
400 7th Street, SW, Room 9228,
Washington, DC 20590.
Inquiries may be addressed to the Chief Counsel either in person or
in writing. If written the individual must provide a notarized
signature.
Record access procedures:
Record Access Procedure: Access to records requires the individual to
contact in person or write the Chief Counsel at the address in
`Notification Procedure.`
Contesting record procedures:
Contesting Record Procedure: Contest of a record is also through the
Chief Counsel.
Record source categories:
Record Source Categories: Statements of employment and financial
interests, creditors, interests in real property are submitted by
employees and consultants of the Urban Mass Transportation
Administration.
Initial requests for submission of statements are through the
Office of Personnel, Office of Administration, Urban Mass
Transportation Administration.
PRIVACY ACT RULES
TRANSPORTATION DEPARTMENT
Title 49-Transportation
Subtitle A-Office of the Secretary of Transportation
PART 10--MAINTENANCE OF AND ACCESS TO RECORDS PERTAINING TO
INDIVIDUALS
Subpart A--Applicability and Policy
Sec.
10.1 Applicability.
10.3 Policy.
10.5 Definitions.
Subpart B--General
10.11 Administration of part.
10.13 Privacy Act Officer.
10.15 Protection of records.
Subpart C--Maintenance of Records
10.21 General.
10.23 Accounting of disclosures.
10.25 Mailing lists.
10.27 Government contractors.
10.29 Social Security numbers.
Subpart D--Availability of Records
10.31 Requests for records.
10.33 Acknowledgment and access.
10.35 Conditions of disclosure.
10.37 Identification of individual making request.
10.39 Location of records.
Subpart E--Correction of Records
10.41 Requests for correction of records.
10.43 Time limits.
10.45 Statement of disagreement.
Subpart F--Procedures for Reconsidering Decisions not to Grant Access to
or Amend Records
10.51 General.
Subpart G--Exemptions
10.61 General exemptions.
10.63 Specific exemptions.
Subpart H--Fees
10.71 General.
10.73 Payment of fees.
10.75 Fee schedule.
10.77 Services performed without charge.
Subpart I--Criminal Penalties
10.81 Improper disclosure.
10.83 Improper maintenance of records.
10.85 Wrongfully obtaining records.
Appendix A--Exemptions
Appendix B--Office of the Secretary
Appendix C--U.S. Coast Guard
Appendix D--Federal Aviation Administration
Appendix E--Federal Highway Administration
Appendix F--Federal Railroad Administration
Appendix G--National Highway Traffic Safety Administration
Appendix H--Urban Mass Transportation Administration
Appendix I--Saint Lawrence Seaway Development Corporation
Appendix J--Research and Special Programs Administration
Authority: Pub. L. 93-579, sec. 9, Department of Transportation Act,
Pub. L. 89-670; 49 U.S.C. 1657.
Source: 45 FR 8993, Feb. 11, 1980, unless otherwise noted.
Subpart A--Applicability and Policy
Sec. 10.1 Applicability.
(a) This part implements section 552a of Title 5, United States Code,
as well as other provisions of the Privacy Act of 1974, and prescribes
rules governing the availability of those records of the Department of
Transportation which relate to citizens of the United States and aliens
lawfully admitted for permanent residence.
(b) Appendices B through J to this part:
(1) Describe the places and times at which records are available for
inspection and copying;
(2) Indicate the systems of records located at each facility;
(3) Identify the officials having authority to deny requests for
disclosure of records under this part;
(4) Describe the procedures to be followed in requesting correction of
a record in accordance with Sec. 10.41 of this part; and
(5) List additional personal identification requirements in accordance
with Sec. 10.37 of this part.
(c) The Assistant Secretary for Administration may amend Appendix B to
this part to reflect any changes in the items covered by that appendix,
relating to the Office of the Secretary of Transportation. The
Administrator concerned may amend the appendix applicable to that
administration to reflect any changes in the terms covered by that
appendix.
(d) Appendix A to this part identifies systems of records which are
exempt from some of the requirements of this part, in accordance with
Subpart G and 5 U.S.C. 552a (j) and (k). Appendix A may be amended by
the General Counsel upon the request of the Assistant Secretary for
Administration in the case of a system of records maintained by the
Office of the Secretary or the Administrator concerned in the case of a
system of records maintained by an operating administration.
Sec. 10.3 Policy.
It is the policy of the Department of Transportation to comply with
the letter and the spirit of the Privacy Act (the Act). Therefore,
personal data contained in each system of records is afforded adequate
protection against unauthorized access, is as accurate as is feasible,
and is limited to that necessary to accomplish the stated use or uses of
the system. Further, no system of records is exempted from the
requirements of the Act unless it is determined that to do so is in the
best interest of the government with due concern for individual rights.
Sec. 10.5 Definitions.
Unless the context requires otherwise, the following definitions apply
in this part:
``Administrator'' means the head of an operating administration and
includes the Commandant of the Coast Guard.
``Department'' means the Department of Transportation, including the
Office of the Secretary and the following operating administrations:
(a) The United States Coast Guard.
(b) The Federal Aviation Administration.
(c) The Federal Highway Administration.
(d) The Federal Railroad Administration.
(e) The National Highway Traffic Safety Administration.
(f) The Urban Mass Transportation Administration.
(g) The St. Lawrence Seaway Development Corporation.
(h) The Research and Special Programs Administration.
``General Counsel'' means the General Counsel of the Department.
``Includes'' means ``includes but is not limited to;''
``Individual'' means a citizen of the United States or an alien
lawfully admitted;
``Maintain'' includes maintain, collect, use, or disseminate;
``May'' is used in a permissive sense to state authority or permission
to do the act prescribed;
``Record'' means any item, collection, or grouping of information
about an individual that is maintained by the Department including, but
not limited to, education, financial transactions, medical history, and
criminal or employment history and that contains the name of, or an
identifying number, symbol, or other identifying particular assigned to,
the individual, such as a finger or voice print or a photograph;
``Secretary'' means the Secretary of Transportation or any person to
whom has been delegated authority in the matter concerned;
``System of records'' means a group of any records under the control
of the Department from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual;
``Statistical record'' means a record in a system of records
maintained for statistical research or reporting purposes only and not
in whole or in part in making any determination about an identifiable
individual, except as provided by section 8 of Title 13, United States
Code; and
``Routine use'' means, with respect to the disclosure of a record, the
use of such record for a purpose which is compatible with the purpose
for which it was collected.
Subpart B--General
Sec. 10.11 Administration of part.
Except as provided in subpart F of this part, authority to administer
this part in connection with the records of the Office of the Secretary
is delegated to the Assistant Secretary for Administration. Authority to
administer this part in connection with records in each operating
administration is delegated to the Administrator concerned. An
Administrator may redelegate to officers of that administration the
authority to administer this part in connection with defined systems of
records. An Administrator, however, may redelegate his or her duties
under subparts F and G of this part only to his or her deputy and to not
more than one other officer who reports directly to the Administrator
and who is located at the headquarters of that administration or at the
same location as the majority of that administration's systems of
records.
Sec. 10.13 Privacy Act Officer.
(a) To assist in the oversight of the implementation and continuing
administration and in evaluating the effectiveness of compliance with
the Act, the Assistant Secretary for Administration appoints a principal
coordinating official with the title Privacy Act Officer, and one
Privacy Act Coordinator from his staff.
(b) Inquiries concerning Privacy Act matters, or requests for
assistance, may be addressed to the Privacy Act Officer (M-30),
Department of Transportation, 400 Seventh Street, SW, Washington, DC
20590.
(c) Administrators may designate Privacy Act Officers or Coordinators
to act as central coordinators within their administrations to assist
them in administering the Act.
Sec. 10.15 Protection of records.
(a) No person may, without permission, remove any record made
available for inspection or copying under this part from the place where
it is made available. In addition, no person may steal, alter, mutilate,
obliterate, or destroy, in whole or in part, such a record.
(b) Section 641 of Title 18 of the United States Code provides, in
pertinent part, as follows:
Whoever * * * steals, purloins, or knowingly converts to his use or
the use of another, or without authority, sells, conveys or disposes of
any record * * * or thing of value of the United States or of any
department or agency thereof * * * shall be fined not more than $10,000
or imprisoned not more than 10 years or both; but if the value of such
property does not exceed the sum of $100, he shall be fined not more
than $1,000 or imprisoned not more than one year or both * * *.
(c) Section 2071 of Title 18 of the United States Code provides, in
pertinent part, as follows:
Whoever willfully and unlawfully conceals, removes, mutilates,
obliterates, or destroys, or attempts to do so, or with intent to do so
takes and carries away any record, proceeding, map, book, paper,
document, or other thing, filed or deposited * * * in any public office,
or with any * * * public officer of the United States, shall be fined
not more than $2,000 or imprisoned not more than 3 years, or both.
Subpart C--Maintenance of Records
Sec. 10.21 General.
Except to the extent that a system of records is exempt in accordance
with subpart G of this part, the Department, with respect to each system
of records:
(a) Maintains in its records only such information about an individual
as is relevant and necessary to accomplish a purpose of the Department
required to be accomplished by statute or by executive order of the
President;
(b) Collects information to the greatest extent practicable directly
from the subject individual when the information may result in adverse
determinations about an individual's rights, benefits, or privileges
under Federal programs;
(c) Informs each individual whom it asks to supply information, on the
form which it uses to collect the information or on a separate form that
can be retained by the individual of:
(1) The authority (whether granted by statute, or by executive order
of the President) which authorizes the solicitation of the information
and whether disclosure of such information is mandatory or voluntary;
(2) The principal purpose or purposes for which the information is
intended to be used;
(3) The routine uses, as published pursuant to paragraph (d)(4) of
this section, which may be made of the information; and
(4) The effects, if any, on the individual of not providing all or any
part of the requested information;
(d) Publishes in the Federal Register at least annually a notice of
the existence and character of the system of records, including;
(1) The name and location of the system;
(2) The categories of individuals on whom records are maintained in
the system;
(3) The categories of records maintained in the system;
(4) Each routine use of the records contained in the system, including
the categories of users and the purpose of such use;
(5) The policies and practices regarding storage, retrievability,
access controls, retention, and disposal of the records;
(6) The title and business address of the official responsible for the
system of records;
(7) The procedures whereby an individual can be notified upon request
if the system of records contains a record pertaining to that
individual;
(8) The procedures whereby an individual can be notified upon request
how to gain access to any record pertaining to that individual contained
in the system of records, and how to contest its content; and
(9) The categories of sources of records in the system;
(e) Maintains all records which are used in making any determination
about any individual with such accuracy, relevancy, timeliness, and
completeness as is reasonably necessary to assure fairness to the
individual in the determination;
(f) Prior to disseminating any record about an individual to any
person other than an agency, unless the dissemination is made pursuant
to Sec. 10.35(a)(2), makes reasonable efforts to assure that such
records are accurate, complete, timely, and relevant for the
Department's purposes;
(g) Maintains no record describing how any individual exercises rights
guaranteed by the First Amendment unless:
(1) Expressly authorized by the General Counsel; and
(2) Expressly authorized by statute or by the individual about whom
the record is maintained or unless pertinent to and within the scope of
an authorized law enforcement activity;
(h) Makes reasonable efforts to serve notice on an individual when any
record on such individual is made available to any person under
compulsory legal process when such process becomes a matter of public
record.
Sec. 10.23 Accounting of disclosures.
Each operating administration and the Office of the Secretary, with
respect to each system of records under its control:
(a) Except for disclosures made under Sec. 10.35(a) (1) or (2) of this
part, keep an accurate accounting of:
(1) The date, nature, and purpose of each disclosure of a record to
any person or to another agency made under Sec. 10.33; and
(2) the name and address of the person or agency to whom the
disclosure is made;
(b) Retains the accounting made under paragraph (a) of this section
for at least five years or the life of the record, whichever is longer,
after the disclosure for which the accounting is made;
(c) Except for disclosures made under Sec. 10.33(a)(7) of this part,
makes the accounting made under paragraph (a)(1) of this section
available to the individual named in the record at his request; and
(d) Informs any person or other agency about any correction or
notation of dispute made by the agency in accordance with Sec. 10.45 of
any record that has been disclosed to the person or agency if an
accounting of the disclosure was made.
Sec. 10.25 Mailing lists.
An individual's name and address is not sold or rented unless such
action is specifically authorized by law. This provision shall not be
construed to require the withholding of names and addresses otherwise
permitted to be made public.
Sec. 10.27 Government contractors.
When the Department provides by a contract for the operation by or on
behalf of the Department of a system of records to accomplish a function
of the Department, the requirements of this part are applied to such
system. For purposes of subpart I, Criminal Penalties, any such
contractor and any employee of the contractor are considered, in
accordance with section 3(m) of the Privacy Act, to be employees of the
Department.
Sec. 10.29 Social Security numbers.
(a) No individual is denied any right, benefit, or privilege provided
by law because of such individual's refusal to disclose his Social
Security account number.
(b) The provisions of paragraph (a) of this section do not apply to:
(1) Any disclosure which is required by Federal statute; or
(2) The disclosure of a Social Security number when such disclosure
was required under statute or regulation adopted prior to January 1,
1975, to verify the identity of an individual.
(c) When an individual is requested to disclose his or her Social
Security account number, that individual is informed whether that
disclosure is mandatory or voluntary, by what statutory or other
authority such number is solicited, what uses are made of it, and what
detriments, including delay in the location of records, are incurred if
the number is not provided.
Subpart D--Availability of Records
Sec. 10.31 Requests for records.
(a) Ordinarily, each person desiring to determine whether a record
pertaining to him or her is contained in a system of records covered by
this part or desiring access to a record covered by this part, or to
obtain a copy of such a record, shall make a request in writing as
provided in the pertinent appendix to this part. In exceptional cases
oral requests are accepted.
(b) Each request shall specify the name of the requesting individual
and the system of records in which the subject record is located or
thought to be located. If assistance is required to determine the system
of records identification number assigned in the systems notices, such
assistance may be obtained from the appropriate Privacy Act Officer or
his Assistant. Refer to Sec. 10.13 for procedures for requesting
assistance.
Sec. 10.33 Acknowledgment and access.
(a) Requests by an individual to determine whether he or she is the
subject of a record in a system of records, or requesting access to a
record in a system of records, should be acknowledged within 10 working
days, where the request is by mail. For requests in person, an immediate
response is given, either granting access or informing such individual
when notification or access may be expected.
(b) If the response granting access or copies of the record is made
within 10 working days, separate acknowledgment is not required.
(c) Although requests for access to a record are normally in writing,
e.g., by filing a written form or letter, it is the option of the
individual to mail or present the request form in person.
Sec. 10.35 Conditions of disclosure.
(a) No record which is contained within a system of records within the
Department is disclosed by any means of communication to any person, or
to another agency, except pursuant to a written request by, or with the
prior written consent of, the individual to whom the record pertains,
unless disclosure of the record would be:
(1) To those officers and employees of the Department who have a need
for the record in the performance of their duties;
(2) Required under Part 7 of this title which implements the freedom
of Information Act;
(3) For a routine use as defined in Sec. 10.5 and described pursuant
to Sec. 10.21(d)(4);
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
Title 13, United States Code;
(5) To a recipient who has provided the Department with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to the agency which maintains the record specifying the
particular portion desired and the law enforcement activity for which
the record is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual if upon such disclosure
notification is transmitted to the last known address of such
individual;
(9) To either House of the Congress, or to the extent of matters
within its jurisdiction, any committee or subcommittee thereof, any
joint committee of the Congress or subcommittee of any such joint
committee;
(10) To the Comptroller General, or any authorized representatives, in
the course of the performance of the duties of the General Accounting
Office; or
(11) Pursuant to the order of a court of competent jurisdiction.
(b) Any individual requesting access to his or her record or to any
information pertaining to that individual which is contained within a
system of records within the Department has access to that record or
information unless the system of records within which the record or
information is contained is exempted from disclosure in accordance with
Subpart G, provided, however, that nothing in this part is deemed to
require that an individual be given access to any information compiled
in reasonable anticipation of a civil action or proceeding. No exemption
contained in subpart G of part 7 of the regulations of the Office of the
Secretary is relied upon to withhold from an individual any record which
is otherwise accessible to such individual under the provisions of this
part. Any individual who is given access to a record or information
pertaining to him is permitted to have a person of his or her own
choosing accompany him and to have a copy made of all or any portion of
the record or information in a form comprehensible to the individual.
When deemed appropriate, the individual may be required to furnish a
written statement authorizing discussion of his record in the
accompanying person's presence.
(c) Medical records.Where requests are for access to medical records,
including psychological records, the decision to release directly to the
individual, or to withhold direct release, shall be made by a medical
practitioner. Were the medical practitioner has ruled that direct
release will do harm to the individual who is requesting access, normal
release through the individual's chosen medical practitioner will be
recommended. Final review and decision on appeals of disapprovals of
direct release will rest with the General Counsel.
(d) Any person requesting access to records or to any information
pertaining to other individuals is not granted such access unless that
person can show that he or she has obtained permission for such access
from the individual to whom the record pertains, unless the request
comes within one of the exceptions of paragraph (a) of this section.
Sec. 10.37 Identification of individual making request.
No record or information contained in a system of records is disclosed
to an individual nor is any correction of a record in accordance with
Subpart E made at the request of an individual unless that individual
demonstrates that he or she is who he or she claims to be. Normally,
identity can be proven for individuals who appear in person by the
presentation of an identifying document issued by a recognized
organization (e.g., a driver's license or a credit card) and which
contains a means of verification such as a photograph or a signature.
For requests by mail, the unique identifier used in the system should be
included if known. Responses to mail requests are normally sent only to
the name and address listed in the system of records. In the case of
particularly sensitive records, additional identification requirements
may be imposed. In such cases, these additional requirements are listed
in the public notice for the system and in the appropriate appendix to
this part.
Sec. 10.39 Location of records.
Each record made available under this subpart is available for
inspection and copying during regular working hours at the place where
it is located or, upon reasonable notice, at the document inspection
facilities of the Office of the Secretary or each administration as set
forth in the appendix applicable to that office or administration.
Original records may be copied but may not be released from custody.
Upon payment of the appropriate fee, copies are mailed to the requester.
Subpart E--Correction of Records
Sec. 10.41 Requests for correction of records.
Any person who desires to have a record pertaining to that person
corrected shall submit a written request detailing the correction and
the reasons the record should be so corrected. Requests for correction
of records shall be submitted in accordance with the procedures of the
organization set forth in appendices B through J to this part for the
appropriate operating element of the Department.
Sec. 10.43 Time limits.
Within ten days (excluding Saturday, Sunday, and legal holidays) of
the receipt in accordance with Sec. 10.41 of a request by an individual
to amend a record pertaining to him, the receipt of the request is
acknowledged in writing. If a determination is made to correct the
record as requested, the correction is promptly made. If a determination
is made not to correct a record the individual is informed promptly of
the right to appeal in accordance with subpart F. If an appeal of a
refusal to correct a record is in accordance with subpart F, a
determination whether to correct the record is made within thirty days
(excluding Saturday, Sunday and legal holidays) of the receipt of the
appeal unless, for good cause shown the Administrator concerned, or in
the case of the Office of the Secretary, the General Counsel, extends
such period. Where an extension is taken, the party taking the appeal is
promptly notified of such fact.
Sec. 10.45 Statement of disagreement.
If a determination is made not to amend a record, the requester is
informed of the right to file a concise statement setting forth the
reasons for disagreement with the refusal to amend. In any disclosure
containing information about which an individual has filed such a
statement of disagreement, the portions of the record which are disputed
are noted clearly and copies of the statement of disagreement provided.
If the Administrator concerned or his or her delegee, or in the case of
the Office of the Secretary, the General Counsel or his or her delegee,
deems it appropriate, copies of a concise statement of the reasons for
not making the amendments requested may be provided along with the
statement of disagreement.
Subpart F--Procedures for Reconsidering Decisions not to Grant
Access to or Amend Records
Sec. 10.51 General.
(a) Each officer or employee of the Department who, upon a request by
a member of the public for a record under this part, makes a
determination that access is not to be granted or who determines not to
amend a record in a requested manner, gives a written statement of the
reasons for that determination to the person making the request and
indicates the name and title or position of each person responsible for
the denial of such request and the procedure for appeal within the
Department.
(b) Any person:
(1) Who has been given a determination pursuant to paragraph (a) of
this section, that access will not be granted; or
(2) Who has been informed that an amendment to a requested record will
not be made;
may apply to the Administrator concerned, or in the case of the Office
of the Secretary, to the General Counsel for review of that decision. A
determination that access will not be granted or a record amended is not
administratively final for the purposes of judicial review unless it was
made by the Administrator concerned or his or her delegee, or the
General Counsel or his or her delegee, as the case may be. Upon a
determination that an appeal will be denied, the requester is informed
in writing of the reasons for the determination, and the names and
titles or positions of each person responsible for the determination,
and that the determination may be appealed to the District Court of the
United States in the district in which the complainant resides, or has
his or her principal place of business, or in which the records are
located, or in the District of Columbia.
(c) Each application for review must be made in writing and must
include all information and arguments relied upon by the person making
the request. It is recommended that such request be made within 180 days
of the date of the initial denial; however, exceptions to this time
period are considered in the event that a longer time is required for
good reasons.
(d) Upon a determination that a request for the correction of a record
will be denied, the requester is informed that he may file a concise
statement in accordance with Sec. 10.45.
(e) Each application for review must indicate that it is an appeal
from a denial of a request made under the Privacy Act. The envelope in
which the application is sent should be marked prominently with the
words ``Privacy Act.'' If these requirements are not met, the time
limits described in Sec. 10.43 do not begin to run until the application
has been identified by an employee of the Department as an application
under the Privacy Act and has been received by the appropriate office.
(f) The Administrator concerned, or the General Counsel, as the case
may be, may require the person making the request to furnish additional
information, or proof of factual allegations, and may order other
proceedings appropriate in the circumstances. The decision of the
Administrator concerned, or the General Counsel, as the case may be, as
to the availability of the record or whether to amend the record is
administratively final.
(g) The decision by the Administrator concerned, or the General
Counsel, as the case may be, not to disclose a record under this part is
considered a determination for the purposes of section 552a(g) of Title
5, United States Code, ``Civil Remedies.''
(h) Any final decision by an Administrator or his or her delegee,
identified in Appendices B through J of this part, not to grant access
to or amend a record under this part, is subject to concurrence by the
General Counsel or his or her delegee.
Subpart G--Exemptions
Sec. 10.61 General exemptions.
(a) The Assistant Secretary for Administration, with regard to the
Investigations Divisions; the Federal Aviation Administrator, with
regard to the FAA's Investigative Record System (DOT/FAA 815) and also
with regard to the police functions of the National Capital Airport
Police; and the Commandant of U.S. Coast Guard, with regard to the
Intelligence and Security Division; may exempt from any part of the Act
and this part except subsections (b), (c)(1) and (2), (e)(4)(A), through
(F), (e)(6), (7), (9), (10), and (11), and (i) of the Act, and
implementing Sec. Sec. 10.35, 10.23(a) and (b), 10.21(d)(1) through (6),
10.81, 10.83, and 10.85, any systems of records, or portions thereof,
which they maintain which consist wholly of;
(1) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition of
criminal charges, sentencing, confinement, release, and parole and
probation status;
(2) Information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; or
(3) Reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision.
(b) The requirements (including general notice) of sections 553(b)(1),
(2) and (3), and (c) and (e) of Title 5, United States Code, will be met
by publication in Appendix A to this part, which must, at a minimum,
specify:
(1) The name of the system; and
(2) The specific provisions of the Act from which the system is to be
exempted and the reasons therefor.
(c) Any decision to exempt a system of records under this section is
subject to concurrence by the General Counsel.
(d) Any person may petition the Secretary in accordance with the
provisions of part 5 of this title, to institute a rulemaking proceeding
for the amendment or repeal of any exemptions established under this
section.
[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 1994]
Sec. 10.63 Specific exemptions.
The Secretary or his or her delegee, in the case of the Office of the
Secretary, or the Administrator or his or her delegee, in the case of an
operating administration, may exempt any system of records which is
maintained by the Office of the Secretary or the administration, as the
case may be, from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and
(I), and (f) of the Act and implementing Sec. Sec. 10.23(c); 10.35(b);
10.41; 10.43; 10.45; 10.21(a) and 10.21(d)(6), (7) and (8) of this part,
under the following conditions;
(a) The system of records must consist of:
(1) Records subject to the provisions of section 552(b)(1) of Title 5,
United States Code;
(2) Investigatory material compiled for law enforcement purposes,
other than material within the scope of Sec. 10.61(a)(2): Provided,
however, That if any individual is denied any right, privilege, or
benefit to which that individual would otherwise be entitled by Federal
law, or for which that individual would otherwise be eligible, as a
result of the maintenance of such material, such material is provided to
such individual, except to the extent that the disclosure of such
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, the
effective date of the Privacy Act of 1974, under an implied promise that
the identity of the source would be held in confidence;
(3) Records maintained in connection with providing protective
services to the President of the United States or other individuals
pursuant to section 3056 of Title 18, United States Code;
(4) Records required by statute to be maintained and used solely as
statistical records;
(5) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information, but only to the extent that the disclosure of
such 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, the effective date of the Privacy Act of 1974, under an implied
promise that the identity of the source would be held in confidence;
(6) Testing or examination material used solely to determine
individual qualifications for appointment or promotion in the Federal
service the disclosure of which would compromise the objectivity or
fairness of the testing or examination process; or
(7) Evaluation material used to determine potential for promotion in
the armed services, but only to the extent that the disclosure of such
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 the effective date of
this section, under an implied promise that the identity of the source
would be held in confidence.
(b) The requirements (including general notice) of sections 553 (b)
(1), (2) and (3), and (c) and (e) of Title 5, United States Code, will
be met by publication in Appendix A to this part, which must, at a
minimum, specify:
(1) The name of the systems; and
(2) The specific provisions of the Act from which the system is to be
exempted and the reasons therefor.
(c) Any decision to exempt a system of records under this section is
subject to the concurrence of the General Counsel.
(d) Any person may petition the Secretary in accordance with the
provisions of 49 CFR part 5, to institute a rulemaking for the amendment
or repeal of any exemptions established under this section.
Subpart H--Fees
Sec. 10.71 General.
This subpart prescribes fees for services performed for the public
under this part by the Department.
Sec. 10.73 Payment of fees.
The fees prescribed in this subpart may be paid by check, draft, or
postal money order payable to the Treasury of the United States.
Sec. 10.75 Fee schedule.
(a) Copies of documents by photocopy or similar method:
Each page not larger than 11 x 17 inches:
First page................................................. $.25
Each page.................................................. .05
(b) Copies of documents by typewriter: Each page............... 2.00
(c) Certified copies of documents:
(1) With Department of Transportation seal................... 3.00
(2) True copy, without seal.................................. 1.00
(d) Photographs:
(1) Black and white print (from negative).................... 1.25
(2) Black and white print (from print)....................... 3.15
(3) Color print (from negative).............................. 3.50
(4) Color print (from print)................................. 6.25
(e) Duplicate data tapes--each reel of tape or fraction thereof 36.00
The applicant must furnish the necessary number of blank magnetic tapes.
The tapes must be compatible for use in the supplier's computer system,
\1/2\ inch wide and 2,400 feet long, and must be capable of recording
data at a density of 556 or 800 characters per inch. Unless otherwise
designated, the tapes will be recorded at 556 CPI density. The
Department of Transportation is not responsible for damaged tape.
However, if the applicant furnishes a replacement for a damaged tape,
the duplication process is completed at no additional charge.
(f) Microreproduction fees are as follows:
(1) Microfilm copies, each 100 foot roll or less............. $3.75
(2) Microfiche copies, each standard size sheet (4'' x 6''
containing up to 65 frames)................................. .15
(3) Apertune card to hard copy, each copy.................... .50
(4) 16mm microfilm to hard copy:
First...................................................... .25
Additional................................................. .07
(g) Computerline printer output, each 1,000 lines or fraction
thereof....................................................... 1.00
Sec. 10.77 Services performed without charge.
(a) No fee is charged for time spent in searching for records or
reviewing or preparing correspondence related to records subject to this
part.
(b) No fee is charged for documents furnished in response to:
(1) A request from an employee or former employee of the Department
for copies of personnel records of the employee;
(2) A request from a Member of Congress for official use;
(3) A request from a State, territory, U.S. possession, county or
municipal government, or an agency thereof;
(4) A request from a court that will serve as a substitute for the
personal court appearance of an officer or employee of the Department;
(5) A request from a foreign government or an agency thereof, or an
international organization.
(c) Documents are furnished without charge or at a reduced charge, if
the Assistant Secretary of Administration or the Administrator
concerned, as the case may be, determines that waiver or reduction of
the fee is in the public interest, because furnishing the information
can be considered as primarily benefiting the general public.
(d) When records are maintained in computer-readable form rather than
human-readable form, one printed copy is made available which has been
translated to human-readable form without a charge for translation but
in accordance with Sec. 10.75(g), regarding computer line-printed
charges.
Subpart I--Criminal Penalties
Sec. 10.81 Improper disclosure.
Any officer or employee of the Department who by virtue of his or her
employment or official position, has possession of, or access to, agency
records which contain individually identifiable information the
disclosure of which is prohibited by this part and who knowing that
disclosure of the specific material is so prohibited, willfully
discloses the material in any manner to any person or agency not
entitled to receive it, is guilty of a misdemeanor and fined not more
than $5,000 in accordance with 5 U.S.C. 552a(i)(1).
Sec. 10.83 Improper maintenance of records.
Any officer or employee of the Department who willfully maintains a
system of records without meeting the notice requirements of
Sec. 10.21(d) of this part is guilty of a misdemeanor and fined not more
than $5,000 in accordance with 5 U.S.C. 552a(i)(2).
Sec. 10.85 Wrongfully obtaining records.
Any person who knowingly and willfully requests or obtains any record
concerning an individual from the Department under false pretenses is
guilty of a misdemeanor and fined not more than $5,000 in accordance
with 5 U.S.C. 552a(i)(3).
Pt. 10, App. A
Appendix A to Part 10--Exemptions
Part I. General Exemptions
Those portions of the following systems of records that consist of (a)
Information compiled for the purpose of identifying individual criminal
offenders and alleged offenders and consisting only of identifying data
and notations of arrests, the nature and disposition of criminal
charges, sentencing, confinement, release, and parole and probation
status; (b) information compiled for the purpose of a criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or (c) reports identifiable
to an individual compiled at any stage of the process of enforcement of
the criminal laws from arrest or indictment through release from
supervision, are exempt from all parts of 5 U.S.C. 552a except
subsections (b) (Conditions of disclosure); (c) (1) and (2) (Accounting
of certain disclosures); (e)(4) (A) through (F) (Publication of
existence and character of system); (e)(6) (Ensure records are accurate,
relevant, timely, and complete before disclosure to person other than an
agency and other than pursuant to a Freedom of Information Act request),
(7) (Restrict recordkeeping on First Amendment rights), (9) (Rules of
conduct), (10) (Safeguards), and (11) (Routine use publication); and (i)
(Criminal penalties):
A. The Investigative Records System maintained by the Assistant
Inspector General for Investigations, Office of the Inspector General,
Office of the Secretary (DOT/OST 100).
B. Police Warrant Files and Central Files maintained by the Federal
Aviation Administration (DOT/FAA 807).
C. Law Enforcement Information System, maintained by the Office of Law
Enforcement and Defense Operations, U.S. Coast Guard (DOT/CG 613).
D. Investigations and Security Investigative Case Systems, maintained
by the Investigations and Security Division, U.S. Coast Guard (DOT/CG
611).
E. The Investigative Records System maintained by the Federal Aviation
Administration regarding criminal investigations conducted by offices of
Investigations and Security at headquarters and FAA Regional and Center
Security Divisions (DOT/FAA 815).
F. Joint Maritime Intelligence Element (JMIE) Support System,
maintained by the Operations Systems, Center, US Coast Guard (DOT/CG
642).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest by not only DOT but also the
recipient agency, thereby permitting the record subject to take
appropriate measures to impede the investigation, as by destroying
evidence, intimidating potential witnesses, fleeing the area to avoid
the thrust of the investigation, etc.
2. From subsections (d), (e)(4) (G) and (H), (f), and (g), because
granting an individual access to investigative records, and granting
him/her rights to amend/contest that information, interfere with the
overall law enforcement process by revealing a pending sensitive
investigation, possibly identify a confidential source, disclose
information that would constitute an unwarranted invasion of another
individual's personal privacy, reveal a sensitive investigative
technique, or constitute a potential danger to the health or safety of
law enforcement personnel.
3. From subsection (e)(1), because it is often impossible to determine
relevancy or necessity of information in the early stages of an
investigation. The value of such information is a question of judgement
and timing: what appears relevant and necessary when collected may
ultimately be evaluated and viewed as irrelevant and unnecessary to an
investigation. In addition, DOT may obtain information concerning the
violation of laws other than those within the scope of its jurisdiction.
In the interest of effective law enforcement, DOT should retain this
information because it may aid in establishing patterns of unlawful
activity and provide leads for other law enforcement agencies. Further,
in obtaining evidence during an investigation, information may be
provided to DOT that relates to matters incidental to the main purpose
of the investigation but that may be pertinent to the investigative
jurisdiction of another agency. Such information cannot readily be
identified.
4. From subsection (e)(2), because in a law enforcement investigation
it is usually counterproductive to collect information to the greatest
extent practicable directly from the subject of the information. It is
not always feasible to rely upon the subject of an investigation as a
source for information that may implicate him/her in illegal activities.
In addition, collecting information directly from the subject could
seriously compromise an investigation by prematurely revealing its
nature and scope, or could provide the subject with an opportunity to
conceal criminal activities, or intimidate potential sources, in order
to avoid apprehension.
5. From subsection (e)(3), because providing such notice to the
subject of an investigation, or to other individual sources, could
seriously compromise the investigation by prematurely revealing its
nature and scope, or could inhibit cooperation, permit the subject to
evade apprehension, or cause interference with undercover activities.
Part II. Specific Exemptions
A. The following systems of records are exempt from subsection (c)(3)
(Accounting of Certain Disclosures), (d) (Access to Records), (e)(4)
(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) of 5
U.S.C. 552a, to the extent that they contain investigatory material
compiled for law enforcement purposes in accordance with 5 U.S.C.
552a(k)(2):
1. Investigative Record System (DOT/FAA 815) maintained by the Federal
Aviation Administration at the Office of Civil Aviation Security in
Washington, DC; the FAA regional Civil Aviation Security Divisions; the
Civil Aviation Security Division at the Mike Monroney Aeronautical
Center in Oklahoma City, Oklahoma; the FAA Civil Aviation Security Staff
at the FAA Technical Center in Atlantic City, New Jersey; and the
various Federal Records Centers located throughout the country.
2. FHWA Investigations Case File System, maintained by the Office of
Program Review and Investigations, Federal Highway Administration (DOT/
FHWA 214).
3. FHWA Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases, maintained by the Bureau of Motor Carrier Safety, Federal Highway
Administration (DOT/FHWA 204).
4. Recreational Boating and Law Enforcement Cases (DOT/CG 505),
maintained by the Office of Boating Safety, U.S. Coast Guard.
5. Port Safety Reporting System--Individual Violation Histories (DOT/
CG 561), maintained by the Office of Marine Environment and Systems,
U.S. Coast Guard.
6. Merchant Vessel Casualty Reporting System (DOT/CG 590), maintained
by the Office of Merchant Marine Safety, U.S. Coast Guard.
7. U.S. Merchant Seaman's Records (DOT/CG 589), maintained by the
Office of Merchant Marine Safety, U.S. Coast Guard.
8. Intelligence and Security Investigative Case Systems (DOT/CG 611),
maintained by the Office of Operations, U.S. Coast Guard.
9. Port Security Case System (DOT/CG 612), maintained by the Office of
Operations, U.S. Coast Guard.
10. DOT/NHTSA Investigations of Alleged Misconduct or Conflict of
Interest, maintained by the Associate Administrator for Administration,
National Highway Traffic Safety Administration (DOT/NHTSA 458).
11. Investigations of Violations of Marine Safety Laws (DOT/CG 587),
maintained by the Office of Merchant Marine Safety, U.S. Coast Guard.
12. Civil Aviation Security System (DOT/FAA 813), maintained by the
Office of Civil Aviation Security Policy and Planning, Federal Aviation
Administration.
13. Law Enforcement Information System, maintained by the Office of
Law Enforcement and Defense Operations, U.S. Coast Guard (DOT/CG 613).
14. Joint Maritime Intelligence Element (JMIE) Support System,
maintained by the Operations Systems, Center, US Coast Guard (DOT/CG
642).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest by not only DOT but also the
recipient agency, thereby permitting the record subject to take
appropriate measures to impede the investigation, as by destroying
evidence, intimidating potential witnesses, fleeing the area to avoid
the thrust of the investigation, etc.
2. From subsections (d), (e)(4) (G) and (H), (f), and (g), because
granting an individual access to investigative records, and granting
him/her rights to amend/disagree with that information, interfere with
the overall law enforcement process by revealing a pending sensitive
investigation, possibly identify a confidential source, disclose
information that would constitute an unwarranted invasion of another
individual's personal privacy, reveal a sensitive investigative
technique, or constitute a potential danger to the health or safety of
law enforcement personnel.
B. The following systems of records are exempt from subsections (c)(3)
(Accounting of Certain Disclosures) and (d) (Access to Records) of 5
U.S.C. 552a, in accordance with 5 U.S.C. 552a(k)(2):
1. General Air Transportation Records on Individuals, maintained by
various offices in the Federal Aviation Administration (DOT/FAA 847).
2. Investigative Records System, maintained by the Assistant Inspector
General for Investigations in the Office of the Inspector General (DOT/
OST 100).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning him/her
would reveal investigative interest by not only DOT but also the
recipient agency, thereby permitting the record subject to take
appropriate measures to impede the investigation, as by destroying
evidence, intimidating potential witnesses, fleeing the area to avoid
the thrust of the investigation, etc.
2. From subsection (d), because granting an individual access to
investigative records could interfere with the overall law enforcement
process by revealing a pending sensitive investigation, possibly
identify a confidential source, disclose information that would
constitute an unwarranted invasion of another individual's personal
privacy, reveal a sensitive investigative technique, or constitute a
potential danger to the health or safety of law enforcement personnel.
C. The system of records known as the Alaska Railroad Examination of
Operating Personnel, maintained by the Alaska Railroad, Federal Railroad
Administration (DOT/FRA 100), is exempt from the provisions of
subsection (d) of 5 U.S.C. 552a. The release of these records would
compromise their value as impartial measurement standards for
appointment and promotion within the Federal Service.
D. Those portions of the following systems of records consisting of
investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, or access to classified information or
used to determine potential for promotion in the armed services, are
exempt from sections (c)(3) (Accounting of Certain Disclosures), (d)
(Access to Records), (e)(4) (G), (H), and (I) (Agency Requirements), and
(f) (Agency Rules) of 5 U.S.C. 552a to the extent that disclosure of
such material would reveal the identity of a source who provided
information to the Government under an express or, prior to September
27, 1975, an implied promise of confidentiality (5 U.S.C. 552a(k) (5)
and (7)):
1. Investigative Records System, maintained by the Assistant Inspector
General for Investigations in the Office of the Inspector General (DOT/
OST 100).
2. Intelligence and Security Investigative Case System (DOT/CG 611),
maintained by the Office of Operations, U.S. Coast Guard.
3. Officer Selection and Appointment System (DOT/CG 625), maintained
by the Office of Personnel, U.S. Coast Guard.
4. Official Officer Service Records (DOT/CG 626), maintained by the
Office of Personnel, U.S. Coast Guard.
5. Enlisted Recruiting Selection Record System maintained by the
Office of Personnel, U.S. Coast Guard.
6. Officer, Enlisted, and Recruiting Selection Test Files (DOT/CG
628), maintained by the Office of Personnel, U.S. Coast Guard.
7. Enlisted Personnel Record System, (DOT/CG 629), maintained by the
Office of Personnel, U.S. Coast Guard.
8. Coast Guard Personnel Security Program (DOT/CG 633), maintained by
the Office of Personnel, U.S. Coast Guard.
9. Official Coast Guard Reserve Service Record System (DOT/CG 676),
maintained by the Office of Reserve, U.S. Coast Guard.
10. Investigative Record System, maintained by the Federal Aviation
Administration at FAA Regional and Center Air Transportation Security
Divisions; the Investigations and Security Division, Aeronautical
Center; and Office of Investigations and Security, Headquarters,
Washington, D.C. (DOT/FAA 815).
11. Military Training and Education Records (DOT/CG 622), maintained
by the Office of Personnel, U.S. Coast Guard.
12. Files pursuant to suitability for employment with National Highway
Traffic Safety Administration (DOT/NHTSA-457) containing confidential
investigatory reports.
The purpose of these exemptions is to prevent disclosure of the
identities of sources who provide information to the government
concerning the suitability, eligibility, or qualifications of
individuals for Federal civilian employment, contracts, access to
classified information, or appointment or promotion in the armed
services, and who are expressly or, prior to September 27, 1975, implied
promised confidentiality (5 U.S.C. 552a(k) (5) and (7)).
E. Those portions of the following systems of records consisting of
testing or examination material used solely to determine individual
qualifications for appointment or promotion in the Federal Service are
exempt from subsections (c)(3) (Accounting of Certain Disclosures), (d)
(Access to Records), (e)(4) (G), (H) and (I) (Agency Requirements), and
(f) (Agency Rules) of 5 U.S.C. 552a:
1. Officer, Enlisted and Recruiting Selection Test Files (DOT/CG 628),
maintained by the Office of Personnel, U.S. Coast Guard.
2. Official Coast Guard Reserve Service Record System (DOT/CG 676),
maintained by the Office of Reserve, U.S. Coast Guard.
3. Military Training and Education Records (DOT/CG 622), maintained by
the Office of Personnel, U.S. Coast Guard.
4. Reference Files (DOT/NHTSA 457), maintained by the National Highway
Traffic Safety Administration personnel offices to determine fitness for
employment prior to hiring.
The purpose of these exemptions is to preserve the value of these
records as impartial measurement standards for appointment and promotion
within the Federal service.
F. Those portions of the following systems of records which consist of
information properly classified in the interest of national defense or
foreign policy in accordance with 5 U.S.C. 552(b)(1) are exempt from
sections (c)(3) (Accounting of Certain Disclosures), (d) (Access to
Records), (e)(4) (G), (H) and (I) (Agency Requirements), and (f) (Agency
Rules) of 5 U.S.C. 552a:
1. Investigative Record System maintained by the Assistant Inspector
General for Investigations in the Office of the Inspector General (DOT/
OST 100).
2. Personnel Security Records System, maintained by the Office of
Investigations and Security, Office of the Secretary (DOT/OST 016).
3. Civil Aviation Security System (DOT/FAA 813), maintained by the
Office of Civil Aviation Security, Federal Aviation Administration.
4. Joint Maritime Intelligence Element (JMIE) Support System,
maintained by the Operations Systems Center, US Coast Guard (DOT/CG
642).
The purpose of these exemptions is to prevent the disclosure of
material authorized to be kept secret in the interest of national
defense or foreign policy, in accordance with 5 U.S.C. 552(b)(1) and
552a(k)(1).
G. Those portions of the following systems of records which consist of
information properly classified in the interest of national defense or
foreign policy in accordance with 5 U.S.C. 552a(b)(1) are exempt from
subsections (c)(3) (Accounting of Certain Disclosures) and (d) (Access
to Records) of 5 U.S.C. 552a:
1. Investigative Record System (DOT/FAA 815) maintained by the Federal
Aviation Administration at the Office of Civil Aviation Security in
Washington, DC; the FAA regional Civil Aviation Security Divisions; the
Civil Aviation Security Division at the Mike Monroney Aeronautical
Center in Oklahoma City, Oklahoma; the FAA Civil Aviation Security Staff
at the FAA Technical Center in Atlantic City, New Jersey; and the
various Federal Records Centers located throughout the country.
The purpose of these exemptions is to prevent the disclosure of
material authorized to be kept secret in the interest of national
defense or foreign policy, in accordance with 5 U.S.C. 552(b)(1) and
552a(k)(1).
[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 1993; 59
FR 13662, Mar. 23, 1994; 60 FR 43983, Aug. 24, 1995]
Pt. 10, App. B
Appendix B--Office of the Secretary
1. Introduction. This appendix, with respect to the Office of the
Secretary:
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained in the Office of the
Secretary;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction of
a record; and
e. Describes identification requirements which may be in addition to
those delineated in Sec. 10.35 of these regulations.
An individual requiring assistance, concerning this appendix or
systems maintained in the Office of the Secretary, may contact the
Privacy Act Officer, or Privacy Act Coordinator, Office of the Assistant
Secretary for Administration, M-20, 400 Seventh Street, SW, Washington,
DC 20590.
2. Availability for Inspection and Copying.
a. Records in systems maintained in the Office of the Secretary (OST)
are available at 400 Seventh Street SW, Washington, DC, except where
otherwise noted:
(1) Records are maintained at 2100 Second Street SW, Washington, DC,
for the following systems:
(a) DOT/OST 011 Discrimination Complaint Investigative Files;
(b) DOT/OST 042 Technical Pipeline Safety Standards Committee.
(2) DOT/OST 013 Employee Management Files: Records for the employees
at each location are located as delineated in the system notice.
(3) DOT/OST 015 Funds Management Records: Central records are
maintained at 400 Seventh Street SW, Washington, DC. Records for the
applicable region are maintained in the office of each of the eleven
Regional Emergency Transportation Coordinators, as delineated in the
system notice.
(4) DOT/OST 022 National Defense Executive Reserve File: Complete
records are maintained at 400 Seventh Street SW, Washington, DC.
Applicable records are maintained in a wide variety of field offices as
delineated in the system notice.
(5) DOT/OST 028 Personnel Convenience Files: Employee records
applicable to the Complaints Division of the Office of Civil Rights of
the Office of the Secretary are located at 2100 Second Street SW,
Washington, DC. All other records are located at 400 Seventh Street SW,
Washington, DC.
(6) DOT/OST 043 Telephone Directory and Locator System: Records are
stored on magnetic tape at 13 Massachusetts Avenue NW, Washington, DC.
However, access is controlled by the System Manager: Chief, Accounting
Operations Center, Room 2228, 400 Seventh Street SW, Washington, DC.
(7) DOT/OST 048 Transportation Research Activities Information System:
Records are stored on magnetic tape at the Transportation Systems
Center, Cambridge, Massachusetts. Individuals desiring access to their
own personal data should contact the System Manager: Chief, Resources
Management Division, DPA-20, Department of Transportation, 400 Seventh
Street SW, Washington, DC.
(8) DOT/OST 049 Transportation Research Information System: Records
are maintained on magnetic tape at the Battelle Laboratories, Columbus,
Ohio. Individuals desiring access to their own personal data should
contact the System Manager: Chief, Resources Management Division, DPA-
20, Department of Transportation, 400 Seventh Street SW, Washington, DC.
(9) DOT/OST 050 Executive Team Cadre Listings: Records are maintained
at 400 Seventh Street SW, Washington, DC, and at the offices of the
Regional Emergency Transportation Coordinators, as delineated in the
system notice.
(10) Records are maintained at the Transportation Systems Center,
Kendall Square, Cambridge, Massachusetts, for the following systems:
(a) DOT/TSC 700 Automated Management Information Systems;
(b) DOT/TSC 701 Employee Travel Records;
(c) DOT/TSC 702 Legal Counsel Information Files;
(d) DOT/TSC 703 Occupational Safety and Health Reporting System;
(e) DOT/TSC 704 Stand-by Personnel Information;
(f) DOT/TSC 706 Automated Planning System;
(g) DOT/TSC 707 Automated Manpower Distribution System;
(h) DOT/TSC 708 Combined Federal Campaign Information;
(i) DOT/TSC 709 Minority Information Files;
(j) DOT/TSC 711 Blood Donor Information File;
(k) DOT/TSC 712 Automated Payroll/Personnel/Communications/Security
System;
(l) DOT/TSC 713 Employee Payroll-Manpower Distribution System;
(m) DOT/TSC 714 Health Unit Employee Medical Records;
(n) DOT/TSC 715 Bi-Weekly Personnel Status Report.
b. Records are available for inspection and copying at the applicable
locations delineated above between the hours of 9 a.m. and 5:30 p.m.,
except Saturdays, Sundays, and holidays. Access to certain records may
be restricted in accordance with exemptions applied and noticed in
accordance with sections 3 (j) and (k) of the Privacy Act of 1974.
Individuals desiring access to their own records should follow the
instructions contained in the system notice published for each system of
records. Requests for access shall be submitted to the System Manager
having responsibility for the system in which the records are
maintained, unless the system notice describing the system prescribes or
permits submission to some other official or officials.
3. Systems of Records. A compilation of notices describing the systems
of records maintained in the Department of Transportation is published
annually in the Federal Register. The notices describing the systems
maintained in the Office of the Secretary are published in a block
within the overall compilation and each is identified by a three-digit
number preceded by the acronym, OST; e.g., OST 013 (except those
maintained at the Transportation Systems Center which uses the acronym,
TSC; e.g., TSC 701). The basic compilation of system notices, for
systems subject to the Privacy Act of 1974, which are maintained in the
Office of the Secretary, is published in the Federal Register annually.
4. Access to Records. Requests for access to records are processed in
accordance with the rules provided in subpart D of these regulations.
a. A request from an individual for access to a record pertaining to
such individual is granted promptly unless:
(1) The record was compiled in reasonable anticipation of a civil
action or proceeding; or
(2) The system of records is one which has been exempted from the
notification and access provisions of the Privacy Act by rulemaking; or
(3) The record is not part of a system of records required to be
noticed in accordance with the provisions of the Privacy Act and is not
otherwise required to be made available by a law or regulation; or
(4) The System Manager or other cognizant official determines that the
particular circumstances justify denial of access; or
(5) The information requested is contained in and is inseparable from
another individual's record.
b. When information sought from a system of records in the Office of
the Secretary includes information that has been furnished by an
operating element of the Department or by another agency, as the case
may be, the Systems Manager or other cognizant official consults the
operating element or the other agency, as the case may be, before
granting access. If referral of the request to the operating element or
the other agency, as the case may be, will provide a more expeditious
decision with resulting probable access, the request may be referred to
the operating element or the other agency, as the case may be, but the
requester is notified of the referral.
c. When a Systems Manager or other cognizant official in the Office of
the Secretary determines that a request for access should be denied, the
request and the reason(s) for the determination are referred to the
Assistant Secretary for Administration for decision. In the event of a
decision to deny access, the Office of the Assistant Secretary for
Administration notifies the requester in writing in accordance with
section 10.51 of these regulations.
5. Requests To Correct or Alter Records. An individual may request
that a record pertaining to such individual be amended to correct any
portion thereof which such individual believes is not accurate,
relevant, timely, or complete.
a. A request to amend a record must:
(1) Be in writing and signed by the individual to whom the record
pertains;
(2) Be clearly marked ``Request for Amendment of Record'';
(3) Contain a statement that the request is being made under the
provisions of the Privacy Act of 1974;
(4) Contain the name and address of the individual making the request;
(5) Specify the name and location of the systems of records, as set
forth in the system notice, in which the record is maintained;
(6) Specify the title and business address of the official designated
in the ``Contesting Record Procedures'' paragraph of the applicable
system notice;
(7) Specify the particular record in the system which the individual
is seeking to amend;
(8) Clearly state the specific changes which the individual wishes to
make in the record and a concise explanation of the reason for the
changes. If the individual wishes to correct or add any information, the
request shall contain specific language making the desired correction or
addition; and
(9) Be addressed to or delivered in person to the office of the
official designated in the ``Contesting Records Procedures'' paragraph
of the applicable system notice. A request delivered to an office in
person must be delivered during the regular office hours of that office.
6. Personal Identification Requirements. Generally, the identification
rules in section 10.35 of these regulations apply to systems maintained
in the Office of the Secretary. In addition, specific requirements for
some systems are delineated below:
a. The notarized signature of the requester is required for requests
by mail for notification and access to records in the following systems:
(1) OST 001 General Employee Records System;
(2) OST 030 Personal Management Convenience Files.
Note: An individual's social security number is an optional means of
identification, which may be supplied in lieu of notarization. Social
security numbers are used on these records as authorized under the
provisions of Executive Order 9397, dated November 22, 1943.
b. The notarized signature of the requester is required for requests
by mail for notification and access to records in the following systems:
(1) OST 006 Confidential Statement of Employment and Financial
Interests; and
(2) OST 037 Records of Confirmation Proceeding Requirements.
c. The number of the Federal Emergency Assignee Identification Card
(SF 138) issued to the requester is required for requests by mail for
notification and access to records in the following systems:
(1) OST 022 National Defense Executive Reserve File;
(2) OST 036 Planning Officials for Emergency Functions and;
(3) OST 050 Executive Team Cadre Listings.
d. The name of the applicable advisory committee is required for
notification and access to records in the following system: OST 008
Departmental Advisory Committee Files.
Pt. 10, App. C
Appendix C--U.S. Coast Guard
1. Introduction. This appendix supplements the procedures set forth
for the Department of Transportation in subparts A through I of 49 CFR
part 10.
2. Availability for Inspection and Copying.
a. Individuals who wish the Coast Guard to examine a system of records
covered by this part to determine whether any records in the system
contain information about them or who wish to gain access to or receive
copies of records which contain information about them, should address
written requests either to the appropriate system manager as listed in
the annual description of Coast Guard record systems appearing in the
Federal Register or to: Commandant (G-CMA), U.S. Coast Guard
Headquarters, 400 Seventh Street SW., Washington, DC 20590. Requests may
also be delivered in person to the above address between 7:30 a.m. and 4
p.m. (Monday through Friday, excluding holidays).
b. The Coast Guard acknowledges requests for notification of the
existence of a record within ten working days (excluding Saturdays,
Sundays and holidays) after receipt of a completed request. The Coast
Guard makes every effort within 30 days of the receipt of a request for
access to a record to:
(1) Make the record available;
(2) Notify the requester of the need for additional information; or
(3) Notify the requester of any denial, either in whole or in part, of
access to a record. Para. 3 of this appendix sets forth the addresses of
Coast Guard district offices and headquarters units where records in
decentralized systems may be located.
3. Systems of Records. The annual notice of systems of records
required by 5 U.S.C. 552a(e)(4) with respect to records maintained by
the Coast Guard is set forth in the Federal Register. Assistance may be
requested in exercising his or her rights by an individual addressing
the Privacy Act Coordinator at one of the following U.S. Coast Guard
offices nearest his residence:
a. Commander, 1st Coast Guard District, 150 Causeway Street, Boston,
MA 02114.
b. Commander, 2nd Coast Guard District, Federal Building, 1520 Market
Street, St. Louis, MO 63013.
c. Commander, 3rd Coast Guard District, Governors Island, New York, NY
10004.
d. Commander, 5th Coast Guard District, Federal Building, 431 Crawford
Street, Portsmouth, VA 23705.
e. Commander, 7th Coast Guard District, Federal Building, 51 SW 1st
Avenue, Miami, FL 33130.
f. Commander, 8th Coast Guard District, Customhouse, New Orleans, LA
70130.
g. Commander, 9th Coast Guard District, 1240 East 9th Street,
Cleveland, OH 44199.
h. Commander, 11th Coast Guard District, Heartwell Building, 19 Pine
Avenue, Long Beach, CA 90802.
i. Commander, 12th Coast Guard District, 630 Sansome Street, San
Francisco, CA 94126.
j. Commander, 13th Coast Guard District, Federal Building, 915 Second
Avenue, Seattle, WA 98174.
k. Commander, 14th Coast Guard District, PO Box 48, FPO San Francisco
96610.
l. Commander, 17th Coast Guard District, FPO Seattle 98771.
m. Superintendent, U.S. Coast Guard Academy, New London, CT 06320.
n. Commanding Officer, U.S. Coast Guard Yard, Curtis Bay, Baltimore,
MD 21225.
o. Commanding Officer, U.S. Coast Guard Training Center, Governors
Island, New York, NY 10004.
p. Commanding Officer, U.S. Coast Guard Training Center, Cape May, NJ
08204.
q. Commanding Officer, U.S. Coast Guard Training Center, Government
Island, Alameda, CA 94501.
r. Commanding Officer, U.S. Coast Guard Supply Center, 830 3rd Avenue,
Brooklyn, NY 11232.
s. Commanding Officer, U.S. Coast Guard Institute, PO Substation 18,
Oklahoma City, OK 73169.
t. Commanding Officer, U.S. Coast Guard Aircraft Repair & Supply
Center, Elizabeth City, NC 27909.
u. Commanding Officer, U.S. Coast Guard Aviation Training Center,
Mobile, AL 36608.
v. Commanding Officer, U.S. Coast Guard Radio Station (NMH), 7223
Telegraph Road, Alexandria, VA 22310.
w. Commanding Officer, U.S. Coast Guard Reserve Training Center,
Yorktown, VA 23490.
x. Officer in Charge, Record Depot, U.S. Coast Guard Air Station,
Elizabeth City, NC 27909.
y. Commander, Coast Guard Activities, Europe, London, Box 50, FPO New
York 09510.
z. Commanding Officer, U.S. Coast Guard Training Center, Petaluma, CA
94952.
aa. Commander, U.S. Coast Guard Air Base, Elizabeth City, NC 27909.
bb. Commanding Officer, U.S. Coast Guard Electronics, Engineering
Center, Wildwood, NJ 08260.
cc. Commanding Officer, Research & Development Center, Avery Point,
Groton, CT 06340.
dd. Commanding Officer, U.S. Coast Guard Oceanographic Unit, Building
159E, Navy Yard Annex, Washington, DC 20590.
4. Access to Records.
a. The Coast Guard honors only those requests for notification,
access, or amendment made by:
(1) The individual to whom the record pertains;
(2) The parent or guardian of a minor to whom the record pertains;
(3) The legal guardian of a person to whom the record pertains when
that person has been declared incompetent by reason of physical or
mental disability by a court having jurisdiction of the matter; or
If made by a person other than the individual to whom the record
pertains, the request must specify the relationship of the requester to
that individual.
b. Written requests for information or amendment must be signed by the
requester. Requests for access to records containing sensitive or
detailed personnel information (including, but not limited to, earnings
and tax statements, employee payroll records, employee grievance and
appeal files, civilian, officer, and enlisted personnel files, and
health and medical records (subject to the conditions of 49 CFR 10.33
(b)) may be required to contain the following notarized certification:
I, ----------, do hereby certify that I am the individual to whom the
record in question pertains.
(or)
I am the parent or guardian of the minor to whom the record in
question pertains.
(or)
I am the legal guardian of the individual determined by a court to be
incompetent to whom the record in question pertains.
-------------------------------
(Notarization)
(Signature)
(Date)
5. Requests to Correct or Alter Records. The official responsible for
administering a system of records, in consultation as appropriate with
the System Manager, Privacy Act Coordinator, and Privacy Act Officer,
initially determines whether to grant requests under 49 CFR 10.41 to
amend records. Requests must be made as provided in paragraph 2a. of
this appendix. Requests for amendment must contain a complete
description of the item sought to be changed and documentation to
substantiate the grounds for the requested change. The Coast Guard
acknowledges the receipt of completed requests for amendment within ten
working days. As promptly as possible the Coast Guard advises the
requester whether or not the change has been made, and in cases where a
change has been made, transmits a copy of the amended record to the
requester.
a. When a request for access to a record or amendment of a record is
denied, in whole or in part, the manager of the system of records
involved notifies the requester in writing, of the reasons for the
denial and furnishes the requester a statement of the name and position
or title of each person responsible for the denial. The requester also
is advised of the right to file a written appeal of the adverse decision
within 180 days of receipt of the initial denial. Appeals must be
addressed to: Commandant (G-CMA), U.S. Coast Guard Headquarters, 400
Seventh Street, SW, Washington, DC 20590.
b. Within 30 working days of the receipt of a written appeal, the
Commandant or his designee makes an independent review of the record and
decides whether or not to make the requested disclosure or amendment. If
the appeal is granted, the Coast Guard promptly notifies the requester
of the decision in writing and transmits to the requester a copy of the
record or amended record. If the appeal is denied, the Coast Guard
promptly notifies the requester, in writing, of the reasons for the
denial and furnishes the requester a statement of the name and position
or title of each person responsible for the denial. The Coast Guard also
informs the requester of the right to seek judicial review of the
adverse decision pursuant to 5 U.S.C. 552a(g)(1).
c. In addition to appealing an adverse determination of a request to
amend a record, the requester may file a concise ``statement of
disagreement'' setting forth the reasons for disagreeing with the
refusal of the Coast Guard to amend the record. The notification by the
Coast Guard of the denial of an initial request for amendment or the
denial of an administrative appeal for an amendment informs the
requester of the right to file a statement of disagreement.
d. The Commandant of the Coast Guard, by Commandant Instruction
5212.11 ( September 26, 1975), has redelegated to the Chief of Staff the
authority under 49 CFR part 10 to:
(1) Exempt systems of records from certain provisions of the Privacy
Act;
(2) Make final administrative determinations not to disclose or amend
a record; and
(3) Issue extensions of review time.
This authority may not be redelegated further.
6. Personal Identification Requirements.
a. When an individual requests notification, access, or amendment in
person, he or she must show identification such as a driver's license,
military or employment identification card, credit card, or medicare
card. An individual requesting in person information about or amendment
to a ``sensitive'' record may be required to complete the notarized
certification set forth in paragraph 4.b of this appendix.
b. The Coast Guard may require more specific information in order to
establish the identify of a requester. For example, the Coast Guard may
require that a legal guardian or personal representative produce
certified copies of court documents appointing him to his position. The
Coast Guard may independently verify the identity of a requester by
telephone contact with the requester, personal identification by Coast
Guard employees who may know the requester, or any other lawful means
considered appropriate under the circumstances.
c. An individual may be accompanied by a person of the individual's
choosing while reviewing records to which he or she has been granted
access, provided that the individual signs a statement authorizing the
accompanying person to do so. An individual granted access to a record
may be required to sign and notarize a statement authorizing the Coast
Guard to release the record to a person (e.g., his attorney) designated
by the individual.
d. No request for information or amendment is considered complete
until all necessary identification material has been provided. No copies
of records are provided to individuals until they pay appropriate fees
as set forth in 49 CFR subpart H.
Pt. 10, App. D
Appendix D--Federal Aviation Administration
1. Introduction. This appendix:
a. Describes the procedures for determining if an individual is the
subject of a record maintained by the Federal Aviation Administration;
b. Describes the availability of records and prescribes requirements
for identifying an individual who requests a record pertaining to him or
her;
c. Prescribes procedures for granting access to an individual upon
that individual's request for the record pertaining to him or her;
d. Prescribes procedures for reviewing a request from an individual
concerning the amendment of any record pertaining to him or her;
e. Prescribes procedures for making a determination on the request of
an individual for amendment of any record pertaining to him or her; and
f. Prescribes procedures for an appeal within the FAA of a
determination not to grant access to or amendment of records.
2. Availability for Inspection and Copying. Records may be inspected
at the FAA facility identified for the particular system of records
appearing in the systems notices published in the Federal Register.
These facilities are open to the public during regular business hours,
except Saturdays, Sundays, and Federal holidays.
3. Systems of Records.
a. A list of FAA systems of records pertaining to the Privacy Act
indicating the geographic locations and the responsible systems managers
has been published in the Federal Register and appears as follows:
(1) September 19, 1977, on pages 47069-47088,
(2) August 28, 1978, on page 38511, and
(3) May 15, 1979, on pages 28439-28447.
b. Any individual who is unable to determine in which FAA-maintained
system the records pertaining to him or her may be found may submit a
written request for assistance to the attention of the Privacy Act
Coordinator located at the region or center nearest to his residence.
The addresses for the regional and center facilities of the FAA are
listed below:
(1) FAA Headquarters, 800 Independence Avenue SW, Washington, DC 20591;
(2) Alaskan Region, 632 Sixth Avenue, Anchorage, Alaska 99501;
(3) Central Region, 601 East 12th Street, Kansas City, MO 64106;
(4) Southern Region, 3400 Norman Berry Drive, East Point, Georgia 30344
(Mail Address: PO Box 20636, Atlanta, Georgia 30320);
(5) Southwest Region, 4400 Blue Mound Road, Fort Worth, Texas 76193-
0000;
(6) Western-Pacific Region, 15000 Aviation Boulevard, Hawthorne,
California (Mail Address: PO Box 92007, World Postal Center, Los
Angeles, California 90009);
(7) Eastern Region, JFK International Airport, Fitzgerald Federal
Building, Jamaica, New York 11430;
(8) Mike Monroney Aeronautical Center, 6500 South MacArthur (Mail
Address: PO Box 25082), Oklahoma City, Oklahoma 73125;
(9) Technical Center, Atlantic City International Airport, New Jersey
08405;
(10) New England Region, 12 New England Executive Park, Burlington,
Massachusetts 01803;
(11) Great Lakes Region, O'Hare Lake Office Center, 2300 East Devon
Avenue, Des Plaines, Illinois 60018; and
(12) Northwest Mountain Region, 1601 Lind Avenue, SW, Renton, Washington
98055-4056.
4. Access to Records.
a. Any individual desiring to inspect a record or obtain a copy of a
record pertaining to him or her must present a written request in
accordance with the provisions of this section. An individual making a
request under this section may either appear in person or submit a
request by mail to the address and attention of the system manager as it
appears in the list of systems of records published in the Federal
Register. The individual must first determine in which system of records
he or she believes the particular records pertaining to him or her are
maintained by examining the categories of records and routine uses in
the list of the systems of records published in the Federal Register and
available at the addresses set forth in paragraph 3.b of this appendix.
b. The individual must include in the request the information
necessary to identify the specific system of records as it appears in
the list of the systems of records of the FAA published in the Federal
Register.
c. Upon request by any individual to gain access to an FAA record that
contains information pertaining to him or her, the FAA official
responsible for the record informs the individual whether the requested
record is exempt under subpart G of this part.
d. An individual making a request under this section is permitted to
inspect and have a copy made of any record pertaining to him or her in a
form comprehensible to him or her, if:
(1) He or she has given identification in accordance with section 6 of
this appendix;
(2) The record is not exempt under subpart G of this part; and
(3) The record was not compiled in reasonable anticipation of a civil
action or proceeding. For medical records see Sec. 10.35(d).
e. Notwithstanding paragraph d of this section, if an individual
requesting a record pertaining to him or her is accompanied by a person
of his or her own choosing to review the record, the individual making
the request must submit a signed statement authorizing the discussion of
the record in the presence of the accompanying person.
f. Each request for a record determined to be releasable under
paragraph d of this section is complied with within ten days, excluding
Saturdays, Sundays, and Federal holidays. If additional time is
necessary to make the requested record comprehensible to the individual
requesting it, the FAA official responsible for the record notifies the
individual within ten days of the request of the estimated time required
to fill the request.
g. Any individual whose request for access to a record pertaining to
him or her is denied may file a written appeal to the Administrator,
Federal Aviation Administration, 800 Independence Avenue SW, Washington,
DC 20591. Appeals submitted under this section must comply with the
requirements of Sec. 10.51 of this part.
5. Requests to Correct or Alter Records.
a. Any individual may request an amendment of any record pertaining to
him or her maintained by the FAA in a system of records, by submitting
the request in writing to the attention of the FAA official responsible
for the record at the address appearing in the list of systems of
records published in the Federal Register.
b. Each request for an amendment of a record must be accompanied by a
written explanation as to why the individual believes the present record
is not accurate, timely, relevant, or complete. The individual making
the request may submit any documentation he or she wishes in support of
his request.
c. Upon receipt of a request for an amendment of a record, the FAA
official responsible for the record reviews the record and supporting
documentation and determines if there is a sufficient basis upon which
to make a decision to make the requested amendment. In any case, the
request must be acknowledged within 10 days.
d. If the FAA official responsible for the record determines under
paragraph c. of this section that additional information is necessary
before a decision can be made as to whether to make the requested
amendment, the official notifies the individual making the request to
amend specifying what additional information is necessary.
e. If the FAA official responsible for the record determines that the
requested amendment should be made, the official amends the record,
notifies the individual making the request, and sends to that individual
a copy of the corrected record, as well as to other persons or agencies
to whom the record may have been disclosed (See 49 CFR 10.23(d)).
f. If the FAA official responsible for the record determines that the
requested amendment should be denied, the official forwards to his
supervisor the request for amendment with all supporting documentation
and reasons for the denial.
g. If the supervisor determines that the requested amendment should be
made, the supervisor follows the procedures in paragraph e. of this
section.
h. If the supervisor determines that the requested amendment should be
denied, the supervisor notifies the individual making the request of the
denial, the reasons therefor, and informs the individual of the FAA
procedures for appealing the denial.
i. Any individual whose request for correction or alteration of a
record pertaining to him or her is denied may file a written appeal to
the Administrator, Federal Aviation Administration, 800 Independence
Avenue SW, Washington, DC 20591. Appeals submitted under this section
must comply with the requirements of Sec. 10.51 of this part.
6. Personal Identification Requirements.
a. Each individual making a request under this appendix for a record
pertaining to him or her must present appropriate identification before
the requested record is released. Types of appropriate identification
include:
(1) For requests made in person, a driver's license or employee
identification card; and
(2) For requests made by mail, name (printed or typed, and signature)
and date of birth, or the unique identifier used in the system of
records.
b. If an individual cannot provide appropriate identification as
required in paragraph 6.a of this appendix, or if the record requested
is particularly sensitive, the FAA official responsible for the record
may require the individual to sign a statement certifying his or her
identity and understanding that knowingly and willfully to request or
obtain any record concerning an individual from the FAA under false
pretenses is a misdemeanor punishable by a fine of up to $5,000 as
provided in 5 U.S.C. 552a(i)(3).
[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 1993]
Pt. 10, App. E
Appendix E--Federal Highway Administration
1. Introduction. This appendix, with respect to the Federal Highway
Administration (FHWA);
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained in the FHWA;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction of
a record; and
e. Describes identification requirements which may be in addition to
those delineated in paragraph 10.35 of these regulations.
2. Availability for Inspection and Copy. Places and times at which
records are available for inspection and copying, and the system of
records and systems managers having authority at each place.
a. Headquarters: The Federal Highway Administration, 400 7th Street
SW, Washington, DC 20590. Time: 7:45 a.m.--4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Accounts Receivable DOT/FHWA-Chief General Ledger and Funds Control
Section.
2. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Occupational Safety Engineer.
3. Driver Waiver File (BMCS) DOT/FHWA--Chief, Driver Requirements
Branch.
4. Employee Utilization Monthly Report DOT/FHWA--Chief, Data Systems
Division.
5. Investigation Case File DOT/FHWA--Chief, Investigations and Special
Inquiry Division.
6. Medal of Honor File DOT/FHWA--Chief, Compliance Division.
7. Memorandum of Monthly Performance of Key Punch Operators DOT/FHWA--
Chief, TCC Operation (Groups A and B).
8. Motor Carrier Accident File (BMCS) Property and Passenger--Chief,
Accident Analysis Branch.
9. Occupational Safety and Health Accident Reporting System DOT/FHWA--
Occupational Safety Engineer.
10. Payroll Administration DOT/FHWA--Chief, Payroll and Employee
Records Section.
11. Personnel Records--(CSC Governmentwide) DOT/FHWA--Chief, Personnel
Programs Division.
12. Travel Advance File DOT/FHWA--Chief, Voucher Review and
Disbursement Section.
13. Travel Order (Change of Duty Station) DOT/FHWA--Chief, Voucher
Review and Disbursement Section.
14. University and Industry Programs Coding and Filing Systems DOT/
FHWA--Administrative Assistant--National Highway Institute.
15. Panel for Santa Monica Demonstration Project DOT/FHWA--Chief,
Urban Planning Division.
b. Regional Offices: Region 1--Federal Highway Administration, Leo W.
O'Brien Federal Building, Albany, New York 12207. Time: 8 a.m.-4:30 p.m.
Systems of Records and Responsible System Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License)-- DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement Cases
DOT/FHWA--Regional Counsel.
3. Travel Advance File-- DOT/FHWA Executive Officer, Region 3--Federal
Highway Administration, George H. Fallon Federal Office Building, 31
Hopkins Plaza, Baltimore, Maryland 21201. Time: 8 a.m.-4:30 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases-- DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA--Executive Officer, Region 4--Federal
Highway Administration, 1720 Peachtree Road, NW., Atlanta, Georgia
30309. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA Executive Officer, Region 5--Federal
Highway Administration, 18209 Dixie Highway, Homewood, Illinois 60430.
Time: 7:30 a.m.-4 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA--Executive Officer. Region 6--Federal
Highway Administration, 819 Taylor Street, Fort Worth, Texas 76102.
Time: 8 a.m.-4:30 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA--Executive Officer, Region 7--Federal
Highway Administration, 6301 Rockhill Road, Kansas City, Missouri 64131.
Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File--DOT/FHWA--Executive Officer. Region 8--Federal
Highway Administration, P.O. Box 25246, Denver Federal Building Center,
Denver, Colorado 80225. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Payroll Administration DOT/FHWA--Appropriate Finance Officer.
4. Travel Advance File--DOT/FHWA--Executive Officer. Region 9--Federal
Highway Administration, 2 Embarcadero Center, PO Box 7616, San
Francisco, California 94120. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License)--DOT/FHWA--
Executive Officer.
2. Motor Carrier Safety Proposed Civil and Criminal Enforcement
Cases--DOT/FHWA--Regional Counsel.
3. Travel Advance File DOT/FHWA--Executive Officer. Region 10--Federal
Highway Administration, 222 SW. Morrison Street, Portland, Oregon 97204.
Time: 8 a.m.-4:45 p.m.
Systems of Records and Responsible Systems Managers:
1. Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License)--DOT/FHWA--
Executive Officer.
2. Travel Advance File--DOT/FHWA--Executive Officer. Region 15--
Federal Highway Administration, 1000 North Glebe Road, Arlington,
Virginia 22201. Time: 7:45 a.m.-4:15 p.m.
Systems of Records and Responsible Systems Managers:
Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Executive Officer.
c. Division Offices (For location and hours of duty see 49 CFR part
7).
Systems of Records and Responsible Systems Managers:
Applications for U.S. Government Motor Vehicle Operator's
Identification Card (U.S. Government Drivers License) DOT/FHWA--
Administrative Managers.
3. Access to Records:
a. Each individual desiring to determine whether a record pertaining
to him or her is contained in a system of records, or desiring access to
such record, or to obtain a copy of such record, shall make request to
the appropriate System Manager. In appropriate circumstances, oral
requests are acted upon. Each request must specify the name of the
requesting individual and the system of records in which the subject
record is located or thought to be located.
4. Requests to Correct or Alter Records:
a. The FHWA allows individuals to request amendment of their personal
records to the extent that such amendment does not violate existing
statutes, regulations, or administrative procedures. Requests to amend
personnel records of active employees should be addressed to the
responsible system managers specified in paragraph 2 above.
b. The System Managers provide written acknowledgment of the receipt
of a request to amend a record to the individual within 10 days.
However, if the request can be reviewed, processed and the individual
notified of compliance or denial within the 10-day working period, no
acknowledgment is required.
c. If the System Manager agrees with an individual's request to amend
the person's record, the following steps are taken:
1. Correct the record accordingly,
2. Advise the individual in writing, and
3. If an accounting of disclosure has been made, advise all previous
recipients of the record of the fact that the correction was made and
the substance of the correction.
d. If the System Manager disagrees with all or any portion of the
request to amend a record, he or she:
1. Proceeds as described above with respect to those portions of the
record which will be amended.
2. Advises the individual of the refusal and the reason for not
amending a record, indicating the name and title or position of each
person responsible for the denial, and
3. Informs the individual of the right to appeal the decision not to
amend a record to: Associate Administrator for Administration, Federal
Highway Administration, Washington, DC 20590.
e. If after this review the FHWA refuses to amend the record on the
individual requested, the FHWA advises the individual:
1. Of the refusal and the reason for it,
2. Of the individual's right to file a concise statement of the
reasons for disagreeing with the decision of the FHWA,
3. The procedures for filing the statement of disagreement,
4. That the statement which is filed will be made available to anyone
to whom the record is subsequently disclosed, and
5. Of the individual's right to seek judicial review of the FHWA's
refusal to amend a record.
f. The final FHWA determination on the individual's request is
concluded within 30 days of the receipt of the appeal unless for good
cause shown, the Associate Administrator for Administration extends such
period. Such final administrative decision addresses all information and
arguments relied upon by the individual.
g. Each application for review by FHWA must indicate that it is an
appeal from a denial of a request made under the Privacy Act. The
envelope in which the application is sent should be marked prominently
with the words ``Privacy Act''.
If these requirements are not met, the time limits described in
Sec. 10.43 do not begin until the application has been identified by an
employee of the FHWA as an application under the Privacy Act and has
been received by the appropriate office.
h. The Associate Administrator for Administration may require the
person making a request to furnish additional information, or proof of
factual allegations, and may order other appropriate proceedings. His or
her decision as to the availability of a record or whether to amend a
record is administratively final subject to the concurrence of the DOT
General Counsel or his or her delegate. However, requests for review of
denials of information contained in Government-wide systems of personnel
records, which includes the FHWA Personnel Records System, are handled
by the Civil Service Commission in accordance with 5 CFR 294.108 and 5
CFR 297.108.
i. If the Associate Administrator for Administration also refuses to
grant access or to correct the individual's record, he or she advises
the individual of:
1. The reason(s) for the refusal and the names, and titles or
positions of each person responsible for the denial;
2. The individual's right to file a statement of disagreement; that
the statement will be made available to anyone to whom the record is
subsequently disclosed, and to prior recipients of the record (see
Sec. 10.23(d)), and
3. The right to bring suit in the District Court of the United States
in the district in which the individual resides, the district in which
his principal place of business is located, the district in which the
record(s) is located, or the District of Columbia.
5. Personal Identification Requirements:
a. When a record is applied for in person, the person so applying
must, unless personally known to the custodian of the records, furnish
adequate identification. Such identification may consist of an employee
identification card, Medicare Card, driver's license, or a similar
document.
b. When a record is applied for by mail, sufficient information to
identify the individual must be furnished, and a notarized statement as
to the identity of the requester may be required in some instances when
the record involved contains particularly sensitive information in the
judgment of the systems manager.
Pt. 10, App. F
Appendix F--Federal Railroad Administration
1. Introduction. This appendix, with respect to the Federal Railroad
Administration (FRA):
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained in the Federal Railroad
Administration;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction of
a record; and
e. Describes identification requirements which may be in addition to
those delineated in Sec. 10.35 of these regulations.
2. Availability for Inspection and Copying. Places and times at which
records are available for inspection and copying and the systems of
records and systems managers having authority to deny requests for
disclosure at each facility.
a. Records in systems maintained in the Federal Railroad
Administration are available at the Alaska Railroad, Anchorage, Alaska
99510, 9 a.m.-4 p.m.
Systems of Records and Responsible Systems Managers:
1. Alaska Railroad Examination of Operating Personnel; DOT/FRA
Operations Officer (System Manager).
2. Alaska Railroad Personnel and Pay Management Information System;
DOT/FRA--General Manager (System Manager).
3. Alaska Railroad Security and Freight Claims Investigatory Files;
DOT/FRA--Chief, Security and Claims Office (Systems Manager).
b. Places: The Alaska Railroad, Anchorage, Alaska 99510. Hours: 9
a.m.-4 p.m.
Systems of Records and Responsible Systems Managers:
1. Application for (Vehicle) Operator's Identification Card; DOT/FRA--
Director, Office of Administrative Operations (System Manager).
2. Confidential Statement of Employment and Financial Interest; DOT/
FRA--Chief Counsel, Office of the Chief Counsel (System Manager).
3. Employee Travel Records; DOT/FRA--Accounting Officer, Accounting
Division (System Manager).
4. Occupational Safety and Health Reporting System; DOT/FRA--FRA
Safety Manager, Office of Administrative Operations (System Manager).
5. Office of Safety Past Employees Files; DOT/FRA--Deputy Associate
Administrator for Safety (System Manager).
6. Personnel and Pay Management Information Systems; DOT/FRA--
Director, Office of Personnel and Training (System Manager).
7. Travel Advance Records; DOT/FRA--Director, Office of Administrative
Operations (System Manager).
8. Work Measurement System; DOT/FRA--Director, Office of Management
Systems.
c. Places: Regional Offices as follows:
Region 2, Federal Railroad Administration, Philadelphia, Pa. 19106.
Region 3, Federal Railroad Administration, College Park, Ga. 30337.
Region 4, Federal Railroad Administration, Chicago, Illinois 60605.
Region 5, Federal Railroad Administration, Ft. Worth, Texas 76102.
Region 6, Federal Railroad Administration, Portland, Oregon 97204.
Region 7, Federal Railroad Administration, San Francisco, California
94102.
Region 8, Federal Railroad Administration, Kansas City, Missouri 64106
Hours: 9 a.m.-4 p.m.
Systems of Records and Responsible Systems Managers at each Region:
Regional Personnel Convenience Files; DOT/FRA--Regional Directors
(Systems Manager)
d. Place: Transportation Test Center (TTC) Pueblo, Colorado 81001.
Hours: 9 a.m.-4 p.m.
System of Records and Responsible System Manager:
Transportation Test Center Employee Service Record File--Director, TTC
(System Manager)
Transportation Test Center Cost Tracking System--Director TTC (System
Manager)
3. Access to Records.
a. Each individual desiring to determine whether a record pertaining
to him or her is contained in a system of records or to obtain a copy of
such a record, shall make his request in writing to the appropriate
official listed as responsible system manager in this appendix. Each
request shall specify the name of the requesting individual and the
system of records in which the subject record is located or thought to
be located.
b. FRA allows individuals to request amendment of their personal
records to the extent that such amendment does not violate existing
statutes, regulations, or administrative procedures. Requests to amend
personal records of active employees should be addressed to the
responsible system managers specified in 2.3A-D.
c. The system managers provide written acknowledgment of the receipt
of a request to amend a record to the individual within ten days.
However, if the request can be reviewed, processed and the individual
notified of compliance or denial within the ten-day working period, no
acknowledgment is required.
d. If FRA agrees with an individual's request to amend the person's
record, the following steps are taken:
1. Advises the individual in writing;
2. Corrects the record accordingly; and
3. If a prior disclosure has been made, advises all previous
recipients of the record of the correction and its substance.
e. If FRA, after an initial review by the system manager of a request
to amend a personal record, disagrees with all or any portion of it,
FRA:
1. Advises the individual of refusal and the reasons for it;
2. Informs the individual of procedures to request a further review;
f. If an individual disagrees with the initial determination, the
individual may file a request for a further review of that
determination. The request for a review should be addressed to:
Attn: Privacy Act of 1974, Office of the Chief Counsel, Federal
Railroad Administration, Washington, DC 20590.
g. If after this review FRA refuses to amend the record as the
individual requested, FRA advises the individual:
1. Of refusal and the reasons for it;
2. Of the individual's right to file a concise statement of the
reasons for disagreeing with the decision of the Administration;
3. The procedures for filing the statement of disagreement;
4. That the statement which is filed will be made available to anyone
to whom the record is subsequently disclosed;
5. Of the individual's right to seek judicial review of the refusal to
amend a record.
h. The final FRA determination on the individual's request is
concluded within thirty (30) working days unless the FRA Administrator
determines that a fair and equitable review cannot be completed in that
time-frame. If additional time is required, the individual is informed
in writing of reasons for the delay and of the estimated date on which
the review is expected to be completed.
4. Procedures for Establishing Indentity of Individual Making a
Request:
a. Disclosure of personnel records requires that the individual
produce an identification card: employee identification, annuitant
identification, Medicare cards, or driver's license are examples. For
records disclosed by mail, FRA requires identifying information to
locate the record, i.e., employee identification number, name, date of
birth or social security number. A comparison of the signature of the
requester and those in the record is used to determine identity.
b. If an individual can provide no suitable documents for
identification, FRA requires a signed statement asserting identity and
stipulating that the individual understands that knowingly or willfully
seeking or obtaining access to records about another person under false
pretenses is punishable by a fine of up to $5,000 under 5 U.S.C.
552a(i)(3).
Pt. 10, App. G
Appendix G--National Highway Traffic Safety Administration
1. Introduction. This appendix, with respect to the National Highway
Traffic Safety Administration:
a. Describes the places and times at which records will be available
for inspection and copying;
b. Indicates the systems of records maintained in the National Highway
Traffic Safety Administration;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction of
a record; and
e. Describes identification requirements which may be in addition to
those delineated in Sec. 10.35 of these regulations.
2. Availability for Inspection and Copying. Records of the National
Highway Traffic Safety Administration, hereafter referred to as NHTSA,
are located at NHTSA headquarters, Washington, DC, and at regional
office locations, both described below. Records created, collected,
maintained and used in various demonstration and research projects as
contract requirements of NHTSA are located at various points in the
several States and the Commonwealth of Puerto Rico.
a. All NHTSA Headquarters offices are open from 7:45 a.m. to 4:15
p.m., each day except Saturdays, Sundays, and Federal legal holidays.
The main headquarters Office is located at 400 Seventh Street SW,
Washington, DC 20590. The Office of Vehicle Safety Compliance,
Enforcement Programs; the National Driver Register, Traffic Safety
Programs, and the Office of Research and Development are located at the
Trans Point Building, 2100 2nd Street SW, Washington, DC 20590.
b. NHTSA Regional offices are located at the following addresses and
are open during the indicated hours each day, except for Saturdays,
Sundays, and Federal legal holidays:
(1) Region I (Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, Vermont), 55 Broadway, Cambridge, Massachusetts 02142 (7:45
a.m.-4:15 p.m.).
(2) Region II (New Jersey, New York, Puerto Rico, Virgin Islands), 222
Mamaroneck Avenue (Room 204), White Plains, New York 10601 (7:45 a.m.-
4:15 p.m.).
(3) Region III (Delaware, District of Columbia, Maryland,
Pennsylvania, Virginia, West Virginia), Airport Plaza Building, 6701
Elkridge Landing Road, Linthicum, Maryland 21090 (8 a.m.-4:30 p.m.).
(4) Region IV (Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, South Carolina, Tennessee), Suite 501, 1720 Peachtree Road,
NW, Atlanta, Georgia 30309 (7:45 a.m.-4:15 p.m.).
(5) Region V (Illinois, Indiana, Michigan, Minnesota, Ohio,
Wisconsin), Suite 214, Executive Plaza, 1010 Dixie Highway, Chicago
Heights, Illinois 60411 (8 a.m.-4:30 p.m.).
(6) Region VI (Arkanasas, Louisiana, New Mexico, Oklahoma, Texas), 819
Taylor Street, Room 11A26 Fort Worth, Texas 76102 (8 a.m.-4:30 p.m.).
(7) Region VII (Iowa, Kansas, Missouri, Nebraska), 6301 Rockhill Road,
Kansas City, Missouri 64111 (7:45 a.m.-4:15 p.m.).
(8) Region VIII (Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming), 330 South Garrison Street, Lakewood, Colorado 80226 (7:45
a.m.-4:15 p.m.).
(9) Region IX (American Samoa, Arizona, California, Guam, Hawaii,
Nevada), Suite 610, Two Embarcadero Center, San Francisco, California
94111 (7:45 a.m.-4:15 p.m.).
(10) Region X (Alaska, Idaho, Oregon, Washington), 3140 Federal
Building, 915 Second Avenue, Seattle, Washington 98174 (7:45 a.m.-4:15
p.m.).
c. NHTSA demonstration and research project records may be created,
collected, maintained, and used for the purposes of NHTSA contract
requirements. These records are maintained at various points in the
several States and the Commonwealth of Puerto Rico. Since these project
contractors only act as agents for NHTSA, and to prevent unauthorized
dsclosure of information that may be subject to the provisions of the
Privacy Act of 1974, management of the systems has been retained by
appropriate officials of NHTSA. Access to the published systems may be
obtained by corresponding with the systems manager indicated for the
system of records found in the citations in paragraph 3 of this
appendix. Appropriate personal identification must be furnished in
accordance with paragraph 4. These officials should be notified of any
inaccuracy of the record and, also, are responsible for considering
requests for correction or alteration of the record.
3. Systems of Records. A list of NHTSA systems of records pertaining
to the Privacy Act indicating the geographic locations and the
responsible systems managers has been published in the Federal Register
and appears as follows: Vol. 42, No. 181, September 19, 1977, beginning
on page 47099.
4. Access to Records.
a. Individuals desiring to determine whether records pertaining to
them are contained in systems of records covered by this appendix or
desiring access to records covered by this appendix, or to obtain copies
of such records, shall make written requests providing appropriate
identification of the system and proof of their identity in the same
manner as former employees described in 4.c below. When an individual is
not capable of personally providing the required information, a second
party request may be honored if a duly attested authorization, power of
attorney, or appropriate court order is submitted with the request.
b. Decision to release or deny requested records is made by the system
manager, identified in the citations of paragraph 3 of this appendix,
within ten working days of the receipt of the request. A person seeking
review of a denial of the disclosure of a record may appeal to the NHTSA
Associate Administrator for Administration, 400 Seventh Street SW,
Washington, DC 20590, preferably within 180 days of the initial denial.
Decision on the request for review is made in writing within 30 working
days from the receipt of the request for reconsideration of disclosure.
For additional details see sections 10.45 and 10.51 of these rules.
c. Employees and former employees of NHTSA may obtain access to and
consideration of the amendment of their records by providing a current
Department of Transportation (DOT) identification card (Form D-
1600.1.9), a DOT retired employee identification card (Form D-1680.2),
Medicare card, attested signed request, or such other identification
that may prove the validity of their claims.
d. Since nearly all NHTSA systems of records are maintained on
electronic data processing equipment, it may require up to 48 hours to
obtain individual records due to computer scheduling requirements. It is
in the interest of the individual, therefore, to request information in
writing rather than in person.
5. Requests to Correct or Alter Records.
a. Individuals may request correction or alteration of records
pertaining to them by addressing such requests to the system managers or
the NHTSA Privacy Act Coordinator, the addresses of whom are contained
in the citation of paragraph 3 of this appendix.
b. Since the records of the National Driver Register merely contain
partial records of the State's motor vehicle records, they are
susceptible to correction or alteration only to the extent that such
records are at variance with the State records. Persons seeking to
correct their State motor vehicle records should address requests to
their respective States' motor vehicle licensing authorities.
c. The system manager, in accordance with 49 CFR 10.41, provides
written acknowledgment of the receipt of a request to amend a record to
the individual within ten working days. If the request can be reviewed,
processed, and the individual notified of compliance or denial of the
request within the ten working day period, no acknowledgment is
required.
d. When decision is made by the system manager to comply with an
individual's request to amend the person's record, the following steps
are taken within 30 working days from the date of acknowledgment of the
request:
(1) Advises the individual of the decision in writing;
(2) Corrects the record accordingly; and
(3) Advises all previous recipients of the record, if an accounting of
disclosure has been made, of the correction.
e. When decision is made, after initial review by the system manager
of a request to amend a personal record, to disagree with all or any
portion of the requested amendment, the following steps are taken within
30 working days from the date of acknowledgment of the request.
(1) Advises the individual of refusal and the reasons therefor; and
(2) Informs the individual of the procedures for appeal to the NHTSA
Administrator for further review.
f. If the individual disagrees with the initial determination of the
system manager, the individual may file a request for further review of
that determination. This request for review should be addressed to the
Chief Counsel, National Highway Traffic Safety Administration, 400
Seventh Street SW, Washington, DC 20590.
g. If after review the Administrator agrees to the amendment of the
record, the procedures of subparagraph 5.d of this appendix are
followed. If amendment of the record is refused as requested by the
individual, the individual is advised:
(1) Of the refusal and reasons therefore, and the names and titles of
positions of each person responsible for the determination;
(2) Of the individual's right to file, together with the appropriate
procedures, a concise statement of the reasons for disagreeing with the
decision of the Administrator;
(3) Of the fact that the statement which is filed by the requester is
made available to prior recipients and anyone to whom the record is
subsequently disclosed; and
(4) Of the individual's right to seek judicial review of the
administrator's refusal to amend a record.
h. The final determination to refuse an individual's request for
amendment of a record is concluded within 30 working days after the
receipt of the appeal to the Administrator. If a fair and equitable
review cannot be completed by the stipulated time, the Administrator
informs the individual in writing of the reasons for delay and provides
an estimated date on which completion of the review is expected.
6. Personal Identification Requirements. The NHTSA does not demand any
personal identification beyond that specified by Sec. 10.35 of this
part.
Pt. 10, App. H
Appendix H--Urban Mass Transportation Administration
1. Introduction. This appendix, with respect to the Urban Mass
Transportation Administration (UMTA):
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained in the Urban Mass
Transportation Administration;
c. Identifies the officials having authority to deny requests for
access for records;
d. Describes the procedures to be followed in requesting correction of
a record; and
e. Describes identification requirements which may be in addition to
those delineated in paragraph 10.35 of these regulations.
2. Availability for Inspection and Copying. In accordance with title
49, part 10, subpart A, section 10.1, dealing with the maintenance of an
access to records pertaining to individuals under the Privacy Act of
1974 (Pub. L. 93-579), the following places and times at which
individual's records are available for inspection and copying, and the
titles of the officials who are reponsible system managers are
submitted.
a. Regional Offices as follows:
(1) Region I, Urban Mass Transportation Administration, Cambridge, MA
02142;
(2) Region II, Urban Mass Transportation Administration, New York, NY
10007;
(3) Region III, Urban Mass Transportation Administration,
Philadelphia, PA 19106;
(4) Region IV, Urban Mass Transportation Administration, Atlanta, GA
30309;
(5) Region V, Urban Mass Transportation Administration, Chicago, IL
60606;
(6) Region VI, Urban Mass Transportation Administration, Ft. Worth, TX
76102;
(7) Region VII, Urban Mass Transportation Administration, Kansas City,
MO 64131;
(8) Region VIII, Urban Mass Transportation Administration, Denver CO
80202;
(9) Region IX, Urban Mass Transportation Administration, San
Francisco, CA 94111; and
(10) Region X, Urban Mass Transportation Administration, Seattle, WA
98174.
b. Hours: 8:30 a.m. to 5 p.m., local time.
c. System of Records: Regional Personnel Convenience Files at each
location.
d. System Managers: Regional Directors or Chiefs are System Managers
e. Headquarters: Urban Mass Transportation Administration, Washington
Headquarters, Washington, DC 20590; Hours: 8:30 a.m. to 5 p.m.
3. Systems of Records.
a. Confidential Statement of Employment and Financial Interest--DOT/
UMTA, Chief Counsel, Office of the Chief Counsel;
b. Occupational Safety and Health Reporting System, Director of
Personnel Division;
c. Litigation and Claims File--Chief Counsel, Office of Chief Counsel;
d. Grant Applicants List, Director, Grant Management Division;
e. Contract Information System, Director, Procurement Division;
f. Unsolicited Research and Development Grants, Director, Grant
Management Division;
g. Complaints of Discrimination, Director, Office of Civil Rights;
h. Employee Travel Vouchers, Chief, Accounting Branch;
i. Accounts Receivable, Chief, Accounting Branch;
j. Equal Employment Opportunity, Minority/Female Statistical Reporting
System, Director, Office of Civil Rights;
k. Minority Recruitment File, Director, Office of Civil Rights;
l. UMTA Sponsored Reports--Authors File, Director, Office of Transit
Management;
m. Blood Donors File, Director, Administrative Services Division;
n. Approved Grants, Director, Administrative Services Division;
o. Closed-Out Grants, Director, Administrative Services Division; and
p. Docket DOT/UMTA, Chief Counsel, Office of Chief Counsel.
4. Access to Records. Each individual desiring to determine whether a
record pertaining to him or her is contained in a system of records or
to obtain a copy of such a record, shall make request in writing to the
official specified in paragraph 1 of this appendix. Each request shall
specify the name of the requesting individual and the system of records
in which the subject record is located or thought to be located.
5. Requests to Correct or Alter Records.
a. The Administration allows individuals to request amendment of their
personal records to the extent that such amendment does not violate
existing statutes, regulations, or administrative procedures. Requests
to amend personal records of active employees should be addressed to the
responsible system manager specified in paragraph 1.
b. The system manager provides a written acknowledment of the receipt
of a request to amend a record to the individual within ten days.
However, if the request can be reviewed and processed and the individual
notified of compliance or denial within the ten-day working period, no
separate acknowledgment is required.
c. If UMTA agrees with an individual's request to amend the person's
record, the following steps are taken:
(1) Advises the individual in writing;
(2) Corrects the record accordingly; and
(3) Advises all previous recipients of the record which was corrected
of the correction and its substance.
d. If UMTA, after an initial review by the system manager of a request
to amend a personal record, disagrees with all or any portion of it, it:
(1) Advises the individual of refusal and the reasons for it; and
(2) Informs the individual of procedures to request a further review.
e. If an individual disagrees with the initial determination, the
individual may file a request for a further review of that
determination. This request for a review should be addressed to: Privacy
Act Officer, UAD-60, 400 Seventh Street SW, Washington, DC 20590.
f. If after this review UMTA refuses to amend the record as the
individual requested, UMTA advises the individual:
(1) Of refusal and the reasons for it;
(2) Of the individual's right to file a concise statement of the
reasons for disagreeing with the decision;
(3) The procedures for filing the statement of disagreement;
(4) That the statement which is filed is made available to anyone to
whom the record is subsequently disclosed; and
(5) Of the individual's right to seek judicial review of the
Administration's refusal to amend a record.
g. The final determination on the individual's request is concluded
within 30 working days unless the UMTA Administrator determines that a
fair and equitable review cannot be completed in that period. If
additional time is required, the individual is informed in writing of
reasons for the delay and of the estimated date on which the review is
expected to be completed.
h. For personnel-related records final Civil Service Commission
determination may apply within 30 working days following the procedures
explained above.
6. Personal Identification Requirements.
a. Disclosure of personal records requires that the individual produce
an identification card; employee identification, annuitant
identification, Medicare card, and driver's license are examples. For
records disclosed by mail, UMTA requires identifying information to
locate the record, i.e., employee identification number, name, date of
birth, or social security number. A comparison of the signature of the
requester and those in the record is used to determine identity.
b. If an individual can provide no suitable documents for
identification, UMTA requires a signed statement asserting identity and
stipulating that the individual understands that knowingly or willfully
seeking or obtaining access to records about another person under false
pretenses is punishable by a fine of up to $5,000 under citation 3(i)3
of the Privacy Act.
Pt. 10, App. I
Appendix I--Saint Lawrence Seaway Development Corporation
1. Introduction. This appendix, with respect to the Saint Lawrence
Seaway Development Corporation:
a. Describes the places and times at which records are available for
inspection and copying;
b. Indicates the systems of records maintained;
c. Identifies the officials having authority to deny requests for
access to records;
d. Describes the procedures to be followed in requesting correction of
a record; and
e. Describes identification requirements which may be in addition to
those delineated in Sec. 10.35 of these regulations.
2. Availability for Inspection and Copying.
a. Place and time for records inspection and copying: Saint Lawrence
Seaway Development Corporation, Administration Building, Andrews Street,
Massena, New York 13662; Massena Office: 9 a.m.-4 p.m.
b. Systems of records located at each facility: Administration
Building: Claimants under Federal Tort Claims Act, Data Automation
Program Records, Employees' Compensation Records, Emergency Operating
Records (Vital Records).
c. Official having authority to deny requests for disclosure of
records under this part:
Resident Manager, Saint Lawrence Seaway Development Corporation,
Administration Building, Andrews Street, Massena, New York 13662.
3. Systems of Records: A complete listing of the systems of records
maintained by the Saint Lawrence Seaway Development Corporation has been
published in the Federal Register as follows: September 19, 1977, pages
47138-47140.
4. Access to Records: Each individual desiring to determine whether a
record pertaining to him or her is contained in a system of records or
to obtain a copy of such record, shall make request in writing to the
address provided in section 2 of this appendix. Each request shall
specify the name of the requesting individual and the system of records
in which the subject record is located or thought to be located.
5. Requests to Correct or Alter a Record:
a. Any person who desires to have his or her own record corrected
shall submit a written request.
b. Only the individual to whom the record pertains may make the
written request and it shall be signed by that person.
c. Request should state the reasons that the record should be
corrected and that the request is made pursuant to the Privacy Act;
alternatively the requester may mark ``Privacy Act Amendment Request''
on the envelope in which the request is submitted.
d. Requests for correction of records shall be submitted to the
Personnel Officer, Saint Lawrence Seaway Development Corporation,
Administration Building, Andrews Street, Massena, New York 13662.
6. Personal Identification Requirements: Refer to Sec. 10.35 for
normal requirements. In those cases involving mail requests for
sensitive records, i.e.--medical records, the requester's signature
shall be notarized.
Pt. 10, App. J
Appendix J--Research and Special Programs Administration
The Research and Special Programs Administration (RSPA) will operate
under the general rules of part 10 (49 CFR part 10) until specific
procedures are deemed necessary for the RSPA.