[Privacy Act Issuances (1997)]
[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 5  Employee Counseling Services Program Records.
                DOT/ALL 6  Workers' Compensation Information System.
       DOT/ALL 7  Departmental Accounting and Financial Information 
                        System (DAFIS) and Delphi Accounting System.
                    DOT/ALL 8  Employee Transportation Facilitation.
                      DOT/ALL 9  Identification Media Record System.
                                   DOT/ALL 10  Debt Collection File.
          DOT/ALL 11  Integrated Personnel and Payroll System, IPPS.
                   DOT/ALL 12  DOT Mentoring Program Records System.
        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 to the Manual of Courts 
                                             Martial Investigations.
                                  DOT/CG 508  Claims and Litigation.
                         DOT/CG 509  Non-Judicial Punishment Report.
         DOT/CG 510  Records of Trial: Special, General and Summary 
                                                     Courts-Martial.
                      DOT/CG 511  Legal Assistance Case File System.
           DOT/CG 526  Adjudication and Settlement of Claims System.
          DOT/CG 528  Centralized Reserve Pay and Retirement System.
                       DOT/CG 533  Retired Pay and Personnel System.
         DOT/CG 534  Travel and Transportation of Household Effects.
   DOT/CG 535  Coast Guard Exchange System, CGES, and Moral, Welfare 
                                       and Recreation, MWR, Program.
                 DOT/CG 536  Contract and Real Property File System.
                  DOT/CG 537  FHA Mortgage Insurance for Servicemen.
                           DOT/CG 571  Disability Separation System.
           DOT/CG 572  USCG Military Personnel Health Record System.
             DOT/CG 573  United States Public Health Services, PHS, 
          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 588  Marine Safety Information System, MSIS.
                DOT/CG 589  United States Merchant Seamen's Records.
                      DOT/CG 590  Vessel Identification System, VIS.
       DOT/CG 591  Merchant Vessel Documentation System (Manual and 
                                                         Automated).
          DOT/CG 592  Registered/Applicant Pilot Eligibility Folder.
                              DOT/CG 611  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 624  Personnel Management Information System, PMIS.
               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 636  Personal Affairs Record System Coast Guard Military 
                                                          Personnel.
        DOT/CG 637  Appointment of Trustee or Guardian for Mentally 
                                              Incompetent Personnel.
    DOT/CG 638  USCG 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 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 678  Reserve Personnel Management Information System 
                                                        (Automated).
                          DOT/FAA 801  Aircraft Registration System.
                 DOT/FAA 807  Police Warrant File and Central Files.
                         DOT/FAA 811  Employee Health Record System.
                        DOT/FAA 813  Civil Aviation Security System.
                           DOT/FAA 815  Investigative Record System.
       DOT/FAA 816  Tort Claims and Personal Property Claims Record 
                                                             System.
     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 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 845  Correspondence Control and Information System.
     DOT/FAA 847  General Air Transportation Records on Individuals.
          DOT/FAA 851  Administration and Compliance Tracking in an 
                                          Integrated Office Network.
              DOT/FAA 852  Suspected Unapproved Parts (SUP) Program.
                                  DOT/FHWA 215  Travel Advance File.
               DOT/FHWA 216  Travel Voucher  Change of Duty Station.
                                  DOT/FHWA 217  Accounts Receivable.
          DOT/FMCA 001  Motor Carrier Management Information System 
                                                            (MCMIS).
         DOT/FMCSA 002  Federal Motor Carrier Safety Administration 
           (FMCSA) Motor Carrier Safety Proposed Civil and Criminal 
                                                  Enforcement Cases.
                        DOT/FMCSA 003  Driver Waiver/Exemption File.
       DOT/FRA 106  Occupational Safety and Health Reporting System.
   DOT/FRA 130  Office of Chief Counsel Individual Enforcement Case 
                                                             System.
                     DOT/FTA 177  FTA-Sponsored Reports Author File.
                           DOT/FTA 194  Litigation and Claims Files.
     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 United States 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 United States Merchant Marine Academy.
                     DOT/MA 018  National Defense Executive Reserve.
                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 401  Docket System.
      DOT/NHTSA 402  Highway Safety Literature Personal Author File.
      DOT/NHTSA 409  Federal Motor Vehicle Safety Standards, FMVSS, 
                                                         Compliance.
                DOT/NHTSA 411  General Public Correspondence System.
                    DOT/NHTSA 413  Odometer Fraud Data Files System.
             DOT/NHTSA 415  Office of Defects Investigation/Defects 
                            Information Management System, ODI/DIMS.
                       DOT/NHTSA 417  National Driver Register, NDR.
                       DOT/NHTSA 422  Temporary Exemption Petitions.
                     DOT/NHTSA 431  Civil Penalty Enforcement Files.
                          DOT/NHTSA 436  Contract Grievance Records.
    DOT/NHTSA 463  Motor Vehicle and Motor Vehicle Equipment Import.
          DOT/OST 003  Allegations of Infringement of United States 
                                                            Patents.
        DOT/OST 004  Board for Correction of Military Records, BCMR.
                  DOT/OST 012  Files Relating to Personnel Hearings.
                  DOT/OST 016  General Investigations Record System.
         DOT/OST 019  Individual Personal Interests in Intellectual 
                                                           Property.
                      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  Correspondence Control Mail, CCM.
      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 100  Investigative Record System.
              DOT/OST 101  Inspector General Reporting System, TIGR.
        DOT/RSPA 02  National Defense Executive Reserve, NDER, File.
        DOT/RSPA 04  Transportation Research Activities Information 
                                                     Service, TRAIS.
   DOT/RSPA 05  Transportation Research Information Service on line, 
                                                       TRIS-On-Line.
                          DOT/RSPA 06  Emergency Alerting Schedules.
         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/TSC 700  Automated Management Information System.
                       DOT/TSC 702  Legal Counsel Information Files.
         DOT/TSC 703  Occupational Safety & Health Reporting System.
                        DOT/TSC 704  Stand-By Personnel Information.
                DOT/TSC 707  Automated Manpower Distribution System.
   DOT/TSC 712  Automated Payroll/Personnel/Communications/Security 
                                                             System.
                  DOT/TSC 714  Health Unit Employee Medical Records.

   32-20-001 Operating Personnel Files (Nonpermanent Records).
   32-20-002 National Defense Executive Reserve Files.
   32-20-003 Unit Medical Records.
   32-20-004 Automated Personnel and Payroll System.
   32-20-005 Case Status System (Formal Case Control).
   32-20-006 Correspondence and Management Control.
   32-20-007 Consumer Complaint System.
   32-20-008 Preliminary Investigation Files.
   32-20-009 Investigative and Enforcement Records, Cross-indexed.
   32-20-010 ICC Employees Parking Permit Applications for Carpools.
   32-20-011 ICC Identification System File.
   32-20-012 Employer Travel Records.
   32-20-013 Identification and Measurement of Minority and Female Owned 
            Motor Carriers.
   32-20-0014 Fee Billing and Collection System.
   32-20-0015 OIG Complaint and Investigative Files.

                       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.
                  FMCSA--Federal Motor Carrier Safety 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.
                                  STB-- Surface Transportation Board
                                 TSC--Transportation Systems Center.
                                FTA--Federal Transit Administration.

            General Routine Uses Under the Privacy Act of 1974

       The following routine uses apply, except where otherwise noted or 
   where obviously not appropriate, to each system of records maintained 
   by the Department of Transportation, DOT.
       1. In the event that a system of records maintained by DOT 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 investigating 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 DOT 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 response to its request, in 
   connection with the hiring or retention of an 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.
       4a. 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) 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.
       4b. 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 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, OMB 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 rights 
   to records than the individual. Thus, the disclosure may be withheld 
   from delivery to the individual where the file contains investigative 
   or actual information or 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(9).
       7. One or more records from a system of records may be disclosed 
   routinely to the National Archives and Records Administration in 
   records management inspections being conducted under the authority of 
   44 USC 2904 and 2906.
       8. [Reserved]
       9. DOT may make available to another agency or instrumentality of 
   any government jurisdiction, including State and local governments, 
   listings of names from any system of records in DOT 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 Instructions on reporting computer matching programs to the 
   Office of Management and Budget, OMB, Congress and the public, 
   published by the Director, OMB, dated September 20, 1989.
       10. It shall be a routine use of the information in any DOT 
   system of records to provide to the Attorney General of the United 
   States, or his/her designee, information indicating that a person 
   meets any of the disqualifications for receipt, possession, shipment, 
   or transport of a firearm under the Brady Handgun Violence Prevention 
   Act. In case of a dispute concerning the validity of the information 
   provided by DOT to the Attorney General, or his/her designee, it 
   shall be a routine use of the information in any DOT system of 
   records to make any disclosures of such information to the National 
   Background Information Check System, established by the Brady Handgun 
   Violence Prevention Act, as may be necessary to resolve such dispute.

        Appendix I--Location of CG Districts and Headquarters Units

       1. Commander, 1st Coast Guard District, 408 Atlantic Avenue, 
   Boston, MA 02110-3350.
       2. Commander, 5th Coast Guard District, Federal Building, 431 
   Crawford Street, Portsmouth, VA 23704-5004.
       3. Commander, 7th Coast Guard District, 909 SE First Ave., 
   Brickell Plaza Federal Bldg., Miami, FL 33131-3050.
       4. Commander, 8th Coast Guard District, Hale Boggs Federal 
   Building, 500 Camp Street, New Orleans, LA 70130-3396.
       5. Commander, 9th Coast Guard District, 1240 East 9th St., 
   Cleveland, OH 44199-2060.
       6. Commander, 11th Coast Guard District, Coast Guard Island, 
   Alameda, CA 94501-5100.
       7. Commander, 13th Coast Guard District, Jackson Federal Bldg, 
   915 Second Ave., Seattle, WA 98174-1067.
       8. Commander, 14th Coast Guard District, Prince Kalanianaole, 
   Federal Building, 300 Ala Moana Blvd., 9th Floor, Honolulu, HI 96580-
   4982.
       9. Commander, 17th Coast Guard District, PO Box 25517, Juneau, 
   Alaska 99802-5517.
       10. Superintendent, United States Coast Guard Academy, 15 Mogehan 
   Ave., New London, CT 06320-8100.
       11. Commanding Officer, United States Coast Guard Yard, 2401 
   Hawkins Point Road, Bldg. 1, Baltimore, MD 21226-1797.
       12. Commanding Officer, United States Coast Guard Training 
   Center, 1 Munro Avenue, Cape May, NJ 08204.
       13. Commanding Officer, United States Coast Guard Institute, 5900 
   SW 64th Street, Room 235, Oklahoma City, OK 73169-6990.
       14. Commanding Officer, U.S Coast Guard, Aircraft Repair & Supply 
   Center, Elizabeth City, NC 27909-5001.
       15. Commanding Officer, United States Coast Guard Aviation, 8501 
   Tanner Williams Road, Mobile, AL 36608-8322.
       16. Commanding Officer, United States Coast Guard, 7323 Telegraph 
   Rd., Alexandria, VA 22315-3940.
       17. Commanding Officer, United States Coast Guard Reserve, 
   Training Center, Yorktown, VA 23690-5000.
       18. Commanding Officer, United States Coast Guard, Training 
   Center, 599 Tomales Road, Petaluma, CA 94952-5000.
       19. Commanding Officer, United States Coast Guard Aviation, 
   Technical Training Center, Elizabeth City, NC 27909-5003.
       20. Commanding Officer, U.S. Coast Guard, Research and 
   Development Center, 1082 Shennecossett Road, Groton, CT 06340-6096.
       21. Commanding Officer, U.S. Coast Guard, Human Resources 
   Services and Information Center, Federal Bldg., 444 SE Quincy St., 
   Topeka, KS 66683-3591.

   DOT/ALL 1

   System name: 

       DOT Grievance Records Files.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Records are maintained in the personnel office that services the 
   aggrieved employee if the grievance was processed under Departmental 
   Personnel Manual, DPM 771-1, 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 is maintained in the 
   office of the official administering the labor agreement pertaining 
   to the collective bargaining unit. Addresses of servicing personnel 
   offices are as follows: USCG Civilian Personnel Office, CGPC-CPM, 
   2100 2nd Street SW., Room 6224, Washington, DC 20593-00001; Federal 
   Highway Administration, Office of Human Resources, 400 7th Street, 
   SW., Room 4317,Washington, DC 20590; Federal Railroad Administration, 
   Office of Human Resources, 1120 Vermont Ave, NW, RAD-10, Stop 30, 
   Washington, DC 20005; Federal Transit Administration, Office of Human 
   Resources, TAD-30, Room 9113, Washington, DC 20590; Office of 
   Inspector General, Office of Human Resources, JM-20, Room 7107, 
   Washington, DC 20590; Maritime Administration, Office of Personnel, 
   MAR-360, Room 8101, Washington, DC 20590; National Highway Traffic 
   Safety Administration, Office of Human Resources, NAD-20, Room 5306, 
   Washington, DC 20590; Departmental Office of Human Resource 
   Management, Departmental Director, M-10, Room 7411,Washington, DC 
   20590; Transportation Administrative Service Center, Human Resource 
   Services, SVC-190, Room 2225, Washington, DC 20590; Research and 
   Special Programs Administration, Office of Human Resources 
   Management, DMA-40, Room 7108, Washington, DC 20590; Research and 
   Special Programs Administration, VOLPE National Transportation 
   Systems Center, Human Resources Management Division, DTS-84, Room 2-
   122, 55 Broadway, Cambridge, MS 02142-1093; Saint Lawrence Seaway 
   Development Corporation, Office of Administration, PO Box 520, 180 
   Andrews Street, Massena, NY 13662-0520; Surface Transportation Board, 
   1925 K Street, NW., Suite 880, Washington, DC 20423; Federal Aviation 
   Administration, National Headquarters, Office of Personnel, AHP-1, 
   Room 500E, 800 Independence Avenue, SW., Washington, DC 20591; 
   Federal Aviation Administration, Alaskan Region, 222 West 7th Avenue, 
   PO Box 14, Anchorage, AK 99513-7587; Federal Aviation Administration, 
   Western Pacific Region, PO Box 92007, World Postal Center, Los 
   Angeles, CA 90009; Federal Aviation Administration, Southern Region, 
   PO Box 20636, Atlanta, GA 30320; Federal Aviation Administration, 
   Great Lakes Region, O'Hare Lake Office Center, 2300 East Devon 
   Avenue, Des Plaines, IL 60018; Federal Aviation Administration, New 
   England Region; 12 New England Executive Park, Burlington, MA 01803; 
   Federal Aviation Administration, Central Region, 601 East 12th 
   Street, Kansas City, MO 64106; Federal Aviation Administration, 
   Eastern Region, Fitzgerald Federal Building, JFK International 
   Airport, Jamaica, NY 11430; Federal Aviation Administration, 
   Southwest Region, 2601 Meacham Blvd., Fort Worth, TX 76137-4298; 
   Federal Aviation Administration, Northwest Mountain Region, 1601 Lind 
   Avenue SW., Renton, WA 98055-4056; Federal Aviation Administration, 
   William J. Hughes, Technical Center, Atlantic City Intl Airport, 
   Atlantic City, NJ 08405; Federal Aviation Administration; Mike 
   Monroney Aeronautical Center, PO Box 25082, Oklahoma City, OK 73125.
     Categories of individuals covered by the system: 
       Current and former DOT employees who have submitted grievances 
   with their respective administrations under OPM Letter 771-1, or 
   grievances pertaining to members of DOT Collective Bargaining Units 
   which were submitted in accordance with negotiated grievance 
   procedures.
     Categories of records in the system: 
       The system contains records relating to grievances filed by or on 
   behalf of DOT: statements of employees, witnesses, reports of 
   interviews and hearings, fact-finders and/or arbitrator's findings 
   and recommendations, copies of decisions and correspondence and 
   exhibits.
     Authority for maintenance of the system: 
       5 U.S.C. 7121; 5 CFR part 771.
   Purpose(s): 
       Determine validity of grievance.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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. 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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders.
     Retrievability: 
       Names of the individuals on whom they are maintained, or by names 
   and local identification of unions.
     Safeguards: 
       These records are maintained in lockable metal filing cabinets to 
   which only authorized personnel have access.
     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: 
       Director of Human Resource Management, M-10, United States 
   Department of Transportation, 400 7th Street, SW., Room 7411, 
   Washington, DC 20590
     Notification procedure: 
       Same as ``System Manager.''
     Record access procedures: 
       Same as ``System Manager.''
     Contesting record procedures: 
       Same as ``System Manager.''
     Record source categories: 
       Individual on whom the records is maintained. Testimony of 
   witnesses. Agency officials. Related correspondence from organization 
   or persons.
     Exemptions claimed for the system:
       None.

   DOT/ALL 5

   System name: 

       Employee Counseling Services Program Records.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Employee Counseling Service, which provides counseling to the 
   employee. Other Federal, state, or local government, or private 
   sector agency or institution providing counseling services.
     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: 
       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. 
   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): 
       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: 
       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). 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. DOT's General Routine Uses do not apply to this 
   system. Whenever possible, a partial disclosure will be made or a 
   summary of the contents of the record will be disclosed.
   Disclosure to consumer reporting agencies:
       None.
     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 regular 
   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, M-10, Department 
   of Transportation, Room 7411, 400 7th Street, SW., Washington, DC 
   20590.
     Notification procedure: 
       Contact the DOT Employee Counseling Services Program coordinator 
   who arranged for counseling or treatment.
     Record access procedures: 
       Same as ``Notification Procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       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.
     Exemptions claimed for the system:
       None.

   DOT/ALL 6

   System name: 

       Workers' Compensation Information System.
     Security classification: 
        Sensitive, unclassified.
     System location: 
        These records are maintained at the Departmental Office of Human 
   Resource Management, Office of the Secretary, in Washington, DC; at 
   the operating administration human resource management offices in 
   Washington, DC, and in their in regional offices and centers; and at 
   the Departmental Personnel and Policy Division at the Mike Monroney 
   Aeronautical Center in Oklahoma City, Oklahoma.
     Categories of individuals covered by the system: 
        All current and former DOT employees who file (d) claims for 
   Federal Employees' Compensation, FEC, or report work-related injuries 
   or occupational health-related illnesses.
     Categories of records in the system: 
        The system consists of information that is derived from DOT 
   personnel and payroll records, and from Federal Employees' 
   Compensation claims records maintained by the Department of Labor/
   Office of Workers' Compensation Programs, OWCP. OWCP records include 
   information regarding claims filed by DOT employees, members of the 
   US Coast Guard Auxiliary, and students at the US Merchant Marine 
   Academy.
     Authority for maintenance of the system: 
        5 U.S.C. Chapter 8101 et seq., 20 CFR 1.1 et seq., 5 U.S.C. 
   552a, and Department of Labor and DOT implementing regulations.
   Purpose(s): 
       The purpose of this system of records is to establish and 
   maintain an automated data/information base that is used to improve 
   claims management of the Federal Employees Compensation program 
   within the Department; develop policy guidance; and promote training 
   programs.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        These records are maintained in accordance with law and 
   regulation in order to ensure proper and efficient management of the 
   Federal Employees Compensation program 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 provide occupation-related data including personnel data for 
   the purpose of determining patterns of injury or illness and 
   determining case disposition information. They are 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. Users 
   include DOT human resource management officials, safety and health 
   officials, supervisors, and managers.
       These records are to be held in confidence and no information 
   shall be disclosed except:
       a. To the Department of Labor, OWCP, OSHA, the DOT Office of 
   Inspector General, 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.
   95Disclosure to consumer reporting agencies:
        Not applicable.
     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 Departmental Personnel and Payroll 
   Division at the Mike Monroney Aeronautical Center 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. Direct access to the 
   automated database must be authorized by the Departmental Manager, 
   Department of Transportation Workers' Compensation Program.
     Retention and disposal: 
        These records are maintained and disposed of in accordance FPMR 
   101 0911.4, General Records Schedules.
     System manager(s) and address: 
        Departmental Manager, Department of Transportation Workers' 
   Compensation Program, Office of the Secretary, Departmental Office of 
   Human Resource Management, 400 Seventh Street SW., Washington, DC 
   20590.
       Office of Labor and Employee Relations, Federal Aviation 
   Administration, 800 Independence Avenue SW., Washington, DC 20591.
       Chief, Office of Civilian Personnel, United States Coast Guard, 
   200 Second Street SW., Washington, DC 20593.
       Director, Office of Human Resources, Federal Highway 
   Administration, 400 Seventh Street SW., Washington, DC 20590.
       Director, Office of Personnel, Federal Railroad Administration, 
   1120 Vermont Avenue NW, Washington, DC 20005.
       Director, Office of Human Resources, National Highway Traffic 
   Safety Administration, 400 Seventh Street SW., Washington, DC 20590.
       Director, Office of Human Resources, Federal Transit 
   Administration, 400 Seventh Street SW., Washington, DC 20590.
       Director, Office of Personnel, Maritime Administration, 400 
   Seventh Street SW., Washington, DC 20590.
       Director, Office of Human Resource Management, Research and 
   Special Programs Administration, 400 Seventh Street SW., Washington, 
   DC 20590.
       Principal, Human Resource Services, Transportation Administrative 
   Service Center, 400 Seventh Street SW., Washington, DC 20590.
       Director, Office of Human Resources, Office of Inspector General, 
   400 Seventh Street SW., Washington, DC 20590.
       Director, Office of Administration, 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 
   employees, members of the US Coast Guard Auxiliary, and students at 
   the US Merchant Marine Academy.
     Exemptions claimed for the system:
        None.

   DOT/ALL 7

   System name: 

       Departmental Accounting and Financial Information System (DAFIS) 
   and Delphi Accounting System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       The system is located in Department of Transportation (DOT), 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 United States Coast Guard, USCG, 
   the Federal Highway Administration, FHWA, the National Highway 
   Traffic Safety Administration, NHTSA, the Federal Transit 
   Administration, FTA, the Maritime Administration, MARAD, the Federal 
   Railroad Administration, FRA; the Federal Motor Carrier Safety 
   Administration, FMCSA; the bureau of Transportation Statistics, BTS; 
   Transportation Administrative Service Center, TASC, and the 
   Transportation Security Administration TSA. These offices exercise 
   systems and operational control over applicable records within the 
   system. The system software is centrally maintained by the FAA'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 systems : All employees of DOT, and only of DOT, which 
   includes FAA, USCG, NHTSA, FHWA, OST, RSPA, FRA, FTA, MARAD, USCG, 
   FMCSA, BTS, TASC, and TSA. Any other Federal agencies that use the 
   system are responsible for Privacy Act compliance for their own 
   employees.
     Categories of records in the system: 
       Categories include application service provider records and 
   credit cards of government employees, and payment records for non-
   payroll related expenses, payment records for payroll made offline, 
   collection records for payroll offsets, and labor cost records.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 49 U.S.C. 322; 31 U.S.C. 3512(b).
   Purpose(s): 
       The purpose for collecting the data in the DAFIS and Delphi 
   System of Records is to control and facilitate the accounting and 
   reporting of financial transactions for DOT.
     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, travel processing, 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.
   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'' 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 on magnetic tape, magnetic disk, microforms, 
   and in file folders. Storage of file folders and microforms is at the 
   geographic locations 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 name and social security 
   number. Retrieval is accomplished by use of telecommunications.
     Safeguards: 
        Access to magnetic tape, disk records and website records is 
   limited to authorized agency personnel through password, encryption, 
   firewalls, and secured operating system. Hard copy files are 
   accessible 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 and disposed in compliance with the General Records 
   Schedules, National Archives and Records Administration, Washington, 
   DC 20408. The following schedules apply: General Records Schedule 
   (GRS) 1, Civilian Personnel Records; GRS 2, Payrolling and Pay 
   Administration Records; GRS 3, Procurement, Supply and Grant Records; 
   GRS 4, Property Disposal Records; GRS 5, Budget Preparation 
   Presentation, and Appointment Records; GRS 6, Accountable Officers' 
   Accounts Records; GRS 7, Expenditure Accounting Records; GRS 8, 
   Stores, Plant and Cost Accounting Records; and GRS 9, Travel and 
   Transportaiton Records.
     System manager(s) and address: 
        Director, Office of Financial Management (B-30), Office of the 
   Secretary, Office of Financial Management, 400 Seventh Street SW, 
   Washington, DC 20590.
     Notification procedure: 
        Inquiries should be directed to the managers of the accounting 
   office supporting the employee's agency. Agency officials will 
   contact the System Manager 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.
     Exemption claimed for the system:
       None.

   DOT/ALL 8

   System name: 

       Employee Transportation Facilitation.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, Transportation Administrative 
   Service Center, TASC, Facilities Service Center, Parking Management 
   Office, 400 Seventh Street, SW., Room P2-0327, Washington, DC 20590. 
   Field installations.
     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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 49 U.S.C. 322.
   Purpose(s): 
       Parking management and fare subsidy management.
     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 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 United States 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: 
       Chief, Transportation Services Section, TASC Facilities Services 
   Center, Department of Transportation, 400 Seventh Street, SW., Room 
   P2-0327, Washington, DC 20590. Field installations.
     Notification procedures:
       Same as System manager.
     Record access procedures: 
       Same as System manager.
     Contesting record procedures: 
       Same as System manager.
     Record source categories: 
       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.
     Exemptions claimed for the system:
       None.

   DOT/ALL 9

   System name: 

       Identification Media Record Systems.
     Security classification: 
       Unclassified.
     System location: 
       Department of Transportation, DOT.
       a. TASC Security Operations, SVC-150, 400 7th Street, SW., 
   Washington, DC 20590; (for OST and all DOT Operating Administrations 
   except those below).
       b. Commandant, G-CAS, United States 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, United States 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, Maritime Administration, and 
   Transportation Administrative Service Center.
     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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 49 U.S.C. 322.
   Purpose(s): 
       To provide a ready concentration of employee personal data to 
   facilitate issuance, accountability, and recovery of required 
   identification media issued to employees and contractors.
     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.
   Disclosure to consumer reporting agencies:
       None.
     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 
   authorized 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: 
       a. Principal, TASC Security Operations, SVC-150, Department of 
   Transportation, 400 7th Street, SW., Washington, DC 20590 (address 
   for OST and all DOT operating administrations except those below).
       b. For USCG: Commandant, G-0, United States Coast Guard, 
   Washington, DC 20593.
       c. For FAA: Director, Civil Aviation Security, Federal Aviation 
   Administration, and 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 record 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.
     Records source categories:
       Individuals on whom the record is maintained.
     Exemptions claimed for the system:
       None.

   DOT/ALL 10

   System name: 

       Debt Collection File.
     Security classification: 
       Sensitive, unclassified.
     System location: 
       Federal Aviation Administration, General Ledger Branch, Mike 
   Monroney Aeronautical Center, and 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 United States 
   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: 
       To the United States 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. To a debt collection agency for the purpose of 
   collection administered by the DOT. 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 United States 
   Government on DOT's behalf by counseling the debtor for voluntary 
   repayment or by initiating administrative or salary offset procedures 
   under the provisions services to recover monies owed to the United 
   States Government under certain programs or services of the Debt 
   Collection Act of 1982 (Pub.L. 97-365). 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. 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 United States 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. Disclosure of personal and financial information from this 
   system on current, retired, or former employees of DOT or United 
   States 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 
   United States 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: 
       United States Department of Transportation, DOT, Office of the 
   Secretary, OST, 400 7th Street, SW., Washington, DC 20590. Working 
   copies of certain 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, 
   Transportation Administrative Service Center, TASC, 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 Government Payroll Savings Plan-Consolidated 
   Quarterly Report, financial Disclosure Report, Information Sheet 
   Financial Disclosure-Report, Payroll for Personal Services, Pay 
   Receipt for Cash Payment to 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, United States 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, United States 
   Savings Bond Issue File Action Request, Authorization for Purchase 
   and Request for Change: United States 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, Labor Distribution Data, Leave Record, Leave 
   Summary, Individual Pay Card, Time and Attendance Report, Time and 
   Attendance Report (For Use Abroad).
     Authority for maintenance of the system: 
       49 U.S.C. 322.
   Purpose(s): 
       The purpose for collecting the data in the IPPS System of Records 
   is to control and facilitate payment of salaries to DOT civilian 
   employees.
     Routine uses of records maintained in the system including 
   categories of users and the purposes of such uses: 
       1. 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. 2. To the Office of Child Support Enforcement, 
   Administration for Children and Families, Department of Health and 
   Human Services Federal Parent Locator System, FPLS and Federal Tax 
   Offset System for use in locating individuals and identifying their 
   income sources to establish paternity, establish and modify orders of 
   support and for enforcement action. 3. To the Office of Child Support 
   Enforcement for release to the Social Security Administration for 
   verifying social security numbers in connection with the operation of 
   the FPLS by the Office of Child Support Enforcement. 4. To Office of 
   Child Support Enforcement for release to the Department of Treasury 
   for purposes of administering the Earned Income Tax Credit Program 
   (Section 32, Internal Revenue Code of 1986) and verifying a claim 
   with respect to employment in a tax return.
   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 is 
   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: 
       Contact Chief, Financial Management IT Deployment Staff (B-35) at 
   the United States 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 of records.
     Exemptions claimed for the system:
       None.

   DOT/ALL 12

   System name: 

       DOT Mentoring Records System.
     Security classification: 
       Sensitive.
       System location:
       Department of Transportation, DOT TASC Computer Center, 400 7th 
   Street, SW., Washington, DC 20590-0001
     Categories of individuals covered by the system: 
       a. All DOT personnel registering to become mentors.
       b. All DOT personnel registering to be mentees.
     Categories of records in the system: 
        All categories of records are electronic and/or paper, and may 
   include identifying information, such as name, office routing symbol, 
   office phone and fax numbers, e-mail address, last four digits of the 
   social security number, grade, and employing administration. All 
   records reflect:
       a. Name.
       b. Operating Administration.
       c. Last four digits of social security number.
       d. Routing Symbol.
       e. State employed.
       f. Age range.
       g. Pay plan.
       h. Series.
       i. Civilian or Military grade.
       j Work phone.
       k. Work Fax.
       l. Work e-mail address.
       m. Work skills (Optional narrative).
       n. Interests (Optional narrative).
       o. Hobbies (Optional narrative).
       Records for employees of the United States Coast Guard, both 
   military and civilian may also include:
       1. Collateral duties.
       2. Coast Guard training Received.
       3. Coast Guard qualification codes.
       4. Commissioning source.
       5. Education level/Type of degree.
       6. Ethnicity.
       7. Marital status.
       8. Current OPFAC.
       This information is optional for USCG employees only.
     Authority for maintenance of system:
       5 U.S.C. 4103.
   Purpose(s): 
        This system will be used to match prospective DOT mentors with 
   employees interested in becoming mentees. The system will also be 
   used to monitor the number of employees participating in the DOT 
   Mentoring Program, store participants pass words, contact 
   participants for survey purposes, provide mentor names to senior 
   departmental and human resource management officials, and measure the 
   success of cross modal mentoring.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       a. To DOT HRM personnel to evaluate interest in the program.
       b. To DOT HRM personnel to transmit survey instruments to 
   participants.
       c. To DOT HRM personnel to determine the amount of cross modal 
   participation.
       d. To Senior Management Officials for review.
       Also, see the prefatory statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        The storage is on a DOT server, with restricted access.
     Retrievability: 
        Retrieval from the system is by category (mentor/mentee), and 
   can be accessed by the administrators of the DOT mentoring program 
   database.
     Safeguards: 
        Computers provide privacy and access limitations by requiring a 
   user name and password match. Access to decentralized segments is 
   similarly controlled. Only those personnel administering the DOT 
   Mentoring Program database are given user names and passwords.
     Retention and disposal: 
        Records disposition schedule as developed by the National 
   Archives and Records Administration.
     System manager(s) and address: 
       Jan B. Karicher, Departmental Office of Human Resources 
   Management, M-13, Department of Transportation 400 Seventh Street, 
   SW., Washington, DC, 20590-0001.
     Notification procedure: 
       Inquiries should be directed to: United States Department of 
   Transportation, Departmental Director of Human Resource Management 
   (M-10), 400 7th Street, SW., Washington, DC 20590-001.
     Record access procedures: 
       Individuals may access their own data through Internet, to the 
   DOT HRM Home Page.
     Contesting record procedures: 
       NA.
     Record source categories: 
       Individual registrants.
     Exemptions claimed for the system:
        None.

   DOT/CG 501

   System name: 

       Auxiliary Management Information System, AUXMIS.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       U.S. Coast Guard Operations System Center, G-OPB, 600 Coast Guard 
   Dr., Kearneysville, WV 25430.
     Categories of individuals covered by the system: 
       All present Coast Guard Auxiliarists. All Auxiliarists 
   disenrolled since 1996.
     Categories of records in the system: 
       Personal information (name, address, birth date, Social Security 
   Number, SSN, phone number). Auxiliary qualifications information 
   (Instructor, Examiner, Specialty). Auxiliary activities information 
   (patrols conducted, classes taught). Information on facilities--
   boats, radio stations or aircraft--owned by Auxiliarists.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 632, 830, 831; 49 CFR 1.45, 1.46; 
   COMDTINST M16790.1E.
   Purpose(s): 
       Primary management tool for the Coast Guard Auxiliary program.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Cumulative unit and individual activity summaries for use as a 
   management tool by Coast Guard District, Area and Headquarters 
   program managers, Coast Guard field units, Coast Guard District 
   Directors of Auxiliary, DIRAUX all Auxiliary units. Identification of 
   all Auxiliary members. Alphabetical nationwide cross-reference 
   listing for use by headquarters and district office staffs. Mailing 
   labels for national, district and program specific mailings to 
   auxiliary membership. An annual summary of all member specific 
   information is mailed directly to respective members. Used by: Chief, 
   Office of Auxiliary and staff; Coast Guard Groups and commands; 
   District Directors of Auxiliary, DIRAUX and staff; Various elected 
   and appointed office holders of the Auxiliary. See Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining and disposing of records in the system:  
     Storage: 
       AUXMIS II master records contain personal and activity 
   information concerning USCG Auxiliary members. The approximately 
   40,000 records presently in the system are stored in a Progress 
   Relation Database Management System on DLT tapes using Net Backup and 
   are stored off-site.
     Retrievability: 
       The current AUXMIS II master file resides on a HP-755 hardware 
   suite with a Unix 10.2 operating system. Information is retrieved by 
   number and name of the individual and can be accessed by those DIRAUX 
   and other designated users with access to the database through CGDN 
   or modem connection at anytime.
     Safeguards: 
       The master files cannot be accessed without the proper user 
   identification and password. Eight user access levels have delimiters 
   to restrict the domains in which a user can view and/or change member 
   information.
     Retention and disposal: 
       Retention of weekly tape files is 180 days, then 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: 
       United States Coast Guard, Office of Command and Control 
   Architecture, Commandant, G-OCC, U.S. Coast Guard, 2100 2nd Street, 
   SW., Washington, DC 20593-0001. U.S. Coast Guard, Office of 
   Auxiliary, Commandant, G-OCX, U.S. Coast Guard, 2100 Second Street 
   SW., Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII-2, United States Coast Guard Headquarters, 
   Office of Information Management, 2100 2nd Street, SW., Washington, 
   DC 20593-0001.
     Record access procedures: 
       Individual Auxiliary members can view their AUXMIS II record 
   through a designated person with restricted domain user access from 
   their Flotilla or Division. At any time, members of the Auxiliary can 
   request access to their personal, hardcopy ``member jacket'' file 
   located at their respective DIRAUX office.
     Contesting record procedures: 
       Record content can be contested at any time and, if error is 
   found, all DIRAUX level users have the access to correct individual 
   records. Restricted domain user access provides members the means to 
   correct their own address, name and phone numbers.
     Record source categories: 
       All records pertaining to Auxiliary members are derived from 
   forms filled out by the individuals involved on a voluntary basis.
     Exemptions claimed for the system:
       None.

   DOT/CG 503

   System name: 

       Motorboat Registration.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Commandant, G-OPB, United States 
   Coast Guard, CG, 2100 2nd Street, SW., Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       Boat owner registering for the issuance of boat identification 
   numbers for boats recorded in the State of Alaska.
     Categories of records in the system: 
       Boat owner name, address, and boat information.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 632, 46 U.S.C. 2301; 49 CFR 145, 146
   Purpose(s): 
       Administer the Coast Guard's boating safety program.
     Routine uses of records maintained the system, including categories 
   of users and the purposes of such uses: 
       See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       All records are maintained in file cabinets.
     Retrievability: 
       By name/number.
     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: 
       Records are retained permanently.
     System manager(s) and address: 
       Commandant, United States Coast Guard, Office of Boating Safety, 
   G-OPB, Department of Transportation, United States Coast Guard 
   Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Department of Transportation, United States Coast Guard 
   Headquarters, Commandant, G-SII, 2100 2nd Street, SW., Washington, DC 
   20593-0001.
     Record access procedures: 
       Department of Transportation, United States Coast Guard 
   Headquarters, Commandant, G-SII-2, 2100 2nd Street, SW., Washington, 
   DC 20593-0001.
     Contesting record procedures: 
       Same as ``Record access procedures''
     Record source categories: 
       Individual applicant.
     Exemptions claimed for the system:
       None.

   DOT/CG 505

   System name: 

       Recreational Boating Law Enforcement Case Files.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, United States Coast Guard,CG, Coast 
   Guard District Offices and Headquarters unit offices for records of 
   incidents in their localities.
     Categories of individuals covered by the system: 
       Owners/operators of vessels found in violation of Federal 
   recreational boating laws or regulations.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       (5 U.S.C. 301; 14 U.S.C. 89a, 93(a)&(c), 632; 16 U.S.C. 1431; 49 
   CFR 1.45, 1.46)
   Purpose(s): 
       Determine enforcement action to be taken by the Coast Guard.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552(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: 
       Index cards, logbooks, and file folders.
     Retrievability: 
       Name of individual in alphabetical file, or by civil penalty case 
   number.
     Safeguards: 
       Information available only to authorized personnel. Files 
   maintained in office in building that is secured during non-working 
   hours and has a roving guard patrol.
     Retention and disposal: 
       Records in system maintained for three years before disposal by 
   mutilation or burning. Records on reported warnings are destroyed 
   after 1 year (paper files).
     System manager(s) and address: 
       Commandant, G-OPB, Chief, Office of Boating Safety, Department of 
   Transportation, United States Coast Guard Headquarters, 2100 2nd 
   Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Department of Transportation, Commandant,G-SII, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Record access procedures: 
       Procedures may be obtained by writing to or 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: 
       Same as ``Notification procedure.''
     Record source categories: 
       Reports of Coast Guard boarding officers and marine safety 
   investigations as well as from reports by.
     Exemptions claimed for the system:
       Portions of this system may be exempt from disclosure under the 
   provisions of 5 U.S.C. 552a (k)(2) which provide in part, that 
   investigatory material complied 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 
   December 31, 1974, if the source received an implied promise that his 
   identity would be held in confidence.

   DOT/CG 507

   System name: 

       Coast Guard Supplement to the Manual of Courts Martial 
   Investigations.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Commandant, G-L United States 
   Coast, CG, Office of the Chief Counsel, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       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: 
       Investigations into injuries to Coast Guard personnel, mishaps 
   involving vessels, aircraft and vehicles. Incidents involving, 
   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.
     Authority for maintenance of the system: 
       (5 U.S.C. 301; 14 U.S.C. 93(e), 632; 49 CFR 1.45, 1.46).
   Purpose(s): 
       Resolution of claims against the Coast Guard as well as claims 
   asserted by the government.
     Routine uses of records maintained in the system including 
   categories of users and the purposes of such uses
       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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Storage cabinets.
     Retrievability: 
       Name of person, vessel or other facility involved in 
   investigation.
     Safeguards: 
       Authorized personnel are granted access to these records in 
   connection with the performance of their official duties.
     Retention and disposal: 
       Records are maintained in division files for three years and then 
   forwarded to Federal Records Depository.
     System manager(s) and address: 
       Department of Transportation, Commandant,G-L, U.S. Coast Guard, 
   Office of the Chief Counsel, 2100 2nd Street, SW., Washington, DC 
   20593-0001.
     Notification procedure: 
       Department of Transportation, Commandant, G-SII-2 United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     Record source categories: 
       Coast Guard investigating officers, military and civilian 
   personnel.
     Exemptions claimed for the system:
       None.

   DOT/CG 508

   System name: 

       Claims and Litigation.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Commandant (G-L), United States 
   Coast Guard (CG), 2100 2nd Street, SW., Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       Persons in litigation with the Coast Guard.
     Categories of records in the system: 
       Suits and claims for and against the Coast Guard.
     Authority for maintenance of the system: 
       (5 U.S.C. 301; 5 U.S.C. 3301; 14 U.S.C. 1.45, 33 U.S.C. 2712(e); 
   33 CFR 133.21; 49 CFR 1.45, 1.46; E. O. 12777; COMDTINST M5890.9)
   Purpose(s): 
       Determination of claims.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File cabinets.
     Retrievability: 
       Two card index files, one alphabetic and one numeric, maintained 
   for cross reference.
     Safeguards: 
       Access is regularly limited to Coast Guard and civilian employees 
   of the Claims and Litigation Division granted in connection with 
   official duties.
     Retention and disposal: 
       Maintained for five years and then forwarded to the Federal 
   Records Center. Card index files retained indefinitely.
     System manager(s) and address: 
       Commandant, G-L, United States Coast Guard Headquarters, 2100 2nd 
   Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Department of Transportation, Commandant, G-SII-2, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Record access procedures: 
       Same as ``Notification Procedure''.
     Contesting record procedures: 
       Same as ``Notification Procedure''.
     Record source categories: 
       Coast Guard military and civilian personnel, members of the 
   public, and Coast Guard investigating officers.
     Exemptions claimed for the system:
       None.

   DOT/CG 509

   System name: 

       Non-Judicial Punishment Report.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Commandant, G-L, United States 
   Coast Guard, CG, 2100 2nd Street, SW., Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       Coast Guard military personnel who have been subject to non-
   judicial punishment proceedings under Article 15, Uniform Code of 
   Military Justice.
     Categories of records in the system: 
       Records of Proceedings under Article 15, Uniform Code of Military 
   Justice.
     Authority for maintenance of the system: 
       (5 U.S.C. 301, 10 U.S.C. 815; 14 U.S.C. 632; 49 CFR 1.45, 1.46.)
   Purpose(s): 
       Military justice administration.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Records provide statistical data concerning the number of 
   proceedings held, units holding proceedings, offenses committed, 
   punishments imposed, and background data of individuals concerned. 
   See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File cabinets.
     Retrievability: 
       By name.
     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: 
       Disposal procedures not as yet established. Back-up material 
   disposed of after introduction into system.
     System manager(s) and address: 
       Commandant, G-L, United States Coast Guard Headquarters, 2100 2nd 
   Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Department of Transportation, Commandant, G-SII-2, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     Record source categories: 
       Individual service records and from proceedings conducted.
     Exemptions claimed for the system:
       None.

   DOT/CG 510

   System name: 

       Records of trial: Special, General and Summary Courts Martial.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Commandant, G-L, United States 
   Coast Guard, CG, 2100 2nd Street, SW., Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       Any individual who is tried by court martial in the Coast Guard.
     Categories of records in the system: 
       Records of trial.
     Authority for maintenance of the system: 
       5 U.S.C. 301, 10 U.S.C. 865; 14 U.S.C. 632; 49 CFR 1.45, 1.46; 
   E.O. 11835 (January 27, 1975, paragraph 94b).
   Purpose(s): 
       Documentation of Coast Guard courts martial.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Maintained in file cabinets.
     Retrievability: 
       Alphabetically by name of individual.
     Safeguards: 
       Maintained in file cabinets in building with limited access 
   during non-working hours and with roving security patrol.
     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: 
       Department of Transportation, Commandant, G-L, Office of the 
   Chief Counsel, United States Coast Guard Headquarters, 2100 2nd 
   Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Department of Transportation, United States Coast Guard 
   Headquarters, Commandant, G-SII, 2100 2nd Street, SW., Washington, DC 
   20593-0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     Record source categories: 
       Trial proceedings and subsequent statutory reviews--Court of 
   Military Review, Court of Appeals for the Armed Services, and Chief 
   Counsel of the Coast Guard.
     Exemptions claimed for the system:
       None.

   DOT/CG 511

   System name: 

        Legal Assistance Case File System.
     Security classification: 
        Unclassified, sensitive.
     System location: 
        Department of Transportation, Commandant, G-L, United States 
   Coast Guard, CG, 2100 2nd Street, SW., Washington, DC 20593-0001. 
   United States Coast Guard District Legal Offices and Legal Offices of 
   Coast Guard Units.
     Categories of individuals covered by the system: 
        Coast Guard military members seeking personal legal assistance.
     Categories of records in the system: 
        Information concerning the matters handled by these officers for 
   clients.
     Authority for maintenance of the system: 
       5 U.S.C. 301, 10 U.S.C. 1044, 1054; 14 U.S.C. 632, 44 U.S.C. 
   3101; 49 CFR 1.45, 1.46
   Purpose(s): 
       Provide legal assistance.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Normally, written records kept in file folders.
     Retrievability: 
       Alphabetical indexes by name of member.
     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: 
       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 contents of 
   the record involved.
     System manager(s) and address: 
       Commandant, G-L, Office of the Chief Counsel, United States Coast 
   Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. 
   District or unit legal offices:
     Notification procedure: 
       Commandant, (G-SII-2, United States Coast Guard Headquarters, 
   2100 2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       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.
     Contesting record procedures: 
       Same as ``Record access procedures''.
     Record source categories: 
       Client involved and as a result of any subsequent investigation 
   by the legal officer on behalf of the client.
     Exemptions claimed for the system:
       None.

   DOT/CG 526

   System name: 

        Adjudication and Settlement of Claims System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard, 2100 2nd Street, 
   SW., Washington, DC 20593-0001. Coast Guard Districts and Units.
     Categories of individuals covered by the system: 
       Active, Reserve, and Retired military members; civilian 
   employees.
     Categories of records in the system: 
       Claims arising out of disputes concerning amounts of pay 
   received.
     Authority for maintenance of the system: 
       5 U.S.C. 301, 5 U.S.C. 5514; 14 U.S.C. 632, 461; 37 U.S.C. 1007; 
   49 CFR 1.45, 1.46.
   Purpose(s): 
       Determine entitlement of claimants.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       To use as precedent setting 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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Records are stored manually in file folders.
     Retrievability: 
        Claimant name.
     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: 
       After adjudication and settlement, most submissions are retained 
   for precedent setting value, as required.
     System manager(s) and address: 
       Commandant, G-WP, Director, Personnel Management Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW, 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
        Same as ``Notification procedure''.
     Record source categories: 
       Individual, CG payroll offices, legal staff, investigators, 
   Director of Personnel and Management, Comptroller General, GAO, and 
   congressional correspondence.
     Exemptions claimed for the system:
        None.

   DOT/CG 528

   System name: 

       Centralized Reserve Pay and Retirement System.
     Security classification: 
        Unclassified--sensitive.
     System location: 
       United States Coast Guard, Human Resources Service and 
   Information Center, 444 SE Quincy St., Topeka, KS 66683-3591. 
   District Offices and other Field Units.
     Categories of individuals covered by the system: 
        Coast Guard Reservists.
     Categories of records in the system: 
       Master Pay and Retirement Point Credits Record. Master Personnel 
   Data Accounting Record.
     Authority for maintenance of the system: 
       5 U.S.C. 301, 10 U.S.C. 1331; 10 U.S.C. 12731; 14 U.S.C. 632; 49 
   CFR 1.45, 1.46
   Purpose(s): 
       Prepare monthly payroll and all associated listings.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Preparation of budgets. Accounting. Compute pay and points. 
   Compilation of data. 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 may be made from this system to ``Consumer reporting 
   agencies'' (collecting on behalf of the United States 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: 
       Microfilm of payroll retained in Reserve Pay Branches and 
   Districts. Records are filed manually in filing cabinets.
     Retrievability: 
        Alphabetically by name of Reservist and CG Unit Number.
     Safeguards: 
       Access is regularly limited to user staff members. Records are 
   stored in secured building after duty hours.
     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: 
       Commandant, G-WT, Director, Reserve and Training Directorate, 
   United States Coast Guard, 2100 2nd Street, SW., Washington, DC 
   20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
        Same as ``Notification procedure''.
     Record source categories: 
       District Commander and Office of Reserve, Individual Unit 
   Commanding Officers.
     Exemptions claimed for the system:
        None.

   DOT/CG 533

   System name: 

       Retired Pay and Personnel System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       United States Coast Guard, CG, Human Resources Service and 
   Information Center, 444 SE. Quincy St., Topeka, KS 66683-3591.
     Categories of individuals:
       Annuitants. Lighthouse Keeper Retirees. Honorary Retirees. USCG 
   Retirees.
     Categories of records in the system: 
       Pay and Personnel data of military retirees, annuitants, 
   lighthouse keepers and retirees. Personnel data of honorary retirees. 
   Accounts receivable and accounts payable.
     Authority for maintenance of the system: 
       5 U.S.C. 301, 10 U.S.C. 421-424, 1201, 1401; 14 U.S.C. 632; 49 
   CFR 1.45, 1.46.
   Purpose(s): 
       Make payments.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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, 
   Office of Personnel Management, Social Security Administration, 
   Department of Defense, and the Red Cross. 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 United States 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 filed manually in file folders. Microfilm is stored 
   in the retired pay branch. Check tapes are filed in tape library.
     Retrievability: 
       Records and microfilm are indexed alphabetically, check tapes are 
   indexed by tape number. Retrieved by name/number.
     Safeguards: 
       Access is regularly limited to user staff members under 
   supervisory control. Stored in government building having roving 
   security guard after duty hours.
     Retention and disposal: 
       Records are retained in the Retired Pay Branch for 3 years 
   subsequent to retiree's or annuitant's death, and 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: 
       Director, Personnel Management Directorate, United States Coast 
   Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. 
   Notification procedure: Department of Transportation, Commandant, G-
   SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001. Written request must be signed by the 
   individual.
     Record access procedures: 
       Procedure may be obtained by writing to or visiting Commandant, 
   G-SII 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: 
        Same as ``Record access procedures''.
     Record source categories: 
        Individuals, Coast Guard personnel and payroll offices.
     Exemptions claimed for the system:
        None.

   DOT/CG 534

   System name: 

       Travel and Transportation of Household Effects.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, U.S. Coast Guard Headquarters, Director, 
   Personnel Management Directorate, 2100 2nd Street, SW., Washington, 
   DC 20593-0001. District Office and Headquarters' units.
     Categories of individuals covered by the system: 
       Active duty military members, retired military members, and 
   civilian employees.
     Categories of records in the system: 
        Travel claims, transportation claims, government bills of 
   lading, applications for shipment of household effects.
     Authority for maintenance of the system: 
       5 U.S.C. 301, 10 U.S.C. 1147; 14 U.S.C. 512, 632; 37 U.S.C. 406; 
   49 CFR 1.45, 1.46
   Purpose(s): 
       Payment of household and transportation claims.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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 claims. Used by General Accounting Office in connection 
   with the performance official duties. See Prefatory Statement of 
   General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     5Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Filed manually in file folders.
     Retrievability: 
       Schedule numbers and/or individual name.
     Safeguards: 
       Access is regularly limited to user staff members. Stored in a 
   building secured after duty hours.
     Retention and disposal: 
       Records are kept for 3 years, and 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: 
       Commandant, G-WP, Director, Personnel Management Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Written request must be 
   signed by the individual.
     Record access procedures: 
       Procedure may be obtained by writing to or visiting Commandant, 
   G-SII) 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: 
        Same as ``Record access procedure''.
     Record source categories: 
       Individual subject of the record. Ground freight and 
   transportation carriers and agents. Airline companies. Personnel 
   offices. Other responsible agencies.
     Exemptions claimed for the system:
        None.

   DOT/CG 535

   System name: 

       Coast Guard Exchange System, CGES and Morale, Welfare and 
   Recreation, MWR Program.
     Security classification:
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard Headquarters, 
   Director, Personnel Management Directorate, 2100 2nd Street, SW., 
   Washington, DC 20593-0001. CG Districts, Maintenance and Logistics 
   Commands and Headquarters Units.
     Categories of individuals covered by the system: 
       Civilian employees. Active duty and retired military members. 
   Military dependents.
     Categories of records in the system: 
       Payroll records. Accounting records for CGES/MWR loans. Listing 
   of bad checks. Job applications. Correspondence. Membership 
   applications. Accounts receivable. Investigatory reports involving 
   abuse of facilities. Accounting records for CGES/MWR.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 5 U.S.C. 2105; 10 U.S.C. 1059, 1146, 1587; 14 
   U.S.C. 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Maintain financial and personnel records for Coast Guard non-
   appropriated fund entities.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Payroll for CGES/MWR employees. Personnel actions. Accounting 
   purposes. Budget and inventory controls. See Prefatory Statement of 
   General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       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: 
       Indexed alphabetically.
     Safeguards: 
       Access is regularly limited to authorized personnel. Building is 
   secured after duty hours.
     Retention and disposal: 
       Records are retained until usefulness has expired and then 
   destroyed.
     System manager(s) and address: 
       Commandant, G-WP, Director, Personnel Management Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     Record source categories: 
       Individual record subject. Previous employees. Employment 
   agencies. Civilian and military investigative reports. General 
   correspondence.
     Exemptions claimed for the system:
       None.

   DOT/CG 536

   System name: 

       Contract and Real Property File System.
     Security classification:
       Unclassified--sensitive.
     System location: 
       Commandant, G-CFM, United States Coast Guard Headquarters, Chief 
   of Staff, 2100 2nd Street, SW., Washington, DC 20593-0001. District 
   and Headquarters Units.
     Categories of individuals covered by the system: 
       Individuals 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: 
       Contracts and related files. Real property and leased family 
   housing files. Bidders list. Minority compliance records. Payment 
   schedule 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 easement.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 2571; 14 U.S.C. 92(f), 93(o), 632, 666, 
   685; 49 CFR 1.45, 1.46; COMDTINST 5100.47.
   Purpose(s): 
       Determine compliance of contractors with minimum wages for 
   certain skills and trades on government contracts.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Recordkeeping of payments and collection. Determine potential for 
   contracting with the government. Record issuance of personal property 
   and maintain inventories. Determine contractor responsibilities and 
   liability. Used by the General Accounting Office, GAO in performance 
   of duties. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Manually filed in file folders, maintained on tape/card three 
   ring binders, and in hard cover books.
     Retrievability: 
       Retrieved by individual/company name, number, construction job, 
   and/or location.
     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: 
       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: 
       Commandant, G-CFM, United States Coast Guard Headquarters, Chief 
   of Staff, 2100 2nd Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     Record source categories: 
       Individuals. Contractors. Contract employees. Bidders. Financial 
   institutions. Insurance Companies. Community associations. Other 
   agencies.
     Exemptions claimed for the system:
       None.

   DOT/CG 537

   System name: 

       FHA Mortgage Insurance for Servicemen.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard Headquarters, 
   Director, Personnel Management Directorate, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       Coast Guard Military Personnel who have applied for Federal 
   Housing Administration Mortgage Insurance.
     Categories of records in the system: 
       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.''
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 632, 680-689; 49 CFR 1.45, 1.46
   Purpose(s): 
       Enroll, terminate, and verify eligibility of members in FHA 222 
   Program.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Verify that billings from HUD are correct, and payable from Coast 
   Guard funds.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Manually in closed file cases.
     Retrievability: 
       By named individual, alphabetically.
     Safeguards: 
       Access is regularly limited to user staff members. After duty 
   hours, the building is patrolled by roving security guards.
     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: 
       Commandant, G-WP, Director, Personnel Management Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street SW., Washington, DC 20593-0001. The written request should 
   include the requester's name in full and signature.
     Record access procedures: 
       Procedures may be obtained by writing Commandant, G-SII, at the 
   address above, or by visiting the Coast Guard Headquarters, 2100 2nd 
   Street, SW., Washington, DC 20593-0001. Proof of identity will be 
   required prior to affording an individual access to his records. A 
   military identification card, a driver's license, or similar document 
   will be considered suitable identification.
     Contesting record procedures: 
       Same as ``Record access procedures''.
     Record source categories: 
       Individual concerned and the Federal Housing Administration.
     Exemptions claimed for the system:
       None.

   DOT/CG 571

   System name: 

       Physical Disability Separation System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commander, U.S. Coast Guard Personnel Command, 2100 2nd St., SW., 
   Rm. 1504, Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       USCG active duty personnel, USCG Reserve personnel on active duty 
   orders for periods greater than 29 days, and USCG personnel separated 
   or retired for physical disability.
     Categories of records in the system: 
       Central Physical Evaluation Board files. Formal Physical 
   Evaluation Board files. Physical Review Council files. Physical 
   Disability Appeal Board files.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 1216, 14 U.S.C. 366, 632; 49 CFR 1.45, 
   1.46.
   Purpose(s): 
       Physical disability separation and retirement proceedings.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Department of Veteran Affairs for assistance in determining the 
   eligibility of individuals for benefits administered by that agency 
   and available to USPHS or DOD medical personnel in connection with 
   the performance of their official duties. See Prefatory Statement of 
   General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders, microfilm, magnetic tape, punched cards, machine 
   lists, discs, and other computerized or machine readable media.
     Retrievability: 
       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 two years after disposition then transferred to Federal 
   Records Center, St. Louis, MO.
     System manager(s) and address: 
       Commander, U.S. Coast Guard, Personnel Command, 2100 2nd St., 
   SW., Rm. 1504, 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-SII-2, United States Coast Guard Headquarters, 2100 2nd Street, 
   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'' above.
     Exemptions claimed for the system:
       None.

   DOT/CG 572

   System name: 

       USCG Military Personnel Health Record System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       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: 
       Active duty, reserve, and retired members of the uniformed 
   services and their dependents.
     Categories of records in the system: 
       Records of medical and dental treatment, including x-rays. 
   Physical Examinations. ADP Records containing due date for physical/
   dental and eye examinations, inoculations, screening tests and 
   results of actions required by Coast ``Guard or other federal state 
   or local government or agency. Records concerning line of duty 
   determination and eligibility for disability benefits.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 1071-1107; 14 U.S.C. 632; 49 CFR 1.45, 
   1.46
   Purpose(s): 
       Determine suitability of members for overseas assignments and to 
   develop automated information relating to medical readiness in 
   wartime and contingence operations.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       a. 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.
       b. 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 services.
       c. 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.
       d. Provided to the Department of Defense or other federal, state, 
   or local governments and agencies for casualty identification 
   purposes.
       e. Provided to the Social Security Administration and Veterans 
   Administration for use in determining an individual's entitlement to 
   benefits administered by those agencies.
       f. 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.
       Records are provided to the Department of Health and Human 
   Services for purposes of the Federal Medical Care recovery set. 
   Records are available to the Public Health Service or DOD medical 
   personnel in connection with medical treatment of individuals at 
   USPHS or DOD facilities. See Prefatory Statement of General Routine 
   Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Individual files are in folders. Portions of records are 
   automated at some units.
     Retrievability: 
       Name or social security number of member or dependents.
     Safeguards: 
       Room 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 
   individual 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 Records 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 report.
       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 Street, St. 
   Louis, MO 63118, and 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 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: 
       Commandant, G-WK, United States Coast Guard Headquarters, 
   Director, Health and Safety Directorate, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII-2, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       a. Active Duty personnel: Health care facility where the record 
   is located, or see ``Notification Procedure''.
       b. Retired Personnel and all Dependents: Health care facility 
   where the record is/was located, or: (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
       Reserve Personnel: Reserve group or unit or district commander of 
   the district where command is located, or see ``Notification 
   Procedure''.
       The decision to release medical records directly to the 
   individual shall be made by medical practitioner per 49 CFR 10.35(c).
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       Medical facilities where beneficiaries treated or examined. 
   Investigations resulting from illness or injury. The individual.
     Exemptions claimed for the system:
       None.

   DOT/CG 573

   System name: 

        United States Public Health Services, PHS Commissioned Officer 
   Corps Staffing and Recruitment Files.
     Security classification: 
        Unclassified--sensitive.
     System location: 
       Commandant, G-WK, United States Coast Guard Headquarters, 
   Director, Health and Safety Directorate, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
        PHS commissioned officers assigned to duty with the Coast Guard.
     Categories of records in the system: 
        Personnel records, assignment preference, reference 
   questionnaires, background information.
     Authority for maintenance of the system: 
        5 U.S.C. 301; 10 U.S.C. 1043, 14 U.S.C. 93(r), 632, 645; 42 
   U.S.C. 213, 253; 49 CFR 1.45, 1.46.
   Purpose(s): 
        Assist administrators in assigning personnel to area requiring 
   their specific skills.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        Monitor career development of personnel assigned to program. See 
   Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        File folders.
     Retrievability: 
        By name of individuals.
     Safeguards: 
        During working hours access is controlled by office personnel, 
   during non-working hours building is patrolled by roving security 
   patrol.
     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: 
        Commandant, G-WK, Director, Health and Safety Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
        Commandant, G-SII-2, United States Coast Guard Headquarters, 
   2100 2nd Street, SW., Washington, DC 20593-0001. Written request must 
   be signed by the individual.
     Record access procedures: 
        Procedures may be obtained by writing to or visiting Commandant, 
   G-SII-2 at the address in ``Notification procedures''. 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: 
        See ``Record access procedures''.
     Record source categories: 
        Previous employers, educational institutions, references, Coast 
   Guard Medical Administrators and the individual.
     Exemptions claimed for the system:
        None.

   DOT/CG 576

   System name: 

        USCG Non-Federal Invoice Processing System, NIPS.
     Security classification: 
        Unclassified--sensitive.
     System location: 
        Commandant, G-WK, United States 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: 
        Correspondence, memoranda, and related documents concerning 
   potential and actual health care invoices for processing by NIPS. 
   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. 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.
     Authority for maintenance of the system: 
        5 U.S.C. 301; 10 U.S.C. 1091, 14 U.S.C. 93(r), 632; 49 CFR 1.45, 
   1.46.
   Purpose(s): 
        Review of cost data and appropriateness of care.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        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. See Prefatory Statement of General routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Storage of individual files is in folders. Portions of records 
   are extracted in an ADP data base. ADP data is maintained in hard 
   disk and magnetic tape storage.
     Retrievability: 
        Name or Social Security Number of member or dependents sponsor. 
   Name of Member's Unit. 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 non-duty hours. 
   Access to records is regularly limited to those directly involved in 
   managing claims. Records in the ADP database are retrievable only by 
   those with authorized access to ADP equipment and the database is 
   protected by standard ADP security measures including the use of 
   passwords.
     Retention and disposal: 
        Retained for 1 year; transferred to a Federal Record Storage 
   Facility and retained for an additional 5 years 3 months, and 
   destroyed thereafter.
     System manager:
        Commandant, G-WK, Director, Health and Safety Directorate, 
   United States Coast Guard Headquarters, 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, or Commander, Maintenance and 
   Logistics Command Pacific, Health Services Division, Coast Guard 
   Island, Alameda, CA 94501-5100, as appropriate.
     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 procedures.''
     Record source categories: 
        From the individual, individual's spouse, parent or guardian. 
   Medical facilities (United States Coast Guard, Department of Defense, 
   uniformed Services Treatment Facility, or non-Federal, provider) 
   where beneficiaries are treated. For Active Duty personnel--the 
   Official Officer Service Records System, DOT/CG 626, and the Enlisted 
   Personnel Record System; DOT/CG 629. For Reserve personnel--the 
   Official Coast Guard Reserve Service Record System, DOT/CG 676. 
   Investigations resulting from illness or injury.
     Exemptions claimed for the system:
        None.

   DOT/CG 577

   System name: 

       USCG Federal Medical Care Recovery Act, FMCRA Record System.
     Security classification: 
        Unclassified--sensitive.
     System location: 
        U.S. Coast Guard, Health and Safety Directorate, 2100 2nd 
   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: 
       Correspondence, memoranda, and related documents concerning 
   potential ad actual FMCRA claims, and copies of medical and dental 
   treatment provided to the individual subject of the claim, and copies 
   of medical bills associated with civilian care provided at government 
   expense. 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.
     Authority for maintenance of the system: 
        5 U.S.C. 301; 14 U.S.C. 632; 42 U.S.C. 2651-2653; 49 CFR 1.45, 
   1.46.
   Purpose(s): 
        Managing, processing, and collecting claims for the government.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        Information may be disclosed to attorneys and insurance 
   companies involved in settling and litigating claims. See Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Storage of individual files is in folders. Portions of records 
   are extracted in ADP database. ADP database 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 database retrievable only to those with 
   authorized access to ADP equipment and database is protected by 
   standard ADP.
     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: 
        Health and Safety Directorate, United States Coast Guard, 
   Headquarters, 2100 2nd 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-WK, U.S. Coast Guard, Attn: FMCRA 
   Section, 2100 Second Street, SW., Washington, DC 20593-0001.
     Contesting record procedures: 
        Same as ``Record access procedures.''
     Record source categories: 
        From the individual, or if a minor, the parent or guardian. 
   Medical facilities (U.S. Coast Guard, Department of Defense, 
   Uniformed Services Treatment Facility, or Civilian Facility) where 
   beneficiaries are treated. Injury investigations. Attorneys and 
   insurance companies involved in the claim. For Active Duty 
   personnel--the Official Officer Service Records System; DOT/CG 626, 
   and the Enlisted Personnel Records System; DOT/CG 629. For reserve 
   personnel--the Official Coast Guard Reserve Service Record System, 
   DOT/CG 676.
     Exemptions claimed for the system:
        None.

   DOT/CG 586

   System name: 

        Chemical Transportation Industry Advisory Committee.
     Security classification: 
        Unclassified-sensitive.
     System location: 
        Commandant, G-M, United States Coast Guard, 2100 2nd Street, 
   SW., Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
        Committee members.
     Categories of records in the system: 
        Address, phone number. Biographical sketch. Committee 
   information. Minutes of meetings.
     Authority for maintenance of the system: 
        5 U.S.C. 301; 14 U.S.C. 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
        Arranging meetings, keeping records of committee business, 
   determine committee membership.
     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.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        File folders.
     Retrievability: 
        By committee name/individual name.
     Safeguards: 
        Personnel screening prior to granting access. Building has 
   roving security after hours.
     Retention and disposal: 
        Permanently retained.
     System manager(s) and address: 
        Commandant (G-M), United States Coast Guard Headquarters, Chief, 
   Marine Safety and Environmental Protection, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
        Commandant, G-SII-2, United States Coast Guard Headquarters, 
   2100 2nd Street, SW., Washington, DC 20593-0001. Written request must 
   be signed by the individual.
     Record access procedures: 
        Procedures may be obtained by writing to or visiting Commandant, 
   G-SII-2, 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: 
        Same as ``Record access procedures'.
     Record source categories: 
        From the individual of record.
     Exemptions claimed for the system:
        None.

   DOT/CG 588

   System name: 

        Marine Safety Information System, MSIS.
     Security classification: 
        Unclassified--sensitive.
     System location: 
        United States Coast Guard (USCG), Operations Systems Center, 175 
   Murall Drive, Martinsburg, WV 25401.
     Categories of individuals covered by the system: 
        Individuals with established relationship(s) associates to 
   maritime vessels that are included in the Marine Safety Information 
   System, MSIS. Specifically, information on vessel owners, operators, 
   masters, crew and/or agents can be stored in MSIS.
     Categories of records in the system: 
        Information on maritime vessels and vessel characteristics 
   including: Vessel identification data, registration data, port 
   visits, inspection data, documentation data, port safety boardings, 
   casualties, pollution incidents, and civil violations if applicable 
   and associated information (data pertaining to people or 
   organizations associated with vessels) for owners, operators, agents, 
   and possibly crew members. Statements submitted by Coast Guard 
   relating to boardings, investigations as a result of a pollution and/
   or casualty incident, as well as any violations of United States law, 
   along with civil penalty actions taken as a result of such 
   violations. Such reports could contain names of passengers on 
   vessels, as well as witnesses to such violations.
     Authority for maintenance of the system: 
        5 U.S.C. 301; 14 U.S.C. 632; 33 U.S.C. 1228; 46 U.S.C. 2102, 
   3301, 3714, 3717, 6101, 6102, 6307(c)'', 6301, 7101, 7309; 49 CFR 
   1.45, 1.46.
   Purpose(s): 
        Build a safety performance history of vessels, their owners, 
   operators and facilities, thereby enhancing safety.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        MSIS primarily supports operational decision making in 
   implementing and enforcing marine safety and environmental programs. 
   In addition, the system is used by field units for the issuance of 
   Certificates of Documentation, Certificates of Inspections, port 
   safety boardings, monitoring cargo transfers, capturing data on 
   pollution incidents and casualties, and for reporting of violations 
   resulting from these incidents. MSIS Records may be disclosed to the 
   following United States Government entities.
       (1) United States Department of Commerce, National Technical 
   Information Service, NTIS: Characteristics of vessels documented by 
   the USCG and owner information. This information is the same as that 
   published in the annual publication ``Merchant Vessels of the United 
   States,'' CG-408 (also known as ``the blue book''). This information 
   is distributed on tape and is sold to the public.
       (2) United States Customs Service, USCS: Characteristics of 
   vessel, United States ports visited and owner information. USCG 
   information is compared to USCS vessel and/or owner information.
       (3) Military Sealift Command (MSC): Characteristics of vessels. 
   USCG information is compared to MSC vessel information.
       See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Storage of all records is in an ADP data base operated and 
   maintained by the United States Coast Guard. All data is retained 
   indefinitely.
     Retrievability: 
       Records are retrieved by:
       a. Vessel name or vessel identification number, VIN.
       b. Facility name or facility identifying number, FIN.
       c. Involved parties name, IPN, (owner, operators, agent, etc.).
       d. Casualty case number.
       e. Pollution incident case number.
     Safeguards: 
       The MSIS falls under the guidelines of the Operations System 
   Center in Martinsburg, WV. This computer facility has its own 
   approved System Security Plan which provides that:
       a. The system be maintained in a secure computer room with access 
   restricted to authorized personnel only.
       b. Access to the building must be authorized and is limited. A 
   Sensitive Application Certification (SAC) has been approved for the 
   MSIS.
       The United States Coast Guard will operate the MSIS in consonance 
   with Federal security regulations, policy, procedures, standards and 
   guidance for implementing the Automated Information Systems Security 
   Program.
       c. Only authorized Department of Transportation personnel, and 
   authorized United States Government contractors conducting system 
   maintenance may access MSIS records.
       d. Access to records password protected and the scope of access 
   for each password is limited to the official need of each individual 
   authorized access.
       e. Additional protection is afforded by the use of two password 
   security.
     Retention and disposal: 
        Record retention is indefinite.
     System manager(s) and address: 
        United States Coast Guard, Information Management Division, G-
   MIR-2, 2100 2nd Street, SW, Washington, DC 20593-0001. Notification 
   Procedure: Submit a written request noting the information desired 
   and for what purpose the information will be used. A first party 
   request should be specifically noted. The request must be signed by 
   the individual, or his/her legal representative. Send the request to: 
   Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   Second Street, SW., Washington, DC 20593-0001
     Record access procedures: 
        Same as Notification procedures.
     Contesting record procedures: 
        Same as Notification procedures.
     Record source categories: 
        All information entered into the MSIS is gathered from 
   boardings, inspections, and Documentation offices in the course of 
   normal routine business. This information is gathered from the 
   owners, operators, crew members, agents, passengers, witnesses, 
   United States Coast Guard personnel.
     Exemptions claimed for the system:
        Portions of this system of records may be exempt from disclosure 
   under the provisions of 5 U.S.C. 552a (k)(2). However, in specific 
   cases where maintenance of information results in the denial of a 
   right, privileges or benefits to which the individual is entitled, 
   the information will be released in accordance with section (k)(2). 
   This 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/her identity would be held in confidence.

   DOT/CG 589

   System name: 

        United States Merchant Seamen's Records.
     Security classification: 
        Unclassified--sensitive.
     System location: 
        Commandant, G-M, United States Coast Guard, CG, 2100 2nd Street, 
   SW., Washington, DC. 20593-0001. Marine Inspection Office or the 
   Marine Safety Office where the seaman was documented.
     Categories of individuals:
        United States Merchant Seamen.
     Categories of records in the system: 
        Personnel File. Shipping Articles. Locator List. Log Books. 
   Seamen's License Records. Fingerprint Records. Disciplinary Records. 
   Security Records.
     Authority for maintenance of the system: 
        5 U.S.C 301; 14 U.S.C. 632; 46 U.S.C. 2103, 7319, 7701, 8701; 14 
   CFR 12.02-25; 49 CFR 1.45, 1.46.
   Purpose(s): 
        Administering the Commercial Vessel Safety Program to determine 
   domestic and international qualifications for the issuance of 
   licenses, documents and staff officer certifications.
     Routine uses of the records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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. See Prefatory Statement of General Routine 
   Use.
   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 United States Govt.) 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: 
        Paper files are stored at a secure, controlled access site 
   managed by contract personnel; on-site government oversight is 
   provided by the Coast Guard's National Maritime Center. Electronic 
   records are stored on a secure database server at the Coast Guard 
   Operations Systems Center.
     Retrievability: 
        Alphabetical order by last name, first name, middle name. 
   Retrieval is made by name and cross-indexed by identifying number 
   (e.g. Social Security Number, ``Z'' number, or Continuous Discharge 
   Book number).
     Safeguards: 
        The active personnel records are stored in a locked room at a 
   contractor's site. Access to the room is regularly limited to trained 
   employees of the contractor and to National Maritime Center 
   personnel. National Maritime Center personnel provide full time 
   oversight. Computer records are retrievable only by approved Coast 
   Guard and contractor personnel. Passwords are required by all 
   personnel who access the system and the system records the name of 
   the user each time a record is accessed. Each user's access is 
   limited to only that portion of the overall file that has previously 
   been determined to the user's needs.
     Retention and disposal: 
        Paper personnel files are held at the contractor's site for five 
   years past the last activity with the file. They are then transferred 
   to the Federal Records Center in Suitland, MD. 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: 
        Assistant Commandant, G-M, United States Coast Guard 
   Headquarters, Marine Safety and Environmental Protection, 2100 2nd 
   Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
        United States Coast Guard Headquarters, Commandant, G-SII, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
        Same as ``Notification procedure'' or the Marine Inspection 
   Office or Marine Safety Office where the document was issued locally.
     Contesting record procedures: 
        Same as ``Record access procedures.''
     Record source categories: 
        Personnel File--seamen, United States Coast Guard officials, 
   other Federal Agencies and employer. Shipping Articles Vessels' 
   operators, seamen, masters of vessels, State Department, and Coast 
   Guard officials. Disciplinary Records--Investigating Officers at the 
   various Marine Inspection and Marine Safety Offices.
     Exemptions claimed for the system:
        Portions of this system of records may be exempt from disclosure 
   under the provisions of 5 USC 552a (k)(2).

   DOT/CG 590

   System name: 

        Vessel Identification System, VIS.
     Security classification: 
        Unclassified--sensitive.
     System location: 
       United States Coast Guard, USCG, Operations Systems Center, 600 
   Coast Guard Drive, Kearneysville, WV 25430-3000.
     Categories of individuals covered by the system: 
        Individuals with established relationship(s)/association to 
   vessels that are state-numbered and/or titled and United States Coast 
   Guard-documented, and that are included in the Vessel Identification 
   System, VIS. Specifically, owners, or agents of such vessels, as well 
   as lienholders.
     Categories of records in the system: 
        Vessel identification information and vessel characteristics on 
   state-numbered and/or titled vessels or Coast Guard-documented 
   vessels. Personal information including: Name of each owner, address 
   of principal place of residence of at least one owner, mailing 
   address if different than the principal place of residence, and 
   either an owner's social security number, date of birth and driver's 
   license number, or other identifier. Records containing lienholder 
   and insurance information including: Name of lienholder, and city and 
   state of principal place of residence or business of each lienholder. 
   Law enforcement status code (stolen, recovered, lost, destroyed, or 
   abandoned), law enforcement hold, reporting agency, originating case 
   number, National Crime Information Center, NCIC, number, VIS user 
   identification, incident location, last sighted date/time/location, 
   law enforcement contact and phone number, and hours of operations. 
   Records containing vessel registration information including: 
   registration and, if applicable title number including effective and 
   expiration date, issuing authority, and, for Coast Guard documented 
   vessels, the official number.
     Authority for maintenance of the system: 
        5 U.S.C. 301; 14 U.S.C. 632; 46 U.S.C. 12501-12507; 49 CFR 1.45, 
   1.46
   Purpose(s): 
        Provide a nationwide pool of state-numbered and/or titled and 
   United States Coast Guard-documented vessels that will assist in 
   identification and recovery of stolen vessels, deter vessel theft and 
   fraud, and other purposes relating to the ownership of vessels.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        Federal and state numbering and titling officials for the 
   purposes of tracking, registering and titling vessels. See Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Automated data processing (ADP) database operated and maintained 
   by the United States Coast Guard.
     Retrievability: 
        Vessel owner or business name; Vessel owner's social security 
   number or alternate identifier (e.g. DOB, driver's license number, or 
   taxpayer identification number); vessel hull identification number, 
   HIN; State certificate of number; title number.; United States Coast 
   Guard official number; USCG vessel name and hailing port.
     Safeguards: 
        The VIS falls under the guidelines of the United States Coast 
   Guard Operations System Center, OSC in Martinsburg, WV. This computer 
   facility has its own approved System Security Plan.
     Retention and disposal: 
        Records of active cases are retained until they become inactive; 
   inactive cases are archived and retained for 50 years. Records will 
   be selected to be archived into an off-line file for any vessel that 
   has been inactive for a period of 10 years. Copies of backups are 
   stored at an off-site location.
     System manager (s) and address:
        Information Resource Division, System Development Division, G-
   MRI-3, United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
        Commandant, G-SII, USCG Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Record access procedures: 
        Same as ``Notification procedure''.
     Contesting record procedures: 
        Same as ``Notification procedure''.
     Record source categories: 
        Participating States and the National Crime Information Center, 
   NCIC.
     Exemptions claimed for the system:
        Portions of this system of records may be exempt from disclosure 
   under the provisions of 5 U.S.C. 552a (k)(2).

   DOT/CG 591

   System name: 

        Merchant Vessel Documentation System, Manual.
     Security classification: 
        Unclassified--sensitive.
     System location: 
        Automated: United States Coast Guard, USCG, Operations Systems 
   Center, 600 Coast Guard Drive, Kearneysville, WV 25430-3000. Manual: 
   United States Coast Guard, USCG, National Vessel Documentation 
   Center, 2039 Stonewall Jackson Drive, Falling Waters, WV 25419-9502.
     Categories of individuals covered by the system: 
        Vessel owners. Mortgagees. Vessel buyers and sellers. Lien 
   claimants. Vessel builders.
     Categories of records in the system: 
        Vessel owner information. Vessel information. Instruments of 
   record (bills of sale, mortgages, etc.).
     Authority for maintenance of the system: 
        5 U.S.C. 301; 14 U.S.C. 632; 46 U.S.C. 12119, 12502, 46 CFR part 
   67; 49 CFR 1.45, 1.46
   Purpose(s): 
        Establish the eligibility of vessels for documentation, record 
   and track documented vessels, issue marine documents and record 
   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: 
        Publication of the annual MERCHANT VESSELS OF THE UNITED STATES. 
   See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Index of owners maintained by Commandant, G-MVD. All other 
   records maintained at home port of vessel by vessel name.
     Retrievability: 
        Name of vessel owner.
     Safeguards: 
        Personnel screening.
     Retention and disposal: 
        Listings of vessel owners constantly updated by additions and 
   deletions (automated). Field office vessel folders transferred to FRC 
   two years after change of vessel's home port or 2 years after removal 
   of vessel from documentation (manual).
     System manager(s) and address: 
        Commandant, G-M, Chief, Marine Safety and Environmental 
   Protection, United States Coast Guard Headquarters, 2100 2nd Street, 
   SW., Washington, DC 20593-0001.
     Notification procedure: 
        Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
        Same as ``Notification procedure'' or the local Coast Guard 
   District Office.
     Contesting record procedures: 
        Same as ``Record Access Procedures.''
     Record source categories: 
        Vessel owners, Mortgagees, lien claimants, vessel sellers and 
   buyers, Coast Guard admeasures, and vessel builders.
     Exemptions claimed for the system:
        None.

   DOT/CG 592

   System name:

       Registered/Applicant Pilot Eligibility Folder.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commander, Ninth Coast Guard District, Great Lakes Pilotage 
   Staff, 1240 East Ninth St., Cleveland, OH 44199-2060.
     Categories of individuals covered by the system: 
       United States registered pilots and applicant pilots suitable 
   registered to perform pilotage duties aboard foreign vessels on the 
   Great Lakes.
     Categories of records in the system: 
       Application for registration, renewal of registration, annual 
   report of physical examination, Coast Guard license data, and 
   examination for registration.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 632, 709; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Document pilot registration.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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 Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Stored in file folders.
     Retrievability: 
       Name and pilot registration number.
     Safeguards: 
       Screened by office personnel prior to use. Locked in cabinets 
   during non-working hours.
     Retention and disposal: 
       Records are maintained permanently.
     System manager(s) and address: 
       Commander, Ninth Coast Guard District, Great Lakes Pilotage 
   Staff, 1240 East Ninth Street, Cleveland, OH 44199-2060.
     Notification procedure: 
       Same as ``System manager''.
     Record access procedures: 
       Same as ``System manager''.
     Contesting record procedures: 
       Same as ``System manager''.
     Record source categories: 
       Individual's original application for U.S. Pilot's registration 
   and individual's yearly report of medical examination.
     Exemptions claimed for the system:
       None.

   DOT/CG 611

   System name: 

       Investigative Case System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-O-CGIS, United States Coast Guard, CG, 2100 2nd 
   Street, SW., Washington, DC 20593-0001. Coast Guard District Offices.
     Categories of individuals covered by the system: 
       United States 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: 
       Personnel security investigations, national agency check results, 
   criminal investigation, counterintelligence investigations, 
   computerized case control system.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 2, 89a, 93(e), 632; 33 U.S.C. 1221; 14 
   U.S.C. 632; COMDTINST 5830.1
   Purpose(s): 
       Security clearances.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Actions by commanders under the Uniform Code of Military Justice. 
   Career advancement of United States Coast Guard military personnel. 
   Approval of merchant seamen documents. Access of individuals to port 
   facilities. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Investigative dossiers and 3x5 card retrieval system.
     Retrievability: 
       By name and/or case number.
     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 United States 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: 
       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: 
       Chief, Operations, G-O, United States Coast Guard Headquarters, 
   2100 2nd Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure'' or the local Coast Guard 
   District Office.
     Contesting record procedures: 
       Same as ``Record access procedures.''
     Record source categories: 
       National Agency Checks, background investigations, criminal 
   investigations, interviews, records checks, observations, statements.
     Exemptions claimed for the system:
       Portions of this system of records may be exempt from disclosure 
   under the provisions of 5 U.S.C. 552a (k)(2), (5), and (7).

   DOT/CG 612

   System name: 

       Port Security Card System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-O-CGIS, United States Coast Guard Headquarters, CG, 
   2100 2nd Street, SW., Washington, DC 20593-0001. District Offices.
     Categories of individuals covered by the system: 
       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: 
       Applications for port security cards awaiting processing. 
   Processed applications indicating those granted or denied port 
   security cards.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 2, 91, 632; 33 CFR 125; 49 CFR 1.45, 
   1.46.
   Purpose(s): 
       Determine eligibility for issuance of Port Security Cards.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper files, 3x5 cards.
     Retrievability: 
       By name.
     Safeguards: 
       Maintained in file cabinets in secure areas. Personnel are 
   screened prior to granting access.
     Retention and disposal: 
       Retained for 8 years, then destroyed by mutilating, shredding or 
   burning.
     System manager(s) and address: 
       Commandant, G-O, Chief, Operations, United States Coast Guard 
   Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as `Notification Procedure' or the local Coast Guard 
   District or unit office.
     Contesting record procedures: 
       Same as ``Record access procedures.''
     Record source categories: 
       Individual applications. National Agency checks. Other records 
   already at Coast Guard Headquarters, if any.
     Exemptions claimed for the system:
       Portions of this system of records may be exempt from disclosure 
   under the provisions of 5 U.S.C. 552a(k)(2).

   DOT/CG 622

   System name: 

       Military Training and Education Records.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Director, Reserve and Training Directorate, G-WT, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001. District and Headquarters Units.
     Categories of individuals covered by the system: 
       Coast Guard Military Personnel (Commissioned Officers, 
   Commissioned Warrant Officers, Cadets, and Enlisted Personnel).
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 93(g), 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Evaluation and measurement of training performance.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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. See Prefatory Statement of 
   General Routine Uses, 3 through 5 do not apply.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders stored in file cabinets. Portions are stored on ADP 
   equipment.
     Retrievability: 
       Name, rate, class number, cadet code number, and Social Security 
   Number.
     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: 
       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: 
       Director, Reserve and Training Directorate, G-WT, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Notification procedure: 
       United States Coast Guard, Headquarters, Commandant, G-SII, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as `Notification Procedure' or the local Coast Guard 
   activity where assigned for training.
     Contesting record procedures: 
       Same as ``Record Access Procedures.''
     Record source categories: 
       Official military personnel records, test results, instructors 
   and supervisors.
     Exemptions claimed for the system:
       Portions of this system of records may be exempt under 5 U.S.C. 
   552a(k)(5), (6), and (7).

   DOT/CG 623

   System name: 

       Military Pay and Personnel System.
     Security classification:
       Unclassified--sensitive.
     System location: 
       United States Coast Guard, CG, Department of Transportation 
   Computer Center, 400 7th Street, SW., Washington, DC 20590-0001. 
   United States Coast Guard Human Resources Service and Information 
   Center, 444 SE. Quincy Street, Topeka, KS 66683-3591. United States 
   Coast Guard, 2100 2nd Street, SW., Washington, DC 20593-0001. Unit 
   maintaining the individual's pay and personnel record and permanent 
   duty unit.
     Categories of individuals covered by the system: 
       All Coast Guard military personnel, active duty and reserve. 
   Retired reserve Coast Guard military personnel waiting for pay at age 
   60. Active duty National Oceanic and Atmospheric Administration, NOAA 
   officers. Personnel separated from service in all the preceding 
   categories.
     Categories of records in the system: 
       Identifying information, such as name(s), date of birth, home 
   residence, mailing address, social security number, payroll 
   information, and home telephone number. Work experience, educational 
   level achieved, and specialized education or training obtained in and 
   outside of military service. Military duty assignments, ranks held, 
   pay and allowances, personnel actions such as promotions, demotions, 
   or separations. Enrollment or declination of enrollment in insurance 
   programs. Performance evaluation. Individual's desires for future 
   assignments, training requested, and notations by assignment 
   officers. Information for determinations of waivers and remissions of 
   indebtedness to the United States Government. Information for the 
   purpose of validating legal requirements for garnishment of wages.
     Authority for maintenance of system:
       5 U.S.C. 301; 14 U.S.C. 92(I), 632; 5 U.S.C. 5501-5597; 49 CFR 
   1.45, 1.46.
   Purpose(s): 
       Administer the Coast Guard pay and personnel system.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       To the Department of Treasury for the purpose of disbursement of 
   salary, United States Savings Bonds, allotments, or travel claim 
   payments. To government agencies to disclose earnings and tax 
   information. To the Department of Defense and Veterans Administration 
   for determinations of benefit eligibility for military members and 
   their dependents. To contractors to manage payment and collection of 
   benefit claims. To the Department of Defense for manpower and 
   readiness planning. To the Comptroller General for the purpose of 
   processing waivers and remissions. To contractors for the purpose of 
   system enhancement, maintenance, and operations. To federal, state, 
   and local agencies for determination of eligibility for benefits 
   connected with the Federal Housing Administration programs. 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. 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. 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. To businesses for the purpose of electronic fund 
   transfers or allotted pay transactions authorized by the individual 
   concerned. To credit agencies and financial institutions for the 
   purpose of processing credit arrangements authorized by the 
   individual concerned. To other government agencies for the purpose of 
   earnings garnishment. To prepare the Officer Register and Reserve 
   Officer Register which is provided to all Coast Guard officers and 
   the Department of Defense. To other federal agencies and collection 
   agencies for the collection of indebtedness and outstanding travel 
   advances to the federal government. 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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Computer disks, magnetic tape microfilm, and paper forms in file 
   folders.
     Retrievability:
       Name or social security number.
     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, DOT/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: 
       For active duty members of the Coast Guard: Chief, Office of 
   Personnel, United States Coast Guard Headquarters, 2100 2nd Street, 
   SW., Washington, DC 20593-0001. For Coast Guard inactive duty reserve 
   members and retired Coast Guard reservists awaiting pay at age 60: 
   Chief, Office of Reserve Affairs, United States Coast Guard 
   Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001. For 
   Coast Guard Waivers and Remissions: Chief, Personnel Services 
   Division, G-PMP, Office of Personnel, United States Coast Guard 
   Headquarters, 2100 2nd Street, SW., Washington, DC 20590-0001. For 
   records used to determine legal sufficiency for garnishment of wages 
   and pay records: Commanding Officer, LGL, United States Coast Guard 
   Human Resources Service and Information Center, 444 SE. Quincy 
   Street, Topeka, KS 66683-3591. 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. For NOAA members: National 
   Oceanic and Atmospheric Administration, Commissioned Personnel 
   Division, 11400 Rockville Pike, Rockville, MD 20852.
     Notification procedure: 
       For all information on Coast Guard members other than below: 
   United States Coast Guard Headquarters, G-SII, 2100 2nd Street, SW., 
   Washington, DC 20593-0001. For records used to determine legal 
   sufficiency for garnishment of wages and pay records: Commanding 
   Officer, United States Coast Guard Human Resources Service and 
   Information Center, 444 S.E. Quincy Street, Topeka, KS 66683-3591. 
   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. For 
   all information on NOAA members: National Oceanic and Atmospheric 
   Administration, Commissioned Personnel Division, 11400 Rockville 
   Pike, Rockville, MD 20852.
     Record access procedures:
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     Record source categories: 
       Official Officer Service Records, DOT/CG 626. Enlisted Personnel 
   Record System, DOT/CG 629. Official Coast Guard Reserve Service 
   Record, DOT/CG 676. Individual, Coast Guard personnel officials, 
   National Oceanic and Atmospheric Administration personnel officials, 
   and the Department of Defense.
     Exemptions claimed for the system:
       None.

   DOT/CG 624

   System name: 

       Personnel Management Information System, PMIS.
     Security classification:
       Unclassified--sensitive.
     System location: 
       United States Coast Guard, Commanding Officer Human Resources 
   Service and Information Center, 444 SE Quincy St., Topeka, KS 66683-
   3591.
     Categories of individuals covered by the system: 
       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: 
       A single computer record that 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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 92(I), 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Produce a number of personnel reports used throughout the Coast 
   Guard.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to 'consumer reporting agencies' (collecting 
   on behalf of the United States Govt.) 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: 
       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.
     Retrievability: 
       Name or Social Security Number or a combination of personal and 
   non-personal characteristics.
     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 accessibility 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: 
       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: 
       Commandant, G-WP, United States Coast Guard Headquarters, 
   Director, Personnel Management Directorate, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures:
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     Record source categories: 
       Official service record entries prepared by field units.
     Exemptions claimed for the system:
       None.

    DOT/CG 625

   System name: 

       Officer Selection and Appointment System.
     Security classification:
       Unclassified--sensitive.
     System location: 
       Department of Transportation, DOT, Commander, United States Coast 
   Guard, Personnel Command, 2100 2nd St., SW., Rm. 1422, Washington, DC 
   20593-0001.
       Records are also located at Director, Coast Guard Recruiting 
   Center, 4200 Wilson Blvd., Suite 450, Arlington, VA 22203 and 
   individual recruiting offices.
       Use Appendix I for locations.
     Categories of individuals covered by the system: 
       Applicants for Coast Guard Officer Candidate School or direct 
   commission programs of the Coast Guard.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 591, 12201, 14 U.S.C. 211-295, 632; 49 
   CFR 1.45, 1.46.
   Purpose(s): 
       The primary purpose is to aid 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.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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.
     Disclosure to consumer reporting agencies:
       N/A.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records are stored in file folders.
     Retrievability: 
       The system is indexed alphabetically by name of applicant and is 
   retrieved by name.
     Safeguards: 
       Records kept in file cabinets locked after working hours. 
   Buildings have 24-hour security guards and limited access.
     Retention and disposal: 
       Application files for non-selected officer candidate applicants 
   are destroyed after six months and non-selected 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: 
       Department of Transportation , Commander, U. S. Coast Guard 
   Personnel Command, 2100 2nd St., SW., Rm. 1422, Washington, DC 20593-
   0001.
     Notification procedure: 
       Department of Transportation, United States Coast Guard 
   Headquarters, Commandant, G-SII, 2100 2nd Street, SW., Washington, DC 
   20593-0001.
     Record access procedures: 
       Procedure may be obtained by writing to or visiting Commandant, 
   G-SII 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: 
        Same as ``Record access procedures.''
     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.
     Exemptions claimed for the system:
       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 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 
   express 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 626

   System name: 

        Official Officer Service Records.
     Security classification: 
        Unclassified--sensitive.
     System location: 
       Commander, U.S. Coast Guard Personnel Command, 2100 2nd St., SW., 
   Rm. 1422, Washington, DC 20593-0001. National Personnel Records 
   Center, 9700 Page Boulevard, St. Louis, MO 63112. Individual 
   officer's unit.
     Categories of individuals covered by the system: 
       All Commissioned officers of the Coast Guard on active duty, 
   permanent or disability retired lists. Regular officers who resign 
   and do not accept a Reserve commission.
     Categories of records in the system: 
       General file & service record card. Fitness File & Officer 
   Summary Records. Medical File. Medical History for officers on the 
   Temporary Disability Retired List.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 93, 632; 10 U.S.C. 1071-1107, 1475-1480, 
   14 U.S.C. 251-295; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Normal administrative procedures, including assignment, 
   promotion, training, special recognition, etc.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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) 
   normally concerned with employment, educational or veteran benefits, 
   claims or applications. Furnishing specified material in an officer's 
   service record pursuant to the order of a court of competent 
   jurisdiction. Personnel from other Federal Agencies in the conduct of 
   official business, as authorized by the Chief, Officer Personnel 
   Management Division or Chief, Reserve Personnel Management Division, 
   or their designated representative. See Prefatory Statement of 
   General Routine Uses, 3 through 5 do not apply.
   Disclosure to consumer reporting agencies:
       Disclosures may be made from this systems to ``consumer reporting 
   agencies'' (collecting on behalf of the United States 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 maintained on paper and in digitized form. The paper 
   records are stored in files in a controlled access area. The 
   digitized records are stored on hard drives accessed via password by 
   designated Coast Guard personnel.
     Retrievability: 
       Individual records are indexed and retrievable by name and/or 
   last four digits of member's service number.
     Safeguards: 
       During working hours physical access to records is controlled by 
   the Personnel Command, CGPC. 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: 
       Each individual record is maintained at Coast Guard Headquarters 
   until three months after retirement/resignation, after which 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 United States Coast Guard 
   Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
     System manager(s) and address: 
       Commander, U.S. Coast Guard, Personnel Command, 2100 2nd St., 
   SW., Rm. 1422, Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
        Same as ``Notification 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.
     Exemptions claimed for the system:
       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 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 
   express promise that the identity 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.

   DOT/CG 627

   System name: 

        Enlisted Recruiting Selection Record System.
     Security classification: 
        Unclassified--sensitive.
     System location: 
       Commander, U. S. Coast Guard Personnel Command, 2100 2nd St., 
   SW., Rm. 1422, Washington, DC 20593-0001. Director, Coast Guard 
   Recruiting Center, 4200 Wilson Blvd., Suite 450, Arlington, VA 22203 
   and Coast Guard recruiting offices.
     Categories of individuals covered by the system: 
       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: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 503, 504, 1168, 1169, 1475-1480; 14 
   U.S.C. 350-373, 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
       The primary purpose is to serve for officials and employees of 
   the United States Coast Guard, in the performance of their duties in 
   managing and contributing to the recruitment program of the Coast 
   Guard and Coast Guard Reserves.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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. 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. Such contractors and 
   their employees as are or may be operating in accordance with an 
   approved official contract with the United States Government. See 
   Prefatory Statement of General Routine Uses; 3 through 5 do not 
   apply.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Automated records are stored on magnetic tape. Paper records are 
   stored in file folders.
     Retrievability: 
       Alphabetically by name of subject and social security number.
     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: 
       Records are normally maintained for two years and then disposed 
   of by mutilating, shredding, or burning.
     System manager(s) and address: 
       Commander, U. S. Coast Guard, Personnel Command, 2100 2nd St., 
   SW., Rm. 1422, Washington, DC 20593-0001.
     Notification procedure: 
       Commandant,G-SII-2, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     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.
     Exemptions claimed for the system:
       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 qualification of 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 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 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 December 31, 1974, under an implied promise that the identity of 
   the source would be held in confidence.

   DOT/CG 628

   System name: 

       Officer, Enlisted, and Recruiter Selection System File.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commander, U.S. Coast Guard, Personnel Command, 2100 2nd St., 
   SW., Rm. 1422, Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       Civilian or military personnel who have taken the following 
   tests: United States Navy Officer Qualification Test, OQT; United 
   States Navy and United States Marine Corps Aviation Selection Test 
   (AST); United States 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: 
       Answer sheets, electronic files.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 632; 46 U.S.C. 7306, 7313, 7316; 49 CFR 
   1.45, 1.46.
   Purpose(s): 
       Provide test results if an applicant (military or civilian) 
   applies for an officer program or is already in the military and 
   interested in a certain training program.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders, case files, and electronic media.
     Retrievability: 
       By name or electronically by social security number.
     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: 
       Test answer sheets are destroyed after 2 years. Card file--
   destroyed after 4 years.
     System manager(s) and address: 
       Commander, U.S. Coast Guard, Personnel Command, 2100 2nd St., 
   SW., Rm. 1422, Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       Individuals concerned and United States Coast Guard recruiting 
   officials. United States Marine Corps officials. United States Navy 
   Recruiting officials, United States Navy Bureau of Medicine Surgery 
   officials.
     Exemptions claimed for the system:
       Portions of this system are exempt under the provisions of 5 
   U.S.C. 552a(k)(5), (6), and (7).

   DOT/CG 629

   System name: 

       Enlisted Personnel Record System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commander, U.S. Coast Guard Personnel Command, 2100 2nd St., SW., 
   Rm. 1422, Washington, DC 20593-0001. District offices and 
   Headquarters Units.
     Categories of individuals covered by the system: 
       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: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 1071-1107, 12201, 14 U.S.C. 350-373, 632; 
   49 CFR 1.45, 1.46.
   Purpose(s): 
       Normal administrative procedures, including assignment, 
   promotion, training, special recognition, etc.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Data are 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 may be made from this systems to ``consumer reporting 
   agencies'' (collecting on behalf of the United States 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: 
       Paper records are stored in files in a room with controlled 
   access. Digitized records are stored on hard drives accessed via 
   password by designated Coast Guard personnel.
     Retrievability: 
       Name of individual or the last three digits of individual's 
   social security number.
     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: 
       Maintained at CGPC until three 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 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-WT) after separation documents are received.
     System manager(s) and address: 
       Commander, U.S. Coast Guard, Personnel Command, 2100 2nd St., 
   SW., Rm. 1422, Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure'' or the local Coast Guard 
   District or unit administrative officer for the area in which an 
   individual's duty station is located.
     Contesting record procedures: 
       Same as ``Record access procedures.''
     Record source categories: 
       Information is obtained from the individual, and Coast Guard 
   Officials.
     Exemptions claimed for the system:
       Portions of this system may be exempt under the provisions of 5 
   U.S.C. 552a(k)(5) and (7).

   DOT/CG 630

   System name: 

        Coast Guard Family Housing.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Each Integrated Support 
   Command and Headquarters Unit.
     Categories of individuals covered by the system: 
       Military and civilian personnel of all pay grades who made 
   application for government and/or government leased housing. Military 
   personnel who make applications in locating community housing. 
   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: 
       Applicants name, pay grade, marital status, current address and 
   dependent information maintained for the Coast Guard Housing System. 
   Includes 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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 475, 620, 632, 681, 687; 49 CFR 1.45, 
   1.46.
   Purpose(s): 
       Placing the applicant in government owned or leased housing or 
   community housing.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File Folder.
     Retrievability: 
       Name of individual, Coast Guard command, and date received.
     Safeguards: 
       Maintained in locked file cabinets and desk file drawers.
     Retention and disposal: 
       Maintained until applicant is placed in housing, then destroyed. 
   Records concerning Congressional correspondence are maintained 
   indefinitely.
     System manager(s) and address: 
       Commandant, G-WP, Director, Personnel Management Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure'' or the local Coast Guard 
   District Office.
     Contesting record procedures: 
       Same as ``Record access procedures.''
     Record source categories: 
       Applicant, individuals who complete family housing survey forms, 
   initiate correspondence concerning family housing, and Coast Guard 
   Officials.
     Exemptions claimed for the system:
       None.

   DOT/CG 631

   System name: 

       Family Advocacy Case Record System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, U.S. Coast Guard Headquarters, 2100 2nd St. 
   SW., Washington, DC 20593-0001. 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. 
   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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 632, 42 U.S.C. 5101, 5102; 49 CFR 1.45, 
   1.46.
   Purpose(s): 
       Coordination of the Coast Guard's Family Advocacy program.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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. To individuals or 
   organizations providing family support program care under contract to 
   the Federal Government. See Prefatory Statement of General Routine 
   Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders, microfilm, magnetic tape, punched cards, machine 
   lists, discs, and other computerized or machine readable media.
     Retrievability: 
       Name, social security number, types of incidents, etc.
     Safeguards: 
       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: 
       Records will be maintained at a decentralized location until the 
   case is closed or the sponsor is separated. Upon case closure or 
   separation of the sponsor, the record will be transferred to 
   Commandant, G-WPW. 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 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: 
       Commandant, G-WP, Director, Personnel Management Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. 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, educational institutions, law 
   enforcement agencies, public and private health and welfare agencies, 
   Coast Guard personnel and private individuals.
     Exemptions claimed for the system:
       Part of this system may be exempt under 5 U.S.C. 552a(k)(2) and 
   (5).

   DOT/CG 632

   System name: 

       Uniformed Services Identification and Privilege Card Record 
   System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       Dependents of United States 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: 
       Applications for Uniformed Service Identification and Privilege 
   Card, DD-1172. Verification for eligibility to possess the 
   Identification and Privilege Card, DD-1173. Pertinent miscellaneous 
   correspondence.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 632, 49 CFR 1.45, 1.46; E.O. 9397; 
   COMDTINST 5512.1.
   Purpose(s): 
       Verify that an applicant is entitled to be issued an 
   Identification and Privilege Card.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Verification provided to other Armed Forces authorized personnel 
   as required. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Maintained in file folders.
     Retrievability: 
       Alphabetical by name.
     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: 
       Retained for 10 years, then destroyed.
     System manager(s) and address: 
       Director, Personnel Management Directorate, G-WP, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       Sponsor and/or dependents.
     Exemptions claimed for the system:
       None.

   DOT/CG 633

   System name: 

       Coast Guard Civilian Personnel Security Program.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Each District Office and 
   Headquarters Unit.
     Categories of individuals covered by the system: 
       Coast Guard Civilian Personnel. Applicants for civilian 
   positions.
     Categories of records in the system: 
       Records of civilian security clearance granted. Correspondence 
   and requests concerning civilian personnel security actions.
     Authority for maintenance of the system: 
       5 U.S.C. 301, 5102, 14 U.S.C. 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Determine eligibility for access to classified information under 
   Executive Order 11652.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Suitability for sensitive positions. See Prefatory Statement of 
   General Routine Uses; 3 through 5 do not apply.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folder--3x5 Index cards.
     Retrievability: 
       By name of individual.
     Safeguards: 
       Kept in locked cabinets and safes. Individual identification is 
   required for users of records.
     Retention and disposal: 
       Upon termination of employment investigative files for civilians, 
   which serve as a basis for security clearances, are returned to the 
   Office of Personnel Management. A name record of type of 
   investigation is kept for 5 years and then destroyed by burning.
     System manager(s) and address: 
       Director, Personnel Management Directorate, G-WP, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard, Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure'' or the local office or unit.
     Contesting record procedures: 
       Same as ``Record access procedures.''
     Record source categories: 
       Civil Service Investigative Reports, Personnel Security Clearance 
   requests and forms SF-85, SF-86 and SF-171.
     Exemptions claimed for the system:
       Portions of this system of records may be exempt from disclosure 
   under the provisions of 5 U.S.C. 552a(k)(5) and (7).

   DOT/CG 634

   System name: 

       Child Care Program Record System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       At the facility where the care was provided or is being provided.
     Categories of individuals covered by system:
       Children enrolled in a U.S. Coast Guard child care program. 
   Children being cared for in U.S. Coast Guard family quarters. 
   Eligible children of active duty members of the Uniformed Services 
   and children of Federal employees.
     Categories of records in the system: 
       Information about the family; medical history of child; 
   authorization for emergency medical care; permission for field trips; 
   authorization to release child to someone other than parent; 
   establishment of eligibility for participation in State or Federally 
   sponsored programs; communication between the care provider and 
   parents about child; and other necessary records to protect health 
   and safety of children.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 515, 632; 49 CFR 1.45, 1.46; COMDTINST 
   1754.15.
   Purpose(s): 
       Administer the Coast Guard's Child Care Program.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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 control problems. Provided 
   to Department of Agriculture for use in determining eligibility to 
   participate in the Child Care Food Program. See Prefatory Statement 
   of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Maintained on forms in file folders or in computer file.
     Retrievability: 
       Name of child.
     Safeguards: 
       Files are maintained in a secured filing cabinet. Access is 
   regularly limited to authorized center staff. Files for child care in 
   U.S. Coast Guard family quarters are maintained in a cabinet or 
   drawer in the quarters.
     Retention and disposal: 
       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. CCFP 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: 
       Director, Personnel Management Directorate, G-WP, United States 
   Coast Guard Headquarters, Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Child care facility that 
   provided care.
     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.
     Exemptions claimed for the system:
       None.

   DOT/CG 636

   System name: 

       Personal Affairs Record System Coast Guard Military Personnel.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WK, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Each District and 
   Headquarters Unit. See Appendix I for locations.
     Categories of individuals covered by the system: 
       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 individuals covered by the system: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 1058; 14 U.S.C. 632; 42 U.S.C. 666; 49 
   CFR 1.45, 1.46.
   Purpose(s): 
       Resolve complaints in an expeditious manner.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       For reference in development of future policy. See Prefatory 
   Statement of General Routine Uses; 3 through 5 do not apply.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Case file and card index file.
     Retrievability: 
       Alphabetical listing.
     Safeguards: 
       Kept in locked filing cabinet. Personnel are screened prior to 
   granting access.
     Retention and disposal: 
       Maintained for 5 years after action completed and then destroyed.
     System manager(s) and address: 
       Director, Personnel Management Directorate, G-WK, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure'' or the local Coast Guard 
   District Office or unit for the area in which an individual's duty 
   station is located.
     Contesting record procedures: 
       Same as ``Record access procedures.''
     Record source categories: 
       Complainants, their legal representatives, and Coast Guard 
   officials.
     Exemptions claimed for the system:
       None.

   DOT/CG 637

   System name: 

       Appointment of Trustee or Guardian for Mentally Incompetent 
   Personnel.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Each District and 
   Headquarters Unit.
     Categories of individuals covered by the system: 
       Active duty and retired Coast Guard military personnel.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 1443, 1448, 1449; 14 U.S.C. 632; 37 
   U.S.C. 601-604; 33 CFR 49.05; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Maintain information to determine eligibility for VA benefits.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Information to prospective appointees, including but not limited 
   to relatives, lawyers, physicians or other designated 
   representatives; and Department of Veterans Affairs 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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Locked file cabinet.
     Retrievability: 
       Alphabetical listing.
     Safeguards: 
       Stored in locked file cabinets. Access restricted to 
   representatives of incompetent.
     Retention and disposal: 
       Maintained for 5 years after action is complete then destroyed.
     System manager(s) and address: 
       Director, Personnel Management Directorate, G-WP, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure'' or the local Coast Guard 
   District office or unit having custody of the records.
     Contesting record procedures: 
       Same as ``Record access procedures.''
     Record source categories: 
       Coast Guard officials, legal representatives of individuals and/
   or individuals concerned and complainants.
     Exemptions claimed for the system:
       None.

   DOT/CG 638

   System name: 

       U.S.C.G Alcohol Abuse Prevention Program Record System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commander, Atlantic Area, United States Coast Guard, 431 Crawford 
   Street, Portsmouth, VA 23704. Commander, Pacific Area, United States 
   Coast Guard, Coast Guard Island, 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: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 5 U.S.C. 7901; 14 U.S.C. 632; 42 U.S.C. 4541; 49 
   CFR 1.45, 1.46; COMDTINST M6330.1.
   Purpose(s): 
       Administer the Coast Guard Alcohol Abuse Prevention program.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Maintained on file cards (3"  x  5") and/or a computer data base.
     Retrievability: 
       By the name of the individual.
     Safeguards: 
       Maintained in locked filing cabinets. The computer database is 
   protected by password access limited to Alcohol Program Managers.
     Retention and disposal: 
       Destroyed three years after last activity.
     System manager(s) and address: 
       Commandant, G-WK, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001-0001.
     Notification procedure: 
       Same as ``System location''.
     Record access procedures: 
       Same as ``System location''.
     Contesting record procedures: 
       Same as ``System location''.
     Record source categories: 
       Personnel records. Medical records. Security records. Treatment 
   facility reports. Post treatment aftercare reports.
     Exemptions claimed for the system:
       None.

   DOT/CG 639

   System name: 

       Request for Remission of Indebtedness.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Each District and 
   Headquarters Unit.
     Categories of individuals covered by the system: 
       Active Duty Enlisted Coast Guard Personnel.
     Categories of records in the system: 
       Correspondence, requests with endorsements, research material, 
   paneling action, Commandant's decisions.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 461, 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Aid in making determinations based on the best interests of the 
   individual and the Government.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Locked filing cabinets.
     Retrievability: 
       Alphabetical listing.
     Safeguards: 
       Locked filing cabinets.
     Retention and disposal: 
       Retained for 5 years after decision is made, then destroyed.
     System manager(s) and address: 
       Director, Personnel Management Directorate, G-WP, United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure'', or the local Coast Guard 
   District or unit for the area in which an individual's duty station 
   is located.
     Contesting record procedures: 
       Same as ``Record access procedures.''
     Record source categories: 
       Individual, and Coast Guard Officials.
     Exemptions claimed for the system:
       None.

   DOT/CG 640

   System name: 

       Outside Employment of Active Duty Coast Guard Personnel.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant (G-WP), United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Each District Office and 
   Headquarters Unit.
     Categories of individuals covered by the system: 
       Active Duty and Reserve Coast Guard Personnel.
     Categories of records in the system: 
       Correspondence relating to individual's request for part time 
   employment.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 92(I), 632; 49 CFR 1.45, 1.46; COMDTINST 
   1000.6A
   Purpose(s): 
       Determine suitability for off duty employment for Coast Guard 
   members.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Locked filing cabinets.
     Retrievability: 
       Alphabetical listing.
     Safeguards: 
       Kept in locked filing cabinet. Access restricted to individuals 
   who request outside employment, and authorized Coast Guard officials. 
   Proper identification required.
     Retention and disposal: 
       Retained indefinitely.
     System manager(s) and address: 
       Director, Personnel Management Directorate (G-WP), United States 
   Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
   0001.
     Record access procedures: 
       Same as ``Notification procedure'' or the local Coast Guard 
   District Office or unit for the area in which an individual's duty 
   station is located.
     Contesting record procedures: 
       Same as ``Record access procedures.
     Record source categories: 
       Individual, and Coast Guard officials.
     Exemptions claimed for the system:
       None.

   DOT/CG 641

   System name: 

       Coast Guard Special Needs Program.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-WP, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. District, Maintenance and 
   Logistics Command (MLC), or Headquarters Unit Social Worker's Office, 
   Headquarters Unit Family Advocacy Representative, FAR, at the duty 
   station of the sponsor, and at selected medical facilities.
     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 member 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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 14 U.S.C. 335, 632; 49 CFR 1.45, 1.46; COMDTINST 
   1754.7A.
   Purpose(s): 
       Provide for Federal Government agency coordination of special 
   needs programs, medical care, mental health treatment, and monitoring 
   and tracking special needs families.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folder, microfilm, magnetic tape, punched cards, machine 
   lists, discs, and other computerized or machine readable media.
     Retrievability: 
       Name, social security number and the diagnosis or International 
   Classification of Diseases, ICD, code of the special needs condition.
     Safeguards: 
       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: 
       Maintained at a decentralized location until the sponsor is 
   separated or the dependent is no longer diagnosed as having special 
   needs. 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-WPW. After a 3-year retention, the 
   record is destroyed.
     System manager(s) and address: 
       Chief, Office of Personnel and Training, G-WP, United States 
   Coast Guard, Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard, Washington, DC 
   20593-0001. 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: 
       Medical personnel, mental health and educational institutions, 
   public and private health and welfare agencies and Coast Guard 
   personnel and private individuals.
     Exemptions claimed for the system:
       None.

   DOT/CG 642

   System name: 

       Joint Maritime Information Element, JMIE, Support System, JSS.
     Security classification: 
       Classified.
     System location: 
       United States 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: Ship owners, passengers and crew.
     Categories of records in the system: 
       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. Reports submitted by Coast 
   Guard crews relating to boardings and/or overflights, as well as any 
   violations of United States law, along with enforcement actions taken 
   during boarding. Such reports could contain names of passengers on 
   vessels, as well as owners and crew members. Vessels and associates 
   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: 
       United States Coast Guard, 14 U.S.C. 89. United States Customs 
   Service, 19 U.S.C. 1589A(2). Drug Enforcement Administration, 21 
   U.S.C. 800--900. Immigration and Naturalization Service, 8 U.S.C. 
   1551.
   Purpose(s): 
       Maintaining suspect lists, enforcing United States laws dealing 
   with items such as counter narcotics, fisheries, and boating safety.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Ship location and associated information such as declared cargo, 
   ownership, crew members, passengers, reported historical profiles 
   relating to travel, cargo and ports of call may be reported to 
   federal, state, and/or local law enforcement officials for purposes 
   of intercepting ships and inspecting cargo and ship structures. See 
   Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Storage of all records is in an ADP database operated and 
   maintained by the United States Coast Guard. Privacy Act data are 
   stored and controlled separately from other information in the 
   database. Classified and non-classified information from consortium 
   members and other sources is merged into a classified database. 
   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 is 
   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: 
       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 information on individuals is not retrievable or 
   accessed by members of the intelligence community.
     Safeguards: 
       JMIE has its own approved System Security Plan.
     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 and address:
       Chief, Office of Law Enforcement and Defense Operations, United 
   States Coast Guard, 2100 Second Street, SW., Washington, DC 20593-
   0001 ATTN: JMIE Program Manager.
     Notification procedure: 
       Commanding Officer, United States Coast Guard Operations Systems 
   Center, Martinsburg, WV 25401.
     Record access procedure:
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as record access procedure.
     Record source categories: 
       Federal, State and local law enforcement agencies, other Federal 
   agencies.
     Exemptions claimed for the system:
       Under subsections (j)(2) and (k)(1) and (2) of the Privacy Act (5 
   U.S.C. 552a), portions of this system of records are exempt.

   DOT/CG 671

   System name: 

       Biographical Statement.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Commandant, G-CP, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
       Key DOT officials, USCG flag officers.
     Categories of records in the system: 
       Individual biographical data.
     Authority for maintenance of the system: 
       5 U.S.C. 301, 302; 14 U.S.C. 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
       For Public Affairs Staff to use as records for publicity.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Personnel Office--uses records for promotion. See Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper forms and correspondence are stored in filing cabinets.
     Retrievability: 
       By name.
     Safeguards: 
       Stored in building having roving security guards during non-
   working hours. Personnel are screened prior to granting access.
     Retention and disposal: 
       Transferred to historical file upon termination of active duty.
     System manager(s) and address: 
       Commandant, G-CP, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       Individual named in file.
     Exemptions claimed for the system:
       None.

   DOT/CG 676

   System name: 

       Official Coast Guard Reserve Service Record.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       United States Coast Guard, CG, Commandant, G-WT, 2100 2nd Street, 
   SW., Washington, DC 20593-0001. Each Coast Guard District Reserve 
   office (for District records). 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.
     Categories of individuals covered by the system: 
       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: 
       Official career history of each Reservist.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 10 U.S.C. 1209, 10147, 12102, 12735, 14 U.S.C. 251-
   295, 632; 49 CFR 1.45, 1.46.
   Purpose(s): 
       Ensure fulfillment of normal administrative personnel procedures, 
   including examining and screening for completeness and accuracy of 
   records correspondence.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Screening of service records for advancement, promotion, or 
   retention of individual Reservists by various Reserve. 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 a 
   Reservist's service record pursuant to the order of a court of 
   competent jurisdiction. See Prefatory Statement of General Routine 
   Uses.
   Disclosure to consumer reporting agencies:
       Disclosures may be made from this systems to ``consumer reporting 
   agencies'' (collecting on behalf of the United States govt.) as 
   defined in the Fair Credit Reporting Act (15 (U.S.C. 1681a(f)) or the 
   Federal Claims Collecting 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 maintained on paper assembled and filed in one official 
   service record per member.
     Retrievability: 
       Name and/or triple terminal digit of member's service number.
     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: 
       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. For retired members, the service record is shipped to NPRC 
   upon retirement.
     System manager(s) and address: 
       Commandant, G-WT, Director, Reserve and Training Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
       Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW, Washington, DC 20593-0001.
     Record access procedures: 
       Same as ``Notification procedure'', or the District Office in 
   which an individual's duty station is located.
     Contesting record procedures: 
       Same as ``Record Access Procedures.''
     Record source categories: 
       The individual concerned, CG Headquarters, District offices, and 
   other CG units.
     Exemptions claimed for the system:
       Portions of this system of records may be exempt from disclosure 
   under the provisions of 5 U.S.C 552a(k)(5), and (6).

   DOT/CG 677

   System name: 

        Coast Guard Reserve Personnel Mobilization System
     Security classification: 
        Unclassified--sensitive.
     System location: 
        Commandant, G-WT, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001. Commander, Reserve in 
   each Coast Guard District Office (except 17th). Each District and 
   Headquarters Unit.
     Categories of individuals covered by the system: 
        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: 
        Mobilization and qualification cards and orders. Initial, 
   Annual, and Retired Screening and Qualification Questionnaires.
     Authority for maintenance of the system: 
        5 U.S.C 301; 10 U.S.C 10207, 12301, 12321; 14 U.S.C 632; 49 CFR 
   1.45, 1.46.
   Purpose(s): 
        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.
     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.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Records maintained on paper, punched cards and magnetic tape.
     Retrievability: 
        Name and/or social security account number.
     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: 
        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 Questionnaires, which are filed in the Reservists 
   District Service Record. Records are destroyed by mutilating, 
   shredding or burning.
     System manager(s) and address: 
        Commandant, G-WT, United States Coast Guard Headquarters, 
   Director, Reserve and Training Directorate, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure:
        Commandant, G-SII, United States Coast Guard Headquarters, 2100 
   2nd Street, SW., Washington, DC 20593-0001.
     Record access procedures:
        Same as ``Notification procedure.''
     Contesting record procedures: 
        Same as ``Notification procedure.''
     Record source categories: 
       The individual, CG Headquarters and CG District Offices.
     Exemptions claimed for the system:
       None.

   DOT/CG 678

   System name: 

        Reserve Personnel Management Information System, Automated.
     Security classification: 
        Unclassified--sensitive.
     System location: 
        Commandant, G-WT, Director, Reserve and Training Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Categories of individuals covered by the system: 
        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: 
        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 rate, 
   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, Servicemen's Group Life Insurance, SGLI 
   information, mailing address, and work and home phone number.
     Authority for maintenance of the system: 
        5 U.S.C. 301; 10 U.S.C. 12301-12321; 14 U.S.C. 632; 49 CFR 1.45, 
   1.46.
   Purpose(s): 
        Personnel administration of individual reservists and the 
   overall management of the reserve program.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        To the Treasury Department to complete payroll checks. See 
   Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        Disclosures may be made from this system to ``consumer reporting 
   agencies'' collecting on behalf of the United States Govt. 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: 
        The storage is on computer disks with magnetic tape backups. The 
   file is updated weekly.
     Retrievability: 
        By Social Security Number.
     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 prior to granting access.
     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: 
        Commandant, G-WT, Director, Reserve and Training Directorate, 
   United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Notification procedure: 
        Requests to determine if this system contains information on any 
   individual should be made in person or in writing to: Commandant, G-
   SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., 
   Washington, DC 20593-0001.
     Record access procedures: 
        Same as ``Notification procedure.''
     Contesting record procedures: 
        Same as ``Notification procedure.''
     Record source categories: 
        The individual, Coast Guard Headquarters and district offices, 
   and the various operating units of the Coast Guard.
     Exemptions claimed for the system:
        None.

   DOT/FAA 801

   System name: 

        Aircraft Registration System.
     Security classification: 
        Unclassified, sensitive.
     System location: 
        Aircraft Registration Branch, Federal Aviation Administration, 
   Mike Monroney Aeronautical Center, Oklahoma City, OK 73125.
     Categories of individuals covered by the system: 
        Aircraft owners, lien holders, and lessees.
     Categories of records in the system: 
        Aircraft types. Current registration status and ownership of 
   aircraft. Aircraft to be registered, or aircraft that have been 
   registered and are now temporarily de-registered. United States 
   Registration Number assignment. Airworthiness of aircraft. Aircraft 
   Registration. Major repair and alteration maintenance inspection 
   forms. Revalidation and use forms. Lien and collateral documents.
     Authority for maintenance of the system: 
        49 U.S.C. 40101, 44103, 44107.
   Purpose(s): 
        Provide a register of United States civil aircraft to aid in the 
   national defense and to support a safe and economically strong civil 
   aviation system. To determine that aircraft are registered in 
   accordance with the provisions of 49 U.S.C. 44103. 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 
   provide data for internal FAA safety program purposes. To provide 
   data for development of the aircraft registration statistical system.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        (a) Support investigative efforts of investigation and law 
   enforcement agencies of Federal, State, and foreign governments. (b) 
   Serve as a repository of legal documents used by individuals and 
   title search companies to determine the legal ownership of an 
   aircraft. (c) Provide aircraft owners and operators information about 
   potential mechanical defects or unsafe conditions of their aircraft 
   in the form of airworthiness directives. (d) Provide supporting 
   information in court cases concerning liability of individuals in 
   lawsuits. (e) Locate specific individuals or specific aircraft for 
   accident investigation, violation, or other safety related 
   requirements. (f) Prepare an Aircraft Registry in magnetic tape and 
   microfiche form as required by ICAO agreement, containing information 
   on aircraft owners by name, address, United States Registration 
   Number, and type of aircraft. Make aircraft registration data 
   available to the public, (g) See Prefatory Statement of General 
   Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Records are maintained in file folders, and on digital read-
   write disks, magnetic tape, microfilm, and microfiche.
     Retrievability: 
        Records are filed by registration number, but may be retrieved 
   by name of the current registered owner.
     Safeguards: 
        Records are stored in areas open only to authorized employees 
   and by special permission.
     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: 
        Manager, Aircraft Registration Branch, AFS-750, Federal Aviation 
   Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, 
   Oklahoma City, OK 73125.
     Notification procedure: 
        Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Individuals, manufacturers of aircraft, maintenance inspectors, 
   mechanics, and FAA officials.
     Exemptions claimed for the system:
       None.

   DOT/FAA 807

   System name: 

       Traffic Control at the Mike Monroney Aeronautical Center 
   (formerly named Law Enforcement Records and Central Files).
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of Facility Management, AMP-1, Mike Monroney Aeronautical 
   Center (MMAC), Oklahoma City, OK 73125.
     Categories of individuals covered by the system: 
       MMAC employees, tenants, and visitors, with registered vehicles. 
   Individuals cited for parking and/or traffic violations.
     Categories of records in the system: 
       Vehicle registration and traffic violations files.
     Authority for maintenance of the system: 
       44 U.S.C. 3101.
   Purpose(s):
       To carry out such functions as vehicle registration and traffic 
   control; to control access and maintain an orderly traffic flow on a 
   government facility.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Records are maintained in files and containers and in password 
   protected electronic databases located in rooms secured with the FAA 
   locking system.
     Retrievability: 
       Individual name, other personal identifier, and/or registration 
   number.
     Safeguards: 
       Files are retained in a secured work area accessible only by 
   consent of an on duty guard or by Office of Facility Management 
   personnel.
     Retention and disposal: 
       Identification credentials including parking permits: Destroy 
   credentials three months after return to issuing office. Related 
   identification credential papers such as vehicle registrations: 
   Destroy after all listed credentials are accounted for. Reports, 
   statements of witnesses, warning notices, and other papers relating 
   to arrests and traffic violations: Destroy when 2 years old.
     System manager(s) and address: 
       Manager, Office of Facility Management, AMP-1, Federal Aviation 
   Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, 
   Oklahoma City, OK 73125.
     Notification procedure:
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Individuals registering/operating vehicles.
     Exemptions claimed for the system:
       None.

   DOT/FAA 811

   System name: 

       Employee Health Record System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       FAA Washington, regional, and center medical facilities.
     Categories of individuals covered by the system: 
       FAA employees.
     Categories of records in the system: 
       Basic medical record of an FAA employee, including medical 
   examination reports, laboratory findings, correspondence, health 
   awareness program participation records, and related papers.
     Authority for maintenance of the system: 
       Pub. L. 79-658, Title 5 U.S.C. Section 7901.
   Purpose(s): 
       Document employee health unit visits and nature of complaint or 
   physical examination findings, treatment rendered and case 
   disposition. Prepare analytical and statistical studies and reports.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       In approved security files and containers, and in computer 
   databases.
     Retrievability: 
       By name and social security number.
     Safeguards: 
       Access to and use of these records in manual or automated form is 
   protected by being physically located behind locked doors and 
   computer access is password protected. Adding or deleting information 
   to the file is limited to the medical staff, physician, nurse, or 
   occupational health specialists.
     Retention and disposal: 
       These records are destroyed 6 years after the date of last entry.
     System manager(s) and address: 
       Regional Flight Surgeon within region where the clinic is 
   located. Manager, Clinical Specialties Division, AAM-200, Federal 
   Aviation Administration, 800 Independence Avenue, SW., Washington, DC 
   20591.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Information contained in this system comes from the employee and 
   from attending physicians, nurses, and occupational health 
   specialists, and from associated medical reports.
     Exemptions claimed for the system:
       None.

   DOT/FAA 813

   System name: 

       Civil Aviation Security.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of Associate Administrator for 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; and the Civil 
   Aviation Security Staff at the FAA Technical Center, Atlantic City, 
   New Jersey; and various Federal records Centers located throughout 
   the country.
     Categories of individuals covered by the system: 
       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: 
       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.
     Authority for maintenance of the system: 
       Title 49 U.S.C., Chapter 449, Air Transportation Security, 
   enacted as Pub. L. 103-272 on July 5, 1994; authority for funding FAA 
   K-9 program is the Omnibus Consolidated Appropriations Act of 1997, 
   Pub. L. 104-208.
   Purpose(s): 
       Prepare alerts, bulletins, summaries, reports, and policy 
   statements of incidents affecting civil aviation security.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Inform airport and air carrier security officials and officers 
   regarding air piracy/civil aviation sabotage threats. 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. Prepare summaries, reports, and policy 
   statements for development and 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.
   Disclosure to consumer reporting agencies:
       Not applicable.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Approved security files and containers, in file folders, on lists 
   and forms, and in computer processable storage media.
     Retrievability: 
       By name or other personal identifying symbols.
     Safeguards: 
       Access to and use of these records are limited to those persons 
   whose official duties require such access and use. Appropriate 
   physical, technical, and administrative safeguards as prescribed by 
   FAA security directives applicable to both manual and automated 
   record systems reinforce this record management principle.
     Retention and disposal: 
       These records are destroyed or retired to the area Federal 
   Records Center, FRC, and then destroyed in accordance with current 
   version 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: 
       For the Washington Metropolitan area, excluding Eastern Region 
   jurisdiction:
       Office of the Associate Administrator for Civil Aviation 
   Security, 800 Independence Avenue, SW., Washington, DC 20591. 
   Manager, Civil Aviation Security Division, of the appropriate region. 
   For the jurisdiction of the FAA Technical Center:
       Manager, Civil Aviation Security Staff, FAA technical Center, 
   Atlantic City International Airport, Atlantic City, NJ 08405. For the 
   jurisdiction of the Mike Monroney Aeronautical Center:
       Manager, Civil Aviation Security Division, Mike Monroney 
   Aeronautical Center, PO Box 25082, Oklahoma City, OK, 73125.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       FAA records; Federal, State, or local agencies; foreign sources; 
   public record sources; first party; and third parties.
     Exemptions claimed for the system:
       Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and 
   (k)(2).

   DOT/FAA 815

   System name: 

       Investigative Record System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of the Associate Administrator for 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, 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 current and former contractors, employees of contractors, experts, 
   instructors, and consultants to federal programs. Aircraft owners. 
   Flight instructors. Airport operators. 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 the Associate Administrator for 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, local, and foreign investigative or law enforcement 
   agencies, which relate to the mission and function of the Associate 
   Administrator for 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.
     Authority for maintenance of the system: 
       Title 49 U.S.C., chapter 449, Air Transportation Security, 
   enacted as Pub. L. 103-272 on July 5, 1994; Transportation Safety Act 
   of 1974; FAA Drug Enforcement Assistance Act of 1988; Executive 
   Order, E.O., 10450, Security Requirements for government Employment; 
   E.O. 12968, Access to Classified Information; and E.O. 12829, 
   National Industrial Security Program.
   Purpose(s): 
       To maintain in an orderly fashion the categories of records 
   listed above, in order that the FAA may conduct its investigations 
   and personnel security programs in an efficient manner and document 
   official actions taken on the basis of information contained in these 
   records.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       (1) 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. (2) 
   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. (3) To authorized representatives 
   of United States air carriers where air safety might be affected. (4) 
   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 to an 
   investigation or inquiry conducted for use in law enforcement 
   activities, either civil or criminal, or to expose fraudulent claims. 
   (5) See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       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 the current 
   version 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: 
       For the Washington Metropolitan area, excluding Eastern Region 
   jurisdiction: Office of the Associate Administrator for Civil 
   Aviation Security, Federal Aviation Administration, 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 International Airport, Atlantic City, NJ 08405.
       For the jurisdiction of the Mike Monroney Aeronautical Center:
       Manager, Civil Aviation Security Division, FAA Aeronautical 
   Center, P.O. Box 25082, Oklahoma City, OK 73125.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Subject individual, interviews, review of records, and other 
   authorized applicable investigative techniques.
     Exemptions claimed for the system:
       Portions of this system are exempt under 5 U.S.C. 552a(j)(2) and 
   5 U.S.C. 552a(k)(1), (2) and (5).

   DOT/FAA 816

   System name: 

       Tort Claims and Personal Property Claims Record System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of the Chief Counsel, Litigation Division, AGC-400, 
   Federal Aviation Administration, 400 7th Street, SW., Washington, DC 
   20590, and in the Office of the Assistant Chief Counsels and the 
   Logistics Divisions in the regions and centers.
     Categories of individuals covered by the system: 
       Tort and property claimants who have filed claims against the 
   Government/FAA.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       Federal Tort Claims Act, 28 U.S.C. 2671, et seq.; Military 
   Personnel and Civilian Employees Claims Act of 1964, 31 U.S.C. 3701, 
   3721.
   Purpose(s): 
       Permit the administrative settlement of tort and Federal 
   employees personal property claims against the government.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Investigation. Reference. 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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       These records are stored in approved file cabinets and 
   containers.
     Retrievability: 
       These records are indexed by name.
     Safeguards: 
       Access to and use of these records are limited to those persons 
   whose official duties require such access. Records are maintained on 
   a computer system. The computer system is password protected.
     Retention and disposal: 
       These records are destroyed 3 years after the final decision is 
   rendered.
     System manager(s) and address: 
       Office of the Assistant Chief Counsel, Litigation Division, 
   Federal Aviation Administration, 400 Seventh Street, SW., Washington, 
   DC, 20590. Regional and center counsels and regional and center 
   Logistics Division Managers.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Claimant, investigation reports, and courts.
     Exemptions claimed for the system:
       None.

   DOT/FAA 821

   System name: 

       Litigation Information Management Systems.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       This system of records is maintained within the Office of the 
   Assistant Chief Counsel for Litigation, FAA, 400 Seventh Street, SW., 
   Washington, DC 20590, and at the Office of Assistant Chief Counsel 
   for each Region and Center.
     Categories of individuals covered by the system: 
       This file contains information on Litigants, Claimants, 
   Decedents, Plaintiff's Attorney, FAA Attorney and Department of 
   Justice Attorney.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       Federal Tort Claims Act, 28 U.S.C. 2671, et seq.; Military 
   Personnel and civilian Employees claims Act of 1964, 31 U.S.C. 3701, 
   3721.
   Purpose(s): 
       Case management/record management.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       On computer database and password protected. Also, data are 
   stored in lockable and unlockable file cabinets, individuals' 
   attorneys' offices, binders, index files and in computers.
     Retrievability: 
       Access is by name, location of accident, and/or docket number.
     Safeguards: 
       Data from these files are retrievable only by persons within the 
   Office of the Assistant Chief Counsel for Litigation or Regional 
   Counsels. Access to offices is limited to agency employees and those 
   accompanied by agency employees.
     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: 
       Assistant Chief Counsel, Litigation Division, AGC-400, Office of 
   Chief Counsel, Federal Aviation Administration, 400 Seventh Street, 
   SW., Washington, DC 20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Employees of the Office of Chief Counsel, Federal courts, 
   individuals and their attorney, FAA records, litigation files, etc.
     Exemptions claimed for the system:
       None.

   DOT/FAA 822

   System name: 

       Aviation Medical Examiner System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Aeromedical Education Division, AAM-400, FAA Civil Aeromedical 
   Institute, Federal Aviation Administration, Mike Monroney 
   Aeronautical Center, 6500 S. MacArthur Blvd. P.O. Box 25082, Oklahoma 
   City, OK 73125. Regional Flight Surgeons in all regional 
   headquarters.
     Categories of individuals covered by the system: 
       Private civilian physicians (United States and foreign) 
   designated as AMEs. Selected United States military flight surgeons 
   designated as AMEs. Selected United States Federal medical officers 
   designated as AMEs.
     Categories of records in the system: 
       The system includes records necessary to: Determine professional 
   qualifications of physicians designated (initially and subsequently) 
   as AMEs; identify the type and location of AMEs within the AME 
   program; monitor AMEs performance in support of the Medical 
   Certification Program; and monitor AMEs compliance with mandatory 
   training (initial and periodic) and other AME designation 
   requirements.
     Authority for maintenance of the system: 
       49 U.S.C 44702.
   Purpose(s): 
       Determine professional qualifications and designation 
   authorization (initial and subsequent) of AMEs.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Document the necessary information on AMEs whose designation has 
   been revoked or retired. Support effective and efficient 
   communications between the FAA and its designated AMEs. Maintain a 
   database to support the management of the AME program. Provide the 
   public with the names and addresses of AMEs who provide FAA medical 
   certification services. Policy determination regarding the AME 
   program. Locating and obtaining support of qualified AMEs. See 
   Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Computer processable storage media and hard copy files.
     Retrievability: 
       By AME name, AME number, region, state, county, and city.
     Safeguards: 
       File rooms with restricted access by authorized personnel only. 
   Computer processing of AME information is conducted within 
   established FAA computer security regulations.
     Retention and disposal: 
       Hard copy files are retained by the Aeromedical Education 
   Division on all active AMEs (civilian, military, and Federal), and on 
   AMEs who have been inactive for less than 10 years. Hard copy files 
   of AMEs who have been inactive for 10 years or more, but less than 25 
   years, are stored by the Federal Records Center. Hard copy files of 
   AMEs who have been inactive for 25 or more years are destroyed by the 
   Federal Records Center. Computerized AME records are updated 
   continuously for all active AMEs. Computerized records of AMEs who 
   have been inactive for less than 25 years are maintained in the 
   system; and those AMEs inactive for 25 or more years are deleted. 
   Hard copy files of United States civilian AMEs (excluding foreign 
   civilian, military, and Federal AMEs) are also retained by the 
   Regional Flight Surgeon Offices. When these regional AME files become 
   inactive, they are immediately transferred to the Aeromedical 
   Education Division.
     System manager(s) and address: 
       Manager, Aeromedical Education Division, AAM-400, FAA Civil 
   Aeromedical Institute, Federal Aviation Administration Mike Monroney 
   Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125. 
   Regional Flight Surgeons within Region where the AME is designated.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Aviation Medical Examiners. Additional background information on 
   civilian AMEs may be obtained directly from the Federation of State 
   Medical Boards of the United States.
     Exemptions claimed for the system:
       None.

   DOT/FAA 825

   System name: 

       Petitions for Rulemaking--Public Dockets.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of the Chief Counsel, Federal Aviation Administration, 
   AGC-200, Washington, DC 20591.
     Categories of individuals covered by the system: 
       Persons petitioning for a change in the Federal Aviation 
   Regulations.
     Categories of records in the system: 
       Petitions for rulemaking, correspondence, documents showing 
   disposition of the petition, and public comments on any resulting 
   NPRM.
     Authority for maintenance of the system: 
       49 U.S.C. 106(g), 40101, 40103, 40106, 40109, 40113, 44701, 
   44702, 44711.
   Purpose(s): 
       Make available for public review documents concerning petitions 
   for rulemaking.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Unlocked file cabinets.
     Retrievability: 
       Exemption number, docket number, or alphabetical listing of 
   petitioner names.
     Safeguards: 
       Access through request to Dockets Specialist.
     Retention and disposal: 
       Transferred to Federal Records Center when inactive; destruction 
   not authorized.
     System manager(s) and address: 
       Docket and Regulations Technician, Office of the Chief Counsel, 
   AGC-200, FAA, 800 Independence Avenue, SW., Washington, DC 20591.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Petitions for rulemaking.
     Exemptions claimed for the system:
       None.

   DOT/FAA 826

   System name: 

       Petitions for Exemption, Other than Medical Exemption--Public 
   Dockets.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of the Chief Counsel, AGC-200, Federal Aviation 
   Administration, 800 Independence Ave. SW., Washington, DC.
     Categories of individuals covered by the system: 
       Persons petitioning for an exemption (other than medical) under 
   the Federal Aviation Regulations.
     Categories of records in the system: 
       Petitions for exemptions, supplementary information, 
   correspondence and the grant or denial of the exemption.
     Authority for maintenance of the system: 
       49 U.S.C. 106(g), 40101, 40103, 40106, 40109, 40113, 44701, 
   44702, 44711.
   Purpose(s): 
       Make available for public review documents concerning petitions 
   for exemption (other than medical exemptions).
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Original and copies of records stored in unlocked file cabinets.
     Retrievability: 
       Exemption number, docket number, or alphabetical listing of 
   petitioner names.
     Safeguards: 
       Access through request to Dockets Specialist.
     Retention and disposal: 
       Transferred to Federal Records Center when inactive; destruction 
   not authorized.
     System manager(s) and address: 
       Rules Docket Section, AGC-200, Office of the Chief Counsel, 
   Federal Aviation Administration, 800 Independence Ave. SW., 
   Washington DC 20591.
     Notification procedure: 
       Same as System manager.
     Record access procedures: 
       Same as System manager.
     Contesting record procedures: 
       Same as System manager.
     Record source categories: 
       Petitions for exemptions.
     Exemptions claimed for the system:
       None.

   DOT/FAA 827

   System name: 

       Environmental Litigation Files.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of the Chief Counsel, FAA, Washington, DC, and Regional 
   Counsel and airport divisions.
     Categories of individuals covered by the system: 
       Litigants, witnesses, plaintiff's attorney, FAA attorney, 
   Department of Justice Attorney, etc.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       National Environmental Policy Act of 1969, 42 U.S.C. 4321, 
   Airport Environmental requirements, 49 U.S.C. 47106(c), Section 4(f) 
   of the Department of Transportation Act, 49 U.S.C. 303, and other 
   applicable environmental laws, regulations, and Executive Orders.
   Purposes(s):
       Litigation.
     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 stored in locked and unlocked file cabinets and 
   individual attorney's offices.
     Retrievability: 
       Caption of the particular litigation, which may include an 
   individual's name or corporation or trade association name.
     Safeguards: 
       Access regularly by Office of Chief Counsel personnel only; 
   material is accessible only in facilities with building access 
   controls and in storage retrieval regularly only by Office of the 
   Chief Counsel personnel.
     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: 
       Manager, Airports/Environmental Law Division, AGC-600, Office of 
   the Chief Counsel, FAA, 800 Independence Avenue, SW., Washington, DC 
   20591.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Federal courts, individuals and their attorneys, FAA records, 
   litigation files, etc.
     Exemptions claimed for the system:
       None.

   DOT/FAA 828

   System name: 

       Physiological Training System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Aeromedical Education Division, AAM-400, FAA Civil Aeromedical 
   Institute, Mike Monroney Aeronautical Center, 6500 S. MacArthur 
   Blvd., P.O. Box 25082, Oklahoma City, OK 73125.
     Categories of individuals covered by the system: 
       Certificated Airmen.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       49 U.S.C. 44703, and 14 CFR 61.31.
   Purpose(s): 
       Maintain appropriate documentation on individuals who apply for 
   and complete physiological training conducted by, or coordinated 
   through the FAA Aeromedical Education Division.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Determine individual training qualifications. Receipt and 
   transfer of training funds. Maintain individual records of training 
   completion. See Prefatory Statement of General Routine Uses.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Hard copy files and computer processable storage media.
     Retrievability: 
       By name and location of training.
     Safeguards: 
       File access is regularly restricted to Aeromedical Education 
   Division personnel. The information is password protected. Passwords 
   are changed every 30 days. The screen automatically closes if the 
   computer is not used within 15 minutes, and would require a password 
   to reopen the file.
     Retention and disposal: 
       Records are destroyed when 5 years old. (Applications, Hold 
   Harmless Statements, Chamber Flight Records)
     System manager(s) and address: 
       Manager, Aeromedical Education Division, AAM-400, FAA Civil 
   Aeromedical Institute, Mike Monroney Aeronautical Center, PO Box 
   25082, Oklahoma City, OK 73125.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Covered individuals.
     Exemptions claimed for the system:
       None.

   DOT/FAA 830

   System name: 

       Representatives of the Administrator.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Federal Aviation Administration. Mike Monroney Aeronautical 
   Center, Regulatory Support Division, AFS-600, and Civil Aviation 
   Registry, AFS-700, Oklahoma City, Oklahoma 73125. Federal Aviation 
   Administration, 800 Independence Avenue, SW., Washington, DC 20591. 
   Flight Standards District Offices, FSDO. Manufacturing Inspection 
   District Offices, MIDO. Aircraft Certification Divisions. Flight 
   Standards Divisions. Aircraft Certification Offices, ACO. Air Traffic 
   Headquarters. Regional or field offices that designate Air Traffic 
   control Tower Operator Examiners. International Field Offices, IFO.
     Categories of individuals covered by the system: 
       Designated Pilot Examiners, DPE. Designated Mechanic Examiners, 
   DME. Designated Parachute Rigger Examiners, DPRE. Applicants for the 
   technical personnel examiners for DPEs, DMEs, DPREs. Designated 
   Engineering Representatives. Designated Manufacturing Inspection 
   Representatives. Designated Airworthiness Representatives. 
   Organizational Designated Airworthiness Representatives.
     Categories of records in the system: 
       Name, date of birth, place of residence, company name (when 
   delegated as an organization), mailing address, social security 
   number (if applicable), certificate number, and work and/or home 
   telephone number. Applications for designee. Records of 
   qualification. Certification. Appointment authorization. Training. 
   Dates of renewal and termination. Employment history. Reasons for 
   termination (if applicable).
     Authority for maintenance of the system: 
       49 U.S.C. 40101, 40113, 44701, 44702, and 44703.
   Purpose(s): 
       Required in connection with applications for and issuance of 
   authorizations to be Representatives of the Administrator. Used to 
   identify and maintain a list of applicants for future appointment, as 
   necessary. Used to record validation and approval of new designees. 
   To promote the standardization of designees by tracking training, 
   accomplishments, and the limitations of current designees.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Provide the public with the names and addresses of certain 
   categories of representatives who may provide service to them. See 
   Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders, on lists, on forms, and on computer-accessible 
   storage media. Records are also stored in microfiche, microfilm, and 
   electronic optical storage.
     Retrievability: 
       Name, birth date, social security number, or any other 
   identification number of the individual on whom the records are 
   maintained.
     Safeguards: 
       Manual records: Strict information handling procedures have been 
   developed to cover the use, transmission, storage, and destruction of 
   personal data in hard copy form. These procedures are periodically 
   reviewed for compliance. Automated processing Computer processing of 
   personal information is conducted within the guidelines of 
   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: 
       Records destroyed 5 years after designation becomes inactive, or 
   when no longer needed, whichever is sooner.
     System manager(s) and address: 
       Federal Aviation Administration, Manager, Designee 
   Standardization Branch, AFS-640, Mike Monroney Aeronautical Center, 
   P.O. Box 25082, Oklahoma City, Oklahoma 73125. Aircraft Certification 
   Divisions. Aircraft Certification Offices. Manufacturing Inspection 
   District Offices. Flight Standards District Offices. Air Traffic 
   Control Offices.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Individual to whom it applies.
     Exemptions claimed for the system:
       None.

   DOT/FAA 833

   System name: 

       Quarters Management Information System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Federal Aviation Administration, Alaskan Region, 222 W. 7th Ave., 
   14, Anchorage, AK 99513-7587.
     Categories of individuals covered by the system: 
       Employees occupying FAA owned or leased housing. Employees and 
   agencies that lease FAA housing in Alaska.
     Categories of records in the system: 
       Housing records, leases.
     Authority for maintenance of the system: 
       5 U.S.C. 5911(f), OMB Circular A-45.
   Purpose(s): 
       Establish regional rental rates for quarters; maintain status of 
   housing; maintain up-to-date list of persons occupying FAA units.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Establish and terminate payroll deductions for collection of 
   housing rent through request to the appropriate payroll office. See 
   Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Filing cabinet, Real Estate and Utilities Branch AAL-54.
     Retrievability: 
       Station location, unit numbers, name of employee, number of 
   dependents, pay period rental rate.
     Safeguards: 
       Retrieved only by agency personnel and used only in the conduct 
   of official business. Paper copy kept in a locked file cabinet with 
   two people having access to the key. Quarters Management Information 
   System, QMIS, is on only one person's computer and it requires a 
   password to access this computer.
     Retention and disposal: 
       End of year reports are retained for 5 years.
     System manager(s) and address: 
       Federal Aviation Administration, Housing Manager, AAL-50, 222 W. 
   7th Ave., 14, Anchorage, AK 99513-7587.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       FAA Employees. Employees of other agencies that lease housing 
   from FAA.
     Exemptions claimed for the system:
       None.

   DOT/FAA 837

   System name: 

       Newsletter Photographs and Biographical Information.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of Public Affairs, FAA, 800 Independence Avenue, SW., 
   Washington, DC, 20591. Public Affairs Offices at: Aeronautical 
   Center, P.O. Box 25082, Oklahoma City, OK 73125. Eastern Region, 
   Federal Bldg., JFK International Airport, Jamaica, NY 11430. Great 
   Lakes Region, 2300 E. Devon Avenue, Des Plaines, IL 60018. Northwest 
   Mountain Region, 1601 Lind Ave., SW., Renton, WA 98055. Southern 
   Region, P.O. Box 20636, Atlanta, GA 30320. Biographies of key FAA 
   officials are on the FAA web page at HTTP://WWW.FAA.GOV/APA/BIOS.HTM
     Categories of individuals covered by the system: 
       FAA employees and other individuals who may appear with them in 
   candid photographs.
     Categories of records in the system: 
       Biographical data; portrait and candid photographs.
     Authority for maintenance of the system: 
       49 U.S.C. 106(f).
   Purpose(s): 
       Provide information to the public--particularly the news media--
   and for use in employee publications.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Stored in file cabinets.
     Retrievability: 
       Alphabetically by name, or publication date.
     Safeguards: 
       These records are stored in filing drawers that remain locked at 
   all times. There are two keyholders in the office; therefore, access 
   to these drawers is limited to these employees only on an as-needed 
   basis.
     Retention and disposal: 
       Retained as long as individual or event is newsworthy, following 
   which they are destroyed. In certain cases, material is transferred 
   to the Office of the Historian.
     System manager(s) and address: 
       Same as ``System Location.''
     Notification procedure: 
       Same as ``System Manager.''
     Record access procedures: 
       Same as ``System Manager.''
     Contesting record procedures: 
       Same as ``System Manager.''
     Record source categories: 
       FAA employees and other individuals who may appear with them in 
   candid photographs.
     Exemptions claimed for the system:
       None.

   DOT/FAA 845

   System name: 

       Administrators Correspondence Control and Hotline Information 
   System, ACCIS, Administrator's Hotline Information System, AHIS, and 
   Consumer Hotline Information System, CHIS, Formerly Administrators 
   Correspondence Control and Hotline Information System.''
     System location: 
       Correspondence files are located in the Office of the Executive 
   Secretariat, AOA-3, and Hotline files are located in the Hotline 
   Operations Program Office, AOA-20. Both categories of records in the 
   Washington headquarters offices of the Federal Aviation 
   Administration, 800 Independence Ave., SW., Washington, DC 20591.
     Security classification: 
       Unclassified, sensitive.
     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 files contain correspondence 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. Hotlines files contain call records, 
   correspondence, reports, and related documents accumulated by the 
   staff in the course of operation.
     Authority for maintenance of the system: 
       44 U.S.C. 3101.
   Purpose(s): 
       Correspondence files: Documentation of the organization, 
   functions, policies, decisions, procedures, and essential 
   transactions of the agency and designed to furnish the information 
   necessary to protect the legal and financial rights of the Government 
   and of persons directly affected by the agency's activities. Hotlines 
   files: Documentation of calls made by agency employees and consumers.
     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. See Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Computer processable media, microfilm, and hardcopy access to the 
   records will be by means of identification numbers and passwords 
   known only to the user and the system managers.
     Retrievability: 
       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 for ACCIS is 
   limited to the Office of the Administrator. Access to the records of 
   the AHIS and CHIS is limited to the staff of the Hotline Operations 
   Program Office. Information is retrieved by means of a user ID and 
   password known only to each user.
     Retention and disposal: 
       The Administrators Correspondence Control and Information System 
   hard copies are destroyed after the material is microfilmed. 
   Microfilm is retained permanently. The Administrator's Hotline hard 
   copies and magnetic records are destroyed after 5 years. The Consumer 
   Hotline hard copies and magnetic records are destroyed after 2 years.
     System manager(s) and address: 
       Administrator's Correspondence control and Information System: 
   Director, Executive Secretariat, Office of the Administrator, AOA-3, 
   Administrator's and Consumer Hotline Systems: Manager, Hotline 
   Operations Program Office, AOA-20, Federal Aviation Administration, 
   800 Independence Avenue, SW., Washington, DC 20591.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Correspondence, records of calls from individuals, including 
   HOTLINE calls, their representatives, or sponsors. Responses to 
   incoming correspondence and records of calls. Related material for 
   background as appropriate.
     Exemptions claimed for the system:
       None.

   DOT/FAA 847

   System name: 

       Aviation Records on Individuals (Formerly, General Air 
   Transportation Records on Individuals).
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Federal Aviation Administration, FAA, Mike Monroney Aeronautical 
   Center, MMAC, Oklahoma City, Oklahoma 73125: Civil Aeromedical 
   Institute, Aeromedical Certification Division, AAM-300; Regulatory 
   Support Division, AFS-600; Civil Aviation Registry, Airmen 
   Certification Branch, AFS-760. Federal Aviation Administration, 800 
   Independence Avenue, SW., Washington, DC 20591. Flight Standards 
   District Offices, FSDOs. Certificate Management Offices, CMOs. 
   Certificate Management Field Offices, CMFOs. International Field 
   Offices. Civil Aviation Security Field Offices, CASFO's. FAA regional 
   offices. Electronic enforcement litigation tracking system records 
   are located in the offices of the Regional Counsel, Directorate 
   Counsel and Chief Counsel.
     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. Persons who 
   are involved in aircraft accidents or incidents; pilots, crewmembers, 
   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: 
       Name(s), date of birth, place of residence, mailing address, 
   social security number, and airman certificate number 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. Also included are electronic enforcement 
   litigation tracking system records located in the Offices of the 
   Regional Counsel, Directorate Counsel and Chief Counsel.
     Authority for maintenance of the system: 
       49 U.S.C. 40101, 40113, 44701, 44703.
   Purpose(s): 
       Issuance of airmen certificates by the Federal Aviation 
   Administration.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       (a) Provide basic airmen certification and qualification 
   information to the public upon request. (b) Disclose information to 
   the National Transportation Safety Board, NTSB, in connection with 
   its investigation responsibilities. (c) Provide information about 
   airmen to Federal, state, and local law enforcement agencies when 
   engaged in the investigation and apprehension of drug-law violators. 
   (d) 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) 
   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 United States 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: 
       Maintained in file folders, on lists and forms, and in computer 
   processable storage media. Records are also stored on microfiche and 
   roll microfilm.
     Retrievability: 
       Name, birth date, social security account number, airman 
   certificate number, or other identification number of the individual 
   on whom the records are maintained. Sex. Accident number and/or 
   incident number, and administrative action or legal enforcement 
   numbers.
     Safeguards: 
       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 Computer Contractor): Computer 
   programs operated on commercial security levels and record element 
   restrictions to prevent release of data to unauthorized parties.
     Retention and disposal: 
       These records are destroyed or retired to the area Federal 
   Records Center and then destroyed in accordance with current version 
   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.
     System manager(s) and address: 
       The address for the system managers listed below is: Federal 
   Aviation Administration, Mike Monroney Aeronautical Center, PO Box 
   25082, 6500 South MacArthur Blvd., Oklahoma City, Oklahoma 73125.
       Records concerning aviation medical certification:
       Manager, Aeromedical Certification Division, AAM-300, FAA 
   certification records and general airman records: Manager, Airmen 
   Certification Branch, AFS-760, Records concerning aircraft accidents 
   and incidents, Manager, Operational Systems Branch, AFS-620, Records 
   concerning administrative and legal enforcement action: FAA 
   enforcement information system data bases for administrative and 
   legal enforcement actions: Manager, Operational Systems Branch, AFS-
   620, Official FAA enforcement files: The Office of Chief Counsel, the 
   Office of 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 
   AFS-620.
       Electronic enforcement litigation tracking system records:
       Offices of the Regional Flight Counsel, Directorate counsel, and 
   Chief Counsel. Aviation medical certification records from regional 
   files: Regional Flight Surgeon within the region where examination 
   was conducted. Visit or call the local FAA office in the area in 
   which you reside for any proper regional address.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     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 are 
   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: 
       Portions of this system are exempt under 5 U.S.C. 552a(k)(2).

   DOT/FAA 851

   System name: 

       Administration and Compliance Tracking in an Integrated Office 
   Network.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Federal Aviation Administration, FAA, Office of Aviation 
   Medicine, Drug Abatement Division, 800 Independence Avenue, SW., 
   Washington, DC 20591.
     Categories of individuals covered by the system: 
       Medical review officers, company anti-drug program managers, 
   other contact names, and individuals who call the FAA to self-
   disclose, who are directly involved in the implementation and 
   maintenance of drug and alcohol testing programs in conjunction with 
   the aviation industry.
     Categories of records in the system: 
       Names, company and office telephone numbers of program managers 
   who are in charge of the everyday operation of drug and alcohol 
   testing programs for aviation companies, other persons who are 
   contacts for facilities directly involved in drug and alcohol testing 
   for the aviation industry, medical review officers (physicians) who 
   review test results for the aviation companies, and individuals with 
   company name and telephone numbers who call the FAA to self-disclose 
   non-compliance.
     Authority for maintenance of the system: 
       The Omnibus Transportation Employee Testing Act of 1991 (49 
   U.S.C. 45101-45106), 14 CFR part 61, et al.
   Purpose(s): 
       Support the information resource, reporting and archival needs of 
   the Drug Abatement Division.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Maintained in an automated information system.
     Retrievability: 
       Name of an individual or by a unique case file identifier.
     Safeguards: 
       Computer processing of information would be 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: 
       The FAA has requested a retention and disposal schedule to 
   destroy 5 years from creation date. That request is pending approval 
   from the National Archives and Records Administration, NARA.
     System manager(s) and address: 
       Manager, Drug Abatement Division, AAM-800, Office of Aviation 
   Medicine, Federal Aviation Administration, 800 Independence Avenue, 
   SW., Washington, DC 20591.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       FAA records.
     Exemptions claimed for the system:
       None.

   DOT/FAA 852

   System name: 

       Suspected Unapproved Parts (SUP) Program.
     Security classification: 
       Unclassified, Sensitive.
     System location: 
       Department of Transportation, Federal Aviation Administration 
   (FAA), Associate Administrator for Regulation and Certification, 
   Suspected Unapproved Parts Program Office, Dulles, VA 20166. Records 
   may also be temporarily located in FAA Regional Offices and 
   Directorate Offices, as well as FAA Civil Aviation Security Offices 
   during the time of the open investigation.
     Categories of individuals covered by the system of records:
       Company representatives of air carriers, repair stations, 
   mechanics, manufacturers, suppliers, brokers, or individuals who are 
   otherwise directly or indirectly involved in suspected unapproved 
   parts investigations. Individuals who contact the FAA regarding the 
   manufacture, sale or use of suspected unapproved parts may also be 
   included in the system of records.
     Categories of records in the system: 
       Records include files and other investigatory material pertaining 
   to a SUP investigation. Records may contain name and address, phone 
   numbers, and certificate numbers of companies or individuals, their 
   role in SUP investigations, information referencing enforcement 
   actions, alert or notification actions, and investigation results.
     Authority for maintenance of the system: 
       49 U.S.C. 44701.
   Purpose(s):
       To provide a primary collection point of SUP records and issues 
   and provide technical support to FAA and industry on SUP; maintain a 
   parts reporting information system for tracking SUP investigations 
   and analysis of data; provide program oversight, and review of SUP 
   related enforcement actions and audits.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       FAA will routinely provide relevant information to the Federal 
   Bureau of Investigation, U.S. Customs Service, and Defense Criminal 
   Investigative Services for their use in any civil/criminal 
   investigations when a SUP case is initiated. Also see Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Hard copy documents are stored in locked file cabinets with 
   restricted access; electronic records reside in a secure database 
   system. The SUP Program Office operates in a secure office with 
   limited access, key controls, and locks.
     Retrievability: 
       Hard copy investigative records are retrieved by SUP case number; 
   electronic records are retrieved through automated searches such as 
   by case number, company name, individual's name, including source's 
   name, name of the subject of an investigation, part number, type of 
   aircraft, or geographical location.
     Safeguards: 
       Manual records and folders are stored in locked file cabinets 
   with restricted access. Access to automated records is restricted by 
   controlled user ID's and passwords. A risk assessment plan and system 
   security plan are in place.
     Retention and disposal: 
       These records are retained for a period of 5 years. National 
   Archives and Records Administration (NARA) approval pending.
     System manager(s) and address:
       Department of Transportation, Federal Aviation Administration, 
   Manager, Suspected Unapproved Parts Program Office, 4500 Aviation 
   Drive, Suite 214, Dulles, VA 20166.
     Notification procedure: 
       Same as ``System Manager.''
     Record access procedures: 
       Same as ``System Manager.''
     Contesting record procedures: 
       Same as ``System Manager.''
     Record source categories: 
       Information is collected from individuals, including air 
   carriers, repair stations, aircraft owners/operators, manufacturers, 
   suppliers, brokers, mechanics, pilots, FAA, and DOT officials who 
   believe for any reason a part is not approved.
     Exemption claimed for the system:
       Portions of this system are exempt from disclosure under the 
   provisions of 5 U.S.C. 552a(k)(2).

   DOT/FHWA 215

   System name: 

       Travel Advance File.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Federal Highway Administration, 
   FHWA, Office of Budget and Finance, 400 Seventh Street, SW., 
   Washington, DC 20590; Federal Aviation Administration, Southern 
   Region, Travel and Transportation Section, ASO-22A, Campus Building, 
   Room C-210E, 1701 Columbia Avenue, College Park, GA 30337; and the 
   FHWA Federal Lands Division Offices (Eastern, Central, and Western).
     Categories of individuals covered by the system: 
       Employees who are not eligible for the contractor-issued credit 
   card and other groups of employees, and first-duty hires.
     Categories of records in the system: 
       Record of travel advances and repayments.
     Authority for maintenance of system:
       5 U.S.C. 5707; 41 CFR part 301.
   Purpose(s): 
       Controlling the repayments of travel advances to FHWA personnel.
     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.
   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 United States Govt.) 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: 
       Open advances are maintained on a 5 x 8 inch form. In an 
   automated travel management system, no advance is required (i.e., 
   paperless).
     Retrievability: 
       Indexed by name.
     Safeguards: 
       Locked file cabinet.
     Retention and disposal: 
       The files are retained for 6 years and 3 months after period 
   covered by account, pursuant to General Records Schedule 6.
     System manager(s) and address: 
       Department of Transportation, Federal Highway Administration, 
   Office of Budget and Finance, HABF, Team Leader, Travel Policy and 
   Operations, 400 Seventh Street, SW., Washington, DC 20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Individuals on whom the records are maintained.
     Exemptions claimed for the system:
       None.

   DOT/FHWA 216

   System name: 

       Travel Authorization and Voucher--Relocation Allowances (First 
   Duty or Permanent Change of Station).
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Federal Highway Administration, 
   FHWA, Office of Budget and Finance, HABF, 400 Seventh Street, SW., 
   Washington, DC 20590; Federal Aviation Administration, MMAC Travel 
   and Transportation Branch, AMZ-130, 6500 So. MacArthur Blvd., 
   Oklahoma City, OK 73169.
     Categories of individuals covered by the system: 
       First duty and permanent change of station employees within the 
   FHWA.
     Categories of records in the system: 
       Travel voucher(s), copies of third party payments (i.e., 
   Government Bill of Lading, GBL, carrier bills, contractor invoice(s) 
   for services, Administrative Notices (i.e., adjustment(s) to 
   vouchered claim, taxable and non-taxable income, withholding tax 
   allowance(s), if applicable, taxes withheld), and IRS 4782's (Summary 
   of Calendar Year of All Reimbursements, including taxes withheld).
     Authority for maintenance of the system: 
       5 U.S.C. 5707; 41 CFR part 302.
   Purpose(s): 
       Support the payments to employees and serves as support for 
   updated employee earnings records.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to `` consumer reporting agencies'' 
   (collecting on behalf of the United States Govt.) 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: 
       Maintained on an 8 x 10 inch form in file folders.
     Retrievability: 
       The files are indexed by name.
     Safeguards: 
       Supervised by the Team Leader, Travel Policy and Operations in 
   FHWA and the Division Manager, Financial Operations in FAA.
     Retention and disposal: 
       Destroy after 6 years, pursuant to General Records Schedule 9.
     System manager(s) and address: 
       Department of Transportation, Federal Highway Administration, 
   Office of Budget and Finance, HABF, Team Leader, Travel Policy and 
   Operations, 400 Seventh Street, SW., Washington, DC 20590; and 
   Division Manager, MMAC Travel and Transportation Branch, AMZ-130, 
   6500 MacArthur Blvd., Oklahoma City, OK 73169.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Individuals on whom the records are maintained.
     Exemptions claimed for the system:
       None.

   DOT/FHWA 217

   System name: 

       Accounts Receivable.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Federal Highway Administration, 
   Office of Budget and Finance, HABF, 400 Seventh Street, SW., 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Individuals indebted to the Federal Highway Administration.
     Categories of records in the system: 
       Amount of indebtedness.
     Authority for maintenance of the system: 
       5 U.S.C. 301.
   Purpose(s): 
       Monitor and control accounts receivable and support bills of 
   collection issued to debtors of the Federal Highway Administration.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to ``consumer reporting agencies'' (collecting 
   on behalf of the United States Govt.) 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: 
       Maintained in file folders and loose-leaf binders.
     Retrievability: 
       Filed by name.
     Safeguards: 
       Supervised by Chief, Accounting Team.
     Retention and disposal: 
       Transfer to the Federal Records Center when 3 years old. Destroy 
   6 years and 3 months after period covered by the account.
     System manager(s) and address: 
       Department of Transportation, Federal Highway Administration, 
   Office of Budget and Finance, HABF, Chief, Accounting Team, 400 
   Seventh Street, SW., Washington, DC 20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Employer.
     Exemptions claimed for the system:
       None.

   DOT/FMCSA 001

   System name: 

       Motor Carrier Management Information System (MCMIS).
     Security classification: 
       Unclassified, Sensitive.
     System location: 
       Austin Automation Center (AAC), Department of Veterans Affairs 
   (VA), 1615 Woodward Street, Austin, TX 78772 (www.aac.va.gov).
     Categories of individuals covered by the system of records:
       Individuals who are the sole employee (owner/operator) of a 
   company subject to the Federal Motor Carrier Safety Regulations. 
   Drivers of commercial vehicles who were involved in a recordable 
   crash or who were the subject of a roadside driver/vehicle inspection 
   or an investigatory action.
     Categories of records in the system: 
       Records include information, which supports investigatory 
   procedures and enforcement actions. Company operation records are 
   identified by legal name, trade name, physical and mailing addresses, 
   USDOT number, MC or MX number, Dun & Bradstreet number and Tax 
   Identification Number which, in the case of an owner/operator, is the 
   individual's Social Security Number. Drivers and co-drivers are 
   identified by name, date of birth, license number and license State. 
   Inspection records include violations of applicable Federal and State 
   laws that were discovered during an inspection. Information 
   maintained in the MCMIS includes demographic and safety performance 
   information on approximately 600,000 interstate and foreign motor 
   carriers and hazardous material shippers operating in the United 
   States. Additionally, information on intrastate carriers is being 
   added to MCMIS as States move toward use of a single USDOT number to 
   identify all motor carriers.
       Data in MCMIS include:
       Motor Carrier Identification (Census)--This data includes the 
   USDOT number, carrier identification, carrier address, type and size 
   of operation, commodities carried, as well as other characteristics 
   of the operation. Approximately 50,000 new entities are added to the 
   census file annually.
       Driver/Vehicle Inspection Data--This data is collected during 
   roadside inspections of drivers and vehicles. Violations of safety 
   regulations governing the driver, the vehicle and those specifically 
   related to the transportation of hazardous materials are included. 
   The majority of driver/vehicle inspections are conducted by State 
   officers. Approximately 2 million inspections of motor carriers' 
   drivers and vehicles operating in interstate commerce and 300,000 
   inspections of motor carriers operating intrastate are entered into 
   MCMIS annually.
       Crashes--This data is collected from State and local police crash 
   reports. Approximately 100,000 truck and bus crashes are entered into 
   MCMIS annually.
       Reviews and Ratings--This data is collected during on-site 
   reviews of motor carrier and hazardous material shipper operations. 
   Information from these reviews is used to determine a safety fitness 
   rating (Satisfactory, Conditional, Unsatisfactory) which is posted in 
   the MCMIS. Over 130,000 motor carriers are currently rated and 
   approximately 10,000 more are added every year.
       Enforcement--The MCMIS contains key information about each 
   enforcement case conducted against a company, including types of 
   violations and fines assessed. It is estimated that information on 
   about 2,000 new cases is received annually.
     Authority for maintenance of the system: 
       49 U.S.C. 502, 504, 506, and 508; and 49 CFR 1.73.
   Purpose(s):
       To provide a central collection point for records on motor 
   carriers and hazardous material shippers which allows for the 
   analysis of safety-related data needed to administer and manage the 
   FMCSA's motor carrier safety program.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Information may be shared with Federal, State, and local 
   governments, contractors involved in system support and maintenance, 
   and Motor Carrier Safety Assistance Program (MCSAP) participants and 
   grantees for use in support of commercial motor vehicle safety. See 
   Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       MCMIS records are stored in an automated system operated and 
   maintained at the AAC.
     Retrievability: 
       Electronic records can be retrieved through automated searches on 
   information, such as, company name, company's tax identification 
   number, driver's name, driver's date of birth, driver's license 
   number, geographical location, or various other means.
     Safeguards: 
       The MCMIS falls under the guidelines of the AAC in Austin, TX. 
   This facility has it's own approved System Security Plan which 
   provides that:
       The system will be maintained in a secure computer room with 
   access restricted to authorized personnel.
       Access to the building must be authorized and is limited.
       Access will be controlled by requiring that users provide a valid 
   account name and password. The MCMIS contains a function that tracks 
   system usage for other authorized users. MCMIS will require users to 
   change access control identifiers at periodic intervals.
       The Federal Motor Carrier Safety Administration will operate the 
   MCMIS in accordance with the Federal security regulations, policy, 
   procedures, standards and guidance for implementing the Automated 
   Information System Security Program.
       Only authorized U.S. and State Government personnel and 
   contractors conducting system support or maintenance may access MCMIS 
   records.
       Access to records is password protected and the scope of access 
   for each password is limited to the official need of each individual 
   authorized access.
       Additional protection is afforded by the use of password 
   security, data encryption, and the use of a secure network.
     Retention and disposal: 
       Computerized database with daily backups performed automatically. 
   Master Files are NARA historical copies, which are permanent. Annual 
   transfers occur at end of each fiscal year. Agency master files are 
   destroyed after six years.
     System manager and address:
       Department of Transportation, Federal Motor Carrier Safety 
   Administration, Division Chief, Information Systems Division, 400 7th 
   Street, SW., Washington, DC 20590.
     Notification procedure: 
       Same as ``System Manager.''
     Record access procedures: 
       Same as ``System Manager.''
     Contesting record procedures: 
       Same as ``System Manager.''
     Record source categories: 
       Driver information is recorded as a result of roadside driver/
   vehicle inspections and crash reports submitted by State and local 
   law enforcement agencies and investigations performed by State and 
   Federal investigators. MCMIS is constantly being updated as States 
   and FMCSA field offices forward safety information to the MCMIS soon 
   after it has been accumulated and processed in their local 
   information systems.
     Exemptions claimed for the system:
       Portions of this system are exempt from disclosure under the 
   provisions of 5 U.S.C. 552a(k)(2).

   DOT/FMCSA 002

   System name: 

       Federal Motor Carrier Safety Administration (FMCSA) Motor Carrier 
   Safety Proposed Civil and Criminal Enforcement Cases, DOT/FMCSA.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Office of Enforcement (MC-EC); 400 7th Street, SW., Room 3419, 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Officers, agents or employees of motor carriers, including 
   drivers who have been the subject of investigation for Motor Carrier 
   Safety regulation violations.
     Categories of records in the system: 
       Motor Carrier safety regulation violations and identifying 
   features.
     Authority for maintenance of the system: 
       Motor Carrier Safety Act of 1984, 49 U.S.C. 521(b).
   Purpose(s): 
       Decide enforcement action, and for use as historical documents in 
   case of appeal.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       See Prefatory Statement of General Routine Uses. Routine use 
   number 5 does not apply to this system of records.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders in the Field Legal Services' offices
     Retrievability: 
       Names of individuals.
     Safeguards: 
       Only Office of the Chief Counsel or Field Legal Services 
   employees, and other FMCSA employees have regular access to the 
   files.
     Retention and disposal: 
       The records are retained for one year and then are generally sent 
   to the local Federal Records Centers for an additional three-year 
   period. System manager(s) and address:  FMCSA, Office of the Chief 
   Counsel, 400 7th Street, SW., Room 4217, Washington, DC 20590; FMCSA 
   Service Centers, Field Legal Services.
     Notification procedure: 
       Same as ``System Manager.''
     Record access procedures: 
       Same as ``System Manager.''
     Contesting record procedures: 
       Same as ``System Manager.''
     Record source categories: 
       Individuals, motor carrier files, OMCHS file information as 
   gathered by OMCHS investigators, etc.
     Exemptions claimed for the system:
       5 U.S.C. 552 (c)(3), (d), (e)(4)(G), (H), and (I), (f) to the 
   extent they contain investigative material compiled for law 
   enforcement purposes in accordance with 5 U.S.C. 552a(k)(2).

   DOT/FMCSA 003

   System name: 

       Driver Waiver/Exemption File.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Department of Transportation, Federal Motor Carrier Safety 
   Administration (FMCSA), Office of Bus and Truck Standards and 
   Operations (MC-PS), 400 7th Street, SW., Washington, DC 20590; FMCSA 
   Service Centers.
     Categories of individuals covered by the system: 
       Operators of interstate commercial motor vehicles that transport 
   certain commodities.
     Categories of records in the system: 
       Applications for waiver (usually involving physical disability); 
   final disposition of request for waiver; and waiver renewal.
     Authority for maintenance of the system: 
       Motor Carrier Safety Act of 1984 (49 U.S.C. 31136(e) and TEA-21 
   (49 U.S.C. 31315).
   Purpose(s): 
       Monitor drivers of commercial motor vehicles who operate in 
   interstate commerce and have been identified as physically impaired.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       See Prefatory Statement of General Routine Uses. Routine use 
   number 5 is not applicable to this system of records.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       The records are maintained in file folders in file cabinets.
     Retrievability: 
       The records are filed by driver's name.
     Safeguards: 
       Files are classified as sensitive and are regularly accessible 
   only by designated employees within the FMCSA Service Centers and the 
   FMCSA.
     Retention and disposal: 
       The files are retained while the driver waivers are active. The 
   inactive driver waiver files are purged every 3 years.
     System manager(s) and address: 
       Department of Transportation, Federal Motor Carrier Safety 
   Administration, Office of Bus and Truck Standards and Operations (MC-
   PS), 400 7th Street, SW., Washington, DC 20590.
     Notification procedure: 
       Same as ``System Manager.''
     Record access procedures: 
       Same as ``System Manager.''
     Contesting record procedures: 
       Same as ``System Manager.''
     Record source categories: 
       Application for Waiver or Waiver Renewal.
     Exemptions claimed for the system:
       None.

   DOT/FRA 106

   System name: 

       Occupational Safety and Health Reporting System.
     Security classification: 
       Unclassified, Sensitive.
     System location: 
       Department of Transportation, DOT, Federal Railroad 
   Administration, FRA, Office of Administration, Office of Safety, 
   Office of Safety Assurance and Compliance, RRS-12, 1120 Vermont 
   Avenue, NW., Stop 25 Washington DC 20590-0001
     Categories of individuals covered by the system: 
       FRA employees (injuries and illnesses) FRA employees involved in 
   government property accidents.
     Categories of records in the system: 
       Federal Occupation Injuries and Illnesses Survey (Standard Form 
   OSHA-102) Departmental Accident/Injury Reports DOT Forms 3902 1.
     Authority for maintenance of the system: 
       Occupational Safety and Health Act of Employees, (Executive Order 
   12196); Basic Program Elements for Federal Employee Occupational 
   Safety and Health Programs and Related Matters, (Title 29 CFR part 
   1960); Management of Building and Grounds, (Title 41 CFR parts 101-
   20); and Occupational Safety and Management Program (DOT Order 
   3902.7A).
   Purpose(s): 
       To track employees injuries, illnesses, and accidents involved in 
   government property to develop causative trends, accident prevention 
   policies, and correct safety items.
     Routine uses of records maintained in the system, including 
   categories of users and the purpose of such 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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this System to Aconsumer reporting agencies (collecting on 
   behalf of the United States 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: 
       Maintained on copies of basic documents.
     Retrievability: 
       By name.
     Safeguards: 
       Physical security consists of file drawer with data; records 
   provide to authorized individuals by FRA Safety Manager after 
   physical Screening.
     Retention and disposal: 
       FRA Safety Manager, Department of Transportation Federal Railroad 
   Administration, Office of Administration, Office of Safety Assurance 
   and Compliance, RRS-12, 1120 Vermont Avenue, NW., Stop 25, Washington 
   DC 20590-0001.
     Notification procedure: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record sources categories:
       Documents provided by the individual.
     Exemptions claimed for the system:
       None.

   DOT/FRA 130

   System name: 

       Enforcement Case System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Federal Railroad 
   Administration, Office of the Chief Counsel, Safety Law Division, 
   RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001. 
   Each Regional Office and Department of Transportation, DOT, Federal 
   Railroad Administration, Office of Safety Assurance and Compliance, 
   RRS-10, 1120 Vermont Avenue, NW., Stop 25, Washington, DC 20590-0001.
     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).
   Purpose(s): 
       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. 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.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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. 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 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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to A consumer reporting agencies (collecting 
   on behalf of the United States 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: 
       File folders, file cabinets and an automated tracking system.
     Retrievability: 
       Records are retrievable by name of individual and/or his or her 
   employer.
     Safeguards: 
       Access limited to authorized officials. Manual records are 
   maintained in file cabinets that are locked after working hours. 
   Automated records are 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 Case System Manager, Department of Transportation, 
   Federal Railroad Administration, Office of the Chief Counsel, Safety 
   Law Division, RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, 
   DC 20590-0001.
     Notification procedure: 
       Inquiries should be directed to: Federal Railroad Administration, 
   Assistant Chief Counsel, Safety Law Division, Office of the Chief 
   Counsel, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-
   0001.
     Record access procedures: 
       Contact (202) 493-6053 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.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 1

   System name: 

       Attendance, Leave and Payroll Records of Employees and Certain 
   Other Persons.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Maritime Administration, Division of Accounting Operations, MAR-
   330, 400 7th Street, SW., Room 7325, Washington, DC 20590.
     Categories of individuals covered by the system: 
       All Maritime Administration employees and certain other 
   employees.
     Categories of records in the system: 
       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 dependents; and ``Notification of 
   Personnel Action.'' The individual records listed herein are included 
   only as pertinent or applicable to the individual employee.
     Authority for maintenance of the system: 
       5 U.S.C. 5101-5115, 31 U.S.C. 3512.
   Purpose(s): 
       Transmittal of data to United States 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.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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 United States 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. 
   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 systems to `consumer reporting agencies' (collecting 
   on behalf of the United States Govt.) 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: 
       Manual and automated.
     Retrievability: 
       By name or social security number.
     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: 
       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. Dispose of when 3 years old
     System manager(s) and address: 
       Chief, Division of Accounting Operations, MAR-330, Maritime 
   Administration, 400 7th Street, SW., Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, MAR-221, Maritime Administration, 400 7th Street, SW., 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       The individual. Those authorized by individual to furnish 
   information. Supervisors. Timekeepers. Personnel Offices. IRS.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 2

   System name: 

       Accounts Receivable.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Maritime Administration, Division of Accounting Operations, MAR-
   330, 400 7th Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
       Debtors owing money to MARAD, including employees, former 
   employees, business firms, general public and institutions.
     Categories of records in the system: 
       Name and address; amount owed, and service, overpayment or other 
   accounting therefore; invoice number, if any.
     Authority for maintenance of the system: 
       5 U.S.C. 5701-09, Federal Property Management Regulation 101-7, 
   Treasury Fiscal Requirements Manual 31 U.S.C. 3711.
   Purpose(s): 
       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.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to `consumer reporting agencies' (collecting 
   on behalf of the United States Govt.) 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: 
       Manual.
     Retrievability: 
       By name, and invoice number as appropriate.
     Safeguards: 
       Physical security; handling by authorized personnel only.
     Retention and disposal: 
       Retained until payment is received and account is audited, and 
   then disposed of in accordance with Records Control Schedule. 
   Disposed of when 3 years old.
     System manager(s) and address: 
       Chief, Division of Accounting Operations, Maritime 
   Administration, 400 7th Street, SW., Washington, DC 20590.
     Notification procedure: 
       Division of General Law and International Law, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW., 
   Washington, DC 20590.
     Record access procedures: 
       Same as Notification procedure.
     Contesting record procedures: 
       Same as Notification procedure.
     Record source categories: 
       The individual. Those authorized by the individual to furnish 
   information. Contracting officer as appropriate. Accounting records.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 3

   System name: 

       Freedom of Information and Privacy Request Records.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Division of General Law and International Law, Office of the 
   Chief Counsel; and Office of the Secretary; Maritime Administration, 
   400 7th Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
       Individuals who have requested records under the Freedom of 
   Information and/or Privacy Acts.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 552, 552a.
   Purpose(s): 
       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.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Chronologically by date of initial determination. By name of 
   requester and date.
     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: 
       Records are disposed of in accordance with the appropriate record 
   disposition authorization approved by the Archivist of the United 
   States.
     System manager(s) and address: 
       Chief, Division of General and International Law, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW., 
   Washington, DC 20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System Manager.''
     Record source categories: 
       The individual. Records derived from processing Freedom of 
   Information and Privacy Act requests.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 4

   System name: 

       Visitor Logs and Permits for Facilities Under MARAD Control.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Administrative Service and Procurement, United 
   States Merchant Marine Academy, Kings Point, NY 11024. James River 
   Reserve Fleet, Drawer ``C'', Fort Eustis Virginia 23604; Beaumont 
   Reserve Fleet, PO Box 6355, Beaumont, Texas 77705; Suisun Bay Reserve 
   Fleet, PO Box 318, Benicia, California 94510.
     Categories of individuals covered by the system: 
       Non-Federal visitors, Federal personnel entering facilities after 
   duty hours, and employees seeking parking and firearm permits.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       50 App U.S.C. 1744, 46 App U.S.C. 1111, and 46 App U.S.C. 1114.
   Purpose(s): 
       To keep records of non-Federal visitors, Federal personnel 
   entering facilities after duty hours, and employees seeking parking 
   and firearm permits.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Filed alphabetically by name, or date and time.
     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: 
       Retained on site for five years, then disposed of in accordance 
   with unit's Record Control Schedule. Destroy 5 years after final 
   entry or 5 years after date of document, as appropriate.
     System manager(s) and address: 
       Superintendent of respective Reserve Fleets and Chief, Fire and 
   Security, United States Merchant Marine Academy, Kings Point, New 
   York 11024-1699.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, Maritime Administration, MARB221, 400 7th Street, SW., 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       The individual. Those authorized by the individual to furnish 
   information. Employees.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 5

   System name: 

       Travel Records (Domestic and Foreign) of Employees and Certain 
   Other Persons.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Division of Accounting Operations, Maritime Administration, MAR-
   330, 400 7th Street, SW., Washington, DC 20590; United States 
   Merchant Marine Academy Travel Clerk, United States Merchant Marine 
   Academy, Kings Point, New York 11024.
     Categories of individuals covered by the system: 
       Employees, Consultants, Advisory Committee Members, and official 
   requests of the Department.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       13 U.S.C. 3701(a)(3).
   Purpose(s): 
       Transmittal to United States Treasury for payment, to State 
   Department for passports.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to `consumer reporting agencies' (collecting 
   on behalf of the United States Govt.) 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: 
       Manual.
     Retrievability: 
       Filed by name, social security number, or travel order number.
     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: 
       Retained according to GSA Federal Travel Regulations, and then 
   disposed of according to unit's Records Control Schedule. Destroy 
   when 3 years old or upon separation of the bearer, whichever is 
   sooner.
     System manager(s) and address: 
       Chief, Division of Accounting Operations, MAR-330, Maritime 
   Administration, 400 7th Street, SW., Washington, DC 20590; United 
   States Merchant Marine Academy Travel Clerk, United States Merchant 
   Marine Academy, Kings Point, NY 11024.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 
   20590.
     Record access procedures: 
       Same as Notification Procedure.
     Contesting record procedures: 
       Same as Notification Procedure.
     Record source categories: 
       The individual. Those authorized by the individual to furnish 
   information. Supervisors. Finance (or accounting) office standard 
   references.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 6

   System name: 

       Executive Correspondence Files.
     Security classification: 
       Unclassified--Sensitive.
     System location: 
       Office of Maritime Administrator, MAR-100, Maritime 
   Administration, 400 7th Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
       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 is not indexed in this 
   system.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 49 U.S.C. 322.
   Purpose(s): 
        To prepare statistical reports for management on correspondence 
   volume or topics of public interest.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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. Information from or copies of the 
   records may be provided to the original addresses of the original 
   correspondence. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Maintained in paper form.
     Retrievability: 
        By control number, by correspondent's name, by subject, and by 
   date.
     Safeguards: 
        Paper records are stored in file cabinets on secured premises 
   with access limited to personnel whose official duties require 
   access.
     Retention and disposal: 
        Records are disposed in accordance with the appropriate record 
   disposition schedule approved by the Archivist of the United States. 
   Transfer closed files to Records Center when 5 years old. Offer to 
   archivist when the latest records are 20 years old.
     System manager(s) and address: 
        Maritime Administrator, MAR-100, 400 7th Street, SW., 
   Washington, DC 20590.
     Notification procedure: 
        Division of General and International Law, Office of the Chief 
   Counsel, MAR-221, Maritime Administration, 400 7th Street, SW., 
   Washington, DC 20590.
     Record access procedures: 
        Same as Notification Procedure.
     Contesting record procedures: 
        Same as Notification Procedure.
     Record source categories: 
        The correspondent, referral source, Department employees 
   involved in processing the correspondence, and other individuals, as 
   required to prepare an appropriate response.
     Exemptions claimed for the system:
        None.

   DOT/MARAD 7

   System name: 

        Litigation, Claims and Administrative Proceeding Records.
     Security classification: 
        Unclassified, sensitive.
     System location: 
        Office of Chief Counsel, MAR-220, Maritime Administration, 400 
   Seventh Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
        Individuals the subject of any litigation which MARAD is 
   involved; individuals who make administrative claims or appeals 
   against MARAD; individuals who are the subjects 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: 
        Names, addresses, social security account numbers, statements of 
   claims and analysis thereof, investigatory reports, opinion 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.
     Authority for maintenance of the system: 
        46 app U.S.C. 1114 and 1241a, and 50 app U.S.C. 1291a.
   Purpose(s):
        Records of individuals subject of any litigation and claims 
   proceedings.
     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: 
        Paper records in file folders.
     Retrievability: 
        Filed alphabetically by name.
     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: 
        Destroyed 5 years after date of document.
     System manager(s) and address: 
        Chief Counsel, Maritime Administration, MAR-220, 400 Seventh 
   Street, SW., Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, Maritime Administration, MAR-226, 400 Seventh Street, SW., 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       Subject claimant or plaintiff. Those authorized by the foregoing 
   to furnish information. Whatever other sources are pertinent to the 
   nature of the case.
     Systems exempted from certain provisions of the act: 
       Pursuant to 5 U.S.C. 552a(k)(1), (k)(2) and (k)(5), this system 
   is exempt from portions of the act.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 8

   System name: 

       Property Accountability Files.
     Security classification: 
       Unclassified, sensitive
     System location: 
       Office of Management Services and Procurement Maritime 
   Administration, 400 7th Street, SW., Washington, DC 20590. Department 
   of Administrative Service and Procurement, United States Merchant 
   Marine Academy, Kings Point, NY 11024. Office of Ship Operations, 
   Division of Reserve Fleet, Maritime Administration, MAR-612, 400 7th 
   Street, SW., Washington, DC 20590. James River Reserve Fleet, Drawer 
   ``C'', Fort Eustis Virginia 23604; Beaumont Reserve Fleet, P.O. Box 
   6355, Beaumont, Texas 77705; Suisun Bay Reserve Fleet, P.O. Box 318, 
   Benicia, California 94510; National Maritime Research Center, United 
   States Merchant Marine Academy, Kings Point, NY 11024.
     Categories of individuals covered by the system: 
       Employees, general public, institutions, and anyone who charges 
   out or signs for property or other materials.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       40 U.S.C. 483(b).
   Purpose(s): 
       Tracking system for anyone who charges out or signs for property 
   or other materials.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to ``consumer reporting agencies'' (collecting 
   on behalf of the United States Govt.) 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: 
       Paper copy of file folders and trays.
     Retrievability: 
       Filed alphabetically by name.
     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: 
       Retained 2 years after property is accounted for.
     System manager(s) and address: 
       Chief, Supply Operations Division, MAR-313, Maritime 
   Administration, 400 7th Street, SW., Washington, DC 20590. 
   Administrative Services Office, United States Merchant Marine 
   Academy, Kings Point, NY 11024. Director, National Maritime Research 
   Center, United States Merchant Marine Academy, Kings Point, NY 11024. 
   Chief, Division of Reserve Fleet, MAR-612, Maritime Administration, 
   400 7th St, SW., Washington, DC 20590. Superintendent, James River 
   Reserve Fleet, Drawer ``C'', Fort Eustis, Virginia 23604; 
   Superintendent, Beaumont Reserve Fleet, PO Box 6355, Beaumont, Texas 
   77705; Superintendent, Suisun Bay Reserve Fleet, PO Box 318, Benicia, 
   California 94510.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, MAR-220, Maritime Administration, 400 7th Street, SW., 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       Subject individual. Those authorized by the individual to furnish 
   information. Book cards. Supply person providing the equipment.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 9

   System name: 

       Records of Cash Receipts.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Director, Office of Accounting, MAR-330, Maritime Administration, 
   400 7th Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
       Individuals paying for goods or services, reimbursing 
   overpayments, or otherwise delivering cash to the Department.
     Categories of records in the system: 
       Individual's name, the goods or services purchased, amount, date, 
   check number, division or office, bank deposit, treasury deposit 
   number.
     Authority for maintenance of the system: 
       46 app U.S.C. 1114.
   Purpose(s): 
       System for individuals paying for goods and or services, 
   reimbursement of overpayments, delivery of cash to the Department.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Manual and machine-readable.
     Retrievability: 
       Name and/or account or case number.
     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: 
       Permanently maintained.
     System manager(s) and address: 
       Director, Office of Accounting, MAR-330, MARAD, 400 7th St., SW., 
   Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of 
   Chief Counsel, Maritime Administration, 400 7th Street, SW., 
   Washington, DC 20590.
     Record access procedures: 
       Same as Notification Procedure.
     Contesting record procedures: 
       Same as Notification Procedure.
     Record source categories: 
       Subject individual. Those authorized by the individual to furnish 
   information.
     Exemptions claimed for system:
       None.

   DOT/MARAD 10

   System name: 

       Employee's Personnel Files Not Covered by Notices of Other 
   Agencies.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Director, Office of Personnel, Maritime Administration, MAR-360, 
   400 7th Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
       Current and former employees.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       46 App U.S.C. 1111.
   Purpose(s): 
       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.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Manual and machine-readable.
     Retrievability: 
       Filed by name and/or social security number.
     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: 
       Retained according to Unit's Records Control Schedule. Records 
   are kept until employee retires and then 90 days after retirement 
   records are sent to OPM and/or records center. If employees transfer 
   to another government agency, the records are transferred to that 
   government agency.
     System manager(s) and address: 
       Director, Office of Personnel, Maritime Administration, MAR-360, 
   400 7th Street, SW, Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     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.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 11

   System name: 

       Biographical Files.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of Public Affairs, Maritime Administration, MAR-240, 400 
   7th Street, SW, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Key present and former Maritime Administration personnel, and 
   members of Advisory Board to the United States Merchant Marine 
   Academy.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       46 App U.S.C. 1114.
   Purpose(s): 
       Use in connection with written articles, oral interviews, 
   speaking engagements, retirement and obituary notices, and other 
   purposes of public information.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Distributed to the press, other government agencies, and the 
   general public. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders or notebooks.
     Retrievability: 
       By name alphabetically or by position or work unit.
     Safeguards: 
       Records are located in locked metal file cabinets or locked rooms 
   during non-business hours.
     Retention and disposal: 
       Record retention and disposal is in accord with operating unit's 
   Records Control Schedule. Dispose of 2 years after separation of the 
   subject official.
     System manager(s) and address: 
       Public Affairs Officer, MAR-240, Maritime Administration, 400 7th 
   Street, SW, Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification Procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       The individual. Other sources such as news releases, articles and 
   publications relating to the subject individuals.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 12

   System name: 

       Applications to United States Merchant Marine Academy (USMMA).
     Security classification:
       Unclassified, sensitive.
     System location: 
       Office of Admissions, United States Merchant Marine Academy, 
   Kings Point, NY 11204.
     Categories of individuals covered by the system: 
       Applicants for admission to the Academy.
     Categories of records in the system: 
       Name; address; name of nominating Congressman and 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).
     Authority for maintenance of the system: 
       46 App U.S.C. 1295b.
   Purpose(s): 
       Determine admissions to the Academy.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Advise Member of Congress or other nominating authority of the 
   outcome of an individual's candidacy. See Prefatory Statement of 
   General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Manual and automated.
     Retrievability: 
       Filed alphabetically by last name.
     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: 
       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: 
       Director, Office of Admissions, United States Merchant Marine 
   Academy, Kings Point, NY 11204.
     Notification procedure: 
       Division of General and International Law, MAR-221. Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       Subject individual, the individual's high school officials, 
   references, and those authorized by the individual to furnish 
   information.
     Exemptions claimed for the system:
       Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from 
   portions of the act.

   DOT/MARAD 13

   System name: 

       Cadet Files, State Maritime Academies, ``SIPSAM''.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of Maritime Labor and Training, Maritime Administration, 
   MAR-240, 400 7th Street, SW, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Current and former cadets enrolled in the Student Incentive 
   Payments, SIP, Program at the State Maritime Academies.
     Categories of records in the system: 
       Name; service number; date of change in pay; re-enrollment or 
   reinstatement; dis-enrollment; date of graduation; and service 
   obligation. (Forms: MA-1005, MA-850 and MA-890).
     Authority for maintenance of the system: 
       Merchant Marine Act, 1936 (as amended) Title XIII B Maritime 
   Education and Training (46 App. U.S.C. 1295c).
   Purpose(s): 
       Monitor the service, employment and academic obligations of the 
   SIP recipients.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Filed alphabetically by last name.
     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: 
       The records are retained until six years after graduation and 
   then destroyed.
     System manager(s) and address: 
       Director, Office of Labor and Training, Maritime Administration, 
   MAR-250, 400 7th Street, SW, Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification Procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       The subject student. State Merchant Marine Academies. Those 
   authorized by the student to furnish information.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 14

   System name: 

       Citizenship Statements and Affidavits.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       For bidders on surplus vessels: Division of Ship Disposals and 
   Foreign Transfers, MAR-630, Maritime Administration, 400 7th Street, 
   SW, Washington, DC 20590. For all other purposes: Office of Chief 
   Counsel, MAR-220, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Officers and shareholders of non-personal applicants and 
   individual applicants.
     Categories of records in the system: 
       Name; date and place of birth; nationality, and naturalization 
   data.
     Authority for maintenance of the system: 
       46 App U.S.C. 802, 803, 808, 1114 and 50 app U.S.C. 1744.
   Purpose(s): 
       Keep track of officers and shareholders of non-personal 
   applicants and individual applicants.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to ``consumer reporting agencies'' (collecting 
   on behalf of the United States Govt.) 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: 
       Paper records in file folders.
     Retrievability: 
       Filed alphabetically by applicant's name, name of individual, or 
   vessel name.
     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: 
       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: 
       Chief, Division of Ship Disposals and Foreign Transfers, MAR-630, 
   and Office of the Chief Counsel, MAR-220, Maritime Administration, 
   400 7th Street, SW, Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification Procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       Subject applicant and individual. Those authorized by the 
   foregoing to furnish information.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 15

   System name: 

       General Agent's Protection and Indemnity and Second Seaman's 
   Insurance: WSA and NSA.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of Marine Insurance, Maritime Administration, MAR-575, 400 
   7th Street, SW, Washington, DC 20590.
     Categories of individuals covered by the system: 
       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: 
       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).
     Authority for maintenance of the system: 
       46 app U.S.C. 1101, 1114, 191-1205 and 50 app U.S.C. 1744.
   Purpose(s): 
       Evaluate filed claims, negotiate settlements, award money, 
   contest or initiate lawsuits; and arrange for proper medical 
   treatment by establishing seaman's eligibility for acceptance under 
   regulations of Public Health Service, United States Department of 
   Health and Human Services, or other appropriate medical facilities.
     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.
   Disclosure for consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Filed alphabetically by seaman's name and vessel's name.
     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: 
       The records are transferred to the Federal Records Center after 
   one year where they are retained indefinitely.
     System manager(s) and address: 
       Director, Office of Marine Insurance, Maritime Administration, 
   MAR-575, 400 7th Street, SW, Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as Notification Procedure.
     Contesting record procedures: 
       Same as Notification Procedure.
     Record source categories: 
       Subject individual. The individual's attorney. Adjusters, 
   investigators. Attorneys. Office of Marine Insurance. Witnesses. The 
   Marine Index Bureau. Those authorized by the individual to furnish 
   information.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 16

   System name: 

       Marine Training School Registrants.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Maritime Administration regional offices: Eastern--26 Federal 
   Plaza, New York, N.Y. 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: 
       Each seafarer enrolling in an agency training course.
     Categories of records in the system: 
       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).
     Authority for maintenance of the system: 
       46 app U.S.C. 1114, 1295b, 1295c, 1295d, and 1295g.
   Purpose(s): 
       Verification of attendance and performance.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Filed alphabetically by student's name.
     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: 
       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: 
       Training Facility Registrar in region where the training was 
   taken; see System Location.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification Procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       The student. The training instructors. Those authorized by the 
   individual to furnish information.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 17

   System name: 

       Waivers of Liability to Board Reserve Fleet Vessels and Other 
   Craft Located at United States Merchant Marine Academy.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Beaumont Reserve Fleet, PO Box 6355, Beaumont, Texas 77705; James 
   River Reserve Fleet, Drawer ``C'', Fort Eustis, Virginia 23604; and 
   Suisun Bay Reserve Fleet, PO Box 318, Benicia, California 94510; 
   United States Merchant Marine Academy, Kings Point, Long Island, New 
   York 11024-1699.
     Categories of individuals covered by the system: 
       All individuals boarding Reserve Fleet vessels.
     Categories of records in the system: 
       Name, affiliation, date, and signature (Form: MA-118).
     Authority for maintenance of the system: 
       46 app U.S.C. 1295b, 1295g, and 50 app U.S.C. 1744.
   Purpose(s): 
       Limit Governments liability for any damage suffered by certain 
   persons aboard RRF/NDRF ships.
     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.
   Disclosure of consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Filed alphabetically by name.
     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: 
       Records are maintained for three years and then destroyed.
     System manager(s) and address: 
       Superintendent of Respective Reserve Fleets; and United States 
   Merchant Marine Academy, Kings Point, New York 11024.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as Notification Procedure.
     Contesting record procedures: 
       Same as Notification Procedure.
     Record source categories: 
       Subject individual. Those authorized by the individual to furnish 
   information.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 18

   System name: 

       National Defense Executive Reserve.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Division of National Security Plans, MAR-620, Maritime 
   Administration, 400 7th Street, SW, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Nominees and members of the National Defense Executive Reserve.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       46 app U.S.C. 1295e, 1295g and 1126-1.
   Purpose(s): 
       Transferring data to the Federal Preparedness Agency pursuant to 
   E.O. 11179.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Alphabetically by last name.
     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: 
       Retained until one year after individual's appointment is 
   terminated or until death and then discarded.
     System manager(s) and address: 
       Chief, Division of National Security Plans, MAR-620, Maritime 
   Administration, same as above address.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification Procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     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.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 20

   System name: 

       Seamen's Awards for Service, Valor, etc.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of Maritime Labor and Training, MAR-250, Maritime 
   Administration, 400 7th Street, SW, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Seamen given awards for service, valor, etc.
     Categories of records in the system: 
       Name; address; mariner's document number; social security number; 
   and names of ships.
     Authority for maintenance of the system: 
       46 App. U.S.C. 2001-2007.
   Purpose(s): 
       Provide information to the seamen and family members upon 
   request.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Records are stored in paper copy in file folders and on magnetic 
   tape.
     Retrievability: 
       Files are maintained alphabetically by name of seaman.
     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: 
       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: 
       Director, Office of Maritime Labor and Training, MAR-250, 
   Maritime Administration, 400 7th Street, SW, Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as Notification procedure.
     Contesting record procedures: 
       Same as Notification procedure.
     Record source categories: 
       Subject individual. The individual's co-workers. Witnesses to 
   incidents. Those authorized by the individual to furnish information.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 21

   System name: 

       Seaman's Employment Analysis Records.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation Computer Center, SVC-172, 400 7th 
   Street, SW, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Merchant seamen who sailed the previous calendar year.
     Categories of records in the system: 
       Social security number; date of birth; records of United States 
   Coast Guard issued documents; voyage employment information (e.g., 
   ship and date signed on); and maritime schools attended.
     Authority for maintenance of the system: 
       46 app U.S.C. 1295g.
   Purpose(s): 
       To ensure an adequate supply of American mariners.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Records are stored on computer disks.
     Retrievability: 
       Filed by social security number.
     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: 
       Refreshed and maintained only for current available calendar 
   year.
     System manager(s) and address: 
       Director, Office of Maritime Labor and Training, Maritime 
   Administration, MAR-250, 400 7th Street, SW, Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       United States Coast Guard.
     Exemption claimed for the system:
       None.

   DOT/MARAD 22

   System name: 

       Seaman's Unclaimed Wages (Vietnam Conflict).
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Division of Accounting Operations, MAR-330, Maritime 
   Administration, 400 7th Street, SW, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Seamen owed wages for service aboard Government vessels operated 
   by general agents.
     Categories of records in the system: 
       Name; social security number; employing general agent; and wages 
   due and owing.
     Authority for maintenance of the system: 
       46 app U.S.C. 1114(B), 1241a, and 50 app U.S.C. 1291(a).
   Purpose(s): 
       Reporting wages owed.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Paper records are filed alphabetically by name and by social 
   security number.
     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: 
       Retained until such time as claim is resolved or wages are 
   disbursed.
     System manager(s) and address: 
       Chief, Division of Accounting Operations, MAR-330, Maritime 
   Administration, 400 7th Street, SW, Washington, DC 20590.
     Notification procedure: 
       Division of General and International Law, Office of the Chief 
   Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       The general agents.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 24

   System name: 

       USMMA Non-Appropriated Fund Employees.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of the Commandant of Midshipmen; Office of the Director of 
   Athletics; Office of the General Manager, Ship's Service; Officer's 
   Club; Junior Officer's Mess; Petty Officers Club; Fiscal Control 
   Office; and Department of Administrative Services and Procurement, 
   all at United States Merchant Marine Academy, Kings Point, N.Y. 
   11024.
     Categories of individuals covered by the system: 
       All current and former employees of non-appropriated fund 
   activities since 1970.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       46 app U.S.C. 1295g.
   Purpose(s): 
       Track information on non-appropriated fund employees.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12):
       Disclosures may be made from this systems to ``consumer reporting 
   agencies'' (collecting on behalf of the United States Govt.) 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: 
       Paper records in file folders.
     Retrievability: 
       Alphabetically by employee's name.
     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: 
       Records are retained indefinitely.
     System manager(s) and address: 
       Commandant of Midshipmen; Director of Athletics; General Manager, 
   Ship's Service; President, Officer's Club; Manager, Junior Officers 
   Mess; President, Petty Officers Club; Head, Department of Budget and 
   Accounts; and Head, Department of Administrative Services and 
   Procurement, all at United States Merchant Marine Academy, Kings 
   Point, N.Y. 11024.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       Subject employee. Those authorized by the employee to furnish 
   information. Past employers and references. The employee's 
   supervisor.
     Exemptions claimed for the system:
       Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from 
   portions of the act.

   DOT/MARAD 25

   System name: 

       USMMA Graduates.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of External Affairs, United States Merchant Marine 
   Academy, Kings Point, NY 11024.
     Categories of individuals covered by the system: 
       All graduates of USMMA, since 1942, and some parents of 
   graduates.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       46 app U.S.C. 1295g.
   Purpose(s): 
       Make employment referrals, to compile statistical reports for 
   Congress 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.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       The database is used for communication with alumni (e.g., 
   magazine, homecoming, etc), placement opportunities for alumni, 
   fundraising records, and congressional districts. See Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders and basic information are on 
   magnetic tape.
     Retrievability: 
       Alphabetically by name, and by social security number.
     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: 
       The records are kept indefinitely.
     System manager(s) and address: 
       Director, Office of External Affairs, United States Merchant 
   Marine Academy, Kings Point, N.Y. 10024.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     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.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 26

   System name: 

       USMMA Midshipmen Deposit Account Records.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Budgets and Accounts, United States Merchant Marine 
   Academy, Kings Point, NY 11024.
     Categories of individuals covered by the system: 
        All current midshipmen.
     Categories of records in the system: 
       Name, social security number, and all midshipmen activity fee 
   deposits to the Academy.
     Authority for maintenance of the system: 
       46 app U.S.C. 1295g.
   Purpose(s): 
       Track activity fee deposits to the Academy.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Filed by class year and then alphabetically by name.
     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: 
       Maintained for one year after graduation or separation, and then 
   destroyed.
     System manager(s) and address: 
       Assistant Head, Department of Budgets and Accounts, United States 
   Merchant Marine Academy, Kings Point, NY 11024.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification Procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       Midshipmen. Those authorized by midshipman to furnish 
   information. Department of Budgets and Accounts personnel.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 27

   System name: 

       USMMA Midshipman Grade Transcripts.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Registrar's Office, United States Merchant Marine Academy, Kings 
   Point, NY 11024.
     Categories of individuals covered by the system: 
       All present and past midshipmen.
     Categories of records in the system: 
       Name; social security numbers; courses taken; grades received; 
   and cumulative average.
     Authority for maintenance of the system: 
       46 app U.S.C. 1295g.
   Purpose(s): 
       Record academic status of past and present midshipmen.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Sent to other schools or employers when requested by the 
   midshipman. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders, paper records in file drawers, 
   microfilm records, and magnetic tape.
     Retrievability: 
       Alphabetically by midshipman's name.
     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: 
       Transfer to Federal Records Center five years after graduation. 
   Destroy sixty years after graduation.
     System manager(s) and address: 
       Registrar, United States Merchant Marine Academy, Kings Point, 
   N.Y. 10024.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification Procedure.''
     Contesting record procedures: 
       Same as ``Notification Procedure.''
     Record source categories: 
       The midshipman. Those authorized by the midshipman to furnish 
   information. Faculty. Registrar's staff.
     Exemptions claimed for the system:
       None.

   DOT/MARAD 28

   System name: 

       USMMA Midshipman Medical Files.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Medical Department, United States Merchant Marine Academy, Kings 
   Point, NY 11024.
     Categories of individuals covered by the system: 
       All midshipmen.
     Categories of records in the system: 
        Complete medical history prior to and during enrollment at the 
   Academy.
     Authority for maintenance of the system: 
       46 app U.S.C. 1295g.
   Purpose(s): 
       Maintain health of midshipmen.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       Filed alphabetically by midshipman's name.
     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: 
       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: 
       Medical Officer, United States Merchant Marine Academy, Kings 
   Point, N.Y. 11024.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
       Same as Notification procedure.
     Contesting record procedures: 
       Same as Notification procedure.
     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.
     Exemptions claimed for the system:
       Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from 
   portions of the act.

   DOT/MARAD 29

   System name: 

       USMMA Midshipman Personnel Records.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of the Commandant of Midshipman, United States Merchant 
   Marine Academy, Kings Point, NY 11024.
     Categories of individuals covered by the system: 
       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: 
       Nominations to United States 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.
     Authority for maintenance of the system: 
        46 app U.S.C. 1295g.
   Purpose(s): 
        Record personnel matters on USMMA midshipmen.
     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.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to ``consumer reporting agencies'' (collecting 
   on behalf of the United States Govt.) 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: 
       Paper records in file folders.
     Retrievability: 
        Alphabetically by midshipman's name.
     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: 
       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: 
       Commandant of Midshipman, United States Merchant Marine Academy, 
   Kings Point, NY 11024.
     Notification procedure: 
       Division of General and International Law, MAR-221, Office of the 
   Chief Counsel, Maritime Administration, 400 7th Street, SW, 
   Washington, DC 20590.
     Record access procedures: 
        Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     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. United States Navy Security 
   Officers. Those authorized by the midshipman to furnish the 
   information.
     Exemptions claimed for the system:
       Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from 
   portions of the act.

   DOT/MARAD 30

   System name: 

        Commitment Agreements.
     Security classification: 
        Unclassified, sensitive.
     System location: 
       Maritime Administration, Academies Program Officer, Office of 
   Maritime Labor, Training & Safety, MAR-250, 400 Seventh Street, SW, 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Students, graduates of United States Merchant Marine Academy and 
   State maritime academies.
     Categories of records in the system: 
       Files containing information of students, graduates of United 
   States Merchant Marine Academy and State maritime academies. 
   Information may contain addresses, social security numbers, and 
   medical information.
     Authority for maintenance of the system: 
        46 App. U.S.C. 1295b(e).
   Purposes(s):
       Determine if a student or graduate of the United States Merchant 
   Marine Academy, USMMA, or subsidized student or graduate of a State 
   maritime academy has a waivable/deferrable situation that prevents 
   him/her from fulfilling the requirements for their service obligation 
   contract.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       See Prefatory Notice of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File information is on computer with hard copy back up material 
   in metal cabinets in a secured room.
     Retrievability: 
        Name.
     Safeguards: 
       Files are retrievable only through information known to the 
   Academy Program Officer or other persons authorized to perform data 
   input tasks.
     Retention and disposal: 
       Files held until completion of eight-year service obligation 
   period or as determined by the Maritime Administration.
     System manager(s) and address: 
       Maritime Administration, Academies Program Officer, Office of 
   Maritime Labor, Training & Safety, 400 Seventh Street, SW, Rm. 7302, 
   Washington, DC 20590.
     Notification procedure: 
        Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Students, graduates of the United States Merchant Marine Academy 
   and State maritime academies.
     Exemptions claimed for the system:
        None.

   DOT/NHTSA 401

   System name: 

       Docket System.
     Security classification: 
        Unclassified, sensitive.
     System location: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, NHTSA, Office of Information Resource Management, 
   Technical Information Services, NAD-40, 400 7th Street, SW, Room 
   5111, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Individuals who have commented on notices of NHTSA appearing in 
   the Federal Register. Authors of reports that are added to the docket 
   as background information.
     Categories of records in the system: 
       Summary of the nature of the comment or the report, date written 
   and filed, author affiliation.
     Authority for maintenance of the system: 
        49 CFR Part 7 7.45, and Part 7, App.F.
   Purpose(s): 
        Gather information for use in the NHTSA Reference Docket
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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. See Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Manual file.
     Retrievability: 
        By individual name.
     Safeguards: 
        Records are maintained in a Technical Reference Library.
     Retention and disposal: 
        Indefinitely held.
     System manager(s) and address: 
        Office of Information Resource Management, Technical Information 
   Services, Department of Transportation, National Highway Traffic 
   Safety Administration, NAD-40, Room 5111, 400 7th Street, SW., 
   Washington, DC 20590.
     Notification procedure: 
        Same as ``System manager.''
     Record access procedures: 
        Same as ``System manager.''
     Contesting record procedures: 
        Same as ``System manager.''
     Record source categories: 
        From letters freely sent to NHTSA by the public; publications 
   used by engineers in writing standards.
     Exemptions claimed for the system:
        None.

   DOT/NHTSA 402

   System name: 

        Highway Safety Literature Personal Author File.
     Security classification: 
        Unclassified, sensitive.
     System location: 
        Department of Transportation, National Highway Traffic Safety 
   Administration, NHTSA, Transportation Research Board, 2101 
   Constitution Ave., NW., Washington, DC 20418.
     Categories of individuals covered by the system: 
        Writers of technical articles and reports who have authored 
   publications selected for inclusion in the Highway Safety Literature 
   database.
     Categories of records in the system: 
        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.
     Authority for maintenance of the system: 
        5 U.S.C. 301, 49 U.S.C. 322.
   Purpose(s): 
        Gather technical articles and reports for inclusion in NHTSA's 
   Highway Safety Literature catalog.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        Magnetic tape.
     Retrievability: 
        By individual name.
     Safeguards: 
        Records are stored in file cabinets.
     Retention and disposal: 
        Records are maintained indefinitely.
     System manager(s) and address: 
        Office of Information Resource Management, Technical Information 
   Services, Department of Transportation, National Highway Traffic 
   Safety Administration, NAD-40, 400 7th Street, SW., Room 5111, 
   Washington, DC 20590.
     Notification procedure: 
        Same as ``System manager.''
     Record access procedures: 
        Same as ``System manager.''
     Contesting record procedures: 
        Same as ``System manager.''
     Record source categories: 
        Publications related to highway safety.
     Exemptions claimed for system:
        None.

   DOT/NHTSA 411

   System name: 

        General Public Correspondence System.
     Security classification: 
        Unclassified, sensitive.
     System location: 
        Department of Transportation, National Highway Traffic Safety 
   Administration, NHTSA, Office of the Executive Secretariat, NOA-10, 
   400 7th Street, SW., Room 5221, Washington, DC 20590.
     Categories of individuals covered by the system: 
        Individuals who have requested information or advice from the 
   Agency.
     Categories of records in the system: 
        Correspondence with individuals who have requested information 
   or advice on promoting devices.
     Authority for maintenance of the system: 
        5 U.S.C. 301, 49 U.S.C. 322.
   Purpose(s):
        Provide agency with background information on number of issues, 
   reports, etc., and/or who seek guidance from NHTSA.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        Reference purposes. See Prefatory Statement of General Routine 
   Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       In file folders.
     Retrievability: 
        By individual name.
     Safeguards: 
        Conserva-Files; locked when not in use.
     Retention and disposal: 
        Records are retained for one year and are then discarded.
     System manager(s) and address: 
        Department of Transportation, National Highway Traffic Safety 
   Administration, Office of the Executive Secretary, NOA-10, 400 7th 
   Street, SW., Washington, DC 20590.
     Notification procedure: 
        Same as ``System manager.''
     Record access procedures: 
        Same as ``System manager.''
     Contesting record procedures: 
        Same as ``System manager.''
     Record source categories: 
        Individuals.
     Exemptions claimed for the system:
        None.

   DOT/NHTSA 413

   System name: 

        Odometer Fraud Data Base Files.
     Security classification: 
        Unclassified, sensitive.
     System location: 
        Department of Transportation, National Highway Traffic Safety 
   Adm., NHTSA, Safety Assurance (NSA-01), Odometer Fraud Staff (NSA-
   20), 400 Seventh Street, SW., Room 5321, Washington, DC 20590
     Categories of individuals covered by the system: 
        Suspects, defendants, witnesses, informants, automobile dealers, 
   and victims of odometer fraud.
     Categories of records in the system: 
        Information on suspects, defendants, witnesses, informants, 
   motor vehicles, automobile dealers, victims and other related data 
   obtained through Federal grand jury subpoenas. Information may 
   contain addresses, dates of birth, financial data, criminal history 
   records, business records, and numerous other data obtained through 
   Federal grand jury subpoenas.
   Purposes(s):
        To gather information to be used in allegations of odometer 
   fraud.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
        Files are maintained for use in criminal investigations and to 
   support criminal prosecutions by the United States Department of 
   Justice. Data are released also to authorized State and Federal law 
   enforcement agencies and personnel and to victims under 42 U.S.C. 
   10606(b)(7). See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
        None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
        File folder storage and in an electronic database.
     Retrievability: 
        By individual name, dealer name, complainant name, case number 
   and vehicle identification number.
     Safeguards: 
        Locked files and restricted electronic access. Files are 
   regularly used only by members of the Odometer Fraud Staff.
     Retention and disposal: 
        Retained for five years after case is closed, then destroyed.
     System manager(s) and address: 
        Department of Transportation, National Highway Traffic Safety 
   Administration, Attn: Chief, Odometer Fraud Staff, 400 Seventh 
   Street, SW., Room 6208, Washington, DC 20590.
     Notification procedure: 
        Same as ``System manager.''
     Record access procedures: 
        Same as ``System manager.''
     Contesting record procedures: 
        Same as ``System manager.''
     Record source categories: 
        Victims, automobile dealers, banks, State motor vehicle 
   departments, State and Federal law enforcement agencies, and other 
   sources used during the course of criminal investigations.
     Exemptions claimed for the system:
       None.

   DOT/NHTSA 415

   System name: 

        Office of Defects Investigation/Defects Information System, ODI/
   DIMS.
     Security classification:
       Unclassified, sensitive.
     System location: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, NHTSA, Office of Defects Investigation, NSA-01, 400 
   7th Street, SW., Room 2403, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Vehicle owners.
     Categories of records in the system: 
       Vehicle identification, vehicle problem.
     Authority for maintenance of the system: 
   Purpose(s): 
       To gather information/evidence in the conduct of alleged 
   defective vehicles or vehicle equipment.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Check complaints about vehicle defects to spot trends, resulting 
   in investigations of the vehicle model. See Prefatory Statement of 
   General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Disc pack and paper file.
     Retrievability:
       Identification number for each vehicle owner.
     Safeguards:
       Coded entry numbers.
     Retention and disposal:
       Eight years or indefinite.
     System manager(s) and address: 
       Chief, Special Projects Staff, Department of Transportation, 
   National Highway Traffic Safety Administration, NHTSA, Office of 
   Defects Investigation, NSA-10, 400 7th Street, SW., Room 5326, 
   Washington, DC 20590.
     Notification procedure: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, NHTSA, Director, Office of Information Resource 
   Management, Technical Information Services, NAD-40, 400 7th St., SW., 
   Room 5111, Washington, DC 20590.
     Record access procedures:
       Same as ``Notification procedure''.
     Contesting record procedures: 
       Same as ``Notification procedure''.
     Record source categories: 
       General public, State highway offices, insurance companies, 
   vehicle manufacturers.
     Exemptions claimed for the system:
       None.

   DOT/NHTSA 417

   System name: 

       National Driver Register, NDR.
     Security classification:
       Unclassified, sensitive.
     System location: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, NHTSA, Office of Research and Traffic Records, Driver 
   and Traffic Records Division, NTS-24, 400 7th Street, SW., Room 6124, 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Persons who have had their driver's license denied, withdrawn, 
   revoked or suspended for cause, or who have been convicted of certain 
   services traffic violations as reported by State/Territorial driver 
   licensing authorities.
     Categories of records in the system: 
       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. Frequently the physical data are not provided by the 
   reporting agency.
   Purpose(s): 
       To provide information regarding individuals who have had their 
   driver licenses revoked, suspended or otherwise denied for cause, or 
   who have been convicted of certain traffic violations, etc.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Provide identification of drivers who have had their licenses 
   withdrawn, suspended, revoked or otherwise denied for cause, or who 
   have been convicted of certain traffic violations, in response to 
   inquiries from State or Federal driver licensing officials. See 
   Prefatory Statement of General routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       The NDR master file is maintained on disk storage. Source data 
   received as manual input (i.e. forms, letters) are converted to disk 
   storage. Source data received on magnetic tape are converted into 
   printed listings. All source data are batch filed.
     Retrievability: 
       The master file is indexed by surname and refined by program 
   application using screening criteria such as given names, date of 
   birth and physical characteristics.
     Safeguards: 
       The data files are maintained in a building under surveillance by 
   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 NDR employees are briefed on NDR security requirements 
   and their responsibilities.
     Retention and disposal: 
       Records of actions that have been canceled 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. Magnetic tape 
   records are erased by degaussing, using 86db degaussing equipment, 
   prior to disposing of the tapes. Shredding destroys paper source data 
   reports of withdrawal.
     System manager(s) and address: 
       Chief, National Driver Register, National Highway Traffic Safety 
   Administration, NTS-24, Department of Transportation, Room 6124, 
   Washington, DC 20590.
     Notification procedure:
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures;
       Same as ``System manager.''
     Record source categories: 
       Driver licensing administrators of the States, and the District 
   of Columbia, or the agencies within the jurisdictions responsible for 
   such records.
     Exemptions claimed for the system:
       None.

   DOT/NHTSA 422

   System name: 

       Temporary Exemption Petitions.
     Security classification:
       Unclassified, sensitive.
     System location: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, NHTSA, Office of Chief Counsel, NCC-01, 400 7th 
   Street, SW., Room 5219, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Petitioners (commercial entities) seeking exemption from Federal 
   motor vehicle safety standards.
     Categories of records in the system: 
       Income statement and balance sheets, production information.
     Authority for maintenance of the system: 
       49 U.S.C. 30113.
   Purpose(s): 
       Gather information regarding exemptions and possible penalties on 
   Federal motor vehicle safety standards.
   Disclosure to consumer reporting agencies:
       None.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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:  
     Storage: 
       Office files.
     Retrievability:
       Temporary exemptions; filed by corporation's names.
     Safeguards: 
       Available only to the System manager and his secretary.
     Retention and disposal: 
       Permanent retention.
     System manager(s) and address: 
       Senior Staff Attorney, Department of Transportation, National 
   Highway Traffic Safety Administration, Office of Chief Counsel, NCC-
   01, 400 7th Street, SW., Washington, DC 20590.
     Notification procedure: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., 
   Room 5219, Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       Petitioners.
     Exemptions claimed for the system:
       None.

   DOT/NHTSA 431

   System name: 

       Civil Penalty Enforcement Files.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, Office of the Chief Counsel, NCC-01, 400 7th Street, 
   SW., Room 5219, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Persons against whom civil penalties are sought or contemplated 
   for violations of NHTSA-administered statutes.
     Categories of records in the system: 
       Investigatory records of alleged violations.
     Authority for maintenance of the system: 
       49 U.S.C. 30165.
   Purpose(s): 
       Gather information for use by agency in possible civil suits for 
   penalty violations.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Office files.
     Retrievability: 
       Files in CIR numerical order.
     Safeguards: 
       Available only to the System Manager and his secretary.
     Retention and disposal: 
       Records are retained indefinitely.
     System manager(s) and address: 
       Senior Staff Attorney, Department of Transportation, National 
   Highway Traffic Safety Administration, Office of Chief Counsel, NCC-
   01, 400 7th Street, SW., Washington, DC 20590.
     Notification procedure: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., 
   Room 5219, Washington, DC 20590.
     Record access procedures: 
       Same as ``Notification procedure.''
     Contesting record procedures: 
       Same as ``Notification procedure.''
     Record source categories: 
       NHTSA investigations and tests.
     Exemptions claimed for the system:
       None.

   DOT/NHTSA 436

   System name: 

       Contract Grievance Records.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, NHTSA, Office of Human Resources, NAD-20, 400 7th 
   Street, SW., Room 5306, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Employees in the non-professional exclusive unit covered by the 
   NHTSA/AFGE contract of March 5, 1974.
     Categories of records in the system: 
       Information or documents relating to a decision by the 
   Administration or an arbitrator affecting an individual.
   Purpose(s): 
       To substantiate or deny allegations relating to employee 
   grievances.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       To respond to the Federal Labor Relation Authority in connection 
   with an Unfair Labor Practice Procedure or to respond to the appeal 
   of an arbitration award. See Prefatory Statement of General Routine 
   Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Maintained in file folders and index cards.
     Retrievability: 
       Retrieved by names of grievant(s).
     Safeguards: 
       Access limited to those with official ``need to know.'' Personnel 
   screening is employed to prevent unauthorized disclosure.
     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: 
       Director, Office of Human Resources, Department of 
   Transportation, National Highway Traffic Safety Administration, NAD-
   20, 400 7th Street, SW., Room 5306, Washington, DC 20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Individual to who record pertains and/or representative; agency 
   officials; employees; witnesses; official documents; etc.
     Exemptions claimed for the system:
       None.

   DOT/NHTSA 463

   System name: 

       Motor Vehicle Importation Information, MVII.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, National Highway Traffic Safety 
   Administration, Office of Vehicle Safety Compliance, NSA-32, 400 7th 
   Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
       Importers or declarants of imported motor vehicles and motor 
   vehicles equipment, both private and commercial.
     Categories of records in the system: 
       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.
   Purpose(s): 
       Gather information on importation compliance of motor vehicle and 
   motor vehicle equipment.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Records may be released to the Environmental Protection Agency 
   for compliance with the Clean Air Act and to the United States 
   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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper forms and computer disc tapes.
     Retrievability: 
       By name of importer or declarant, addressee(s) vehicle or vehicle 
   identification, customs district and entry number, and port of entry.
     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: 
       Hard paper copy is retained one year if no official claims are 
   lodged against importer or declarant. Disc and tapes retained for 
   period of United States Customs Service statute of limitations before 
   erasure.
     System manager(s) and address: 
       Chief, Verification Division, Office of Vehicle Safety 
   Compliance, National Highway Traffic Safety Administration, NSA-32, 
   Department of Transportation, 400 7th Street, SW., Washington, DC 
   20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Forms executed by importers or declarants for the NHTSA, United 
   States Customs Service, and the Environmental Protection Agency.
     Exemptions claimed for the system:
       None.

   DOT/OST 003

   System name: 

       Allegations of Infringement of United States Patents.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of the Secretary of Transportation, Office of the General 
   Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
     Categories of individuals covered by the system: 
       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:  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.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       28 U.S.C. 1498.
   Purpose(s): 
       Document allegations that agencies of the Department of 
   Transportation have infringed, or are infringing, United States 
   patents.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Used as a record of allegations and Patent Counsel's actions 
   thereon. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders stored in file cabinets.
     Retrievability: 
       Indexed individually by name in alphabetical sequence.
     Safeguards: 
       Records are disclosed only to individuals with established legal 
   interest or legal ``need to know.''
     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: 
       Mailing address: Patent Counsel, C-15, United States Department 
   of Transportation, and Washington, DC 20590. Office Location: 400 7th 
   Street, SW., Room 10102.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System Manager.''
     Record source categories: 
       Patent owners.
     Exemptions claimed for the system:
       None.

   DOT/OST 004

   System name: 

       Board for Correction of Military Records, BCMR.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Office of the Secretary, OST, 
   Office of the General Counsel, 400 7th Street, SW., Room 4100, 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Military personnel requesting the Board for Correction of 
   Military Records to correct their military records.
     Categories of records in the system: 
       Copies of actions of the General Counsel acting under delegated 
   authority approving or disapproving BCMR cases.
     Authority for maintenance of the system: 
       10 U.S.C. 1552.
   Purpose(s): 
       Used as a record of the General Counsel's action in individual 
   BCMR cases.
     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 stored in file cabinets (Conserv-a-File).
     Retrievability: 
       Indexed individually by name in alphabetical sequence.
     Safeguards: 
       Files are kept in the office of the Assistant General Counsel. 
   Requests are referred to the Executive Secretary, BCMR.
     Retention and disposal: 
       Retained indefinitely for precedential purposes.
     System manager(s) and address: 
       Mailing Address: Assistant General Counsel for Environmental, 
   Civil Rights and General Law, C-10, United States Department of 
   Transportation, Washington, DC 20590. Office Location: 400 7th 
   Street, SW., Room 10102.
     Notification procedure: 
       Contact ``System manager.''
     Record access procedures: 
       Contact ``System manager.''
     Contesting record procedures: 
       Same as ``Record access procedure.''
     Record source categories: 
       Official agency records; hearings, documentary material from 
   outside the agency.
     Exemptions claimed for the system:
       None.

   DOT/OST 012

   System name: 

       Files Relating to Personnel Hearings.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Office of the Secretary, OST, 
   Office of the General Counsel, 400 7th Street, SW., Room 10102, 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Certain employees of the Office of the Secretary who have availed 
   themselves of the opportunity for a hearing in certain personnel 
   matters.
     Categories of individuals covered by the system: 
       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: 
       Notices of proposed adverse actions, answers of employees, 
   notices of decisions, and supporting material.
     Authority for maintenance of the system: 
       5 U.S.C. 1215, 1216, 7503(c), 7513(e), 7521, and 7543(e).
   Purpose(s): 
       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: 
       Used by agency management in the preparation and conduct of 
   administrative hearings. See Prefatory Statement of General Routine 
   Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders stored in file cabinets (Conserv-a-File).
     Retrievability: 
       Indexed individually by name in alphabetical sequence.
     Safeguards: 
       Files are kept in the office of the Assistant General Counsel.
     Retention and disposal: 
       Retire in 3 years; destroy in 6 years.
     System manager(s) and address: 
       Mailing Address: Assistant General Counsel for Environmental, 
   Civil Rights and General Law, C-10, United States Department of 
   Transportation, Washington, DC 20590. Office Location: 400 7th 
   Street, SW., Room 10102.
     Notification procedure: 
       Apply to System manager.
     Record access procedures: 
       Apply to System manager.
     Contesting record procedures: 
       Same as ``Record access procedure.''
     Record source categories: 
       Official agency records; hearings; documentary material from 
   outside the agency.
     Exemptions claimed for the system:
       None.

   DOT/OST 016

   System name: 

       General Investigations Record System.
     Security classification: 
       Unclassified (law enforcement sensitive).
     System location: 
       TASC Security Operations, SVC-150, Department of Transportation, 
   DOT, 400 7th Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
       DOT employees and contractors.
     Categories of records in the system: 
       Incident reports covering occurrences relating to the security of 
   DOT personnel and headquarters buildings.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 49 U.S.C. 322.
   Purpose(s): 
       To maintain computerized records covering the security of DOT 
   personnel and headquarters buildings. To develop proper responses to 
   patterns of incidents.
     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; 5 and 9 do not 
   apply.
   Disclosure to consumer reporting agencies:
       Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be 
   made from this systems to ``consumer reporting agencies'' (collecting 
   on behalf of the United States Govt.) 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 file folders. Paper records in case folders 
   in manual filing system.
     Retrievability: 
       By name or incident title.
     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: 
       Records older than 5 years are deleted.
     System manager(s) and address: 
       Principal, TASC Security Operations, SVC-150, 400 7th Street, 
   SW., Washington, DC 20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``Record access procedure.''
     Record source categories: 
       These records contain information obtained from interviews; 
   review of records and other authorized techniques.
     Exemptions claimed for the system:
       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 (2).

   DOT/OST 019

   System name: 

       Individual Personal Interests in Intellectual Property.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Office of the Secretary, OST, 
   Office of the General Counsel, 400 7th Street, SW., Room 10102, 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Inventors employed by or having contractual relationships with 
   the Department of Transportation and other Government agencies.
     Categories of records in the system: 
       Invention disclosures, Government Patents Branch cases, patent 
   applications, issued patents, and license agreement files.
     Authority for maintenance of the system: 
       49 U.S.C. 322.
   Purpose(s): 
       Used by Patent Counsel and staff as a record of determination of 
   rights in inventions, determination of novelty and patent ability, 
   determination of patent coverage, and allocation of rights in issued 
   patents.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders stored in file cabinets.
     Retrievability: 
       Indexed individually by name in alphabetical sequence.
     Safeguards: 
       Records are disclosed only to individuals who have legal interest 
   in the records or legal ``need to know.''
     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: 
       Mailing Address: Patent Counsel, C-15, United States Department 
   of Transportation, and Washington, DC 20590. Office Location: 400 7th 
   Street, SW., Room 10102.
     Notification procedure: 
       Apply to ``System manager.''
     Record access procedures: 
       Apply to ``System manager.''
     Contesting record procedures: 
       Same as ``Record access procedures''
     Record source categories: 
       Individual inventors, technical evaluators, and United States 
   Patent and Trademark Office.
     Exemptions claimed for the system:
       None.

   DOT/OST 035

   System name: 

       Personnel Security Record System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, Transportation Administrative 
   Service Center, Security Operations, SVC-150, 400 7th Street, SW., 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       DOT applicants, employees, former employees, contractors, and 
   detailees to DOT from other Federal agencies.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 49 U.S.C. 322.
   Purpose(s): 
       To make suitability determinations for employment or retention in 
   government service, assignment to sensitive duty positions and access 
   to classified information.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Used by Departmental personnel security representatives, 
   including contractor personnel, 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 U.S.C. 552a(b)(12):
       Disclosures may be made from this systems to ``consumer reporting 
   agencies'' (collecting on behalf of the United States Govt.) 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: 
       Completed forms and typed pages in individual folders in a manual 
   filing system, and on a manual system control cards.
     Retrievability: 
       By name.
     Safeguards: 
       Stored in locked room with proprietary lock or in approved 
   security safe. Access limited to authorized staff members.
     Retention and disposal: 
       Retained in accordance with General Records Schedule 18. 
   Authorized destruction done by secure means used for classified 
   materials.
     System manager(s) and address: 
       Principal, TASC Security Operations, SVC-150, Department of 
   Transportation, 400 7th Street, SW., Washington, DC 20590.
     Notification procedure: 
       Same as System manager.
     Record access procedures: 
       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 U.S.C. 
   552a(k)(5).
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Investigative sources contacted in personnel security 
   investigations, 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.
     Exemptions claimed for the system:
       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 U.S.C. 552a(k)(1) and/or (5).

   DOT/OST 037

   System name: 

       Records relating to Applications for Senate Confirmation of 
   Proposed Executive Appointments to the Department of Transportation.
     Security classification: 
       Unclassified, sensitive.
     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 10102, Washington, 
   DC 20590.
     Categories of individuals covered by the system: 
       Individuals nominated for top executive positions of the 
   Department of Transportation.
     Categories of records in the system: 
       Financial data and biographical data.
     Authority for maintenance of the system: 
       5 U.S.C. App. 101, Executive Order 12731, and regulations of the 
   Office of Government Ethics.
   Purpose(s): 
       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.
   Disclosure to consumer reporting agencies:
       None.
     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: 
       Legal sized documents located in locked safe.
     Retrievability: 
       Individual names filed alphabetically.
     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: 
       Records are retained for 6 years then destroyed.
     System manager(s) and address: 
       Mailing Address: Deputy General Counsel, C-2, United States 
   Department of Transportation, and Washington, DC 20590. Office 
   Location: 400 7th Street, SW., Room 10428.
     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: 
       Access to records requires the individual to contact in person or 
   write the Deputy General Counsel.
     Contesting record procedures: 
       Contest of a record is also through the Deputy General Counsel.
     Record source categories: 
       Subject individual provides Documents.
     Exemptions claimed for the system:
       None.

   DOT/OST 041

   System name: 

       Correspondence Control Mail, CCM.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, Office of the Secretary, OST, 
   Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.
     Categories of individuals covered by the system: 
       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: 
       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.
     Authority for maintenance of the system: 
       49 CFR 1.23(j).
   Purpose(s): 
       The purpose of the system is to provide history of correspondence 
   addressed to and signed by the Secretary and Deputy Secretary of 
   Transportation.
     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 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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Computer disc and--selectively--on microfilm for all records 
   since 1/1/74. In hard copy for all records prior to 1/1/74.
     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: 
       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: 
       Hard-copy records for 1967-1969 and duplicate microfilms for 
   1974-1989 are in the custody of National Archives and Records 
   Administration, NARA. Microfilm Records from 1990 and following are 
   retained in the Departmental headquarters building. Records are 
   retired to NARA on a space-needed basis.
     System manager(s) and address: 
       Department of Transportation, DOT, Office of the Secretary, OST, 
   Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.
     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: 
       Contact System Manager for information on procedures for gaining 
   access to records.
     Contesting record procedures: 
       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: 
       Correspondence from individual, his representative or sponsor. 
   Responses to incoming correspondence. Related material provided for 
   background as appropriate.
     Exemptions claimed for the system:
       None.

   DOT/OST 045

   System name: 

       Unsolicited Contract or Research and Development Proposals 
   Embodying Claims of Proprietary Rights.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Office of the Secretary, OST, 
   Office of the General Counsel, 400 7th Street, SW., Room 10102, 
   Washington, DC 20590.
     Categories of individuals covered by the system: 
       Individuals who believe they have original and innovative ideas 
   in the field of transportation.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       49 U.S.C. 322.
   Purpose(s): 
       Used as a record of Patent Counsel's action in individual 
   unsolicited proposal cases.
     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 stored in file cabinets (Conserv-a-File).
     Retrievability: 
       Indexed individually by name and subject in alphabetical 
   sequence.
     Safeguards: 
       Records are disclosed only in accordance with the terms of 
   restrictive markings agreed upon between submitter and DOT.
     Retention and disposal: 
       Transfer to storage when three years old; Destroy after six 
   years.
     System manager(s) and address: 
       Mailing Address: Patent Counsel, C-15, United States Department 
   of Transportation, Washington, DC 20590. Office Location: 400 7th 
   Street, SW., Room 10102.
     Notification procedure: 
       Apply to ``System manager.''
     Record access procedures: 
       Apply to ``System manager.''
     Contesting record procedures: 
       Same as ``Record access procedure.''
     Record source categories: 
       Forwarded by individual or by the DOT office to whom unsolicited 
   proposal was addressed.
     Exemptions claimed for the system:
       None.

   DOT/OST 046

   System name: 

       Visit Control Records System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, Transportation Administrative 
   Service Center (TASC), Security Operations, SVC-150, 400 7th Street, 
   SW., Room 10401, Washington, DC 20590.
     Categories of individuals covered by the system: 
       DOT employees, Industrial Security contractor employees, non-
   employee visitors to DOT facilities during security hours.
     Categories of records in the system: 
       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.
     Authority for maintenance of the system: 
       5 U.S.C. 301; 49 U.S.C. 322.
   Purpose(s): 
       Maintain a record of clearances for individuals attending 
   classified meetings.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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. See Prefatory 
   Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Stored in an alarm-secured area in a locked Lek-Triever file.
     Retrievability: 
       By name.
     Safeguards: 
       Stored in locked room with proprietary lock, available only to 
   authorized staff members.
     Retention and disposal: 
       Maintained until expiration of visit, then destroyed.
     System manager(s) and address: 
       Principal, TASC Security Operations, SVC-150, Department of 
   Transportation, 400 7th Street, SW., Washington, DC 20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Security clearance information furnished by personnel security 
   officers. Visit data furnished by individual.
     Exemptions claimed for the system:
       None.

   DOT/OST 056

   System name: 

       Garnishment Files.
     Security classification: 
       Unclassified, sensitive.
     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 10102, Washington, DC 20590 and Office of the Chief 
   Counsel of employing DOT agency.
     Categories of individuals covered by the system: 
       Employees of the, DOT, 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, for alimony or child support, or under 5 
   U.S.C. 5520a, for commercial debt.
     Categories of records in the system: 
       Correspondence and court orders, and copies thereof, concerning 
   attachment of employees' pay.
     Authority for maintenance of the system: 
       42 U.S.C. 659; 5 U.S.C. 5520a.
   Purpose(s): 
       Used as record of garnishments and Garnishment Attorney's action 
   thereon.
     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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       File folders stored in the Garnishment Attorney's office.
     Retrievability: 
       Indexed individually by name in alphabetical order.
     Safeguards: 
       Records are disclosed only to individuals with established legal 
   interest or legal ``need to know.''
     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: 
       Mailing Address: Garnishment Attorney, C-10, United States 
   Department of Transportation, Washington, DC 20590. Office Location: 
   400 7th Street, SW., Room 10102.
     Notification procedure: 
       Apply to ``System manager.''
     Record access procedures: 
       Apply to ``System manager.''
     Contesting record procedures: 
       Apply to ``System manager.''
     Record source categories: 
       Data are obtained from state courts and agencies, private 
   attorneys, custodians of children of DOT employees, and federal pay 
   records.
     Exemptions claimed for the system:
       None.

   DOT/OST 057

   System name: 

       Honors Attorney Recruitment Files, DOT/OST.
     Security classification: 
       Unclassified, sensitive.
     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: 
       Third-year law students and recent law school graduates.
     Categories of records in the system: 
       Resumes, transcripts, copies of Personnel Form 171. Authority for 
   maintenance of the system:  49 U.S.C. 323.
   Purpose(s):
       Used by General Counsel, Chief Counsels, and their staffs in 
   filling job vacancies for attorneys.
     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 in file cabinets.
     Retrievability: 
       Indexed individually by name in alphabetical order.
     Safeguards: 
       Records are disclosed only to individuals who have legal 
   interests in the records or a legal need-to-know.
     Retention and disposal: 
       Retained at system location for 5 years, then destroyed.
     System manager(s) and address: 
       Mailing Address: Special Assistant to the General Counsel, C-4, 
   United States Department of Transportation, Washington, DC 20590. 
   Office Location: 400 7th Street, SW., Room 10428.
     Notification procedure: 
       Contact the ``System manager.''
     Record access procedures: 
       Contact the ``System manager.''
     Contesting record procedures: 
       Same as ``Record access procedure.''
     Record source categories: 
       Law students, recent law school graduates, General Counsel, Chief 
   Counsels and their staffs.
     Exemptions claimed for the system:
       None.

   DOT/OST 059

   System name: 

       Files of the Board for Correction of Military Records, BCMR, for 
   the Coast Guard.
     Security classification: 
       Unclassified, sensitive.
     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 4100, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Individuals who have filed applications for relief before the 
   Board.
     Categories of records in the system: 
       Applications and related documents, Board decisions, and official 
   military records of applicants.
     Authority for maintenance of the system: 
       10 U.S.C. 1552.
   Purpose(s):
       Used by the Chairman, the Board, the Executive Secretary, and 
   Staff in determining whether to grant relief to applicants.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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/her 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: 
       File folders stored in file cabinets.
     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: 
       Records are disclosed only to the applicant, his representative, 
   interested members of Congress, and the Coast Guard.
     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: 
       Mailing Address: Executive Secretary, Board for the Correction of 
   Military Records, C-60, United States Department of Transportation, 
   Washington, DC 20590. Office Location: 400 7th Street, SW., Room 
   4100.
     Notification procedure: 
       Apply to ``System manager.''
     Record access procedures: 
       Apply to ``System manager.''
     Contesting record procedures: 
       Same as ``Record access procedure.''
     Record source categories: 
       United States Coast Guard, Veterans Administration, individual 
   applicants.
     Exemptions claimed for the system:
       None.

   DOT/OST 100

   System name: 

       Investigative Record System.
     Security classification: 
       Unclassified--sensitive.
     System location: 
       Office of Inspector General, DOT/OST, 400 Seventh Street, SW., 
   Washington, DC 20590. OIG Regional Offices in Baltimore, MD; Atlanta, 
   GA; Chicago, IL; Fort Worth, TX; San Francisco, CA; and New York, NY; 
   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.
     Authority for maintenance of the system: 
       Inspector General Act of 1978, 5 U.S.C. App.
   Purpose(s): 
       Document the administration of investigations and inquiries 
   conducted under of the Inspector General Act of 1978.
     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.
   Disclosure to consumer reporting agencies:
       None.
       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.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       These records contain information obtained from interviews, 
   review of records and other authorized investigative techniques.
     Exemptions claimed for the system:
       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: 

       Transportation Inspector General Reporting System, TIGR.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Office of Inspector General, DOT/OST, 400 Seventh Street, SW., 
   Washington, DC 20590
     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.
     Authority for maintenance of the system: 
       Inspector General Act of 1978, 5 U.S.C. App.
   Purpose(s): 
       The purpose of the system is to provide individuals with a need 
   to know with specific information related to (1) time and attendance 
   of employees; (2) workload status reports; (3) security clearance 
   alerts; (4) travel information, etc.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       (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. See also Prefatory Statement of 
   General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       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, hardcopy 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 those 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: 
       Director of Information Resource Management, JM-10, Office of 
   Inspector General, Department of Transportation, 400 7th Street, SW., 
   Room 7117, Washington, DC 20590.
     Notification procedure: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       (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.
     Exemptions claimed for the system:
       Investigative data compiled for law enforcement purposes may be 
   exempt from the access provisions pursuant to 5 U.S.C. 552a(j)(2), 
   (k)(l), or (k)(2).

   DOT/RSPA 02

   System name: 

       National Defense Executive Reserve, NDER, File.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       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, First Coast Guard District, 408 
   Atlantic Avenue, Boston, MA 02110. Region 3, Federal Highway 
   Administration, 10 South Harvard Street, Suite 4000, Baltimore, MD 
   21201. Region 4, Federal Aviation Administration Southern Region, PO 
   Box 20636, Atlanta, GA 30320. Region 5, Federal Highway 
   Administration, 19900 Governors Drive, Suite 301 Olympia fields, IL 
   60461 Region 6, Federal Aviation Administration Southwest Region, 
   2601 Meacham Blvd., Ft. Worth, TX 76137-4298. Region 7, Federal 
   Highway Administration, P.O. Box 419715, Kansas City, MO 64141. 
   Region 8, Federal Highway Administration, 555 Zang Street, Room 400, 
   Denver, CO 80225. Region 9, Pacific Area United States Coast Guard, 
   Coast Guard Island, Alameda, CA 94501. Region 10, 13th Coast Guard 
   District, Federal Bldg., Rm. 3590, 915 Second Ave., Seattle, WA 
   98174Alaska Region, Federal Aviation Administration Alaskan Region, 
   222 W 7th Ave., 14, 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: 
       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: 
       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 and a personal data sheet for each Reservist which 
   presents a summary of pertinent data including a photograph.
     Authority for maintenance of the system: 
       Defense Production Act of 1950 and Executive Order 11179.
   Purpose(s): 
       This is a government-wide program to recruit and train a cadre of 
   volunteer executives from the private sector to serve in key Federal 
   management positions during periods of national defense emergencies.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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, who 
   is responsible for the entire National Defense Executive Reserve 
   Program. These records are 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, to the Director and staff of OET, and the RETCOs and their 
   staff.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     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. Mailing lists are 
   maintained using a personal computer.
     Retrievability: 
       Indexed alphabetically by name. Retrieved manually.
     Safeguards: 
       Maintained in metal file containers or other standard office 
   equipment.
     Retention and disposal: 
       Held for five years from date of separation and then destroyed.
     System manager(s) and address: 
       Research and Special Programs Administration (DPB-30), Director 
   of Emergency Transportation, Department of Transportation (Room 
   8330), Washington, DC 20590.
     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: 
       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: 
       Same as ``Record access procedures.''
     Record source categories: 
       Personal data submitted by the individual; data from his or her 
   employer; recommendations for the system: Investigative data compiled 
   for law enforcement purposes may be exempt from access pursuant to 5 
   U.S.C. 552a (j)(2), (k)(1), or (k)(2). From colleagues; mailing data 
   from existing distribution system.
     Exemptions claimed for the system:
       None.

   DOT/RSPA 04

   System name: 

       Transportation Research Activities Information Service, TRAIS.
     Security classification: 
       Unclassified, Sensitive
     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: 
       Program/Project Managers and research investigators.
     Categories of records in the system: 
       Notification of Technical Research and Development.
     Authority for maintenance of the system: 
       49 U.S.C. 112(d)(3).
   Purpose(s): 
       To maintain information concerning on-going and completed 
   research and development accomplishments.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Information on on-going and completed research and development 
   accomplishments. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Computer disc storage and magnetic tape.
     Retrievability: 
       Retrievable by keywords and unique accession number assigned by 
   Data Base Administrator; batch process or on-line interaction.
     Safeguards: 
       Physical security--user identification and passwords.
     Retention and disposal: 
       Up to three-year retention and then tape is reused which destroys 
   previous data.
     System manager(s) and address: 
       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: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Contract Awards from Contracting Offices, Publication of 
   Technical Report.
     Exemptions claimed for the system:
       None.

   DOT/RSPA 05

   System name: 

       Transportation Research Information Service On Line, TRIS-On-
   Line.
     Security classification: 
       Unclassified, Sensitive.
     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: 
       Program/Project Managers and authors of reports.
     Categories of records in the system: 
       Notification of technical research and technical reports.
     Authority for maintenance of the system: 
       49 U.S.C. 112(d)(3).
   Purpose(s): 
       To maintain information concerning on-going and completed 
   research and development accomplishments.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Information on on-going and completed research and development 
   accomplishments. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Computer disc storage and magnetic tape.
     Retrievability: 
       Retrievable by keywords and accession number assigned by Data 
   Base Administrator, batch or on-line interaction.
     Safeguards: 
       Physical security--User identification keywords and passwords.
     Retention and disposal: 
       Up to five-year accessibility, tape goes to archival storage.
     System manager(s) and address: 
       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: 
       Same as ``System manager.''
     Record access procedures: 
       Same as ``System manager.''
     Contesting record procedures: 
       Same as ``System manager.''
     Record source categories: 
       Contract awards received from Contracting Offices, Publication of 
   Technical Reports.
     Exemptions claimed for the system:
       None.

   DOT/RSPA 06

   System name: 

       Emergency Alerting Schedules.
     Security classification: 
       Unclassified, sensitive.
     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: 
       Professional and clerical employees and military members of the 
   United States 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: 
       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.
     Authority for maintenance of the system: 
       DOT Order 1910.2C, dated May 1980.
   Purpose(s): 
       A team of individuals who can carry out the essential functions 
   of the Department of Transportation if the need arises.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       For identification of individuals required to ensure 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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Publication is maintained in stock, in listings in each office of 
   record, and in standard filing equipment in locked file rooms.
     Retrievability: 
       Manually by position listing.
     Safeguards: 
       Metal file containers or other standard office equipment secured 
   in a locked file room during office duty hours.
     Retention and disposal: 
       Retained until republished then destroyed.
     System manager(s) and address: 
       Director of Emergency Transportation, DET-1, Department of 
   Transportation, Research and Special Programs Administration, 400 7th 
   Street, SW., Washington, DC 20590.
     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: 
       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: 
       Same as ``Record access procedures.''
     Record source categories: 
       Office or Agency of employment.
     Exemptions claimed for the system:
       None.

   DOT/RSPA 08

   System name: 

       Technical Pipeline Safety Committees for Natural Gas and 
   Hazardous Liquid.
     Security classification: 
       Unclassfied, sensitive.
     System location: 
       Department of Transportation, DOT, Research and Special Programs 
   Administration, Office of Pipeline Safety, 400 7th Street, SW., Room 
   2335, Washington, DC 20590.
     Categories of individuals covered by the system: 
       Members of Technical Pipeline Safety Standards Committee. Members 
   of Technical Hazardous Liquid Pipeline Safety Standards Committee. 
   Intermittent consultants.
     Categories of records in the system: 
       Biographical data in support of member's nomination.
       Letters announcing member's appointment/reappointment. Personnel 
   Actions.
     Authority for maintenance of the system: 
       49 CFR Parts 190 through 195
   Purpose(s): 
       To provide a guiding group to ensure that the interests of all 
   pipeline stakeholders are represented, for providing a forum for 
   discussing program plans and activities of the Office of Pipeline 
   Safety.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       General reference purposes for support functions.
       See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       In file folders.
     Retrievability: 
       Alphabetically by name within subject area.
     Safeguards: 
       Room locked after hours, most information is public knowledge.
     Retention and disposal: 
       Kept indefinitely.
     System manager(s) and address: 
       Advisory Committee Executive Director, Department of 
   Transportation, Office of Pipeline Safety, 400 7th Street, SW., 
   Washington, DC 20590.
     Notification procedure: 
       Address inquiries to System manager including individual's name.
     Record access procedures: 
       Information may be obtained from the System manager.
     Contesting record procedures: 
       Same as for Access above.
     Record source categories: 
       Biographical Information (DOT Form F 1120.1) Travel Vouchers (SF 
   1012). Certificate of Consultant's Services. Press Releases. 
   Administrative Correspondence/Memorandums.
     Exemptions claimed for the system:
       None.

   DOT/RSPA 09

   System name: 

       Hazardous Materials Incident Telephonic Report System.
     Security classification: 
       Sensitive.
     System location: 
       United States 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 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: 
       49 CFR 191.5 and 195.52.
   Purpose(s): 
       To provide early notification of hazardous liquid and natural gas 
   pipeline releases.
     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.
   Disclosure to consumer reporting agencies:
       None.
     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, United States 
   Department of Transportation, Washington, DC 20590.
       For records collected by the Office of Pipeline Safety, RSPA, 
   pursuant to 49 CFR 191.5, 49 CFR 195.52, 49 CFR 192.612, and 49 CFR 
   195.413: Information Resources Manager, Office of Pipeline Safety, 
   DPS-21, Research and Special Programs Administration, United States 
   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.
     Exemptions claimed for the system:
       None.

   DOT/RSPA 10

   System name: 

       Hazardous Materials Incident Written Report System.
     Security classification: 
       Unclassified, Sensitive.
     System location: 
       United States Department of Transportation, Research and Special 
   Programs Administration, 400 Seventh Street, SW., Washington, DC, 
   20590, United States 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: 
       49 CFR 191.9 through 191.27 and 195.54, 195.55.
   Purpose(s): 
       To provide written reports for hazardous liquid and natural gas 
   pipeline releases, and annual reports for natural gas pipeline 
   operator total mileage and description of operator's system.
     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.
   Disclosure to consumer reporting agencies:
       None.
     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, 
   microfilm or electronic image 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, microfilm, and 
   electronic image 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 and electronic images are 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, United States 
   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, United States 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).
     Exemptions claimed for the system:
        None.

   DOT/RSPA 11

   System name: 

        Hazardous Materials Information Requests System.
     Security classification: 
        Unclassified, Sensitive.
     System location: 
        United States Department of Transportation, Research and Special 
   Programs Administration, 400 Seventh Street, SW., Washington, DC 
   20590; United States 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, North American 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: 
       49 CFR Parts 191.9 through 191.27 and 195.54, 195.55.
   Purpose(s): 
        To provide written reports for hazardous liquid and natural gas 
   pipeline releases, and annual reports for natural gas pipeline 
   operator total mileage and description of operator's system.
     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 North 
   American 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, United States 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, United States 
   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, 
   companies, and other entities requesting information from the HMIS or 
   copies of the Emergency Response Guidebook.
     Exemptions claimed for the system:
       None.

   DOT/SLS 151

   System name: 

        Claimants Under Federal Tort Claims Act.
     Security classification: 
        None.
     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 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. 301; 28 U.S.C. 2675 and 33 U.S.C. 5984(a)(4).
   Purpose(s): 
       Information will be used in evaluating claims. Routine uses of 
   records maintained in the system, including categories of users and 
   the purposes of such uses: 
       Used by Chief Counsel and other Federal government officials to 
   determine allowability of claims. See Prefatory Statement of General 
   Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       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 persons authorized by him.
     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, SW., 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, Office of Finance, Saint Lawrence Seaway Development 
   Corporation, PO Box 520, Massena, NY 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.
     Exemptions claimed for the system:
        None.

   DOT/SLS 152

   System name: 

        Data Automation Program Records.
     Security classification: 
        Unclassified, sensitive.
     System location: 
        Saint Lawrence Seaway Development Corporation, Office of 
   Finance, PO Box 520, 180 Andrews Street, Massena, N.Y. 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. 301, 44 U.S.C. 3101, 33 U.S.C. 984(a)(4).
   Purpose(s): 
        This system integrates leave, payroll, work measurement, and 
   travel Voucher records.
     Routine uses of records maintained in the system, including 
   categories of users and the purpose of such uses:
        1. Payroll and voucher disbursement: GAO audits. 2. To the 
   Office of Child Support Enforcement, Administration for Children and 
   Families, Department of Health and Human Services Federal Parent 
   Locator System, FPLS, and Federal Tax Offset System for use in 
   locating individuals and identifying their income sources to 
   establish paternity, Establish and modify orders of support and for 
   enforcement action. 3. To the Office of Child Support Enforcement for 
   release to the Social Security Administration for verifying social 
   security Numbers in connection with the operation of the FPLS by the 
   Office of Child Support Enforcement. 4. To Office of Child Support 
   Enforcement for release to the Department of the Treasury for 
   purposes of administering the Earned Income Tax Credit Program 
   (Section 32, Internal Revenue Code of 1986) and verifying a claim 
   with respect to employment in a tax return. 5. 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 United States 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 retrieved by name and social security number.
     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 General Accounting 
   Office and National Archives and Records Administration requirements. 
   System manager(s) and address:  Director of Finance, Saint Lawrence 
   Seaway Development Corporation, PO Box 520, 180 Andrews Street, 
   Massena, N.Y. 13662-0520.
     Notification procedure: 
        Individuals may inquire, in writing, to the System manager.
     Record access procedures: 
        Individuals may gain access to his/her records by submitting a 
   written request to the system manager.
     Contesting record procedures: 
        Contest of these records should be directed to the system 
   manager.
     Record source categories: 
        Information contained in this system would come from Saint 
   Lawrence Seaway Development Corporation records.
     Exemptions claimed for the system:
        None.

   DOT/TSC 700

   System name: 

        Automated Management Information System.
     System location: 
        Department of Transportation, DOT, Volpe National Transportation 
   Systems Center, Volpe, Computer Center, DTS-23, 55 Broadway, 
   Cambridge, MA 02142-1093.
     Security classification: 
        Unclassified, sensitive.
     Categories of individuals covered by the system: 
        All Volpe employees.
     Categories of records in the system: 
        Contains job related information associated with the following 
   applications: ADP services, property management, rocurement requests, 
   contract information, travel information, program and related job 
   plans, space utilization, and other pertinent management information.
     Authority for maintenance of the system: 
        49 U.S.C 328, Volpe Center Working Capital Fund; 5 U.S.C 301.
   Purpose(s): 
        For computer facility planning; budget analysis; procurement 
   tracking; contract administration; property control.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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. See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Magnetic tape and disk.
     Retrievability: 
        Indexed by employees name, project number, procurement number, 
   contract number, travel number, work plan budget number.
     Safeguards: 
        Access to the systems and their 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 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 Volpe ADP 
   Facility Document on Safeguards and Controls.
     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 disposal procedure.
     System manager(s) and address: 
        Chief, Computer Center, DTS-23, Department of Transportation, 
   Volpe National Transportation Systems Center, 55 Broadway, Cambridge, 
   MA 02142-1093.
     Notification procedure:
        Information may be obtained from the System manager.
     Record access procedures: 
       Requests from individuals should be addressed to the System 
   manager. An individual may gain access to his/her data by written 
   request.
     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: 
        Employee, Personnel Office, Communications Office, Security 
   Office.
     Exemptions claimed for the system:
        None.

   DOT/TSC 702

   System name: 

        Legal Counsel Information Files.
     Security classification: 
        Unclassified, sensitive.
     System location: 
        Department of Transportation, DOT, Volpe National Transportation 
   Systems Center, Volpe, Office of Chief Counsel, DTS-14, 55 Broadway, 
   Cambridge, MA 02142-1093.
     Categories of individuals covered by the system: 
       Present and former Volpe employees.
     Categories of records in the system: 
       Counseling records relating to Standards of Conduct, post-
   employment restrictions, or other legal matters involving individual 
   employee(s); individual claims; grievances, personnel actions and 
   related litigation; and employee confidential financial disclosure 
   reports.
     Authority for maintenance of the system: 
       49 U.S.C. 328, Volpe Center Working Capital Fund; 28 U.S.C. 1346; 
   28 U.S.C. ch. 171; 5 U.S.C. ch. 77, 5 U.S.C. ch. 71; 42 U.S.C. 2000e-
   16; 29 CFR part 1614; 5 U.S.C. App. 4.
   Purpose(s): 
       To promote compliance with Standards of Conduct, conflict of 
   interest, and other laws, and to enable legal counsel render 
   consistent legal advice.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       The records and the information they contain may be used for 
   internal management and control, to promote compliance with Standards 
   of Conduct, conflict of interest, and other laws, and to enable legal 
   counsel to render consistent advice in legal matters.
       See Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Records are maintained in paper record folders.
     Retrievability: 
       Indexed by employee's name and/or by subject matter.
     Safeguards: 
       Records are maintained in locked file cabinets and secure safe.
     Retention and disposal: 
       As prescribed in applicable record retention schedules.
     System manager and address:
       Chief Counsel, DTS-14, Volpe National Transportation Systems 
   Center, Research and Special Programs Administration, United States 
   Department of Transportation, 55 Broadway, Cambridge, MA 02142-1093.
     Notification procedure:
       Information may be obtained from the System manager.
     Record access procedures: 
       Requests from individuals should be addressed to the System 
   manager.
       An individual may gain access to his/her records by written 
   request.
     Contesting record procedures: 
       An individual may seek to contest information contained in his/
   her records by written request made to the System Manager. If 
   administrative resolution 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: 
       Information contained in this system of records is provided by 
   employees, Supervisors, Legal Office, Personnel Office and various 
   Federal administrative agencies.
     Exemptions claimed for the system:
       None.

   DOT/TSC 703

   System name: 

       Occupational Safety and Health Reporting System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Volpe National Transportation 
   Systems Center, Volpe, Human Resources Management Division, DTS-84, 
   55 Broadway, Cambridge, MA 02142-1093.
     Categories of individuals covered by the system: 
       Volpe employees, in-house contractor personnel and visitors who 
   have suffered work-related occupational illnesses, injuries or are 
   involved in Government property accidents.
     Categories of records in the system: 
       Federal Occupational Injuries and Illnesses Survey form. DOT 
   Accident/Injury Reports, DOT forms 3902.1 through 8. Department of 
   Labor, Office of Workers Compensation Programs, OWCP, for payment of 
   medical bills and worker compensation, as applicable.
     Authority for maintenance of the system: 
       49 U.S.C. 328, Volpe Center Working Capital Fund; Executive Order 
   12196, Occupational Safety and Health Program for Federal Employees, 
   dated 2/27/80; 5 U.S.C. 7902.
   Purpose(s): 
       For accident prevention.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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 Workers Compensation Programs, 
   Department of Labor, for payment of medical bills and worker 
   compensation, applicable. See Prefatory Statement of General Routine 
   Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Forms, computerized database, and other paper records.
     Retrievability: 
       Indexed by individual's name.
     Safeguards: 
       Records are maintained in locked file cabinets and folders are 
   stamped For Official Accident Prevention Use Only.
     Retention and disposal: 
       Records are retained for five years and then destroyed by 
   shredding.
     System manager and address:
       Chief, Engineering and Operations Branch, DTS-874, Department of 
   Transportation, Volpe National Transportation Systems Center, 55 
   Broadway, Cambridge, MA 02142-1093.
     Notification procedure:
       Information may be obtained from the System manager.
     Record access procedures: 
       Requests from individuals should be addressed to the System 
   manager. An individual may gain access to his/her records by written 
   request.
     Contesting record procedures: 
       Contest of this data will be made to the System Manager. If 
   administrative resolution 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: 
       Documents provided by the individual concerned and immediate 
   supervisor.
     Exemptions claimed for the system:
       None.

   DOT/TSC 704

   System name: 

       Stand-By Personnel Information.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Volpe National Transportation 
   Systems Center, Volpe, Financial Management Division, Budget Branch, 
   DTS-821, 55 Broadway, Cambridge, MA 02142-1093.
     Categories of individuals covered by the system: 
       Volpe technical directorate personnel currently not fully 
   assigned to authorized projects.
     Categories of records in the system: 
       Employee work project status.
     Authority for maintenance of the system: 
       49 U.S.C. 328, Volpe Center Working Capital Fund; 5 U.S.C. 301.
   Purpose(s): 
       For administrative reference and scheduling of projects, 
   budgeting, and overhead classification.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Electronic Files in Excel format.
     Retrievability: 
       Stored as spreadsheet identified by pay period ending date.
     Safeguards: 
       Records are maintained in password protected files with access 
   limited to Budget Branch PCs.
     Retention and disposal: 
       Files are maintained for one (1) additional year following 
   completion of current fiscal year. Files are then deleted.
     System manager(s) and address: 
       Chief, Budget Branch, DTS-821, Department of Transportation, 
   Volpe National Transportation Systems Center, 55 Broadway, Cambridge, 
   MA 02142-1093.
     Notification procedure:
       Information may be obtained from the System manager.
     Record access procedures: 
       Requests from individuals should be addressed to the System 
   manager. An individual may gain access to his/her records by written 
   request.
     Contesting record procedures: 
       Contest of this data will be made to the System manager. If 
   administrative resolution 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: 
       Supervisor.
     Exemptions claimed for the system:
       None.

   DOT/TSC 707

   System name: 

       Labor Distribution System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Volpe National Transportation 
   Systems Center (Volpe), Financial Management Division, Accounting 
   Branch, DTS-823, 55 Broadway, Cambridge, MA 02142-1093.
     Categories of individuals covered by the system: 
       All Volpe employees.
     Categories of records in the system: 
       Contains information delineating the time and charges, including 
   fringe and project overhead, that Volpe employees worked. The main 
   association of the time and charges is with employee job assignment.
     Authority for maintenance of the system: 
       49 U.S.C. 328, Volpe Center Working Capital Fund; 5 U.S.C. 301.
   Purpose(s): 
       For administrative reference, cost management, and labor 
   assignments and expenditures.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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 
   project and the employee.
       Reconciliation of Payroll and Labor system data.
       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 United States Govt.) as defined in the Fair Credit 
   Reporting Act (15 U.S.C. 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: 
       Excel spreadsheets, magnetic tape and disk.
     Retrievability: 
       System data is indexed by employee's number (Social Security 
   Number) and Work Plan Budget, WPB, number within Project Plan 
   Agreement, PPA, number.
       Labor Distribution Forms (Excel spreadsheets) are indexed by 
   Volpe Center organization code (DTS ) and SSN.
     Safeguards: 
       Access to the system and its associated database 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. Month-end management 
   reports do not contain SSN data.
       Access to the computer room and its associated areas where data 
   and reports are stored is delineated in the Volpe ADP Facility 
   Document on Safeguards and Controls.
     Retention and disposal: 
       The system is permanent unless replaced. The database is related 
   to fiscal year activity. Subsequent to the fiscal year, the database 
   becomes part of the system's history file. Data records are deleted 
   from the database on an as required basis, and subsequently are 
   eliminated from associated reports. Any record deleted from database 
   must have zero dollars associated with it and must be authorized by 
   System Manager, with the reason documented in writing. Reports used 
   as daily working papers are retained only until updated reports are 
   produced and then the old reports are discarded. All reports 
   containing SSN data are shredded. Official record copy reports are 
   subject to retirement in accordance with General Records Schedules, 
   GRS.
     System manager(s) and address: 
       Chief, Accounting Branch, DTS-823, Department of Transportation, 
   Volpe National Transportation Systems Center, 55 Broadway, Cambridge, 
   MA 02142-1093.
     Notification procedure:
       Information may be obtained through the Chief, Accounting Branch, 
   DTS-823 at the address under System Location.
     Record access procedures: 
       Requests from individuals should be addressed to the System 
   manager.
     Contesting record procedures: 
       An individual may gain access to his/her data by written request. 
   Contest of this data will be made to the System manager. If 
   administrative resolution 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: 
       Volpe form entitled Labor Distribution Form.
     Exemptions claimed for this system:
       None.

   DOT/TSC 712

   System name: 

       Automated Personnel/Communications/Security System.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Volpe National Transportation 
   Systems Center (Volpe), Computer Center, DTS-23, 55 Broadway, 
   Cambridge, MA 02142-1093
     Categories of individuals covered by the system: 
       All Volpe employees and tenants from other government agencies 
   and on-site contractors.
     Categories of records in the system: 
       Contains the pertinent information for activities involved with 
   Personnel, Communications, and Security. Contains photographs of 
   Volpe Center employees.
       Contains information about an individual relating to:
       Social security number.
       Salary.
       Birth date.
       Veteran preference.
       Tenure.
       Handicap.
       Grade.
       Marital status.
       Service computation date.
       Home address and telephone number.
       Volpe location including building and telephone number.
       Security clearance level and date granted.
       CSC title and classification code.
       Competitive level.
       Parking info--vehicle registration and description.
     Authority for maintenance of the system: 
       49 U.S.C. 328, Volpe Center Working Capital Fund; 5 U.S.C. 301.
   Purpose(s): 
       For administrative reference, and as a source for management 
   information for producing summary statistics and registers in support 
   of personnel, communications, and security functions.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such 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.
       Source for Volpe Center Intranet information.
       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 systems to consumer reporting agencies (collecting on 
   behalf of the United States Govt.) 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 and disk.
       Hard copy files (letter size and 5 x 8 cards).
       Volpe Center Intranet.
     Retrievability: 
       Indexed by employee's number, employee's name.
     Safeguards: 
       Access to the systems and their associated databases and files 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 Volpe ADP Facility Document on Safeguards 
   and Controls.
     Retention and disposal: 
       The systems are permanent unless replaced. The databases are 
   related to both fiscal year and calendar year activity. Subsequent to 
   the appropriate period, the databases become either part of the 
   history file of the system or are maintained by themselves for 
   historical reasons. Data records are deleted from the databases 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: 
       Chief, Administrative Services Branch, DTS-872, Department of 
   Transportation, Volpe National Transportation Systems Center, 55 
   Broadway, Cambridge, MA 02142-1093.
     Notification procedure:
       Information may be obtained through the Chief, Administrative 
   Services Branch from the: Department of Transportation, Volpe 
   National Transportation Systems Center, Chief, Computer Center, DTS-
   23, 55 Broadway, Cambridge, MA 02142-1093.
     Record access procedures: 
       Requests from individuals should be addressed to the System 
   manager.
     Contesting record procedures: 
       An individual may gain access to his/her records by written 
   request. Contest of this data will be made to the System Manager. If 
   administrative resolution 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: 
       Employee, Personnel Office, Communications Office, Security 
   Office.
     Exemptions claimed for the system:
       None.

   DOT/TSC 714

   System name: 

       Health Unit Employee Medical Records.
     Security classification: 
       Unclassified, sensitive.
     System location: 
       Department of Transportation, DOT, Volpe National Transportation 
   Systems Center, Volpe, Human Resources Management Division, DTS-84, 
   Health Unit/Building 1, 9th Floor, 55 Broadway, Cambridge, MA 02142-
   1093.
     Categories of individuals covered by the system: 
       Volpe employees, tenant organization employees, and support 
   service contractor personnel.
     Categories of records in the system: 
       Individual Health Record Cards.
       Individual Health Record Case Files.
       Register of Visits.
       Laser Eye Tests.
       Pre-employment Physical Examinations, Health Justification 
   Placement Records.
     Authority for maintenance of the system: 
       49 U.S.C. 328, Volpe Center Working Capital Fund; Executive Order 
   12196, Occupational Safety and Health Program for Federal Employees, 
   dated 2/27/80; 5 U.S.C. 7901.
   Purpose(s): 
       To maintain a medical history of any person who receives services 
   from the Health Unit.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       The general purposes of these Federal and tenant records are to 
   maintain a medical history of any Volpe 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/Volpe Safety Program. See 
   Prefatory Statement of General Routine Uses.
   Disclosure to consumer reporting agencies:
       None.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Cards, forms, logs and other paper records.
     Retrievability: 
       Indexed by employee's name and social security number.
     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: 
       In accordance with GRS No.1: Individual Health Record Cards are 
   maintained until separation and sent to St. Louis. Individual Health 
   Record Case Files are maintained until separation. They are then sent 
   to St. Louis. Registers of visits maintained until 2 years after last 
   date in log or register. Upon termination of employment with Volpe, 
   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 
   Examination 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: 
       Chief, Human Resources Management Division, DTS-84, Department of 
   Transportation, Volpe National Transportation Systems Center, 55 
   Broadway, Cambridge, MA 02142-1093.
     Notification procedure:
       Information may be obtained through the Chief, Human Resources 
   Management Division, from the resident physician or nurse, Volpe 
   Health Unit.
     Record access procedures: 
       Requests from individuals should be addressed to the System 
   Manager.
     Contesting record procedures: 
       An individual may gain access to his/her records by written 
   request. Contest of this data will be made to the System Manager. If 
   administrative resolution 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: 
       Employee; Health Unit Doctor/Nurse; Volpe Safety Officer.
     Exemptions claimed for the system:
       None.

    32-20-001

   System name: Operating Personnel Files (Nonpermanent Records), 
      ICC.

     System location: ICC Headquarters Bureaus and Offices, Washington, 
   DC, and Regional Detached Offices (49 CFR part 1001).
     Categories of individuals covered by the system: ICC employees.
     Categories of records in the system: Working papers and documents 
   developed during the course of an individual's employment which are 
   not permanently retained. These will include the Standard Form 7B (OF 
   4B), Employee Record Card, and nonofficial records generally limited 
   to information on experience, education, training, special 
   qualifications and skills, position descriptions, performance 
   appraisals and conduct. The Regional Managers' files may contain 
   duplicate copies of official documents (SF 171, SF 50, etc.).
     Authority for maintenance of the system: Federal Personnel Manual 
   Supplement 293-31.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: For the use of 
   operating officials as a source of data to initiate requests for 
   personnel actions, to plan and schedule employee training, to counsel 
   employees on their performance, to establish a basis for proposing 
   commendations or disciplinary actions, and to carry out their 
   personnel management responsibilities in general. In the event that a 
   system of records maintained by this agency 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 statute, or by regulation, 
   rule or order issued 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 investigating or prosecuting such 
   violation or charged with enforcing or implementing the statute, or 
   rule, regulation or order issued pursuant thereto. 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.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained in individual file folders.
     Retrievability: Indexed by name.
     Safeguards: Kept in locked file cabinets under direct control of 
   responsible official.
     Retention and disposal: Retained until employee leaves the agency 
   through transfer or other separation and then forward to the 
   Personnel Office where it is screened to insure that it contains no 
   documents that should be permanently filed in the Official Personnel 
   Folder, and then is destroyed.
     System manager(s) and address: 
         Administrative Officer (Assistant), ICC
         Headquarters Bureaus and Officers, Washington, DC.
         Regional Managers and Officer-in-charge--Detached
         Offices
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Employees and their supervisors.
     Systems exempted from certain provisions of the act: None.

    32-20-002

   System name: National Defense Executive Reserve Files, ICC.

     System location: Recruitment and Assignment Files Bureau of 
   Operations, Surface Transportation Board, 12th and Constitution 
   Avenue, NW, Washington, DC 20423. Appointment Files Personnel Office, 
   Surface Transportation Board, 12th and Constitution Avenue, NW, 
   Washington, DC 20423.
     Categories of individuals covered by the system: Letters and/or 
   memorandums addressed to members of the Commission's National Defense 
   Executive Reserve or to staff involving recruitment of reservists.
     Categories of records in the system: Letters, Memorandum or NDER 
   Forms 1, 2, and 3, or Form BOp D11 concerning reservists' assignments 
   or responsibilities in connection with the National Defense Executive 
   Reserve program, letters of appointment and statement of 
   understanding.
     Authority for maintenance of the system: EO 11179 and EO 11490.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: Maintaining 
   management control system of the Commission's membership and staff 
   responsibilities in connection therewith and of individuals selected 
   to participate in the National Defense Executive Reserve program. The 
   information in this system of records will be exchanged as a matter 
   of routine use with the Federal Preparedness Agency, General Services 
   Administration, in connection with both agencies' responsibilities 
   for administering the National Defense Executive Reserve and 
   Emergency Preparedness programs, assigned by Executive Orders Nos. 
   11179, dated September 22, 1964, and 11490, dated October 30, 1969. 
   In the event that a system of records maintained by this agency 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 statute, or by 
   regulations, rule or order issued 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 investigating or prosecuting such 
   violation or charged with enforcing or implementing the statute, or 
   rule, regulation or order issued pursuant thereto. 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 
   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.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: File folders and card file, 3 inch x 5 inch cards, basic 
   control of quarterly computer printouts, membership listing of 
   National Defense Executive Reserves, listing names, addresses and 
   employment information about each reservist.
     Retrievability: Files maintained by individual name.
     Safeguards: Kept in locked file cabinets under control of 
   responsible official.
     Retention and disposal: Permanent for card file; correspondence and 
   rosters, etc., three-year active file and then destroyed.
     System manager(s) and address: 
         Recruitment and assignment files
         Bureau of Operations
         Assistant to the Director
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC 20423

         Appointment files
         Director of Personnel
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC 20423
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Employee.
     Systems exempted from certain provisions of the act: None.

    32-20-003

   System name: Unit Medical Records, ICC.

     System location: Occupational Health Unit, ICC 12th and 
   Constitution Avenue, NW, Washington, DC 20423.
     Categories of individuals covered by the system: ICC employees.
     Categories of records in the system: Contains employee's name, date 
   of birth, address, telephone number, Bureau or Office where employed, 
   name of person to contact in case of emergency, name of employee's 
   personal physician. Nurse's Notes visits and treatment in the Health 
   Unit, records pertaining to blood donations and individual records of 
   physical examinations, laboratory test results, x-rays and other 
   individual health records with pertinent medical opinions.
     Authority for maintenance of the system: Federal Personnel Manual 
   Supplement 792-1.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: Maintained 
   expressly for the well-being of employees in relation to work 
   assignments. For use of Director of Personnel in providing counseling 
   services to employees and agency officials. In the event that a 
   system of records maintained by this agency to carry 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 statute, or by regulation, rule or 
   order issued pursuant thereto, the relevant 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 
   investigating or prosecuting such violation or charged with enforcing 
   or implementing the statute, or rule, regulation or order issued 
   pursuant thereto. The information contained in the 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.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained in individual file folders.
     Retrievability: Indexed by name.
     Safeguards: Kept in locked file, with access only by the 
   Occupational Health Nurse and/or Physician.
     Retention and disposal: Retained unit one year after the employee 
   leaves the agency, and then destroyed. Upon separation, will be given 
   to employee at his request or to his personal physician, if so 
   desired.
     System manager(s) and address: 
         Occupational Health Nurse
         Room 1414
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC 20423
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Employee.
     Systems exempted from certain provisions of the act: None.

    32-20-004

   System name: Automated Personnel and Payroll System, ICC.

     System location: Section of Systems Development, ICC, 12th and 
   Constitution Avenue, NW, Washington, DC 20423.
     Categories of individuals covered by the system: ICC employees.
     Categories of records in the system: Contains the name, social 
   security number, employee number, date of birth, employment status, 
   leave status, pay status, tax status, insurance status, saving bond 
   and charity deductions, time and attendance data, and the 
   organization of each ICC employee.
     Authority for maintenance of the system: 49 U.S.C. 12.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: File is used for 
   the: Transfer of information to the Internal Revenue Service for 
   wage, levy and tax requirements--transfer of information to the 
   Treasury Department for completion of payroll processing--transfer of 
   information to the American Federation of Government Employees, 
   Graphic Arts International Union, and the Professional Association of 
   the ICC for the processing of union dues--transfer of information to 
   state and city revenue offices for tax unemployment processing--
   transfer of information to the Civil Service Commission for personnel 
   requirements--employee separation and retirement processing--employee 
   time attendance accounting--employee salary payment and deduction 
   control--employee bond, charity and health benefits processing--
   employee leave control--employee parking assignment control--employee 
   telephone directory--employee personnel action processing and 
   control--Commission budget planning, monitoring and control--creation 
   of internal management reports, summaries and work files which are 
   located throughout the agency.
       In the event that a system of records maintained by this agency 
   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 of particular program statute, 
   or by regulation, rule or order issued 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 investigating or prosecuting such 
   violation or charged with enforcement implementing the statute, or 
   rule, regulation or order issued pursuant thereto.
       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 
   as set forth in legislative coordination and clearance process as set 
   forth in that Circular.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained on magnetic tape.
     Retrievability: Indexed by social security number.
     Safeguards: Stored in secure computer facility under the 
   supervision of the tape librarian.
     Retention and disposal: Fifty-two week retention for files. A five-
   year retention period for year-end files. At the end of each of these 
   periods, files are destroyed.
     System manager(s) and address: 
         Chief Section of Systems Development
         Room B-411
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC.
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Employee.
     Systems exempted from certain provisions of the act: None.

    32-20-005

   System name: Case Status System (Formal Case Control), ICC.

     System location: Section of System Development, ICC 12th and 
   Constitution Avenue, NW, Washington, DC 20423.
     Categories of individuals covered by the system: Administrative Law 
   Judges and Attorney-Advisers who have been assigned to work on cases 
   before the Commission--parties of record and parties to be advised of 
   all proceedings.
     Categories of records in the system: Contains the various 
   processing stages that case passes through as it is reviewed by the 
   Commission--contains Administrative Law Judge and Attorney-Adviser 
   names who are responsible for various processing stages of the case--
   contains the names of parties of record and parties to be advised of 
   all proceedings--contain hearing locations, when applicable--contains 
   carrier identity.
     Authority for maintenance of the system: Commission directive.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: Provides 
   identification of all pending cases before the Commission--identifies 
   older cases to expedite processing--identifies cases with normal time 
   allowances--provides an area being processed within inventory of 
   pending cases by stage of processing--identifies the responsible 
   Administrative Law Judge or Attorney-Adviser and organizational unit 
   responsible for various stages of case processing--identifies parties 
   of record and parties to be advised of all proceedings for a given 
   case--used to produce management reports located throughout the 
   agency. In the event that a system of records maintained by this 
   agency 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 statute, 
   or by regulation, rule or order issued 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 investigating or prosecuting such 
   violation or charged with enforcing or implementing the statute, or 
   rule, regulation or order issued pursuant thereto.
       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.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained on magnetic tape and computer disk files.
     Retrievability: Indexed by case and carrier identity and 
   Administrative Law Judge or Attorney-Adviser name.
     Safeguards: Stored in secure computer facility. Data base access is 
   under the supervision of a data base administrator.
     Retention and disposal: Records are maintained on each case until 
   it has been decided. The record is then transferred to an inactive 
   history file for permanent retention.
     System manager(s) and address: 
         Chief, Section of System Development
         Room B-411
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC 20423
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Carrier(s) involved, and commission 
   staff.
     Systems exempted from certain provisions of the act: None.

    32-20-006

   System name: Correspondence and Management Control, ICC.

     System location: ICC Headquarters Bureaus and Offices Washington, 
   DC., and Regional Detached Offices (49 CFR part 1001).
     Categories of individuals covered by the system: Names of 
   assignments with a control slip, including due dates for either 
   individuals or sections within various organizational elements of the 
   Commission covering letters, memoranda, or other inquiries for which 
   responsibility to reply exists, normal business production 
   transactions, time frames, on special projects, and all aspects of 
   overall correspondence and workload control, as well as individual 
   signed records for government property accountability.
     Categories of records in the system: The overall Commission 
   performance monitoring system incoporates a series of subsystems 
   which identity the various measurements of productivity which are 
   implicit in the operation of the Commission. Maintenance of records 
   on the performance and the production of Branches, Sections, Offices 
   and individual employees is necessary to enable the Commission 
   effectively manage its work load. These records include the names of 
   individuals assigned to specific activities, the dates of 
   assignments, dates products received, name of signer for 
   correspondence which is going out, and general evaluation criteria of 
   the individual performance of the element being monitored.
     Authority for maintenance of the system: 49 U.S.C. 12, 18
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: Control of the 
   production of the total employee force of the Surface Transportation 
   Board and assurance that productivity is achieved by the employees 
   assigned individual organizational elements. Additionally, to 
   maintain a suspense on specific actions being levied upon an 
   individual to assure that the response is timely, as well as 
   qualitative. Used for control of government property assuring 
   individual accountability.
       In the event that a system of records maintained by this agency 
   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 statute, 
   or by regulation, rule or order issued 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 investigating or prosecuting such 
   violation or charged with enforcing or implementing the statute, or 
   rule, regulation or order issued pursuant thereto.
       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 the Circular.
       Disclosure may be made to a congressional office from the record 
   of an individual in respose to an inquiry from the congressional 
   office made at the request of that individual.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Both card, suspense special forms, and computer-related 
   assignment records, are maintained to control the overall system. 
   Maintained in sequence by the organizational element and/or the 
   individual assigned to a special task, as well as cross-referenced by 
   the number of the task involved.
     Safeguards: Maintained at supervisory levels on an informal basis 
   with access prohibited outside of the Commission.
     Retention and disposal: One-year active operation and subsequently 
   destroyed.
     System manager(s) and address: 
         Managing Director
         Surface Transportation Board
         Room 2118
         12th and Constitution Avenue, NW,
         Washington, DC 20423
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Employee.
     Systems exempted from certain provisions of the act: None.

    32-20-007

   System name: Consumer Complaint System, ICC.

     System location: Public Information and Consumer Affairs Office, 
   ICC, 12th and Constitution Avenue, NW, Washington, DC 20423. 
   Headquarters, ICC Bureau and Offices, and Regional Detached Offices 
   (49 CFR part 1001).
     Categories of individuals covered by the system: Letters received 
   from consumers and/or shippers regarding the operation of the ICC or 
   carriers subject to its regulations.
     Categories of records in the system: These records include letters 
   on virtually every subject. They are concentrated in three areas: 
   Complaints from individual consumers on household goods shipments, 
   complaints from travelers on rail passenger facilities, and 
   complaints from passengers on motor passenger facilities. 
   Additionally, information on general subjects of the operation of the 
   Surface Transportation Board and, specifically, shipper complaints 
   against carrier practices and/or tariffs are included in overall 
   complaint files. Files generally are accessed by name of individual 
   complaining or subject of the complaint or name of the carrier 
   against which the complaint is tendered. Notice is given that when 
   complaints generate an investigative file portions of this overall 
   file are extracted and exempted under the provisions and notice 
   provided in the publication of ICC VIII, Preliminary Investigative 
   Files, and ICC IX, Inforcement Files.
     Authority for maintenance of the system: 49 U.S.C. 12, 18.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: To respond to 
   complaints from individuals, to correlate information received from 
   individuals to assure policies are developed supporting the overall 
   public interest in the regulatory process, to provide information to 
   carriers relative to shortcomings they are experiencing, and take 
   informal compliance action, as well as to transfer the files to 
   formal investigative or enforcement action, when justified. This is a 
   public file available for public review under the terms of the 
   Freedom of Information Act. Individuals submitting special complaint 
   correspondence to the Commission, unless identifying their desire to 
   remain anonymous, will not be protected from disclosure of the 
   information contained within the complaint letter. In the event that 
   a system of records maintained by this agency to carry 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 statute, or by regulation, rule or 
   order issued pursuant thereto, the relevant records in ths 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 investigating or prosecuting such violation or 
   charged with enforcing or prosecuting such violation or charged with 
   enforcing or implementing the statute, or rule, regulation or order 
   issued pursuant thereto.
       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.
       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 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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: In conventional file cabinets, alphabetically, by sender, 
   and potentially by subject of complaint, dispersed for filing to 
   office have primary operational use.
     Retrievability: Maintained in alphabetical order, by complainant, 
   with potential cross-index for identification of entity against which 
   the complaint has been made, and further cross-reference by subject 
   of complaint.
     Safeguards: Minimal, since the files are public in nature.
     Retention and disposal: Maintained for approximately two years and 
   then destroyed.
     System manager(s) and address: 
         Public Information Officer, ICC
         12th and Constitution Avenue, NW, Washington, DC 20423
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Consumers and/or shippers.
     Systems exempted from certain provisions of the act: None.

    32-20-008

   System name: Preliminary Investigative Files, ICC.

     System location: Bureau of Operations, Surface Transportation 
   Board, 12th and Constitution Avenue, NW, Washington, DC 20423, and 
   Regional Detached Offices (49 CFR part 1001).
     Categories of individuals covered by the system: Suspected 
   violators of the Interstate Commerce Act or ICC orders or 
   regulations.
     Categories of records in the system: These files contain 
   information indicating or alleging that an individual or entity could 
   be in violations of the Interstate Commerce Act. Such records could 
   be arrest records from the various states received pursuant to Pub. 
   L. 89-170, which allows cooperative agreements between the states and 
   this Commission in the provision of information. For example, these 
   files could contain warning letters involving alleged violations, 
   miscellaneous correspondence, newspaper clippings, records of 
   contacts with entities or individuals by Commission personnel, copies 
   of preliminary investigation reports, and prior enforcement actions 
   taken by the Surface Transportation Board or the courts because of 
   violations of the Interstate Commerce Act.
     Authority for maintenance of the system: 49 U.S.C. 12
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: Used employees of 
   the Surface Transportation Board to administer the Act, increase 
   compliance with orders, regulations and statutes for the regulation 
   of surface transportation, and initiate appropriate enforcement 
   action.
       In the event that a system of records maintained by this agency 
   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 statute, 
   or by regulation, rule or order issued 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 investigating or prosecuting such 
   violation or charged with enforcing or implementing the statute, or 
   rule, regulation or order issued pursuant thereto.
       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.
       Disclosure may be made to a congressional office from the record 
   of an a individual in response to an inquiry from the congressional 
   office made at the request of that individual.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained in individual file folders.
     Retrievability: Indexed by name of entity of individual.
     Safeguards: Kept in locked file cabinets under direct control of 
   responsible official.
     Retention and disposal: Maintained for a minimum of five years and 
   then destroyed.
     System manager(s) and address: 
       Washington, DC
         Director, Bureau of Operations
         Room 7115
         Surface Transportation Board
         12th and Constitution Ave. NW,
         Washington, DC 20423
       Regional Detached Offices:
         Regional Managers (49 CFR part 1001)
       Field Offices:
         Officers in Charge (49 CFR part 1001)
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Author of letters.
     Systems exempted from certain provisions of the act: Under the 
   provisions of section (j)(2), this file is exempted from any part of 
   section 5 U.S.C. 552(a), except Subsections (b), (c) (1), and (2), 
   (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i). 
   This material is collected in the process of investigating all 
   potential violations of the Interstate Commerce Act, whether civil or 
   criminal, and is exempted for the reasons expressed in 5 U.S.C. 
   552(b)(7). Under the provisions of section (k)(2), this file is 
   exempted from Subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and 
   (I), and (f). This material is collected in the process of 
   investigating all potential violations of the Interstate Commerce 
   Act, whether civil or criminal, and is exempted for the reasons 
   expressed in 5 U.S.C. 552(b)(7).

    32-20-009

   System name: Investigative and Enforcement Records, Cross-
      Indexed, ICC.

     System location: Bureau of Enforcement (cross-indexed and central 
   file) Surface Transportation Board, 12th and Constitution Avenue, NW, 
   Washington, DC 20423, and ICC Regional Offices (investigative files 
   with assigned geographical jurisdiction).
     Categories of individuals covered by the system: Individual, 
   corporation, partnership or sole proprietorship, subject to 
   enforcement actions being taken by the Surface Transportation Board 
   as a result of preliminary investigations.
     Categories of records in the system: The central cross-index 
   contains the name and address of individual, partnership, 
   corporation, or sole proprietorship, and includes a cross-reference 
   to the enforcement file containing the investigative reports, as well 
   as other information gathered as part of the criminal prosecution 
   and/or civil forfeiture action. The basic cross-reference file does 
   not contain significant information other than the name and address 
   of the entity involved, but the cross-reference to the investigative 
   file, which is maintained by case number, does provide access based 
   upon individual name. Individual investigative and enforcement files 
   are maintained by enforcement file number, both at Headquarters and 
   Regions.
     Authority for maintenance of the system: 49 U.S.C 12.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: Used to monitor 
   and control the progress of enforcement actions, both within the 
   Commission for civil forfeitures and in relationship with the 
   Department of Justice on those actions that are going through the 
   courts. The central cross index is the only practical method for 
   access to the appropriate file based upon any individual identifier. 
   Actual file information is used for prosecution of civil and criminal 
   actions. In the event that a system of records maintained by this 
   agency 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 statute, 
   or by regulation, rule or order issued 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 investigating or 
   prosecuting such violation or charged with enforcing or implementing 
   the statute, or rule, or regulation or order issued pursuant thereto. 
   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.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained on folding 5 inch by 8 inch index cards.
     Retrievability: Indexed by individual, partnership, corporation, or 
   sole proprietorship (index). Actual files retrieved by enforcement 
   file number.
     Safeguards: Stored in a special room of the Bureau of Enforcement 
   with Commission employees present during all duty hours (index).
     Retention and disposal: Cards are maintained in the active cross-
   reference and indexing file while the file is open and transferred to 
   the closed card section after the file is concluded.
     System manager(s) and address: 
         Assistant Director
         Bureau of Enforcement
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC 20423
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Preliminary investigative files (ICC 
   VIII).
     Systems exempted from certain provisions of the act: Under the 
   provisions of section (j)(2), this file is exempted from any part of 
   5 U.S.C. 552(a) except Subsections (b), (c) (l) and (2), (e)(4) (A) 
   through (F), (e) (6), (7), (9), (10) and (11), and (i). This material 
   is collected in the process of investigating all potential violations 
   of the Interstate Commerce Act, whether civil or criminal, and is 
   exempted for the reasons expressed in 5 U.S.C. 552(b)(7). Under the 
   provisions of section (k)(2) this file is exempted from subsections 
   (c)(3), (d), (e)(4)(G), (l) and (f). This material is collected in 
   the process of investigating all potential violations of the 
   Interstate Commerce Act, whether civil or criminal, and is exempted 
   for the reasons expressed in 5 U.S.C. 552(b)(7).

    32-20-010

   System name: ICC Employee Parking Permit Applications for 
      Carpools, ICC.

     System location: Section of Administrative Services, ICC, 12th and 
   Constitution Avenue, NW, Washington, DC 20423.
     Categories of individuals covered by the system: All individuals 
   applying for, or assigned, parking facilities.
     Categories of records in the system: ICC Form MD-21, Revised March 
   1975, Surface Transportation Board, Application for Parking Space, 
   Contents: Carpool member names, home address, office telephone 
   number, bureau or office, service computation date, vehicle license 
   number, distance between residence and ICC and the name of the 
   employer.
     Authority for maintenance of the system: FDMR Temporary Regulations 
   D-47, May 22, 1974.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: Use is to maintain 
   control of assigned parking spaces. In the event that a system of 
   records maintained by this agency 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 statute, or by regulation, rule or 
   order issued 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 investigating or prosecuting such violation or 
   charged with enforcing or implementing the statute, or rule, 
   regulation or order is issued pursuant thereto. 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.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained on 5 inch by 8 inch cards.
     Retrievability: Indexed by location of parking space, number of 
   carpool members and order of parking permit number.
     Safeguards: Secured in locked metal, lateral file cabinet under the 
   supervision of the space and services unit.
     Retention and disposal: Cards are maintained for a three-year 
   period and then discarded.
     System manager(s) and address: 
         Chief, Building Services, Space Management Branch
         Room 1315
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC 20423
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Individuals seeking parking facilities.
     Systems exempted from certain provisions of the act: None.

    32-20-011

   System name: ICC Indentification System File.

     System location: Surface Transportation Board, Section of 
   Administrative Services, 12th and Constitution Avenue, NW, 
   Washington, DC 20423.
     Categories of individuals covered by the system: A. All ICC 
   Headquarters employees.
       B. All nongovernment employees requiring access to office space 
   occupied in the ICC Headquarters Building in Washington, DC.
       C. All ICC employees issued investigative credentials.
     Categories of records in the system: 
       A. Name, date of birth, social security number.
       B. Name, organization (firm), social security number.
       C. Name, title, Bureau or Office, credential number.
     Authority for maintenance of the system: 49 CFR 1000.5.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: Control of ICC 
   Identification System. In the event that a system of records 
   maintained by this agency 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 statute, or by regulation, rule or order issued 
   pursuant thereto, to 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 
   investigating or prosecuting such violation or charged with enforcing 
   or implementing the statute, or rule, regulation or order issued 
   pursuant thereto. 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.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: A. 8 inch by 10 inch log book. B. 5 inch by 8 inch sheets. 
   C. 5 inch by 8 inch sheet.
     Retrievability: A. Indexed by date issued. B. Indexed by 
   organization and date issued. C. Indexed by Bureau or Office and 
   credential number.
     Safeguards: All three segments of the identification system are 
   stored in the Section of Administrative Services under the 
   supervision of the Space and Services Unit.
     Retention and disposal: A. Maintained two years after completion of 
   log book, then destroyed. B. Maintained for two years after which 
   cards are destroyed. C. Maintained until credential is returned and 
   destroyed or marked retired upon separation of employee. Inactive 
   records are stored two years and discarded.
     System manager(s) and address: 
         Chief, Building Services, Space Management Branch
         Section of Administrative Services
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC 20423
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Employee.
     Systems exempted from certain provisions of the act: None.

    32-20-012

   System name: Employee Travel Records, ICC.

     System location: Budget and Fiscal Office, ICC, 12th and 
   Constitution Avenue, NW, Washington, DC 20423.
     Categories of individuals covered by the system: ICC employees.
     Categories of records in the system: The record consists primarily 
   of a series of standard and Commission forms and index file cards 
   designed to record pertinent travel information. The information 
   usually includes the employee's name, address, and organization, the 
   mode, purpose, dates and places of travel, the method and amount of 
   reimbursement and the amount of travel advance outstanding.
     Authority for maintenance of the system: 49 U.S.C. 18.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: The records are 
   available for any use by any person. The Commission uses these 
   records to establish approval for travel on official business, the 
   reimbursement of the employee for approved expenses, control of 
   annual budget estimates, input to the Commission's internal 
   accounting system and periodic and special reports required by 
   agencies outside the Commission, and the compilation of information 
   for internal management purposes. Portions of the file are made 
   available to Commission management personnel for monitoring assigned 
   functional and geographical areas of responsibility. In the event 
   that a system of records maintained by this agency 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 statute, or by regulation, 
   rule or order issued 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 investigating or prosecuting such 
   violation or charged with enforcing or implementing the statute, or 
   rule, regulation or order issued pursuant thereto. 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.
       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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained in individual file folders.
     Retrievability: Indexed by employee name.
     Safeguards: Kept in locked file cabinet under supervision of Budget 
   and Fiscal Officer.
     Retention and disposal: Records are destroyed in accordance with 
   GSA retention schedules.
     System manager(s) and address: 
         Chief, Budget and Fiscal Office
         Room 1330
         Surface Transportation Board
         12th and Constitution Avenue, NW,
         Washington, DC 20423.
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Employee.
     Systems exempted from certain provisions of the act: None.

    32-20-0013

   System name: Identification and Measurement of Minority and 
      Female Owned Motor Carriers.

     System location: ICC Headquarters, Washington, DC.
     Categories of individuals covered by the system: Minority and 
   female owned motor carriers.
     Categories of records in the system: Questionnaires are mailed to 
   all ICC regulated carriers and to each new applicant for authority. 
   This data is compiled into a register which serves as a useful means 
   of communicating with minority firms already in or interested in 
   entering the trucking business.
     Authority for maintenance of the system: 5 U.S.C. 553 and 49 U.S.C. 
   10101 and 10321.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: This information 
   will be made available to the Commission and the Congress, as well as 
   to other agencies and organizations, to assist in designing and 
   delivering programs to address the specific needs of these firms. 
   Participation in this data collection program is voluntary.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: Maintained on magnetic tape.
     Retrievability: Indexed by name.
     Safeguards: Kept in locked file cabinet under direct control of 
   responsible official.
     Retention and disposal: To be retained for an unlimited period of 
   time.
     System manager(s) and address: Chief Section of Systems 
   Development, B-411, Surface Transportation Board, 12th and 
   Constitution Avenue NW, Washington, DC 20423.
     Notification procedure: Same as above.
     Record access procedures: Same as above.
     Contesting record procedures: Same as above.
     Record source categories: Licensees and applicants.
     Systems exempted from certain provisions of the act: None.

   32-20-0014

   System name: Fee Billing and Collection System.

     System location: 
       Surface Transportation Board, Budget and Fiscal Office, Room 
   1330, 12th and Constitution Avenue, NW, Washington, DC 20423.
     Categories of individuals covered by the system: 
       Individuals or entities that hold fee billing accounts.
     Categories of records in the system: 
       Individual or entities submit Form ICC-1032 to request 
   establishment of an account for fee billing purposes. Files contain a 
   record of charges, including applicable interest, penalties and 
   administrative charges and payments for fee billing accounts. File 
   include correspondence and other documentation relating to collection 
   activities of the ICC. The files may include financial information 
   obtained from credit bureaus of developed by ICC field staff.
     Authority for maintenance of the system: 
       The authority for maintenance of the system is found in 49 USC 
   10321, 31 USC 3711 et seq. and 9701.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Maintaining a recordkeeping and accounting system to record 
   changes, including applicable interest, penalties and administrative 
   charges, and payments for fee billing accounts.
       The information in the system of records may be provided to other 
   federal agencies and entities including but not limited to the 
   Internal Revenue Service, the General Accounting Office, and the 
   Department of Justice. The information also may be provided to credit 
   bureaus and debt collection contractors, as authorized by the Debt 
   Collection Act of 1982, 31 USC 3711, et seq.
     Policies and practices for storing, retrieving accessing, 
   retaining, and disposing of records in the system: 
     Storage: 
       The Budget and Fiscal files consist of paper records maintained 
   in folders, and on automated data storage devices and magnetic 
   computer discs Files are secured at all times.
     Retrievability: 
       Indexed in data base by account number and name of account 
   holder. Paper records filed by account number.
     Safeguards: 
       Access to the records is limited to authorized staff in the 
   Budget and Fiscal Office and to other authorized officials or 
   employees of the ICC on a need-to-know basis as determined by the 
   Budget and Fiscal Office. All records are kept in limited access 
   areas during duty hours and in locked files at all other times.
     Retention and disposal: 
       To be retained for 5 years.
     System manager(s) and address:
       Surface Transportation Board, Chief, Budget and Fiscal Office, 
   Room 1330, 12th and Constitution Avenue, NW, Washington, DC 20423.
     Notification procedures:
       See 49 CFR part 1007.
     Record access procedures: 
       See 49 CFR part 1007.
     Contesting record procedures: 
       See 49 CFR part 1007.
     Record source categories: 
       Account holders, credit bureaus, ICC field staff.
     Systems exempted from certain provisions of the act: 
       None.

   32-20-0015

   System name: OIG Complaint and Investigative Files.

     System location: 
       OIG, ICC. Room 2121, Washington, DC 20423.
     Categories of individuals covered by the system: 
       Individuals involved in complaints reported to and investigations 
   conducted by the OIG relating to the programs and operations of the 
   ICC.
     Categories of records in the system: 
       Files containing information relevant to complaints and 
   investigations. Files include all relevant correspondence, internal 
   staff memoranda, copies of all subpoenas issued, affidavits, witness 
   statements, transcripts of testimony and accompanying exhibits, 
   working papers of the staff, and any other reports, documents, and 
   records. These records are used as a basis for the issuance of 
   subpoenas, suitability determinations, and civil, criminal, and 
   administrative actions.
     Authority for maintenance of the system: 
       The authority for maintenance of the system is found under the 
   Inspector General Act Amendments of 1988, Pub. L. 100-504, 102 Stat. 
   251 (amending 5 U.S.C. App. 3 (1978)).
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       In addition to the disclosures generally permitted under 5 U.S.C. 
   552a(b), these records or information in these records may 
   specifically be disclosed pursuant to 5 U.S.C. 552a(b)(3) as follows, 
   provided that no routine use specified herein shall be construed to 
   limit or waive any other routine use specified herein:
       (1) To other agencies, offices, establishments, and authorities, 
   whether federal, state, local, foreign, or self-regulatory 
   (including, but not limited to, organizations such as professional 
   associations or licensing boards), authorized or with the 
   responsibility to investigate, litigate, prosecute, enforce, or 
   implement a statute, rule, regulation, or order, where the record or 
   information, by itself or in connection with other records or 
   information:
       (a) Indicates a violation or potential violation of law, whether 
   criminal, civil, administrative, or regulatory in nature, and whether 
   arising by general statute or particular program statute, or by 
   regulation, rule, or order issued pursuant thereto, or
       (b) Indicates a violation or potential violation of a 
   professional, licensing, or similar regulation, rule or order, or 
   otherwise reflects on the qualifications or fitness of an individual 
   who is licensed or seeking to be licensed;
       (2) To any source, private or governmental, to the extent 
   necessary to secure from such source information relevant to and 
   sought in furtherance of a legitimate investigation or audit;
       (3) To agencies, offices, or establishments of the executive, 
   legislative, or judicial branches of the federal or state government:
       (a) Where such agency, office, or establishment has an interest 
   in the individual for employment purposes, including a security 
   clearance or determination as to access to classified information, 
   and needs to evaluate the individual's qualifications, suitability, 
   or loyalty to the United States Government, or
       (b) Where an agency, office, or establishment conducts an 
   investigation of the individual for purposes of granting a security 
   clearance, or making a determination of qualifications, suitability, 
   or loyalty to the United States Government or access to classified 
   information or restricted areas, or
       (c) Where the records or information in those records are 
   relevant and necessary to a decision with regard to the hiring or 
   retention of an employee or disciplinary or other administrative 
   action concerning the employee, or
       (d) Where disclosure is requested in connection with the award of 
   a contract or other determination relating to a government 
   procurement, or the issuance of a license, grant, or other benefit by 
   the requesting agency, to the extent that the record is relevant and 
   necessary to the requesting agency's decision on the matter, 
   including but not limited to, disclosure to any Federal agency 
   responsible for considering suspension or debarment action where such 
   record would be germane to a determination of the propriety or 
   necessity of such action, or disclosure to the United States General 
   Accounting Office, the General Services Administration Board of 
   Contract Appeals, or any other Federal contract board of appeals in 
   cases relating to an agency procurement;
       (4) To the Office of Personnel Management, the Office of 
   Government Ethics, the Merit Systems Protection Board, the Office of 
   Special Counsel, the Equal Employment Opportunity Commission, or the 
   Federal Labor Relations Authority or its General Counsel, of records 
   or portions thereof relevant and necessary to carry out their 
   authorized functions, such as, but not limited to, rendering advice 
   requested by the OIG, investigations of alleged or prohibited 
   personnel practices (including unfair labor or discriminatory 
   practices), appeals before official agencies, offices, panels or 
   boards, and authorized studies or reviews of civil service or merit 
   systems or affirmative action programs;
       (5) To independent auditors or other private firms with which the 
   OIG has contracted to carry out an independent audit or 
   investigation, or to analyze, collate, aggregate or otherwise refine 
   data collected in the system of records, subject to the requirement 
   that such contractors shall maintain Privacy Act safeguards with 
   respect to such records;
       (6) To any authorized component of the ICC, the Department of 
   Justice, or other law enforcement authority, and for disclosure by 
   such parties:
       (a) To the extent relevant and necessary in connection with 
   litigation in proceedings before a court or other adjudicative body, 
   where (i) the United States is a party to or has an interest in the 
   litigation, including where the ICC, or an ICC component, or an ICC 
   official or employee in his or her official capacity, or an 
   individual ICC official or employee whom the Department of Justice 
   has agreed to represent, is or may likely become a party, and (ii) 
   the ligation is likely to affect the agency or any component thereof, 
   or
       (b) For purposes of obtaining advice, including advice concerning 
   the accessibility of a record or information under the Privacy Act or 
   the Freedom of Information Act:
       (7) To the National Archives and Record Administration for 
   records management inspections conducted under authority of 44 U.S.C. 
   2904 and 2096;
       (8) To a Congressional office from the record of a subject 
   individual in response to an inquiry from the Congressional office 
   made at the request of the individual, but only to the extent that 
   the record would be legally accessible to that individual;
       (9) To any direct recipient of federal funds, such as a 
   contractor, where such record reflects serious inadequacies with a 
   recipient's personnel and disclosure of the record if for purpose of 
   permitting a recipient to take corrective action beneficial to the 
   Government;
       (10) To debt collection contractors for the purposes of 
   collecting debts owed to the Government, as authorized under the Debt 
   Collection Act of 1982, 31 U.S.C. 3718, and subject to applicable 
   Privacy Act safeguards;
       (11) To a grand jury pursuant either to a federal or state grand 
   jury subpoena, or to a prosecution request that such record be 
   released for the purposes of its introduction to a grand jury where 
   subpoena or request has been specifically approved by a court;
       (12) To OMB for the purposes of obtaining advice regarding ICC 
   obligations under the Privacy Act or
       (13) To the Secretary of the ICC for the purpose of placing any 
   ex parte communication, which has not already been reported to the 
   Secretary pursuant to 49 CFR 1102.2(e), in the correspondence section 
   of the appropriate public docket.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: 
       The OIG files consist of paper records maintained in binders or 
   folders, and on automated data storage devices. Files are secured at 
   all times.
     Retrievability: 
       Indexed on disk by case number. Paper records are filed 
   numerically by case number. At this time, records are not cross-
   indexed by name and/or by subject but are expected to be retrieved in 
   this fashion in the near future.
     Safeguards:
       Access control:
       Access to the records is limited to authorized staff in OIG and 
   to other authorized officials or employees of ICC on a need-to-know 
   basis as determined by the OIG. All records are kept in limited 
   access areas during duty hours and in locked files at all other 
   times.
     Retention and disposal: 
       To be retained for an unlimited period of time.
     System manager(s) and address:
       Inspector General, OIG, ICC, Room 2121, Washington, DC 20423.
     Notification procedure: 
       See 49 CFR part 1007.
     Record access procedure:
       Same as above.
     Contesting record procedure:
       Same as above.
     Record source categories: 
       Information in these records is obtained from all individuals and 
   entities who may assist OIG in evaluating complaints and conducting 
   investigations authorized by Pub. L. 100-504.
     Systems exempted from certain provisions of the act: 
       This system is exempted from 5 U.S.C. 552a, except subsections 
   (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), 
   and (11) and (i), under 552a(j)(2) to the extent the system of 
   records pertains to the enforcement of criminal laws; and is exempted 
   from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) 
   under 5 U.S.C. 552a(k)(2), to the extent the system of records 
   consists of investigatory materials compiled for law enforcement 
   purposes, other than that material within the scope of the exemption 
   at 5 U.S.C. 552a(j)(2).
       5 U.S.C. App. 3 (1978) prohibits disclosure by the OIG of the 
   identity of any employee, without the consent of the employee, who 
   submits a complaint or provides information concerning the possible 
   existence of an activity constituting a violation of law, rules or 
   regulations, or mismanagement, gross waste of funds, abuse of 
   authority, or a substantial and specific danger to the public health 
   or safety.

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 To Part 10--Exemptions
  Authority: 5 U.S.C. 552a, 49 U.S.C. 322.

  Source: 45 FR 8993, Feb. 11, 1980, unless otherwise noted.

Subpart A--Applicability and Policy

   Sec. 10.1  Applicability.

  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.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23666, May 1, 1997]

   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:
  Admistrator 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, the Office of Inspector General, and the 
following administrations: This definition specifically excludes the 
Surface Transportation Board, which has its own Privacy Act regulations 
(49 CFR part 1007), except to the extent that any system of records 
notice provides otherwise.
  (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) Federal Transit Administration.
  (g) The St. Lawrence Seaway Development Corporation.
  (h) The Research and Special Programs Administration.
  (i) Bureau of Transportation Statistics.
  (j) Maritime Administration.
  General Counsel means the General Counsel of the Department.
  Includes means 3includes 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.

[45 FR 8993, May 11, 1980, as amended at 62 FR 23667, May 1, 1997; 65 FR 
48184, Aug. 7, 2000]

Subpart B--General

   Sec. 10.11  Administration of 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.

[45 FR 8993, Feb. 11, 1980, as amended by 62 FR 23667, May 1, 1997]

   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, the Office of Inspector General, 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.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]

   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/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 
addressed to the system manager. The  Privacy Act 
Issuances published by the Office of the Federal Register, 
National Archives and Records Administration, describes the systems of 
records maintained by all Federal agencies, including the Department and 
its components. In exceptional cases oral requests are accepted. A 
description of DOT Privacy Act systems notices is available through the 
Internet free of charge at http://www.access.gop.gov/su--docs/aces/
PrivacyAct.shtml?desc0.15.html. See Sec.  10.13(b) regarding inquiries 
concerning Privacy Act matters or requests for assistance.
  (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.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]

   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 that is contained within a system of records of 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.
  (12) To a consumer reporting agency in accordance with 31 U.S.C. 
3711(f).
  (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.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]

   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.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]

   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. 
Original records may be copied but may not be released from custody. 
Upon payment of the appropriate fee, copies are mailed to the requester.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]

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 to the System Manager.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]

   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, and be submitted within 30 days of the date of the initial 
denial; exceptions to this time period are permitted 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/her delegee 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.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]

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 Secs. 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, 1993]

   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, or the Inspector General or his or her 
delegee, in the case of the Office of Inspector General, may exempt any 
system of records that is maintained by the Office of the Secretary, an 
operating administration, or the Office of Inspector General, 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 Secs. 10.23(c); 10.35(b); 
10.41; 10.43; 10.45; 10.21(a) and 10.21(d)(6), (7) and (8), 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.

[45 FR 8993, Feb. 11, 1980, as amended at 62 FR 23667, May 1, 1997]

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''         .15
   containing up to 65 frames).................................
  (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       1.00
 thereof.......................................................

   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).
  15. Vessel Identification System, maintained by the Operations Systems 
Center, U.S. Coast Guard (DOT/CG 590). The purpose of this exemption is 
to prevent persons who are the subjects of criminal investigations from 
learning too early in the investigative process that they are subjects, 
what information there is in Coast Guard files that indicates that they 
may have committed unlawful conduct, and who provided such information.
  16. Marine Safety Information System, maintained by the Operations 
Systems Center, U.S. Coast Guard (DOT/CG 588). The purpose of this 
exemption is to prevent persons who are the subjects of criminal 
investigations from learning too early in the investigative process that 
they are subjects, what information there is in Coast Guard files that 
indicates that they may have committed unlawful conduct, and who 
provided such information.
  17. Suspected Unapproved Parts (SUP) Program, maintained by the 
Federal Aviation Administration (DOT/FAA 852).
  18. Motor Carrier management Information System (MCMIS), maintained by 
the Federal Motor Carrier Safety Administration (DOT/FMCSA 001).
  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), (H), and (I) and (f), because 
granting an individual access to investigative records, and granting 
him/her access to investigative records with that information, 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.
  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. Redesignated at 62 
FR 23667, May 1, 1997, as amended at 63 FR 2127 Jan. 14, 1998, 63 FR 
l4197, Jan. 28, 1998; 66 FR 20407, Apr. 23, 2001]

Chapter X-Surface Transportation Board, Department of Transportation

PART 1007--RECORDS CONTAINING INFORMATION ABOUT INDIVIDUALS

Sec.

1007.1  Purpose and scope.
1007.2  Definitions.
1007.3  Requests by an individual for information or access.
1007.4  Procedures for identifying the individual making the request.
1007.5  Disclosure of requested information to individuals; fees for 
    copies of records.
1007.6  Disclosure to third parties.
1007.7  Content of systems of records.
1007.8  Amendment of a record.
1007.9  Appeals to the Chairman.
1007.10  Information supplied by the Commission when collecting 
    information from an individual.
1007.11  Public notice of records systems.
1007.12  Exemptions.

  Authority: Secs. 552, 553, and 559, Administrative Procedure Act (5 
U.S.C. 552, 553 and 559).

  Source: 41 FR 3087, Jan. 21, 1976, unless otherwise noted.

   Sec. 1007.1   Purpose and scope.

  (a) This part contains the rules of the Surface Transportation Board 
implementing the Privacy Act of 1974 (5 U.S.C. 552a). These rules apply 
to all records maintained by this Commission which are not excepted or 
exempted as provided for in Sec. 1007.12, insofar as they contain 
personal information concerning an individual, identify that individual 
by name or other symbol and are contained in a system of records from 
which information is retrieved by the individual's name or identifying 
symbol. Among the primary purposes of these rules are to permit 
individuals to determine whether information about them is contained in 
Board files and, if so, to obtain access to that information; to 
establish procedures whereby individuals may have inaccurate and 
incomplete information corrected; and, to restrict access by 
unauthorized persons to that information.
  (b) In this part the Board is also exempting certain Commission 
systems of records from some of the provisions of the Privacy Act of 
1974 that would otherwise be applicable to those systems.

   Sec. 1007.2   Definitions.

  As used in this part:
  Board means the Surface Transportation Board.
  Chairman means the Presidentially appointed Board Member who is the 
administrative head of the Surface Transportation Board.
  Privacy Officer refers to the individual designated to process 
requests and handle various other matters relating to the Board's 
implementation of the Privacy Act of 1974.
  Individual means a citizen of the United States or an alien lawfully 
admitted for permanent residence.
  Maintain means the maintenance, collection, use, or dissemination (of 
records).
  Record means any item, collection or grouping of information about an 
individual that is maintained by an agency, including, but not limited 
to, his education, financial transactions, medical history, and criminal 
or employment history and that contains his name, or the identifying 
number, symbol, or other identifying particular assigned to the 
individual, such as a finger or voice print or a photograph.
  Statistical Record means a record in a system of records maintained 
for statistical research or reporting purposes only and not used in 
whole or in part in making any determination about an identifiable 
individual, except as provided by section 8 of Title 13 of the United 
States Code.
  System of records means a group of any records under the control of 
the Board retrieved by the name of the individual or by some identifying 
number, symbol, or other identifying particular assigned to the 
individual.
  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 of 
which the record was compiled.
  Agency means any executive department, military department, Government 
corporation, Government-controlled corporation or other establishment in 
the Executive Branch of the Government or any independent regulatory 
agency.

   Sec. 1007.3   Requests by an individual for information or access.

  (a) Any individual may request information on whether a system of 
records maintained by the Board contains any information pertaining to 
him or her, or may request access to his or her record or to any 
information pertaining to him or her which is contained in a system of 
records. All requests shall be directed to the Privacy Officer, Office 
of the Managing Director, Surface Transportation Board, Twelfth Street 
and Constitution Avenue NW, Washington, DC 20423.
  (b) A request for information or for access to records under this part 
may be made by mail or in person. The request shall:
  (1) Be in writing and signed by the individual making the request; 
and,
  (2) Include the full name of the individual seeking the information or 
record, along with his or her home and business addresses and telephone 
numbers.
  (c) For each system of records from which information is sought, the 
request shall:
  (1) Specify the title and identifying number as it appears in the 
system notice published by the Board;
  (2) Provide such additional identifying information, if any, as may be 
required by the system notice;
  (3) Describe the specific information or kind of information sought 
within that system of records; and,
  (4) Set forth any unusual arrangements sought concerning the time, 
place, or form of access.
  (d) The Board will respond in writing to a request made under this 
section within ten days (excluding Saturdays, Sundays and legal public 
holidays) after receipt of the request. If a definitive reply cannot be 
given within ten days, the request will be acknowledged and an 
explanation will be given of the status of the request.
  (e) The individual either will be notified in writing of where and 
when he or she may obtain access to the records requested or will be 
given the name, address and telephone number of the member of the Board 
staff with whom he or she should communicate to make further 
arrangements for access.

   Sec. 1007.4   Procedures for identifying the individual making the 
   request.

  When a request for information or for access to records has been made 
pursuant to Sec. 1007.3, before information is given or access is 
granted pursuant to Sec. 1007.5, the Board shall require reasonable 
identification of the person making the request to insure that 
information is given and records are disclosed only to the proper 
person.
  (a) An individual may establish his identity by:
  (1) Submitting with his written request for information or for access 
to photocopy, two pieces of identification bearing his or her name and 
signature, one of which shall bear his or her current home or business 
address; or
  (2) Appearing at any office of the Board during the regular working 
hours for that office and presenting either:
  (i) One piece of identification containing a photograph and signature, 
such as a driver's license or passport, or, in the case of a Board 
employee, his or her ICC identification card; or
  (ii) Two pieces of identification bearing the individual's name and 
signature, one of which shows the individual's current home or business 
address; and
  (3) Providing such other proof of identity as the Board deems 
satisfactory in the circumstances of a particular request.
  (b) Nothing in this section shall preclude the Board from requiring 
additional identification before granting access to the records if there 
is reason to believe that the person making the request may not be the 
individual to whom the record pertains, or where the sensitivity of the 
data may warrant.
  (c) The requirements of this subsection shall not apply if the records 
involved would be available to any person under the Freedom of 
Information Act.

   Sec. 1007.5   Disclosure of requested information to individuals; 
   fees for copies of records.

  (a) Any individual who has requested access to his or her record or to 
any information pertaining to that individual in the manner prescribed 
in Sec. 1007.3 and has identified himself or herself as prescribed in 
Sec. 1007.4 shall be permitted to review the record and have a copy made 
of all or any portion thereof in a form comprehensible to the 
individual, subject to fees for copying services set forth in paragraph 
(f) of this section. Upon request, persons of the individual's own 
choosing may accompany the individual, provided that the individual has 
furnished a written statement authorizing discussion of his or her 
record in the accompanying person's presence.
  (b) Access will generally be granted in the office of the Board where 
the records are maintained during normal business hours, but for good 
cause shown the Board may grant access at another office of the Board or 
at different times for the convenience of the individual making the 
request. When a request for access is from a Board employee, this 
request may be granted by forwarding the information desired through 
registered mail, return receipt requested.
  (c) Where a document containing information about an individual also 
contains information not pertaining to him or her, the portion not 
pertaining to the individual shall not be disclosed except to the extent 
the information is available to any person under the Freedom of 
Information Act. If the records sought cannot be provided for review and 
copying in a meaningful form, the Board shall provide to the individual 
a summary of the information concerning the individual contained in the 
record or records which shall be complete and accurate in all material 
aspects.
  (d) Where the disclosure involves medical records, the Privacy Officer 
may determine that such information will be provided only to a physician 
designated by the individual.
  (e) Requests for copies of documents may be directed to the Privacy 
Officer or to the member of the Board's staff through whom arrangements 
for access were made.
  (f) Fees for copies of records shall be charged at the rate of 10 
cents per letter-size or legal-size exposure duplicated 
electrostatically. Fees for requests requiring the use of a computer 
shall be charged at the actual cost for machine time. Payment should be 
made by check or money order payable to the Treasury of the United 
States. When it is determined to be in the best interest of the public, 
the Privacy Officer may waive the fee provision.
  (g) Nothing in this subsection or in Sec. 1007.3 shall:
  (1) Require the disclosure of records exempted under Sec. 1007.12 of 
these rules, including the exemption relating to investigative records;
  (2) Allow an individual access to any information compiled in 
reasonable anticipation of a civil action or proceeding or a criminal 
proceeding; or,
  (3) Require the furnishing of information or records which in the 
regular course of business cannot be retrieved by the name or other 
identifier of the individual making the request.

   Sec. 1007.6   Disclosure to third parties.

  (a) The Board shall not disclose to any agency or to any person by any 
means of communication a record pertaining to an individual which is 
contained in a system of records, except under the following 
circumstances:
  (1) The individual to whom the record pertains has given his written 
consent to the disclosure;
  (2) The disclosure is to officers and employees of the Board who need 
it in the performance of their duties;
  (3) Disclosure is required under the Freedom of Information Act (5 
U.S.C. 552).
  (4) Disclosure is for a routine use as defined in Sec. 1007.2 of these 
rules and described in the system notice for that system of records;
  (5) The disclosure is made to the Bureau of the Census for the 
purposes of planning or carrying out a census or survey or related 
activity;
  (6) The disclosure is made to a recipient who has provided the agency 
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;
  (7) The disclosure is made 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 Board specifying the 
particular portion desired and the law enforcement activity for which 
the record is sought;
  (8) The disclosure is made 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 United States Government, or 
for evaluation by the Administrator of General Services or his designee 
to determine whether the record has such value.
  (9) The disclosure is made 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;
  (10) The disclosure is made to either House of Congress, or, to the 
extent of matter(s) within its jurisdiction, any committee or 
subcommittee thereof, any joint committee of Congress or subcommittee of 
any such joint committee;
  (11) The disclosure is made to the Comptroller General, or any of his 
authorized representatives, in the course of the performance of the 
duties of the General Accounting Office; or,
  (12) Pursuant to the order of a court of competent jurisdiction.
  (b) The Board, with respect to each system of records under its 
control, shall keep for at least five years an accurate accounting of 
certain disclosures:
  (1) A record shall be kept of all disclosures made under paragraph (a) 
of this section, except disclosures made with the consent of the 
individual to whom the record pertains (paragraph (a)(1) of this 
section), disclosures to authorized employees (paragraph (a)(2) of this 
section), and disclosures required under the Freedom of Information Act 
(paragraph (a)(3) of this section).
  (2) The record shall include:
  (i) The date, nature, and purpose of each disclosure of a record made 
to any person or to another agency;
  (ii) The name and address of the person or agency to whom the 
disclosure was made.
  (c) The accounting described in paragraph (b) of this section will be 
made available to the individual named in the record upon his written 
request, directed to the Privacy Officer, Surface Transportation Board, 
Twelfth Street and Constitution Avenue NW, Washington, DC 20423, except 
that the accounting will not be revealed with respect to disclosures 
made under paragraph (a)(7) of this Sec. 1107.6 pertaining to law 
enforcement activity, and will not be maintained as to disclosures 
involving systems of records exempted under Sec. 1007.12.
  (d) Whenever an amendment or correction of a record or a notation of 
dispute concerning the accuracy of records is made by the Commission in 
accordance with Secs. 1007.8 and 1007.9, the Board will inform any 
person or other agency to whom the record was previously disclosed, if 
an accounting of the disclosure was made pursuant to the requirements of 
paragraph (b) of this section.

   Sec. 1007.7   Content of systems of records.

  (a) The Board will maintain in its records only such information about 
an individual as is relevant and necessary to accomplish the purposes of 
the Interstate Commerce Act and other purposes required to be 
accomplished by statute or by Executive Order of the President.
  (b) The Board will maintain no record describing how any individual 
exercises rights guaranteed by the First Amendment of the United States 
Constitution unless 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.
  (c) The Board will collect 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, and privileges under Federal programs.
  (d) The Board will maintain all records which are used by the Board in 
making any determination about any individual with such accuracy, 
relevance, timeliness, and completeness as is reasonably necessary to 
assure fairness to the individual in the determination.

   Sec. 1007.8   Amendment of a record.

  (a) Any individual may request amendment of information pertaining to 
him which is contained in a system of records maintained by the Board 
and which is filed under his name or other individual identifier if he 
believes the information is not accurate, relevant, timely or complete. 
A request for amendment shall be directed to the Privacy Officer.
  (b) A request for amendment may be made by mail or in person and 
shall:
  (1) Be in writing and signed by the person making the request;
  (2) Describe the particular record to be amended with sufficient 
specificity to permit the record to be located among those maintained by 
the Board; and
  (3) Specify the nature of the amendment sought and the justification 
for the requested change. The person making the request may be required 
to provide the information specified in Secs. 1007.3 and 1007.4 in order 
to simplify identification of the record and permit verification of the 
identity of the person making the request for amendment.
  (c) Receipt of a request for amendment will be acknowledged in writing 
within ten days (excluding Saturdays, Sundays and legal public 
holidays); except that if the individual is given notice within the ten-
day period that his or her request will or will not be complied with, no 
acknowledgement is required.
  (d) Assistance in preparing a request to amend a record may be 
obtained from the Privacy Officer, Office of the Managing Director, 
Surface Transportation Board, Twelfth Street and Constitution Avenue NW, 
Washington, DC 20423.
  (e) Upon receipt of a request for amendment the Privacy Officer or a 
person designated by him shall promptly determine whether the record is 
materially inaccurate, incomplete, misleading, or is irrelevant or not 
timely, as claimed by the individual, and, if so, shall cause the record 
to be amended in accordance with the individual's request.
  (f) If the Privacy Officer or designee grants the request to amend the 
record, the individual shall promptly be advised of the decision and of 
the action taken, and notice shall be given of the correction and its 
substance to each person or agency to whom the record had previously 
been disclosed, as shown on the record of disclosures maintained in 
accordance with Sec. 1007.6(b).
  (g) If the Privacy Officer or designee disagrees in whole or in part 
with a request for amendment of a record, the individual shall promptly 
be notified of the complete or partial denial of his request and the 
reasons for the refusal. The individual shall also be notified of the 
procedures for administrative review by the Chairman of any complete or 
partial denial of a request for amendment, which are set forth in 
Sec. 1007.9.
  (h) If a request is received for amendment of a record prepared by 
another agency which is in the possession or control of the Board, the 
request for amendment will be forwarded to that agency. If that agency 
determines that the correction should be made, the Board will amend its 
records accordingly and notify the individual making the request for 
amendment of the change. If the other agency declines to make the 
amendment, the Privacy Officer or designee will independently determine 
whether the amendment will be made to the record in the Board's 
possession or control, considering any explanation given by the other 
agency for its decision.

   Sec. 1007.9   Appeals to the Chairman.

  (a) Any individual may petition the Chairman:
  (1) To review a refusal to comply with an individual request for 
access to records pursuant to the Privacy Act (5 U.S.C. 552a(d)(1)), and 
Secs. 1007.3 and 1007.5 in this part;
  (2) To review denial of a request for amendment made pursuant to 
Sec. 1007.8;
  (3) To correct any determination that may have been made adverse to 
the individual based in whole or in part upon inaccurate, irrelevant, 
untimely or incomplete information; and,
  (4) To correct a failure to comply with any other provision of the 
Privacy Act and the rules of this part 1007, which has had an adverse 
effect on the individual.
  (b) The petition to the Chairman shall be in writing and shall:
  (1) State in what manner it is claimed the Board or any Board employee 
has failed or refused to comply with provisions of the Privacy Act or of 
the rules contained in this part 1007, and
  (2) Set forth the corrective action the petitioner wishes the Board to 
take. The petitioner may, if he or she wishes, state such facts and cite 
such legal or other authorities as are considered appropriate.
  (c) The Chairman will make a determination of any petition filed 
pursuant to this subsection within thirty days (excluding Saturdays, 
Sundays and legal public holidays) after receipt of the petition, unless 
for good cause shown, the Chairman extends the 30-day period. If a 
petition is denied, the petitioner will be notified in writing of the 
reasons for such denial, and the provisions for judicial review of that 
determination which are set forth in section 552a(g) (1)(A) and (2)(A), 
of Title 5 of the United States Code and the provisions for disputed 
records set forth in paragraph (d) of this section.
  (d) If, after review, the Chairman declines to amend the records as 
the individual has requested, the individual may file with the Privacy 
Officer a concise statement setting forth why he or she disagrees with 
the Chairman's denial of the request. Any subsequent disclosure 
containing information about which a statement of disagreement has been 
filed shall clearly note the portion which is disputed and include a 
copy of a concise statement explaining its reasons for not making the 
amendments requested. Prior recipients of the disputed record will be 
provided a copy of any statement of dispute to the extent that an 
accounting of disclosures was maintained.

   Sec. 1007.10   Information supplied by the Board when collecting 
   information from an individual.

  The Board will inform 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:
  (a) The authority which authorizes the solicitation of the information 
and whether disclosure of such information is mandatory or voluntary;
  (b) The principal purpose or purposes for which the information is 
intended to be used;
  (c) The routine uses which may be made of the information, as 
published in the Federal Register; and,
  (d) The effects on the individual of not providing all or any part of 
the requested information.

   Sec. 1007.11   Public notice of records systems.

  (a) The Board will publish in the Federal Register, at least annually, 
a notice of the existence and character of each of its system of 
records, which notice shall include:
  (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 purpose of such use;
  (5) The policies and practices of the Board regarding storage, 
retrieval, access controls, retention, and disposal of the records;
  (6) The title and business address of the Board official who is 
responsible for the system of records;
  (7) The procedures whereby an individual can be notified at his or her 
request if the system of records contains a record pertaining to that 
individual;
  (8) The procedures whereby an individual can be notified at his or her 
request how he or she can gain access to any record pertaining to that 
individual contained in the system of records, and how the content of 
the record can be contested; and,
  (9) The categories of sources of records in the system.
  (b) Copies of the notices as printed in the Federal Register will be 
available in each office of the Board. Mail requests should be directed 
to the Privacy Officer, Office of the Managing Director, Surface 
Transportation Board, Twelfth Street and Constitution Avenue NW, 
Washington, DC 20423. The first copy will be provided free of charge; 
additional copies are subject to charge provided for in paragraph (e) of 
Sec. 1007.5.

   Sec. 1007.12   Exemptions.

  (a) Investigatory materials compiled for law enforcement purposes are 
exempt from portions of the Privacy Act of 1974 and of these rules on 
the basis and to the extent that individual access to these files could 
impair the effectiveness and orderly conduct of the Board's enforcement 
program. Provided, however, that if any individual is denied any right, 
privilege, or benefit to which he or she would otherwise be entitled by 
Federal law, or for which he or she would otherwise be eligible, as a 
result of the maintenance of such material, such materials shall be 
provided to the 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.
  (b) Investigatory material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for employment 
with or contracts with the Board are exempt from portions of the Privacy 
Act of 1974 and of these rules to the extent that it identifies a 
confidential source. This is done in order to encourage persons from 
whom information is sought to provide information to the Board which, 
absent assurances of confidentiality, they might otherwise be unwilling 
to give. However, if practicable, material identifying a confidential 
source shall be extracted or summarized in a manner which protects the 
source, and the summary or extract shall be provided to the requesting 
individual.
  (c) Complaints and investigatory materials compiled by the 
Commission's Office of Inspector General are exempt from the provisions 
of 5 U.S.C. 552a and the regulations in this part, pursuant to 5 U.S.C. 
552a(j)(2), except subsections (b), (c)(1) and (2), (e)(4)(A) through 
(F), (e)(6), (7), (9), (10), and (11) and (i) to the extent that the 
system of records pertains to the enforcement of criminal laws. 
Complaint and investigatory materials compiled by the Board's Office of 
Inspector General for law enforcement purposes of 5 U.S.C. 552a and the 
regulation in this part, pursuant to 5 U.S.C. 552a(k)(2).

[41 FR 3087, Jan. 21, 1976, as amended at 58 FR 15291, Mar. 22, 1993; 58 
FR 18520, May 14, 1993]