[Privacy Act Issuances (2003)]
[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 Systems.
DOT/ALL 10 Debt Collection File.
DOT/ALL 11 Integrated Personnel and Payroll System, IPPS.
DOT/ALL 12 DOT Mentoring Program Records System.
DOT/ALL 13 Internet/Intranet Activity and Access Records.
DOT/ALL 14 Docket Management System (DMS).
Coast guard
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/CG 679 Marine Information for Safety and Law Enforcement
(MISLE).
Federal Aviation Administration
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/FAA 853 Cost Accounting System Employee Labor Data.
Federal Highway Administration
DOT/FHWA 215 Travel Advance File.
DOT/FHWA 216 Travel Voucher Change of Duty Station.
DOT/FHWA 217 Accounts Receivable.
Federal Motor Carrier Safety Administration
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.
Federal Railroad Administration
DOT/FRA 106 Occupational Safety and Health Reporting System.
DOT/FRA 130 Office of Chief Counsel Individual Enforcement Case
System.
Federal Transit Administrationa
DOT/FTA 177 FTA-Sponsored Reports Author File.
DOT/FTA 194 Litigation and Claims Files.
Maritime Administration
DOT/MARAD 001 Attendance, Leave and Payroll Records of Employees
and Certain Other Persons.
DOT/MARAD 002 Accounts Receivable.
DOT/MARAD 003 Freedom of Information and Privacy Request
Records.
DOT/MARAD 004 Visitor Logs and Permits for Facilities Under
Department Control.
DOT/MARAD 005 Travel Records (Domestic and Foreign) of Employees
and Certain Other Persons.
DOT/MARAD 006 Executive Correspondence Files.
DOT/MARAD 007 Litigation, Claims, and Administrative Proceeding
Records.
DOT/MARAD 008 Property Accountability Files.
DOT/MARAD 009 Records of Cash Receipts.
DOT/MARAD 010 Employees Personnel Files Not Covered by Notices
of Other Agencies.
DOT/MARAD 011 Biographical Files.
DOT/MARAD 012 Applications to United States Merchant Marine
Academy, USMMA.
DOT/MARAD 013 Cadet Files, State Maritime Academies.
DOT/MARAD 014 Citizenship Statements and Affidavits.
DOT/MARAD 015 General Agent's Protection and Indemnity and
Second Seaman's Insurance; WSA and NSA.
DOT/MARAD 016 Marine Training School Registrants.
DOT/MARAD 017 Waivers of Liability to Board Reserve Fleet
Vessels and Other Craft Located at United States Merchant Marine
Academy.
DOT/MARAD 018 National Defense Executive Reserve.
DOT/MARAD 020 Seamen's Awards for Service, Valor, etc.
DOT/MARAD 021 Seaman's Employment Analysis Records.
DOT/MARAD 022 Seaman's Unclaimed Wages (Vietnam Conflict).
DOT/MARAD 024 USMMA Non-Appropriated Fund Employees.
DOT/MARAD 025 USMMA Graduates.
DOT/MARAD 026 USMMA Midshipmen Deposit Account Records.
DOT/MARAD 027 USMMA Midshipman Grade Transcripts.
DOT/MARAD 028 USMMA Midshipman Medical Files.
DOT/MARAD 029 USMMA Midshipman Personnel Records.
DOT/MARAD 030 Commitment Agreements.
National Highway Traffic Safety Administration
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.
Office of the Secretary
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.
Research and Special Programs Administration
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.
Saint Lawrence Seaway Development Corporation
DOT/SLS 151 Claimants under Federal Tort Claims Act.
DOT/SLS 152 Data Automation Program Records.
Transportation Security Administration
DOT/TSA 001 Transportation Security Enforcement Record System
(TSERS).
DOT/TSA 002 Transportation Workers Employment Investigations
System (TWE).
DOT/TSA 004 Personnel Background Investigation File System.
DOT/TSA 010 Aviation Security Screening Records.
Transportation Systems Center
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.
Surface Transportation Board
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. Routine Use for disclosure to Coast guard and to
Transportation Security Administration. A record from this system of
records may be disclosed as a routine use, to the Coast guard and to
the Transportation Security Administration if information from this
system was shared with either agency when that agency was a component
of the Department of Transportation before its transfer to the
Department of Homeland Security and such disclosure is necessary to
accomplish a DOT, TSA or Coast Guard function related to this system
of records.
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, sensitive.
System location:
The system is located in the:
a. Office of Security and Administrative Management, M-40, 400
7th Street, SW., Washington, DC 20590; (for Office of the Secretary
of Transportation and all DOT Agencies other than those listed
below).
b. Commandant, United States Coast Guard Headquarters, G-O,
Washington, DC 20593 and District and Area Offices.
c. Federal Aviation Administration, Office of Security and
Investigations, 800 Independence Avenue, SW., Washington, DC 20591;
and all FAA Regional Offices and Centers.
d. Federal Highway Administration, Operations and Services
Divisions, 400 7th Street, SW., Washington, DC 20590, and all FHWA
Regional Offices.
e. Transportation Security Administration, 400 7th Street, SW.,
Washington, DC 20590, and Federal Security Directors at various
airports.
Categories of individuals covered by the system of records:
Present and former employees, contractor employees, consultants,
and other individuals or personnel that require access to DOT
facilities, information, resources or information-based systems in
any element of DOT.
Categories of records in the system:
Applications, photographs, receipts for DOT identification and
verification media and official credentials, temporary building
passes, security badges, security clearance level and type, date of
clearance, clearance basis, entry on duty information, current duty
assignment information, routing symbols, limited relevant portions of
the background investigation date of background investigation,
investigating agency and follow-up investigation data, date of birth,
social security number, position title and position sensitivity,
assignment to sensitive duty positions, facility access, gender,
designations, automated information systems access designations,
records of access authorizations granted, biometric data (fingerprint
or other biometric data as determined by current standards), PKI
certificates and encryption information, digital signature codes and
verification data, personal information number (pin)/identification
and verification media password, or identification record number and
expiration date, applications for other identification needed for
official duties, and other fields as dictated by the Governmental
SmartCard Interoperability Standard.
Authority for maintenance of the system:
5 U.S.C. 301; 49 U.S.C. 322; 49 U.S.C. 114(d); 49 U.S.C.
106(f)(2); 49 U.S.C. 40122.
Purpose(s):
To control access to DOT facilities,
information or information-based systems by authenticating the
identity of each person using the system; the system will not be used
to monitor or track individuals or their usage habits.
To provide a ready concentration of employee
personal data to facilitate issuance, accountability, and recovery of
required identification media issued to employees, contractor
employees, consultants, and other individuals or personnel who
require access to DOT facilities, information or information-based
systems in the performance of their duties.
To provide for universal and positive
verification and control for DOT employees, contractor employees,
consultants, and other individuals or personnel needed to perform
their official duties.
To control and account for DOT identification
and verification media, credentials, and security badges issued to
DOT employees, former employees, contractors, and other individuals
who require access to DOT facilities and information or information-
based systems in the performance of their DOT or other official
duties.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records may be disclosed to contractors for
the limited purpose of assisting the Department or one of its
elements in issuing, controlling and accounting for DOT
identification and verification media, credentials and security
badges and maintaining associated databases.
Records may be disclosed to Departmental
contractors concerning their own current and former employees to
facilitate the control and accountability of DOT identification and
verification media, credential and security badges issued to contract
employees.
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 records are maintained in an electronic database and may be
on computer disks/chips, magnetic tape, and paper forms in file
folders. The items of information set forth in the category of
records section may be contained on an electronic computer chip or
other media imbedded on the identification and verification medium of
each employee, contractor, or other individual to whom the
identification and verification media is issued.
Retrievability:
Retrieval from the system is by name, social security number,
date of birth, security clearance level, date of investigation, type
of investigation, identification and verification media or record
number, digital certificates, duty position location (POD),
identification and verification media expiration or issue date, other
fields as included in the Governmental SmartCard Interoperability
Standard, or other category of records and can be accessed only by
authorized individuals.
Safeguards:
Computers provide privacy and access limitations to records by
requiring a user name and password match or equivalent safeguards
such as biometrics and public key infrastructure (PKI) technology.
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 or equivalent technology. Data are manually and/
or electronically stored in a locked room with limited access.
The protection of the data/information and of the identification
and verification media complies with NIST Standards; at no time will
any data/information be placed on the media in a manner less secure
than its original source.
Retention and disposal:
Hard copy of information including applications, photographs and
identification media is destroyed immediately upon termination of
employment and/or expiration of surrendered ID media. Inactive
electronic records pertaining to applications, photographs, and
identification media is removed from the video ID system monthly. The
following schedules apply: General Records Schedule (GRS) 11, item 4,
Space and Maintenance Records; and GRS 20, item 3a, Electronic
Records.
System manager(s) and address:
a. Office of Security and Administrative Management, M-40,
Department of Transportation, 400 7th Street, SW., Washington, DC
20590 (for OST and all DOT agencies other than those listed below).
b. Commandant, G-O United States Coast Guard, Washington, DC
20593.
c. Director of Security and Investigations, Federal Aviation
Administration, 800 Independence Avenue, SW., Washington, DC 20591.
d. Chief, Operations and Services Division, Federal Highway
Administration, 400 7th Street, SW., Washington, DC 20590.
Notification procedure:
Same as System Manager. Correspondence contesting records must
include the full name and social security number of the individual
concerned and documentation justifying the claim.
Record access procedures:
Same as Notification procedure.
Contesting record procedures:
Same as Notification procedure.
Record source categories:
Individuals about whom the record is maintained, automated
personnel systems maintained by DOT or any of its elements, and
background and clearance investigation systems of records maintained
by the DOT or any of its elements.
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/ALL 13
System name:
Internet/Intranet Activity and Access Records.
Security classification:
Unclassified, sensitive.
System location:
The system is located in the Department of Transportation. These
offices are located within the Office of the Secretary (OST), Federal
Aviation Administration (FAA), the United States Coast Guard (USCG),
the Research and Special Programs Administration (RSPA), the Federal
Highway Safety Administration (FHWA), Federal Motor Carrier Safety
Administration (FMCSA), the National Highway Safety Administration
(NHTSA), the Federal Transit Administration (FTA), the Maritime
Administration (MARAD), the Federal Railroad Administration (FRA),
the Bureau of Transportation Statistics (BTS), the St. Lawrence
Seaway Development Corporation (SLSDC), Transportation Administrative
Service Center (TASC), and the Transportation Security Administration
(TSA).
Categories of individuals Covered by the System of Records:
All DOT employees, contractors, or other users authorized or
unauthorized who access the Internet/Intranet through any of the
authorized DOT network computers or mainframe/enterprise servers,
including individuals who send and receive electronic communications,
access Internet/Intranet sites, or access system databases, files, or
applications from DOT computers or sending electronic communications
to DOT computers. An ``Internet/Intranet Access Point'' is one of the
authorized gateways, through which all Internet/Intranet traffic
passes. For statistical purposes, the system monitors the amount of
traffic using different Internet/Intranet protocols, but does not
view the content of transmissions (e.g., it does not monitor the text
of electronic mail messages).
Categories of records in the system:
Records and reports in this system may include:
1. The source Internet/Intranet Protocol (IP) address of the
computer used to make the Internet/Intranet connection.
2. The destination IP address of the site visited (could include
URL address)
3. The date and time of the connection
4. The size of the transmission
5. Keywords propagated by Internet/Intranet web sites
6. Technical machine data as the system may generate (e.g.,
Machine-name field and Medium Access Control [MAC] address from the
last device the machine traversed.)
7. Electronic mail systems, including the email address of sender
and receiver of the electronic mail message, subject, date, and time.
8. Profile customization purposes to personalize levels of
access.
9. Records on user access to DOT's office automation networks as
well as denials of access.
10. Records relating to mainframe/enterprise server access.
11. Verification and authorization records.
Logs of Internet/Intranet access and use from a DOT computer
generally do not directly contain names or similar personal
identifiers. However, for official government business purposes and
through research or investigation, an individual whose PC was
assigned an IP address at a given time may be identifiable by name.
Authority for maintenance of the system:
49 U.S.C. 322, 49 U.S.C. 40122(g), 49 U.S.C. 40101, 40 U.S.C.
1441, 5 U.S.C. 302
Purpose(s):
Data in the system of records is used by DOT systems and security
personnel or persons authorized to assist these personnel, to plan
and manage systems services and otherwise perform their official
duties. Such services would include, but are not limited to,
analyzing engineering and statistical use data to assist in making
business decisions regarding upgrading hardware, software, and
communications technology to meet changing Internet/Intranet use
requirements.
The system is also used to monitor for improper use.
Authorized managers may use the records in the system to
investigate improper use or other improper activity by an employee,
contractor or other individual relating to DOT computer systems use
or access; to initiate disciplinary or other such action; and/or
where the record(s) may appear to indicate a violation or potential
violation of law, to refer such record(s) to the appropriate
investigative organization within the agency or the Department of
Transportation, or to other law enforcement agencies for
investigation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
--To provide information to any person(s) authorized to assist in
an approved investigation of improper access or usage of DOT computer
systems.
--To an actual or potential party or his or her authorized
representative for the purpose of negotiation or discussion of such
matters as settlement of the case or matter, or informal discovery
proceedings.
--To contractors, grantees, experts, consultants, detailees, and
other non-DOT employees performing or working on a contract, service,
grant cooperative agreement, or other assignment from the Federal
government, when necessary to accomplish an agency function related
to this system of records.
--To other government agencies where required by law.
--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 information is collected at each monitoring location and the
data may be merged into computers within DOT. Data may be stored on
an internal hard disk and periodically backed up onto magnetic tape.
The data on the systems are protected by passwords. Software may be
maintained on the firewall server. The length of time of storage may
be governed by available disk space on the server. When it is
necessary to print a hard copy, copies will be stored in a locked
file cabinet.
Retrievability:
Records may be retrieved by user name, user ID, e-mail address,
or other identifying search term employed, depending on the record
category. The Department does not usually connect IP addresses with a
person. However, in some instances, for official government business
purposes, the Department may connect the IP address with an
individual, and records may be retrieved by IP address.
Safeguards:
To safeguard against the risk of unauthorized disclosure, the DOT
maintains the information at secured facilities in limited access
areas of the DOT data processing facilities. The systems are also
software-protected by a
[[Page 30759]]
set of multiple passwords. There is backup capability to address
issues of availability and continuity of operations. Previous week's
backup tapes may be sent to an off-site storage location in some
cases.
DOT limits access to monitoring software of the computer(s) to
authorized personnel only. In addition, DOT limits who can use the
computer(s), and limits dissemination of any passwords used to
operate the computer(s). DOT maintains any hard copies of sensitive
information in secure file cabinets.
Retention and disposal:
The information is retained at DOT Headquarters by the system
administrators and Regional Administrators. When there is no longer
disk space available on the monitors' hard disks, the files are
released to the operating system for re-write. This means the files
are ``marked'' internally as eligible for the computer operating
system to overwrite with subsequent data. DOT will comply with
requirements of the National Archives and Records Administration
(NARA). NARA regulations state that electronic files created to
monitor system usage are authorized for erasure or deletion when the
agency determines that they are no longer needed for administrative,
legal, audit, or other operational purposes. Generally, these (and
any associated hard copy) files will be authorized for deletion after
30 days unless needed for official purposes. Not all locations, HQ or
regions, will be collecting information at all times.
System manager(s) and address:
a. Department of Transportation, Office of the Secretary, Office
of the Chief Information Officer, S-80, 400 7th Street, SW.,
Washington, DC 20590.
b. Department of Transportation, Federal Aviation Administration,
Assistant Administrator for Information Services and Chief
Information Officer, AIO-1, FAA Headquarters, FOB-10A, 800
Independence Avenue, SW., Washington, DC 20591.
c. Department of Transportation, United States Coast Guard
Headquarters, Commandant, G-C, 2100 2nd Street, SW., Washington, DC
20593.
d. Department of Transportation, Research and Special Programs
Administration, Office of the Administrator, DRP-1, 400 7th Street,
SW., Washington, DC 20590.
e. Department of Transportation, Federal Highway Safety
Administration, Office of the Federal Highway Administrator, HOA-1,
400 7th Street, SW., Washington, DC 20590.
f. Department of Transportation, Federal Motor Carrier Safety
Administration, Office of the Administrator, MC-A, 400 7th Street,
SW., Washington, DC 20590.
g. Department of Transportation, National Highway Safety
Administration, Office of the Administrator, NOA-01, 400 7th Street,
SW., Washington, DC 20590.
h. Department of Transportation, Federal Transit Administration,
Office of the Administrator, TOA-1, 400 7th Street, SW., Washington,
DC 20590.
i. Department of Transportation, Maritime Administration, Office
of Maritime Administrator, MAR-100, 400 7th Street, SW., Washington,
DC 20590.
j. Department of Transportation, Federal Railroad Administration,
The Administrator, ROA-1, 400 7th Street, SW., Washington, DC 20590.
k. Department of Transportation, Bureau of Transportation
Statistics, Office of the Director, K-1, 400 7th Street, SW.,
Washington, DC 20590.
l. Department of Transportation, St. Lawrence Seaway Development
Corporation, The Administrator, 400 7th Street, SW., Washington, DC
20590.
m. Department of Transportation, Transportation Administrative
Service Center, Director, SVC-1, 400 7th Street, SW., Washington, DC
20590.
n. Department of Transportation, Transportation Security
Administration (TSA), Under Secretary, TSA-1, 400 7th Street, SW.,
Washington, DC 20590.
Notification procedure:
To determine whether the system may contain records relating to
you, write to the System Manager.
Record access procedures:
Same as ``Notification Procedure.'' Provide full name, assigned
computer location, and a description of information that you seek,
including the time frame during which the records(s) may have been
generated. Individuals requesting access must comply with the
Department of Transportation's Privacy Act regulations on
verification of identity (49 C.F.R. 10.37).
Contesting record procedures:
Same as ``Notification Procedure'' and ``Record Access
Procedure.''
Record source categories:
Information is collected from computers located at each of the
Internet/Intranet Access locations. A software program installed on
each of the machines retrieves the information from a hub or
connection to the Internet/Intranet. Regional offices may be
collecting information from time-to-time. Personal computers at data
collection points are used to capture data in a passive mode. Most
records are generated internally, i.e., computer activity logs;
individuals covered by the system; and management officials.
Exemptions claimed for the system:
None.
DOT/ALL 14
System name:
Docket Management System (DMS).
Security classification:
Unclassified, non-sensitive.
System location:
The system is located in Department of Transportation (DOT),
Dockets and Media Management Center, Transportation Administrative
Service Center, 400 7th Street, SW., Room PL-401, Washington, DC
20590.
Categories of individuals covered by the system:
Individuals who participate in proceedings at the DOT that are
covered by the Administrative Procedure Act (APA), and who provide
information about their identities.
Categories of records in the system:
DOT rulemaking and related documents issued in informal
rulemakings, and public comments thereon; non-rulemaking and related
documents, and public comments thereon; in formal rulemakings,
motions, petitions, complaints, and related documents and formal
responses thereto.
Authority for maintenance of the system:
5 U.S.C. 551 et seq.
Purpose(s):
To facilitate involvement of the public in APA and related
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.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronically on a publicly-accessible website.
Retrievability:
Documents are retrievable through DMS by name and by docket
number.
Safeguards:
Records are freely available to anyone.
Retention and disposal:
Paper copies are returned to the originating office upon transfer
to electronic medium. Electronic version is retained indefinitely at
the discretion of the DOT.
System manager(s) and address:
U.S. Department of Transportation, Chief, Dockets and Media
Management Center (SVC-124), 400 7th Street, SW., Room PL-401,
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 participating in DOT APA proceedings.
Exemptions claimed for the system:
None.
Coast Guard
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/CG 679
System name:
Marine Information for Safety and Law Enforcement (MISLE).
Security classification:
Unclassified, Sensitive.
System location:
U.S. Coast Guard (USCG), Operations Systems Center, 600 Coast
Guard Drive, Kearneysville, WV 25430-3000.
Categories of individuals covered by the system of records:
Individuals with established relationship(s) and/or
association(s) to vessels, facilities (including platforms, bridges,
deep-water ports, marinas, terminals, and factories), and activities.
Specifically, vessel owners, operators, charterers, managers, agents,
crewmembers, or passengers; facility owners, operators, managers, or
employees; individuals who own, operate, or represent marine
transportation companies, and other individuals who come into contact
with the Coast Guard through its law enforcement, investigation,
marine safety, maritime security, and environmental protection
activities.
Categories of records in the system:
a. Records containing information on vessels and their
characteristics, including: Vessel identification data, registration
data, port visits, inspection data, documentation data, maritime
safety and security boardings, casualties, pollution incidents, and
violations of all laws and international treaties, if applicable, and
information pertaining to individuals, companies, and organizations
associated with those vessels such as owners, operators, agents, crew
members, and passengers.
b. Records containing information on facilities and their
characteristics, including: Location, commodities handled, equipment,
certificates, approvals, inspection data, pollution incidents,
casualties, and violations of all laws and international treaties, if
applicable, and information pertaining to individuals, companies, and
organizations associated with those facilities such as owners,
operators, managers and employees.
c. Records containing information on individuals, companies,
government agencies, and other organizations associated with vessels,
facilities (including platforms, bridges, deep water ports, marinas,
terminals, and factories), and/or Coast Guard activities including:
nationality, address, telephone number, and taxpayer or other
identification number; relationship to vessels and facilities; their
relationship to other individuals, companies, government agencies and
organizations in MISLE; pollution incidents, casualties, and
violations of all laws and international treaties.
d. Narratives submitted by USCG personnel describing activities
performed on vessels and facilities, investigations of casualties and
pollution incidents, and violations of all laws and international
treaties. Such narratives may contain the names of individuals, such
as owners, managers, employees, passengers, agents, or witnesses to
the events described above. Electronic documents, photographs, videos
and similar materials collected to support USCG activities or
reports.
Authority for maintenance of the system:
46 U.S.C. 3717; 46 U.S.C. 12501; 33 U.S.C. 1223.
Purpose(s):
To implement and enforce marine safety, maritime security,
maritime law enforcement, and marine environmental protection.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Issuance of Certificates of Documentation, Certificates of
Inspections, maritime safety and security boardings, monitoring cargo
transfers, capturing data on pollution incidents and casualties, and
reporting of violations resulting from these incidents.
MISLE Records may be disclosed to the following:
1. U.S. Department of Defense and related entities including, but
not limited to, the Military Sealift Command and the U.S. Navy, to
provide safety and security information on vessels chartered or
operated by those agencies. Federal, State, or local agencies with
responsibility for investigating and/or enforcing violations of U.S.
law. Federal agencies with responsibility for carrying out or
supporting national security, including intelligence community
agencies to the extent not prohibited by law. Federal, State, or
local numbering and titling officials for the purpose of tracking,
registering and titling vessels.
2. The U.S. Department of Labor and its related State
counterparts for tracking personnel casualties.
3. The National Transportation Safety Board and its related State
counterparts for safety investigation and transportation safety.
4. The International Maritime Organization (IMO) or
intergovernmental organizations, nongovernmental organizations, or
foreign governments in order to conduct joint investigations,
operations, and inspections.
5. Federal, State, or local agencies with which the Coast Guard
has a Memorandum of Understanding (MOU), Memorandum of Agreement
(MOA), or Inspection and Certification Agreement (IAA) pertaining to
Marine Safety, Maritime Security, Maritime Law Enforcement, and
Marine Environmental Protection activities. See the DOT 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 automated data processing (ADP)
database operated and maintained by the USCG. All data are retained
indefinitely.
Retrievability:
Records are retrieved by involved party (individual, company,
government agency or organization) name, involved party
identification number (IPN), Social Security number, Drivers License
number, Foreign ID number, Passport number, VISA number, Immigration
and Naturalization Service (INS) number, Military ID number, USCG
License number, Cedula number, Foreign Seaman's Booklet number,
resident alien number, Merchant Mariners License number, Merchant
Mariner Documentation number, or taxpayer identification number
(TIN).
Safeguards:
MISLE falls under the guidelines of the USCG Operations System
Center (OSC) in Kearneysville, WV. This computer facility has its own
approved System Security Plan, which provides that the system will be
maintained in a secure computer room with access restricted to
authorized personnel only. Access to the building must be authorized
and is limited. A Sensitive Application Certification (SAC) has been
approved for MISLE. The U.S. Coast Guard will operate MISLE in
consonance with Federal security regulations, policy, procedures,
standards and guidance for implementing the Automated Information
Systems Security Program. Only authorized Department of
Transportation personnel, and authorized U.S. Government contractors
conducting system maintenance, may access MISLE 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. USCG will ensure that users take precautions in
accordance with OMB Circular A-130, Appendix III (regarding the
Computer Security Act of 1987). Additional protection is afforded by
the use of two-password security.
Retention and disposal:
Information collected by MISLE is stored indefinitely. All system
hardware and data is stored at OSC, Kearneysville, WV. Backups are
performed daily. Copies of backups are stored at an off-site
location.
System manager(s) and address:
Department of Transportation, United States Coast Guard
Headquarters, Chief, Office of Information Resources (G-MRI), 2100
2nd Street, SW., Washington, DC 20593-0001.
Notification procedures:
To determine if this system contains information on you, submit a
written request that includes your name, mailing address, social
security number and, if applicable, your merchant mariner license or
document number, to the System Manager. You should also include the
name and identifying number (documentation number, state registration
number, International Maritime Organization (IMO) number, etc.) of
any vessel with which you have been associated and the name and
address of any facility (including platforms, bridges, deep water
ports, marinas, terminals, and factories) with which you have been
associated. You or your legal representative must sign the request.
Send the request to the System Manager.
Record access procedures:
Same as Notification Procedures.
Contesting records procedures:
Same as Notification Procedures.
Record source categories:
All information entered into MISLE is gathered from inspections,
boardings, investigations, documentation offices, and vessel notice
of arrival reports in the course of normal routine business. This
information is gathered from the owners, operators, crewmembers,
agents, passengers, witnesses, employees, and USCG personnel.
Exemptions claimed for the system:
Portions of this system of records may be exempt under the
provisions of 5 U.S.C. 552a(k)(2) from 5 U.S.C. 552a(c)(3), (d),
(e)(4)(G), (e)(4)(H), (e)(4)(l), and (f).
Federal Aviation Administration
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/FAA 853
System name:
Cost Accounting System Employee Labor Data.
Security classification:
Unclassified, sensitive.
System location:
U. S. Department of Transportation, Federal Aviation
Administration (FAA), Assistant Administrator for Financial Services,
800 Independence Avenue, SW., Washington, DC 20591.
Categories of individuals covered by the system:
Present and former Federal employees of the Federal Aviation
Administration.
Categories of records in the system:
This system of records may include employee labor charging data
containing FAA employee's names, current pay period and year-to-date
salaries, and hours worked by FAA organizations on a particular
project.
Authority for maintenance of the system:
49 U.S.C. 40101; 49 U.S.C. 40122(g)
Purpose(s):
This Cost Accounting System--Employee Labor Data System will
enhance the agency's ability to provide the cost of end-user services
in support of user fees; measure and benchmark the agency's financial
and operational performance; support management decisions and plans
based on reliable cost information; measure and control cost of
resources consumed and outputs produced; track individual labor cost
directly associated with projects/activities and facilitate the
distribution of labor charges and actual operating expenses for
costing purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
To contractors, grantees, experts, consultants,
detailees, and other non-FAA employees performing or working on a
contract, service, grant, cooperative agreement, or other assignment
from the Federal government, when necessary to accomplish an agency
function related to this system of records.
To other government agencies when required by law.
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:
These records are stored on Local Area Network drives, magnetic
cartridges, diskettes, and may be in hardcopy format when required.
Retrievability:
These records are retrieved by the employee's name, organization,
and assigned project numbers.
Safeguards:
Access to the system of records is restricted to authorized
users. Each user is granted access with his or her user name and
security password. The user privileges of each user are based on his
or her assigned access rights. User access to sensitive data is
granted only to limited individuals with the approval of management.
Retention and disposal:
The records are retained and disposed of in accordance with FAA
Order 1350.15 item number 2710 (2) (b), General Financial Records.
Records are disposed of when 6 years and 3 months old.
System manager(s) and address:
Manager, Cost Accounting Division (APF-300), 800 Independence
Avenue, SW., Washington, DC 20591.
Notification procedure:
Write to the System Manager.
Record access procedures:
Write to the System Manager. Provide full name and a description
of information that you seek, including the time frame during which
the records may have been generated. Individuals requesting access
must comply with the Department of Transportation's Privacy Act
regulations on verification of identity (49 C.F.R. 10.37).
Contesting record procedures:
Write to the System Manager. Identify the information being
contested, the reason for contesting it and the correction requested.
Record source categories:
Information contained in this system is obtained from current
Privacy Act systems of records, DOT/ALL 11, Integrated Personnel
Payroll System (IPPS) and DOT/ALL 7, Departmental Accounting and
Financial Information System (DAFIS) and Delphi Accounting System--
Management Information Reporting (MIR).
Exemptions claimed for the system:
None.
Federal Highway Administration
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.
Federal Motor Carrier Safety Administration
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.
Federal Railroad Administrationd
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.
Maritime Administration
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.
National Highway Traffic Safety Administration
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).
Research and Special Programs Administration
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.
Saint Lawrence Seaway Development Corporation
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.
Transportation Security Administration
DOT/TSA 001
System name:
Transportation Security Enforcement Record System (TSERS).
Security classification:
Classified, sensitive.
System location:
Records are maintained in the Office of Chief Counsel, the Office
of the Associate Under Secretary for Aviation Operations, and the
Office of the Associate Under Secretary for Inspection,
Transportation Security Administration (TSA), Department of
Transportation, 400 7th Street, SW., Washington, DC 20590. Records
will also be maintained at the various TSA field offices.
Categories of individuals covered by the system:
Owners, operators, and employees in all modes of transportation
for which TSA has security-related duties; witnesses; passengers
undergoing screening of their person or property; and individuals
against whom investigative, administrative, or legal enforcement
action has been initiated for violation of certain Transportation
Security Administration Regulations (TSR), relevant provisions of 49
U.S.C. chapter 449, or other laws.
Categories of records in the system:
Information related to the screening of passengers and property
and the investigation or prosecution of any alleged violation,
including name of and demographic information about alleged violators
and witnesses; place of violation; Enforcement Investigative Reports
(EIRs); security incident reports, screening reports, suspicious-
activity reports and other incident or investigative reports;
statements of alleged violators and witnesses; proposed penalty;
investigators' analyses and work papers; enforcement actions taken;
findings; documentation of physical evidence; correspondence of TSA
employees and others in enforcement cases; pleadings and other court
filings; legal opinions and attorney work papers.
Authority for maintenance of the system:
49 U.S.C. 114(d), 44901, 44903, 44916, 46101, 46301.
Purpose(s):
The records are created in order to maintain a civil enforcement
and inspections system for all modes of transportation for which TSA
has security related duties. They may be used, generally, to
identify, review, analyze, investigate, and prosecute violations or
potential violations of transportation security laws.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) Furnish responses to queries from Federal, State, tribal,
territorial, and local law enforcement and regulatory agencies, both
foreign and domestic, regarding individuals who may pose a risk to
transportation or national security; a risk of air piracy or
terrorism or a threat to airline or passenger safety; or a threat to
aviation safety, civil aviation, or national security.
(2) Furnish information to airport operators, aircraft operators,
and maritime and land transportation operators about individuals who
are their employees, job applicants, or contractors, or persons to
whom they issue identification credentials, or grant clearances to
secured areas in transportation facilities.
(3) Disclose information to a Federal, State, or local agency,
maintaining a civil, criminal or other relevant enforcement
information or other pertinent information, that has requested
information relevant to or necessary to the requesting agency's or
the bureau's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit.
(4) Furnish information to the news media in accordance with the
guidelines contained in 28 CFR 50.2, which relate to civil and
criminal proceedings.
(5) Furnish information to the Department of State and the
Intelligence Community to further those agencies' efforts with
respect to individuals who may pose a risk to transportation or
national security; a risk of air piracy or terrorism or a threat to
airline or passenger safety; or a threat to aviation safety, civil
aviation, or national security.
(6) Provide information or records, when appropriate, to
international and foreign governmental authorities in accordance with
law and formal or informal international agreement.
(7) To any person performing a contract for TSA to the extent
necessary to perform the contract.
(8) To any agency or instrumentality charged under applicable law
with the protection of the public health or safety under exigent
circumstances where the public health or safety is at risk.
(9) To provide information contained in the records to third
parties during the course of any law enforcement investigation into
violations or potential violations of transportation security laws to
the extent necessary to obtain information pertinent to the
investigation.
(10) To the Department of Justice, United States Attorney's
Office, or other Federal agencies for further collection action on
any delinquent debt when circumstances warrant.
(11) To a debt collection agency for the purpose of debt
collection. See also DOT Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
Privacy Act information may be reported to consumer reporting
agencies pursuant to 5 U.S.C. 552a(b)(12) collecting on behalf of the
United States Government.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on paper and in computer-accessible
storage media. Records are also stored on microfiche and roll
microfilm.
Retrievability:
Records are retrieved by name, address, social security account
number, administrative action or legal enforcement numbers, or other
assigned identifier of the individual on whom the records are
maintained.
Safeguards:
Access to TSA working and storage areas is restricted to DOT
employees on a ``need to know'' basis. Strict control measures are
enforced to ensure that access to classified and/or sensitive
information in these records is also based on ``need to know.''
Electronic access is limited by computer security measures that are
strictly enforced. Generally, TSA file areas are locked after normal
duty hours and the facilities are protected from the outside by
security personnel.
Retention and disposal:
National Archives and Records Administration approval is pending
for the records in this system. Paper records and information stored
on electronic storage media are maintained within TSA for 5 years and
then forwarded to Federal Records Center. Records are destroyed after
10 years.
System manager(s) and address:
Information Systems Program Manager, Office of the Chief Counsel,
Transportation Security Administration, GSA Regional Office Building
Room 5002, 400 7th Street, SW., Washington, DC 20590.
Notification procedure:
Individuals who wish to determine whether this system of records
contains information about them should contact the System Manager at
the above address. Inquiries should include the individual's full
name, social security number, and return address.
Record access procedures:
See ``Notification Procedure.'' Individuals requesting access
must comply with the DOT's Privacy Act regulations on verification of
identity (49 CFR 10.37).
Contesting record procedures:
See ``Notification Procedure.''
Record source categories:
Information contained in this system is obtained from the alleged
violator, TSA employees or contractors, witnesses to the alleged
violation or events surrounding the alleged violation, other third
parties who provided information regarding the alleged violation,
state and local agencies, and other Federal agencies.
Exemptions claimed for the system:
Portions of this system are exempt under 5 U.S.C. 552a(k)(2).
DOT/TSA 002
System name:
Transportation Workers Employment Investigations System (TWEI).
Security classification:
Classified, sensitive.
System location:
Records are maintained at the offices of the Transportation
Security Administration (TSA), Department of Transportation (DOT),
400 7th Street, SW., Washington, DC 20590. Some records may also be
maintained at the offices of a TSA contractor, or in TSA field
offices.
Categories of individuals covered by the system:
a. Individuals, other than employees of Federal, State, tribal,
territorial, and local governments (including law enforcement
officers), who require or seek access to airport sterile areas; have
unescorted access authority to a security identification display area
(SIDA); have authority to grant others unescorted access to a SIDA;
are seeking unescorted access authority to a SIDA; are seeking to
have authority to grant others unescorted access to a SIDA; have
regular escorted access to a SIDA; or are seeking regular escorted
access to a SIDA.
b. Individuals who have or are seeking responsibility for
screening passengers or carry-on baggage, and those individuals
serving as immediate supervisors and the next supervisory level to
those individuals, other than employees of the TSA who perform or
seek to perform these functions.
c. Individuals who have or are seeking responsibility for
screening checked baggage or cargo, and their immediate supervisors,
other than employees of the TSA who perform or seek to perform these
functions.
d. Individuals who have or are seeking the authority to accept
checked baggage for transport on behalf of an aircraft operator that
is required to screen passengers.
e. Pilots, flight engineers, flight navigators, and flight
attendants assigned to duty in an aircraft during flight time for an
aircraft operator that is required to adopt and carry out a security
program.
f. Individuals, other than employees of Federal, State, tribal,
territorial, and local governments, who have or are seeking access to
a transportation facility in the maritime or land transportation
system.
g. Other individuals who are connected to the transportation
industry for whom TSA may be required by statute to conduct
background investigations to provide an adequate level of
transportation security.
Categories of records in the system:
TSA's automated system may contain any or all of the following:
(a) Name; (b) social security number; (c) date of birth; (d)
submitting office number of the airport, aircraft operator, or
maritime or land transportation operator submitting the individual's
information; (e) OPM case number; (f) other data as required by form
FD 258 (fingerprint card); (g) dates of submission and transmission
of the information, as necessary to assist in tracking submissions,
payments, and transmission of records; (h) identification records
obtained from the Federal Bureau of Investigation (FBI), which are
compilations of criminal history record information pertaining to
individuals who have criminal fingerprints maintained in the FBI's
Fingerprint Identification Records System (FIRS); (i) data gathered
from foreign governments that is necessary to address security
concerns in the aviation, maritime, or land transportation systems;
(j) information provided by the Central Intelligence Agency and other
members of the Intelligence Community, and (k) other information
provided by the information systems of other Federal, State, tribal,
and local governmental agencies.
Authority for maintenance of the system:
49 U.S.C. 114 and 44936.
Purpose(s):
To facilitate the performance of employment investigations,
including fingerprint-based criminal history records checks (CHRCs),
which Federal law and TSA regulations require for the individuals
identified in ``Categories of individuals covered by the system''
above.
a. To assist in the management and tracking of the status of
employment investigations.
b. To permit the retrieval of the results of employment
investigations, including criminal history records checks and
searches in other governmental identification systems, performed on
the individuals covered by this system.
c. To permit the retrieval of information from other law
enforcement and intelligence databases on the individuals covered by
this system.
d. To track the fees incurred and payment of those fees by the
airport operators, aircraft operators, and maritime and land
transportation operators for services related to the employment
investigations.
e. To facilitate the performance of other investigations that TSA
may be required by statute to complete to provide an adequate level
of transportation security.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(1) Furnish information or records, electronically or manually,
to contractors, grantees, experts, consultants, agents and other non-
DOT employees performing or working on a contract, service, grant,
cooperative agreement, or other assignment from the Federal
government for the purpose of providing consulting, data processing,
clerical, or secretarial functions to assist TSA in all functions
relevant to the employment investigations.
(2) Furnish to airport operators, aircraft operators, and
maritime and land transportation operators that are required to
conduct an employment investigation, or to be informed of the results
of an employment investigation, for individuals covered by this
system pursuant to 49 U.S.C. 114 and 44936 and regulations in 49 CFR
chapter XII.
(3) Furnish to the Office of Personnel Management (OPM), the FBI,
and other government agencies, as necessary, to conduct the
employment investigations and to facilitate payment and accounting.
(4) Furnish responses to queries from Federal, State, tribal,
territorial, and local law enforcement and regulatory agencies, both
foreign and domestic, regarding individuals who may pose a risk to
transportation or national security; a risk of air piracy or
terrorism or a threat to airline or passenger safety; or a threat to
aviation safety, civil aviation, or national security.
(5) Furnish information to individuals and organizations, in the
course of enforcement efforts, to the extent necessary to elicit
information pertinent to the investigation, prosecution, or
enforcement of civil or criminal statutes, rules, regulations or
orders regarding individuals who may pose a risk to transportation or
national security; a risk of air piracy or terrorism or a threat to
airline or passenger safety; or a threat to aviation safety, civil
aviation, or national security.
(6) Disclose information to a Federal, State, tribal,
territorial, or local agency maintaining a civil, criminal or other
relevant enforcement information or other pertinent information, that
has requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit.
(7) Furnish information to the news media in accordance with the
guidelines contained in 28 CFR 50.2, which relate to civil and
criminal proceedings.
(8) Furnish information to the Department of State and the
Intelligence Community to further those agencies' efforts with
respect to individuals who may pose a risk to transportation or
national security; a risk of air piracy or
[[Page 77314]]
terrorism or a threat to airline or passenger safety; or a threat to
aviation safety, civil aviation, or national security.
(9) Provide information or records, when appropriate, to
international and foreign governmental authorities in accordance with
law and formal or informal international agreement.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
In electronic storage media and hard copy.
Retrievability:
TSA system administrators can retrieve information by the unique
``submitting office number'' of the aviation, maritime, or land
transportation operator that submitted the individual's information,
the individual's social security number, individual's name and date
of birth, the date the request was scheduled for processing, date the
investigation is closed, and the OPM case number.
Aviation, maritime, and land transportation operators retrieve
the status and results of the employment investigations only for
those individuals whose information they have submitted, and can do
so electronically. Aviation, maritime, and land transportation
operators use their submitting office number combined with the social
security number of the requested subject to retrieve an individual's
records.
Safeguards:
All records are protected from unauthorized access through
appropriate administrative, physical, and technical safeguards. These
safeguards include restricting access to those authorized with a
need-to-know; using locks, alarm devices, and passwords; and
encrypting data communications.
Retention and disposal:
National Archives and Records Administration approval is pending
for the records in this system. The request is for all records to be
purged one year after receipt by TSA.
System manager(s) and address:
Director of Security, Office of Finance and Administration, TSA,
400 7th Street, SW., Washington, DC 20590.
Notification procedure:
To determine whether this system contains records relating to
you, write to the System Manager identified above.
Record access procedures:
Same as ``Notification Procedures'' above. Provide your full name
and a description of information that you seek, including the time
frame during which the record(s) may have been generated. Individuals
requesting access must comply with the DOT's Privacy Act regulations
on verification of identity (49 CFR 10.37).
Contesting record procedures:
Same as ``Notification Procedures,'' and ``Record Access
Procedures'' above.
Record source categories:
Information is collected from individuals subject to a criminal
history records check under 49 U.S.C. 114 and 44936 and 49 CFR
chapter XII. Information is also collected from aviation, maritime,
and land transportation operators. Information is also collected from
domestic and international intelligence sources, including the
Central Intelligence Agency. The sources of information in the
criminal history records obtained from the FBI are set forth in the
Department of Justice Privacy Act system of records notice ``JUSTICE/
FBI-009.''
Exemptions claimed for the system:
Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and
(k)(2).
DOT/TSA 004
System name:
Personnel Background Investigation File System.
Security classification:
Classified, sensitive.
System location:
Records are maintained at the offices of the Transportation
Security Administration (TSA), Department of Transportation (DOT),
400 7th Street, SW., Washington, DC 20590. Some records may also be
maintained at the offices of a TSA contractor, or in TSA field
offices.
Categories of individuals covered by the system:
Current and former TSA employees, applicants for TSA employment,
and TSA contract employees.
Categories of records in the system:
The system contains an index reference record used to track the
status of an applicant's background investigation, standard form
85P--Questionnaire For Public Trust Positions,'' investigative
summaries and compilations of criminal history record checks, and
administrative records and correspondence incidental to the
background investigation process.
Authority for maintenance of the system:
5 U.S.C. 3301, 3302; 49 U.S.C. 114, 44935; and Executive Orders
10,450, 10,577, and 12,968.
Purpose(s):
The system will maintain investigative and background records
used to make suitability and eligibility determinations for the
individuals listed under ``Categories of individuals.''
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Except as noted in Question 14 of the Questionnaire for Public
Trust Positions, when a record on its face, or in conjunction with
other records, indicates a violation or potential violation of law,
whether civil, criminal, or regulatory in nature, and whether arising
by general statute, particular program statute, regulation, rule, or
order issued pursuant thereto, the relevant records may be disclosed
to the appropriate Federal, State, tribal, territorial, foreign,
local, or other public authority responsible for enforcing,
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order.
2. To any source or potential source from which information is
requested in the course of an investigation concerning the hiring or
retention of an employee or other personnel action, or the issuing or
retention of a security clearance, contract, grant, license, or other
benefit, to the extent necessary to identify the individual, inform
the source of the nature and purpose of the investigation, and to
identify the type of information requested.
3. To contractors, grantees, experts, consultants, or volunteers
when necessary to perform a function or service related to this
record for which they have been engaged. Such recipients are required
to comply with the Privacy Act, 5 U.S.C. 552a, as amended.
4. To contractors, grantees, experts, consultants or volunteers
to communicate the results of a suitability and/or eligibility
determination for their employee or contractor, or for any other
individual performing work for the agency under their direction and
control.
5. To any agency or instrumentality charged under applicable law
with the
[[Page 77315]]
protection of the public health or safety under exigent circumstances
where the public health or safety is at risk.
See also Department of Transportation Prefatory Statement of
General Routine Uses.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
Retaining, and Disposing of records in the system:
Storage:
Records are maintained on paper and in computer-accessible
storage media. Records are also stored on microfiche and roll
microfilm.
Retrievability:
Records are retrieved by name, address, and social security
account number or other assigned tracking identifier of the
individual on whom the records are maintained.
Safeguards:
Access to TSA working and storage areas is restricted to DOT
employees on a ``need to know'' basis. Strict control measures are
enforced to ensure that access to these records is also based on
``need to know.'' Generally, TSA file areas are locked after normal
duty hours and the facilities are protected from the outside by
security personnel.
Retention and disposal:
Paper records and information stored on electronic storage are
destroyed upon notification of death or not later than 5 years after
separation or transfer of employee or no later than 5 years after
contract relationship expires, whichever is applicable.
System manager(s) and address:
Director, Office of Security, Transportation Security
Administration, 400 7th Street, SW., Washington, DC 20590.
Notification procedure:
To determine whether this system contains records relating to
you, write to the System Manager identified above.
Record access procedures:
Same as ``Notification Procedures'' above. Provide your full name
and a description of information that you seek, including the time
frame during which the record(s) may have been generated. Individuals
requesting access must comply with the Department of Transportation's
Privacy Act regulations on verification of identity (49 CFR 10.37).
Contesting record procedures:
Same as ``Notification Procedure,'' and ``Record Access
Procedures'' above.
Record source categories:
Information contained in this system is obtained from the job
applicant on the Questionnaire For Public Trust Positions, law
enforcement and intelligence agency record systems, publicly-
available government records and commercial data bases.
Exemptions claimed for the system:
Portions of this system are exempt under 5 U.S.C. 552a(k)(5).
DOT/TSA 010
System name:
Aviation Security Screening Records.
Security classification:
Classified, sensitive.
System location:
Records are maintained at the Office of National Risk Assessment,
Transportation Security Administration (TSA), 400 7th Street, SW.,
Washington, DC 20590.
Categories of individuals covered by the system:
Individuals traveling to, from, or within the United States
(U.S.) by passenger air transportation; individuals who are deemed to
pose a possible risk to transportation or national security, a
possible risk of air piracy or terrorism, or a potential threat to
airline or passenger safety, aviation safety, civil aviation, or
national security.
Categories of records in the system:
Passenger Name Records (PNRs) and associated data; reservation
and manifest information of passenger carriers and, in the case of
individuals who are deemed to pose a possible risk to transportation
security, record categories may include: risk assessment reports;
financial and transactional data; public source information;
proprietary data; and information from law enforcement and
intelligence sources.
Authority for maintenance of the system:
49 U.S.C. 114, 44901, and 44903.
Purpose(s):
The system will be used to facilitate the conduct of an aviation
security-screening program, including risk assessments to ensure
aviation security.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information may be disclosed from this system as follows:
(1) To appropriate Federal, State, territorial, tribal, local,
international, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where TSA becomes aware
of an indication of a violation or potential violation of civil or
criminal law or regulation.
(2) To contractors, grantees, experts, consultants, agents and
other non-Federal employees performing or working on a contract,
service, grant, cooperative agreement, or other assignment from the
Federal government for the purpose of providing consulting, data
processing, clerical, or other functions to assist TSA in any
function relevant to the purpose of the system.
(3) To Federal, State, territorial, tribal, and local law
enforcement and regulatory agencies--foreign, international, and
domestic--in response to queries regarding persons who may pose a
risk to transportation or national security; a risk of air piracy or
terrorism or a threat to airline or passenger safety; or a threat to
aviation safety, civil aviation, or national security.
(4) To individuals and organizations, in the course of
enforcement efforts, to the extent necessary to elicit information
pertinent to the investigation, prosecution, or enforcement of civil
or criminal statutes, rules, regulations or orders regarding persons
who may pose a risk to transportation or national security; a risk of
air piracy or terrorism or a threat to airline or passenger safety;
or a threat to aviation safety, civil aviation, or national security.
(5) To a Federal, State, or local agency, where such agency has
requested information relevant or necessary for the hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit.
(6) To the news media in accordance with the guidelines contained
in 28 CFR 50.2, which relate to civil and criminal proceedings.
(7) To the Department of State, or other Federal agencies
concerned with visas and immigration, and to agencies in the
Intelligence Community, to further those agencies' efforts with
respect to persons who may pose a risk to transportation or national
security; a risk of air piracy or terrorism or a threat to airline or
passenger safety; or a threat to aviation safety, civil aviation, or
national security.
(8) To international and foreign governmental authorities in
accordance with law and formal or informal international agreements.
(9) In proceedings before any court, administrative,
adjudicative, or tribunal body before which TSA appears, when (a) TSA
or (b) any employee of TSA in his/her official capacity, or (c) any
employee of TSA in his/her individual capacity where TSA has agreed
to represent the employee, or (d) the U.S. or any agency thereof,
where TSA determines that the proceeding is likely to affect the
U.S., is a party to the proceeding or has an interest in such
proceeding, and TSA determines that use of such records is relevant
and necessary in the proceeding, provided, however, that in each
case, TSA 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.
(10) To airports and aircraft operators, to the extent the
disclosure is deemed required in the interests of transportation
security.
(11) To the National Archives and Records Administration (NARA)
in connection with records management inspections conducted under the
authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
Retaining and Disposing of records in the system:
Storage:
Records are stored on computer at the Office of National Risk
Assessment in a secure facility. The records are stored on magnetic
disc, tape, digital media, and CD-ROM, and may be retained in hard
copy format in secure file folders. The computer system from which
records could be accessed is policy and security based with real-time
auditing.
Retrievability:
Data are retrievable by the name or other identifying information
of the individual, such as flight information.
Safeguards:
Information in this system is safeguarded in accordance with
applicable rules and policies, including the Department's automated
systems security and access policies. The computer system from which
records could be accessed is policy and security based, meaning the
access is limited to those individuals who require it to perform
their official duties. It also maintains real-time auditing of
individuals who access the system. Classified information is
appropriately stored in a secured facility, databases, and containers
and in accordance with other applicable requirements, including those
pertaining to classified documents.
Retention and disposal:
A request is pending for NARA approval for the retention and
disposal of records in this system. For individuals who are deemed to
pose a possible risk to transportation security, TSA is requesting
that those records may be maintained for up to 50 years. For all
other individuals, those records
[[Page 2103]]
will be purged after completion of the individual's air travel to
which the record relates.
System manager(s) and address:
Director, Office of National Risk Assessment, TSA, 400 7th St.,
SW., Washington, DC 20590.
5Notification procedure:
None. Pursuant to 5 U.S.C. 552a(k), this system of records may
not be accessed for purposes of determining if the system contains a
record pertaining to a particular individual.
Record access procedures:
Although the system is exempt from record access procedures
pursuant to 5 U.S.C. 552a(k), U.S. citizens and Permanent Resident
aliens may request access to records containing information they
provided by sending a written request to the System Manager. In the
case of air passengers, this data is contained in the passenger name
record (PNR). The request must identify the system from which the
individual is seeking records, and include a general description of
the records sought, the requester's full name, current address and
date and place of birth. The request must be signed and either
notarized or submitted under penalty of perjury.
Contesting record procedures:
U.S. Citizens or Permanent Resident Aliens who wish to contest,
or seek amendment of, records containing information they provided,
which is maintained in the system, should direct their written
requests to the system manager listed above. Requests should clearly
and concisely state what information is being contested, the
reason(s) for contesting it, and the proposed amendment to the
record. The request must also contain the requester's full name,
current address and date and place of birth. The request must be
signed and either notarized or submitted under penalty of perjury.
Record source categories:
This system contains investigative material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (H) and (I), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(1) and (k)(2).
Transportation Systems Centers
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.
Surface Transportaiton Board
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 Under Secretary for Security and 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.
(k)Transportation Security 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; 67 FR 54746, Aug. 26, 2002]
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 Sec. Sec. 10.35, 10.23(a) and (b), 10.21(d)(1) through (6),
10.81, 10.83, and 10.85, any systems of records, or portions thereof,
which they maintain which consist wholly of;
(1) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition of
criminal charges, sentencing, confinement, release, and parole and
probation status;
(2) Information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; or
(3) Reports identifiable to an individual compiled at any stage of the
process of enforcement of the criminal laws from arrest or indictment
through release from supervision.
(b) The requirements (including general notice) of sections 553(b)(1),
(2) and (3), and (c) and (e) of Title 5, United States Code, will be met
by publication in Appendix A to this part, which must, at a minimum,
specify:
(1) The name of the system; and
(2) The specific provisions of the Act from which the system is to be
exempted and the reasons therefor.
(c) Any decision to exempt a system of records under this section is
subject to concurrence by the General Counsel.
(d) Any person may petition the Secretary in accordance with the
provisions of part 5 of this title, to institute a rulemaking proceeding
for the amendment or repeal of any exemptions established under this
section.
[45 FR 8993, Feb. 11, 1980, as amended at 58 FR 67697, Dec. 22, 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 Sec. Sec. 10.23(c); 10.35(b);
10.41; 10.43; 10.45; 10.21(a) and 10.21(d)(6), (7) and (8), 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 Sec. Sec. 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 Sec. Sec. 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
Sec. Sec. 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]