Unclassified, sensitive.

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.

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.

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.

5 U.S.C. 7121; 5 CFR part 771.

Determine validity of grievance.

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.

Storage:

File folders.

Names of the individuals on whom they are maintained, or by names and local identification of unions.

These records are maintained in lockable metal filing cabinets to which only authorized personnel have access.

These records may be disposed of 3 years after closing of the case. Disposal is by shredding or burning.

Director of Human Resource Management, M-10, United States Department of Transportation, 400 7th Street, SW., Room 7411, Washington, DC 20590

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

Individual on whom the records is maintained. Testimony of witnesses. Agency officials. Related correspondence from organization or persons.

None.

Unclassified, sensitive.

Employee Counseling Service, which provides counseling to the employee. Other Federal, state, or local government, or private sector agency or institution providing counseling services.

Current and former DOT employees who have been counseled or otherwise treated regarding alcohol or drug abuse or for personal or emotional health problems.

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.

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.

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.

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.

Storage:

These records are maintained in file folders.

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.

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.

Records are maintained for three to six years after the employee’s last contact with DOT’s Employee Counseling Services Program.

Director of Personnel, Office of the Secretary, M-10, Department of Transportation, Room 7411, 400 7th Street, SW., Washington, DC 20590.

Contact the DOT Employee Counseling Services Program coordinator who arranged for counseling or treatment.

Same as "Notification Procedure."

Same as "Notification Procedure."

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.

None.

Sensitive, unclassified.

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.

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.

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.

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.

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.

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.

Disclosure to consumer reporting agencies:

Not applicable.

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.

Records are maintained by employee name, social security and FEC case numbers, and regional/location identifiers.

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.

These records are maintained and disposed of in accordance FPMR 101 0911.4, General Records Schedules.

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.

Individuals wishing to know if their records appear in this system of records may inquire in person or writing to the system manager.

Individuals who desire information about themselves contained in this system of records should contact or address their inquiries to the system manager.

Individuals who desire to contest records about themselves contained in this system should contact or address their inquiries to the system manager.

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.

None.

Unclassified, sensitive.

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.

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 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.

5 U.S.C. 301; 49 U.S.C. 322; 31 U.S.C. 3512(b).

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.

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)).

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.

Records are retrieved by employee name and social security number. Retrieval is accomplished by use of telecommunications.

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.

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.

Director, Office of Financial Management (B-30), Office of the Secretary, Office of Financial Management, 400 Seventh Street SW, Washington, DC 20590.

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.

Same as "Notification procedure."

Same as "Notification procedure."

Information is provided by the employee directly or through the DOT Consolidated Uniform Payroll System.

None.

Unclassified, sensitive.

Department of Transportation, Office of the Secretary, Parking and Transit Benefit Office, 1200 New Jersey Ave., SE., Washington, D.C. 20950; Federal Aviation Administration, Transit Benefit Office, 800 Independence Ave., SW, Washington, D.C. 20591.

Federal employees’ who receive transit or bicycle subsidies, who hold parking permits, or are members of carpools and vanpools; applicants for ridesharing information; recipients of match letters for carpooling; applicants for transit subsidies issued by DOT; vanpool operators.

Categories of records in the system include:

The following information about recipients of bicycle or transit subsidies; holders of parking permits, participants in carpools or vanpools; or applicants for ridesharing information:

Full name

Employee identification number (which, depending on the employer, may be the employee’s social security number, the last four digits of the employee’s social security number, or some other identification number used by a Federal agency as an employee’s identification number)

Employer name

Employer’s address

Home address

Business telephone number

Employee’s work email address

Transit provider name, address, and mode of transportation used for commute

Location employee commutes to/from

Number of days employee commutes per month

Subsidy amount

System identifier (number randomly generated by DOT’s system and assigned to files)

Transit card number

Parking permit number

License plate number and issuing state

Parking permit holder payment status (paid/unpaid) and payment information

Bicycle benefit recipients’ itemized lists of expenditures eligible for bicycle benefit

The following information may be collected and maintained about van pool operators:

Full name

Business address

First and last name of individuals who use the van pool

5 U.S.C. 7905; 26 U.S.C. 132; 26 CFR 132f; Executive Order 13150 (April 21, 2001)

The purpose of this system is to collect and maintain information about Federal employees’ and vanpool operators who participate in carpool/vanpool, transit, parking, or bicycle benefit programs in connection with the DOT’s administration of these programs for its and other Federal agency employees.

In addition to those disclosures generally permitted under 5 U.S.C. § 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. § 552a(b)(3) as follows:

To the Federal agency for whom DOT administers a transit benefit program, for purposes of verifying that agency’s employee’s participation in the program, and auditing and verifying disbursements;

To the operators of transit systems or vanpools for purposes of activating, distributing, and verifying benefits;

To the entity that manages the parking facility at the DOT Headquarters in Southeast Washington, D.C., information about individuals who have delinquent daily parking fees for purpose of ensuring eligibility of daily parkers;

To the Department of Treasury’s approved Financial Agent for purposes of distributing transit benefits;

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));

See "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices). Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the Federal Register at 75 FR 82132, December 29, 2010, and 77 FR 42796, July 20, 2012, under "Prefatory Statement of General Routine Uses’’ (available at http://www.dot.gov/privacy/privacyactnotices).

Disclosures 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)).

Storage:

Hard copy or electronically. Hard copies are maintained at the System Manager address.

Records can be retrieved by employer agency name, participant name, or any other identifier in the system

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DOT automated systems security and access policies. Appropriate controls have been imposed to minimize the risk of compromising the information that is being stored. Access to records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate permissions.

Records in this system are retained for three years and then destroyed, in accordance with General Record Schedule 9, Item 7. Source documents provided to DOT by its Federal agencies customers are considered temporary records and are destroyed not more than 120 after of receipt by DOT.

OST Parking and Transit Office, 1200 New Jersey Ave., SE., Washington, D.C., 20950; FAA Transit Benefit Office, 800 Independence Ave., SW, Washington, D.C., 20591.

Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the OST Parking and Transit Office at the contact information provided under "System Manager and Address." FAA employees in the National Capital Region seeking notification of and access to any record contained in this system, or seeking to contest its content, may submit a request in writing to the FAA Transit Benefit Office at the contact information provided under "System Manager and Address."

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 49 CFR Part 10. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Departmental Freedom of Information Act Officer, http://www.dot.gov/foia or 202.366.4542. In addition you should provide the following:

An explanation of why you believe the Department would have information on you;

Identify which component(s) of the Department you believe may have the information about you;

Specify when you believe the records would have been created;

Provide any other information that will help the FOIA staff determine which DOT component agency may have responsive records; and

If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtain from applications submitted by individuals for parking permits, carpool and vanpool membership, ridesharing information, and fare subsidies; from notifications from other Federal agencies in the program; and from periodic certifications or recertifications and reports regarding fare subsidies.

None.

Unclassified, sensitive.

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.

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.

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.

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.

• 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.

• 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.

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.

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.

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.

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.

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.

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.

Same as Notification procedure.

Same as Notification procedure.

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.

None.

Sensitive, unclassified.

Federal Aviation Administration, General Ledger Branch, Mike Monroney Aeronautical Center, and 6500 S. MacArthur Blvd., Oklahoma City, OK 73125.

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.

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.

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.

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.

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.

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.

Records are retrieved by name or Social Security Number.

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.

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.

Department of Transportation, Director, Office of Financial Management, B-30, 400 Seventh Street, SW., Washington, DC 20590.

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.

Same as above.

Same as above.

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.

None.

Unclassified, sensitive.

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.).

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.

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).

49 U.S.C. 322.

The purpose for collecting the data in the IPPS System of Records is to control and facilitate payment of salaries to DOT civilian employees.

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)).

Storage:

Storage is on magnetic disks, magnetic tape, microforms, and paper forms in file folders.

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.

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.

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.

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.

Individuals wishing to know if their records appear in this system of records may inquire in person or in writing to the system manager.

Same as "System manager."

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.

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.

None.

Sensitive.

Department of Transportation, DOT TASC Computer Center, 400 7th Street, SW., Washington, DC 20590-0001

a. All DOT personnel registering to become mentors.

b. All DOT personnel registering to be mentees.

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.

5 U.S.C. 4103.

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.

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.

Storage:

The storage is on a DOT server, with restricted access.

Retrieval from the system is by category (mentor/mentee), and can be accessed by the administrators of the DOT mentoring program database.

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.

Records disposition schedule as developed by the National Archives and Records Administration.

Jan B. Karicher, Departmental Office of Human Resources Management, M-13, Department of Transportation 400 Seventh Street, SW., Washington, DC, 20590-0001.

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.

Individuals may access their own data through Internet, to the DOT HRM Home Page.

NA.

Individual registrants.

None.

Unclassified, sensitive.

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).

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).

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.

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

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.

--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.

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.

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.

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 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.

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.

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.

To determine whether the system may contain records relating to you, write to the System Manager.

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).

Same as "Notification Procedure" and "Record Access Procedure."

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.

None.

Unclassified, non-sensitive.

The system is located in U.S. Department of Transportation, Office of Information Services, Docket Operations, M-30, New Jersey Ave., SE., Room W12-140, Washington, DC 20590.

Individuals who participate in proceedings at DOT that are covered by the Administrative Procedure Act (APA), and who provide information about their identities. These include proceedings conducted by DOT and by the Department of Homeland Security’s U.S. Coast Guard (USCG) and Transportation Security Administration (TSA).

DOT, USCG, and TSA 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.

5 U.S.C. 551 et seq.

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

Storage:

Electronically on a publicly-accessible website.

Documents are retrievable through FDMS by name of individual submitting comment, and by docket number.

Records are freely available to anyone.

Paper copies are returned to the originating office upon transfer to electronic medium. Electronic version is retained indefinitely at the discretion of DOT, USCG, or TSA, as appropriate.

U.S. Department of Transportation, Dockets Program Manager, Office of Information Services, Docket Operations, M-30, 1200 New Jersey Ave., SE., Room W12-140, Washington, DC 20590.

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

Individuals participating in DOT, USCG, or TSA APA proceedings who provide information about their identities.

None.

Unclassified, non-sensitive.

Records are maintained at the Department of Transportation (DOT) in Washington, DC, the Volpe National Transportation Systems Center in Cambridge, Massachusetts, the Transportation Safety Institute in Oklahoma City, Oklahoma and the Saint Lawrence Seaway Development Corporation in Massena, New York.

Members of the public and Department of Transportation and other government agency employees who have requested to receive one-time or periodic mailings from DOT.

Individual name, contact information, title and organization, if applicable, details regarding the requested publication and payment information for those publications for sale.

5 U.S.C. 301; 49 U.S.C. 322.

To provide individuals and other government agencies, at their request, with mailed copies of publicly available information about DOT and its operating administrations’ programs.

(1) The address portion of the records is compared against a master address list of the United States Postal Service to verify valid addresses; (2) to printing services that are contracted by DOT to print and mail the reports and other publications.

Disclosure to consumer reporting agencies:

None.

Storage:

Records are stored manually in file folders and electronically in mailing management system applications and databases.

Records are retrievable by customer number, customer name, customer address, mailing list title and publication ID number.

Access to the system is limited to individuals responsible for distributing mailings of publications and the system administrator through the use of user IDs and passwords. Physical access to the system and manual records is restricted through security guards and access badges to enter the facility where equipment and records are located. Records received in hard copy (e.g., requests submitted by letter or fax) are kept in files stored in locked file cabinets, with access limited to those who conduct the distribution or administer the system.

System records, with the exception of those at the VOLPE center, are retained until either the request has been met, the individual requests removal from the system, or the individual’s address cannot be verified as valid by the United States Postal Service, depending on the database. Payment information associated with publication requests for which there is a charge is retained for 30 days or less. Records maintained at the Volpe center are retained for up to five years.

Office of the Secretary of Transportation Information Services, Department of Transportation, 400 Seventh Street, SW., Washington, DC 20590; Federal Highway Administration Office of Information Management, 400 Seventh Street, SW., Washington, DC 20590; Director, Office of Administration, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142; Director, Transportation Safety Institute, 6500 South MacArthur Blvd., Oklahoma City, Oklahoma 73169; Director, Office of Administration, Saint Lawrence Seaway Development Corporation at 180 Andrews Street, Massena, New York 13662-0520.

Individuals seeking to determine whether their information is contained in this system should address written inquiries to the Department of Transportation Freedom Of Information Act and Privacy Act Office at 400 Seventh Street, SW., Washington DC 20590. Requests should include name, address and telephone number and describe the records you seek.

Same as "Notification procedure."

Same as "System Manager."

Individuals provide their name and mailing address directly as part of the request to obtain copies of publications. These requests are accepted by the Department of Transportation, its operating administrations, and its contractors by telephone, fax, public Web site, postal mail, and e-mail.

None.

Unclassified, non-sensitive.

These records are located at Department of Transportation (DOT) Freedom of Information Act (FOIA) and Privacy Act (PA) offices located in Washington, DC, as well as FOIA Coordination offices at regional locations.

Individuals who submit FOIA and PA requests and administrative appeals to DOT.

This system contains records and related correspondence on individuals who have filed requests for information under the provisions of the Freedom of Information Act and Privacy Act of 1974, including requests for review of initial denials of such requests; copies of requested records and records under administrative appeal.

5 U.S.C. 552, Freedom of Information Act, as amended, and 5 U.S.C. 552a, the Privacy Act of 1974, as amended.

These records are maintained to process individuals’ requests made under the provisions of the Freedom of Information Act and Privacy Act of 1974.

To another Federal agency (a) with an interest in the record in connection with a referral of a Freedom of Information Act (FOIA) request to that agency for its views or decision on disclosure, or (b) in order to obtain advice and recommendations concerning matters on which the agency has specialized experience or particular competence that may be useful to DOT in making required determinations under the FOIA. See also Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Records are stored manually in file folders and electronically in databases.

Records are retrieved by the name of the individual who made the request or FOIA case tracking or control number.

Computer records are maintained in a secure, password protected computer system. Paper records are maintained in lockable file cabinets. All records are maintained in secure, access-controlled areas or buildings.

Records are retained according to the National Archives’ General Records Schedule 14 for FOIA request, appeal, control, reports and administrative files and Privacy Act request, amendment case, accounting of disclosure, control and administrative files.

Freedom of Information Act Officer, Department of Transportation, 400 7th Street, SW., Room 5432, Washington, DC 20590, for all elements of the Department of Transportation except the Federal Aviation Administration; Freedom of Information Act Officer, Federal Aviation Administration, 800 Independence Avenue, Washington, DC 20591.

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

Those individuals who submit initial requests and administrative appeals pursuant to FOIA and PA, the agency records obtained in the process of responding to such requests and appeals, and DOT personnel who handle such requests and appeals.

During the course of a FOIA or PA action, exempt materials from other systems of records may in turn become part of the case records in this system. To the extent that copies of exempt records from those ‘other’ systems of records are entered into the FOIA/PA case file, the same exemptions apply for those records, as are claimed for the original systems of records which they are a part.

Unclassified, sensitive.

This system of record is in the National Business Center, U.S. Department of the Interior, 7301 West Mansfield Avenue, MS D-2400, Denver, CO 80235-2230.

Prospective, present, and former employees in the Office of the Secretary of Transportation, OST; 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; St. Lawrence Seaway Development Corporation, SLSDC; Federal Motor Carrier Safety Administration, FMCSA; Pipeline and Hazardous Materials Safety Administration, PHMSA; Research and Innovative Technology Safety Administration, RITA; and the Surface Transportation Board, STB.

Employee name, Social Security number, and organizational code; pay rate and grade, retirement, and location data; length of service; pay, leave, time and attendance, allowances, and cost distribution records; deductions for Medicare or FICA, savings bonds, FEGLI, union dues, taxes, allotments, quarters, charities, health benefits, and Thrift Savings Fund contributions; awards, shift schedules, pay differentials, IRS tax lien data, commercial garnishments, child support and/or alimony wage assignments; and related payroll and personnel data. Also included is information on debts owed to the Government as a result of overpayment, refunds owed, or a debt referred for collection on a transferred employee. The payroll, attendance, retirement, and leave records described in this notice form a part of the information contained in DOI’s integrated Federal Personnel Payroll System (FPPS). Personnel, but not payroll, records contained in the system are covered under the Government-wide system of records notice published by the Office of Personnel Management (OPM/GOVT-1).

5 U.S.C. 5101, et seq.; 31 U.S.C. 3512.

The purpose for collecting the data in the FPPS System of Records is to control and facilitate payment of salaries to DOT civilian employees.

The primary uses of the records are for fiscal operations for payroll, attendance, leave, insurance, tax, retirement, budget, and cost accounting programs; and to prepare related reports to other Federal agencies including the Department of the Treasury and the Office of Personnel Management. Disclosures outside DOT and DOI may be made:

(1) To the Department of the Treasury for preparation of payroll (and other) checks and electronic funds transfers to Federal, State, and local government agencies, non-governmental organizations, and individuals.

(2) To the Internal Revenue Service and to State, local, tribal, and territorial governments for tax purposes.

(3) To the Office of Personnel Management in connection with programs administered by that office.

(4) To any other Federal agency to which an employee has transferred.

(5) To the Department of Justice, or to a court, adjudicative or other administrative body, or to a party in litigation before a court or adjudicative or administrative body, when:

(a) One of the following is a party to the proceeding or has an interest in the proceeding:

(1) The Department or any component of the Department;

(2) Any Departmental employee acting in his or her official capacity;

(3) Any Departmental employee acting in his or her individual capacity where the Department or the Department of Justice has agreed to represent the employee; or

(4) The United States, when the Department determines that the Department is likely to be affected by the proceeding; and

(b) The Department deems the disclosure to be:

(1) Relevant and necessary to the proceeding; and

(2) Compatible with the purpose for which it compiled the information.

(6) To the appropriate Federal, State, tribal, local or foreign governmental agency that is responsible for investigating, prosecuting, enforcing or implementing a statute, rule, regulation order or license, when the Department becomes aware of an indication of a violation or potential violation of the statute, rule, regulation, order or license.

(7) To appropriate Federal and State agencies to provide required reports including data on unemployment insurance.

(8) To the Social Security administration to report FICA deductions.

(9) To labor unions to report union dues deductions.

(10) To insurance carriers to report withholdings for health insurance.

(11) To charitable institutions to report contributions.

(12) To a Federal agency for the purpose of collecting a debt owed the Federal government through administrative or salary offset.

(13) To provide addresses obtained from the Internal Revenue Service to debt collection agencies for purposes of locating a debtor to collect or compromise a Federal claim against the debtor.

(18) To the Federal Retirement Thrift Investment Board with respect to Thrift Savings Fund contributions.

(19) To disclose debtor information to the Internal Revenue Service or to another Federal agency or its contractor solely to aggregate information for the Internal Revenue Service, to collect debts owed to the Federal Government through the offset of tax refunds.

(20) To disclose the names, social security numbers, home addresses, dates of birth, dates of hire, quarterly earnings, employer identifying information, and State of hire of employees to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services for the purposes of locating individuals to establish paternity, establishing and modifying orders of child support, identifying sources of income, and for other child support enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act (Welfare Reform Law, Pub. L. 104-193).

Disclosure to consumer reporting agencies:

Disclosure 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 Act of 1966 (31 U.S.C. 3701(a)(3)).

Storage:

Records are maintained in manual, microfilm, microfiche, electronic, imaged and computer printout form. Current records are stored on magnetic media at DOI’s central computer processing center; historic records are stored on magnetic media at DOI’s central computer center. Original input documents are stored in standard office filing equipment and/or as imaged documents on magnetic media at all locations which prepare and provide input documents and information for data processing.

Records are retrieved by name, Social Security number, and organizational code.

Access to all records in the system is limited to authorized personnel whose official duties require such access. Paper or micro format records are maintained in locked metal file cabinets in secured rooms. Electronic records are maintained with safeguards meeting the security requirements of 49 CFR 10.3.

The records contained in this system of records have varying retention periods as described in General Records Schedule 2, (available on-line at http://www.nara.gov), issued by the Archivist of the United States, and are disposed of in accordance with the National Archives and Records Administration Regulations, 36 CFR part 1228 et seq.

The following system manager is responsible for the payroll records contained in the Federal Personnel Payroll System (FPPS). Personnel records contained in the system fall under the jurisdiction of the Office of Personnel Management as prescribed in 5 CFR part 253 and 5 CFR part 297: Chief, FPPS Management Division, National Business Center, U.S. Department of the Interior, 7301 West Mansfield Avenue, Denver, CO 80235-2230.

Inquiries regarding the existence of records should be addressed to the System Manager. The request must be in writing, signed by the requester, and meet the content requirements of 49 CFR 10.31.

A request for access may be addressed to the System Manager. The request must be in writing, signed by the requester, and meet the content requirements of 49 CFR 2.63.

A petition for amendment should be addressed to the System Manager.

The request must be in writing, signed by the requester, and meet the content requirements of 49 CFR 10.41.

Individuals on whom the records are maintained, official personnel records of individuals on whom the records are maintained, supervisors, timekeepers, previous employers, and the Internal Revenue Service.

None.

Sensitive, unclassified.

Servers: The Servers hosting OATS are maintained in a secure government facility in Frederick, MD, which is staffed 24 hours a day, 7 days a week.

Portals: Supervisors, modal OATS administrators, and the Departmental Office of Civil Rights’ system manager may access the system via desktop computers that are in the secure DOT computer network.

Employees and applicants who request reasonable accommodation for a disability.

Once a request for accommodation is received by a supervisor/decision maker, the supervisor/decision maker enters the request, including the date it is received, the name of the individual making the request, the type of request made, and other relevant information into OATS.

PII in the system consists of: employee’s or applicant’s name, functional limitation caused by the disability, reasonable accommodation (RA) requested, explanation of how RA would assist the applicant in the application process or the employee in performing his/her job or receiving the benefits and privileges of employment, dates when the required interactive discussions were held, notes from discussion regarding the request, action by deciding official, whether medical documentation was sought, justification for requesting medical documentation, any sources of technical assistance that were consulted, and if the request was denied, the reason for denial (but not medical documentation, which will be kept in a separate file).

Non-PII in the system includes: The employee’s or applicant’s occupational series and grade or pay equivalent, operating administration, division or office, position title, office location and address and office telephone number; and the deciding official’s name, title and office telephone number.

The Rehabilitation Act of 1973, as amended, 29 U.S.C. 791; Executive Order 13164.

The purpose for which the system collects information is to implement government-wide requirements and uniform DOT procedures to track and monitor reasonable accommodation requests. The system makes data available to DOT personnel involved in processing and monitoring reasonable accommodation requests. The system of records will serve as the agency’s record of the administrative events pertaining to the approval or disapproval of each requested accommodation and will provide aggregate data on the number and type of requests and timelines for approving or disapproving the requests.

These records, and the information in these records, may be disclosed outside of DOT as follows:

(1) To a congressional office from the record of an individual in response to an Inquiry from the congressional office made at the request of the individual.

(2) To an authorized appeal grievance examiner, formal complaints examiner, administrative judge, equal employment opportunity investigator, arbitrator or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal filed by an employee.

(3) To another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal agency when the Government is a party to the judicial or administrative hearing.

Other possible routine uses of the information, applicable to all DOT systems, are published in the Federal Register at 65 FR 19476 (April 11, 2000), under "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices/).

Disclosure to consumer reporting agencies:

None.

Storage:

Data files are maintained on servers in a secure government facility located in Frederick, MD 21703, staffed twenty-four hours per day, seven days a week.

Records are retrieved by the date of the reasonable accommodation request, the name of the deciding official, the name of the employee or employment applicant’s name, record number, and operating administration or office.

Designated, approved Federal employees have access to this system according to job roles and responsibilities for use in their respective jobs. These employees are fully aware of the need to keep the information confidential and already have duties in the area of reasonable accommodation. Each supervisor can see only the records that s/he entered.

All IT support staff and contractors are briefed on IT security requirements and associated responsibilities.

Access to the system is controlled by user credentials maintained in a secure database.

All personally identifiable information maintained in the system is encrypted via availability, economics, and solutions technology. The system uses Secure Socket Layer to ensure secure data transmission over the internet. Access to records in OATS is limited to specific DOT personnel. Electronic access to PII is limited according to job function. DOT controls access privileges according to a documented roles matrix, with each individual receiving the minimum necessary access to PII and permissions. In addition, access to PII requires access to a secure site with complex password requirements. Password and account procedures comply with the following basic guidelines:

• Account holders are required to possess a valid DOT email address to use the system.

• All reasonable accommodation requests are protected through a Secure Socket Layer connection.

• Data fields containing the First Name, Last Name, Phone Number, and Email address of the requestor are encrypted in the database.

• Minimum length of passwords is eight characters.

• Passwords must be a combination of letters and numbers.

Records related to specific individuals are to be maintained for the duration of employment. Aggregate data used to track the agency’s performance are to be maintained for five years.

Christy Compton, Disability Program Manager, Departmental Office of Civil Rights, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590.

Individuals or business entities wishing to know if their records appear in this system should direct their requests to the System Manager identified above.

Individuals seeking access to information about them in this system should follow the same procedure as indicated under "Notification Procedure."

Individuals seeking to contest the content of information about them in this system should follow the same procedure as indicated under "Notification Procedure."

Information relating to the accommodation process will be supplied by the individual requesting accommodation(s), the individual’s supervisor, and occasionally the modal OATS Administrator.

None.

Unclassified, sensitive.

The system is housed on a stand-alone desktop in the C[3]RS secure room located in room E36-311 at the Bureau of Transportation Statistics, United States Department of Transportation, 1200 New Jersey Ave., SE., Washington, DC 20590.

Railroad employees who report close calls to BTS, either by telephone or mail, as part of a five-year demonstration/research project are covered by this system of records. These individuals are employees of three rail carriers participating in the C[3]RS demonstration project. The rail carriers are: Union Pacific Railroad, Canadian Pacific Railroad, and New Jersey Transit.

The C[3]RS demonstration project is a research effort to improve safety by using information from close call events to prevent serious accidents in the rail industry. A close call or near miss is an unsafe event with the potential for a more serious incident resulting in greater injury to personnel or damage to equipment above FRA’s reportable threshold level.

Employees can report about a near miss event that happened to their crew or an event they witnessed about another crew (third party reporting). In the case of third party reporting, the employee does not provide any PII information on those involved in the reported close call. Reporting employees are not allowed to make anonymous close call reports.

Records in the C[3]RS system contain information pertinent to an actual close call event submitted to BTS in a C[3]RS report. The following PII data elements are included in every C[3]RS report accepted into the system: The reporting employee’s name, age, job classification, home address, and home and mobile telephone number(s) (if available).

Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), which was enacted August 10, 2005 as Public Law 109-59.

The C[3]RS collects name, home address, and telephone number(s) of railroad employees reporting close calls events to BTS. Qualified BTS/C[3]RS staff will use the contact information as follows:

• The employee’s name and home telephone number will be used to generate and give the employee his/her unique confirmation number, upon receiving the employee’s close call phone message;

• The employee’s name and home telephone number will be used to notify the employee that BTS has received the employee’s C[3]RS report and to schedule an interview time with the employee for further discussion of the close call incident;

• The employee’s name and home telephone number will be used to initiate the close call interview;

• The employee’s name and home address will be used to create and mail out a confirmation/rejection letter notifying the employee about the status of his/her close call report; and

• The employee’s job classification will be used to understand the employee’s role in the close call incident.

BTS does not share PII information collected for the C[3]RS study with other entities. A primary goal of the C[3]RS is to protect the identity of any employee who reports a close call incident to BTS. Reports collected and maintained in the C[3]RS are protected from disclosure as provided in the BTS confidentiality statute (49 U.S.C. 111(k)) and the Confidential Information Protection and Statistical Efficiency Act (CIPSEA) of 2002.

Disclosure to consumer reporting agencies:

None.

Storage:

The C[3]RS Demonstration Project stores all data in an electronic database in a stand-alone desktop computer attached to a non-network printer. The computer and printer are in a secure data collection room. Hard-copy documents (work papers) are stored in the secure room and shredded after project completion.

Records are retrieved from the C[3]RS database by confirmation number, which uniquely identifies individual reports and by employee identification numbers.

All the information BTS obtains, including the PII data, is kept in a secure room in the Department of Transportation Headquarters building in Washington, DC. Only members of the C[3]RS team who have taken confidentiality training and signed a non-disclosure agreement have access to the secure room. The door of the secure room is kept closed during work hours and kept locked when the room is not in use. The stand-alone workstation that contains the database is password protected. All paper working documents are stored in the secure room and shredded immediately after case completion.

The C[3]RS project is a five-year research/feasibility study subject to availability of funds. BTS will retain the entire C[3]RS database for up to ten years after completion of the project (i.e., up to fifteen years total). The system is currently unscheduled; pending approval of a retention schedule by the National Archives and Records Administration (NARA), the records must be kept indefinitely. The retention periods that will be proposed to NARA are as follows: upon project completion, all PII data fields will be destroyed, and all non-PII data will be retired to the Federal Records Center (FRC). The non-PII data will be destroyed 10 years after completion of the study.

C[3]RS Data Collection Officer, Bureau of Transportation Statistics, Research & Innovative Technology Administration, Department of Transportation, 1200 New Jersey Ave., SE., RTS-31, Washington, DC 20590.

Individuals seeking to determine whether their information is contained in this system should address written inquiries to: C[3]RS Data Collection Officer, Bureau of Transportation Statistics, Research & Innovative Technology Administration, Department of Transportation, 1200 New Jersey Ave., SE., RTS-31, Washington, DC 20590. Requests should include name, address and telephone number and a description of the request.

Same as "Notification Procedure."

Same as "Notification Procedure."

Information is obtained directly from the individuals who report close call incidents to BTS.

None.

Unclassified, sensitive.

These records are maintained at all Department of Transportation (DOT) Headquarters offices and field locations, for all DOT components. Locations are available from http://www.dot.gov.

Record subjects are current and former DOT employees, detailees and contractor personnel.

The system includes emergency contact records not covered by OPM/GOVT-1, including but not limited to records that particular DOT offices create for emergency-related programs (such as emergency response, building evacuation and continuity of operations); that DOT supervisors and administrative assistants create for their general office administrative purposes; and that DOT components use to provide mass notifications to employees. The records contain personal contact information for employees, detailees and contractor personnel and for their designated contacts (e.g., relatives, friends), and may include the following personally-identifiable information (PII) about them:

• Personal cell phone number, home telephone number, home fax number, home address, home e-mail address;

• Information about the personnel member’s skills, position, and assignment to or membership on an emergency response team (such as a continuity of operations cadre or a field incident response team), to facilitate their deployment in an emergency;

• Work location information, which may include zip code or geophysical information system data to facilitate mapping of locations where the personnel member is working;

• Special needs information such as medical conditions or mobility requirements (such information is not routinely collected but may be included if a personnel member provides it voluntarily); and

• The personnel member’s relationship to any third-party contacts he or she designates.

The National Security Act of 1947, as amended; the Homeland Security Act of 2002 (Pub. L. 107-296), dated November 25, 2002; Executive Order 12148, Federal Emergency Management, dated July 20, 1979, as amended; Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, dated November 18, 1988, as amended; Executive Order 13286, Establishing the Office of Homeland Security, dated February 28, 2003.

Emergency contact records are used by DOT human resources specialists, security, safety and emergency response coordinators, members of emergency response teams and other work units, and supervisors and administrative assistants, on a need to know basis, for the reasons such as the following:

• To identify and locate emergency personnel to work during emergencies, office dismissal or closure situations;

• To identify and locate mission-critical emergency personnel to participate in continuity of operations exercises and to provide continuity of operations during national security, natural disaster, pandemic flu and similar situations;

• To account for and maintain communication with personnel during an office closure, building evacuation, natural disaster, pandemic flu or other office emergency (e.g., to make telework or leave arrangements), or to contact them about an urgent work matter (e.g., during off-duty hours);

• To notify designated third-party contact(s) to help locate a personnel member who is absent without leave, or to assist a personnel member in an evacuation or if he or she is injured, ill or incapacitated at work; and

• To deliver an identical automated message to all of the component’s or office’s personnel, alerting them to conditions such as power outages, road closings and extreme weather.

Any special needs, medical condition or similar information contained in the records is maintained and used in accordance with relevant provisions of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 791, et seq., and implementing regulations at 29 CFR parts 1614 and 1630, and the Genetic Information Nondiscrimination Act of 2008 at 42 U.S.C. 2000ff et seq..

Contractor personnel and detailees assisting DOT may have access to and use information in these systems; for example, DOT may use contractors to provide emergency notification and communication services or system administrative services for databases containing the records.

DOT shares contact information about emergency personnel and mission-critical emergency personnel who are assigned to DOT emergency-related programs with Federal, State and local governmental agencies or executive offices, relief agencies, 501c3s, and non-governmental organizations, when disclosure is appropriate for proper coordination of security, protective, and other official operations and functions in response to or in preparation for emergency situations.

Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the Federal Register at 65 FR 19476 (April 11, 2000), under "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices).

Disclosure to consumer reporting agencies:

None.

Storage:

Electronic databases and paper file folders.

Records may be retrieved by the individual record subject’s name, location, telephone number, special identification numbers or codes assigned only for these records, and/or other personal identifier.

Only personnel with a need to know are authorized to access the records. Access to electronic records is controlled by password and limited according to job function. Personnel may be allowed access to their own entries, to edit or update them. Access to hard-copy records is controlled by lock and key or by access to a secure area.

Pursuant to General Records Schedule 18, Item 27, contact records maintained for emergency-related programs are destroyed 3 years after issuance of a new emergency plan or directive. Pursuant to General Records Schedule 1, Item 18, other emergency contact records (such as those maintained by supervisors and administrative assistants) are destroyed when superseded or obsolete or within one year after separation or transfer of the personnel member.

The DOT Office of Intelligence, Security and Emergency Response, the Human Resources Office, the Head of the individual record subject’s employing office, or the supervisor or administrative assistant for the work group or unit.

At any time, the record subject (the individual personnel member) may contact the System Manager to request access to review his or her personal information in the system and request changes, as appropriate. A requester must provide suitable identification and may be required to sign a written request, including but not limited to the requester’s name, mailing address, telephone number and/or e-mail address, a description of the records requested, and a sworn statement (either a signed, notarized statement or a statement signed under penalty of perjury) that the requester is the individual who he or she claims to be.

Same as indicated under "Notification procedure."

Same as indicated under "Notification procedure."

Individual personnel members provide their own emergency contact information. Supervisors designate employees to serve as emergency employees or mission critical emergency employees. Emergency personnel, security specialists, human resources specialists, supervisors and administrative assistants may provide other information (e.g., skill data, work location information, job titles, occupational code/series, and information that describes the emergency response group or work unit to which the individual is assigned).

None.

Unclassified, sensitive, and law enforcement sensitive.

Records are maintained at the Department of Transportation (DOT) Headquarters on the DOT Nationwide Suspicious Activity Report Initiative (NSI) Shared Space Server in Washington, DC.

Categories of individuals covered by this system include:

• DOT employees and contractors who have submitted ISE-SAR data to the NSI Shared Space.

• DOT employees and contractors who use the NSI Shared Space for conducting research and analysis with a potential terrorism nexus.

• Federal, State, local, Tribal, territorial and private sector officials whose agency or organization is part of the NSI and have submitted a ISE-SAR that meets the ISE-SAR Functional Standard and whose information DOT personnel have a need to know for the performance of their official duties.

• Federal, State, local, Tribal, territorial, and private sector officials whose agency or organization is an NSI participant and who use the NSI Shared Space for conducting research and analysis with a potential terrorism nexus.

• Individuals whose behavior is reasonably indicative of pre-operational planning related to terrorism or other criminal activity associated with terrorism.

• Witnesses who have observed individuals whose behavior reasonably is indicative of pre-operational planning related to terrorism or other criminal activity associated with terrorism.

• Individuals who have a material relationship to the activity or behavior reported in an ISE-SAR (e.g., the owner of a particular vehicle that was observed in a SAR, where it is unclear whether the person was actually driving the vehicle).

As described in the ISE-SAR Functional Standard Version 1.5 published in May 2009, the information listed below may be maintained in this system. The ISE-SAR Functional Standard identifies privacy fields, which are also noted below.

• Aircraft descriptions, including:

○ Aircraft engine quality.

○ Aircraft fuselage color.

○ Aircraft wing color.

○ Aircraft ID (privacy field).

○ Aircraft make code.

○ Aircraft model code.

○ Aircraft style code.

○ Aircraft tail number.

• Attachment:

○ Attachment type text.

○ Binary image.

○ Capture date.

○ Description text.

○ Format type text.

○ Attachment URI.

○ Attachment privacy field indicator.

• Contact information for the submitter of the ISE-SAR:

○ Person first name.

○ Person last name.

○ Person middle initial/name.

○ E-mail address.

○ Organization/Affiliation.

○ Full telephone number.

• Driver License:

○ Expiration date (privacy field).

○ Expiration year.

○ Issuing authority text.

○ Driver license number (privacy field).

○ Driver license endorsements, such as Hazardous Materials, Commercial Driver’s License, Motorcycle.

• Follow-up Action:

○ Activity date.

○ Activity time.

○ Assigned by text.

○ Assigned to text.

○ Disposition text.

○ Status text.

• Location:

○ Location description (privacy field).

• Location Address:

○ Building description.

○ County name.

○ Country name.

○ Cross street description.

○ Floor identifier.

○ International Civil Aviation Organization (ICAO) airfield code for departure.

○ ICAO airfield code for planned destination.

○ ICAO for actual destination.

○ ICAO airfield for alternate.

○ Mile marker text.

○ Municipality name.

○ Postal code.

○ State name.

○ Street name.

○ Street number (privacy field).

○ Street post directional.

○ Street pre directional.

○ Street type.

○ Unit ID (privacy field).

• Location Coordinates:

○ Altitude.

○ Coordinate datum.

○ Latitude degree.

○ Latitude minute.

○ Latitude second.

○ Longitude degree.

○ Longitude minute.

○ Longitude second.

○ Conveyance track/intent.

• Observer:

○ Observer type text.

○ Person employer ID (privacy field).

• Owning organization:

○ Organization item.

○ Organization description.

○ Organization ID (privacy field).

○ Organization Local ID.

• Other Identifier:

○ Person identification number (PID) (privacy field).

○ PID effective date (privacy field).

○ PID effective year.

○ PID expiration date (privacy field).

○ PID expiration year.

○ PID issuing authority text.

○ PID type code.

• Passport:

○ Passport ID (privacy field).

○ Expiration date (privacy field).

○ Expiration year.

○ Issuing country code.

• Person:

○ AFIS FBI number (privacy field).

○ Age.

○ Age unit code.

○ Date of birth (privacy field).

○ Year of birth.

○ Ethnicity code.

○ Maximum age.

○ Minimum age.

○ State identifier (privacy field).

○ Tax identification number (privacy field).

• Person Name:

○ First name (privacy field).

○ Last name (privacy field).

○ Middle name (privacy field).

○ Full name (privacy field).

○ Moniker (privacy field).

○ Name suffix.

○ Name type.

• Physical descriptors:

○ Build description.

○ Eye color code.

○ Eye color text.

○ Hair color code.

○ Hair color text.

○ Person eyewear text.

○ Person facial hair text.

○ Person height.

○ Person height unit code.

○ Person maximum height.

○ Person minimum height.

○ Person maximum weight.

○ Person minimum weight.

○ Person sex code.

○ Person weight.

○ Person weight unit code.

○ Race code.

○ Skin tone code.

○ Clothing description text.

• Physical feature:

○ Feature description.

○ Feature type code.

○ Location description.

• Registration:

○ Registration authority code.

○ Registration number (privacy field).

○ Registration type.

○ Registration year.

• ISE-SAR Submission:

○ Additional details indicator.

○ Data entry date.

○ Dissemination code.

○ Fusion center contact first name.

○ Fusion center contact last name.

○ Fusion center contact e-mail address.

○ Fusion center contact telephone number.

○ Message type indicator.

○ Privacy purge data.

○ Privacy purge review date.

○ Submitting ISE-SAR Record ID.

○ ISE-SAR submission date.

○ ISE-SAR title.

○ ISE-SAR version.

○ Source agency case ID.

○ Source agency record reference name.

○ Source agency record status code.

○ Privacy information exists indicator.

• Sensitive Information Details:

○ Classification label.

○ Classification reason text.

○ Sensitivity level.

○ Tearlined indicator (information that indicates the report does not contain classified information).

• Source Organization:

○ Organization name.

○ Organization ORI.

○ System ID.

○ Fusion center submission date.

○ Source agency contact first name.

○ Source agency contact last name.

○ Source agency contact e-mail address.

○ Source agency contact phone number.

• Suspicious Activity Report:

○ Community description.

○ Community URI.

○ LEXS version.

○ Message date/time.

○ Sequence number.

○ Source reliability code.

○ Content validity code.

○ Nature of source-code.

○ Nature of source-text.

• Submitting organization:

○ Organization name.

○ Organization ID.

○ Organization ORI.

○ System ID.

• Suspicious Activity:

○ Activity end date.

○ Activity end time.

○ Activity start date.

○ Activity start time.

○ Observation description text.

○ Observation end date.

○ Observation end time.

○ Observation start date.

○ Observation start time.

○ Threat type code.

○ Threat type detail text.

○ Suspicious activity code.

○ Weather condition details.

• Target:

○ Critical infrastructure indicator.

○ Infrastructure sector code.

○ Infrastructure tier text.

○ Structure type code.

○ Target type text.

○ Structure type text.

○ Target description text.

• Vehicle:

○ Color code.

○ Description.

○ Make name.

○ Model name.

○ Style code.

○ Vehicle year.

○ Vehicle identification number (privacy field).

○ US DOT number (privacy field).

○ Vehicle description.

• Related ISE-SAR:

○ Fusion center ID.

○ Fusion center ISE-SAR Record ID.

○ Relations description text.

• Vessel:

○ Vessel official Coast Guard number identification (privacy field).

○ Vessel ID (privacy field).

○ Vessel ID issuing authority.

○ Vessel IMO number identification (privacy field).

○ Vessel MMSI identification.

○ Vessel make.

○ Vessel model.

○ Vessel model year.

○ Vessel name.

○ Vessel hailing port.

○ Vessel national flag.

○ Vessel overall length.

○ Vessel overall length measure.

○ Vessel serial number (privacy field).

○ Vessel type code.

○ Vessel propulsion text.

The Homeland Security Act of 2002, as amended; and the Intelligence Reform and Terrorism Prevention Act of 2004, as amended; Executive Order 13388.

The ISE-SAR Functional Standard is designed to support the sharing, specifically through the NSI, of information about suspicious activities that have a potential terrorism nexus throughout the ISE. The NSI participants include DOT; the Department of Justice; other Federal agencies carrying out counterterrorism mission function; State, local, and Tribal entities, including law enforcement agencies, represented at State, regional, major urban area fusion centers; and the private sector to the extent authorized by applicable law. In addition to providing specific indicators of possible terrorism-related crimes, ISE-SARs can be used to look for patterns and trends by analyzing information at a broader level than would typically be recognized within a single jurisdiction, State, or territory. Standardized and consistent sharing of suspicious activity information regarding potential terrorist threats and possible criminal activity associated with terrorism among State and major urban area fusion centers and Federal agencies is vital to assessing, deterring, preventing, or prosecuting those involved in criminal activities associated with terrorism.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

A. To the Department of Justice (including United States Attorney Offices) or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DOT or any operating administration thereof;

2. Any employee of DOT in his/her official capacity;

3. Any employee of DOT in his/her individual capacity where DOJ or DOT has agreed to represent the employee; or

4. The United States or any agency thereof, is a party to the litigation or has an interest in such litigation, and DOT determines that the records are both relevant and necessary to the litigation and the use of such records is compatible with the purpose for which DOT collected the records.

B. To a congressional office from the record of an individual in response to an inquiry from that congressional office made at the request of the individual to whom the record pertains.

C. To the National Archives and Records Administration or other Federal government agencies pursuant to records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906.

D. To an agency, organization, or individual for the purpose of performing audit or oversight operations as authorized by law, but only such information as is necessary and relevant to such audit or oversight function.

E. To appropriate agencies, entities, and persons when:

1. DOT suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;

2. The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DOT or another agency or entity) or harm to the individuals that rely upon the compromised information; and

3. The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DOT efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

F. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for DOT, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DOT officers and employees.

G. To an appropriate Federal, State, Tribal, local, international, or foreign law enforcement agency or other appropriate public or private sector organization who is a participant in the Nationwide SAR Initiative and authorized access through the NSI Shared Space for the purpose of supporting an authorized law enforcement, counterterrorism, national security, or homeland security function.

H. To Federal government counterterrorism agencies where DOT becomes aware of an indication of a threat or potential threat to national or international security, and where such use is to assist in anti-terrorism efforts.

I. To an organization or individual in either the public or private sector, either foreign or domestic, where there is a reason to believe that the recipient is or could become the target of a particular terrorist activity or conspiracy, to the extent the information is relevant to the protection of life, property or other vital interests of a data subject and disclosure is proper and consistent with the official duties of the person making the disclosure.

J. See DOT Prefatory Statement of General Routine Uses published in the Federal Register on December 29, 2010 (75 FR 82132).

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically. The records are stored on magnetic disc, tape, digital media, and CD-ROM.

Much of the data within this system does not pertain to an individual; rather, the information pertains to locations, geographic areas, facilities, and other things or objects not related to individuals. However, personal information may be captured. Personal data may be retrieved by name, Social Security number, any privacy fields noted under Categories of Records, and other identifiers listed under the Categories of Records section.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DOT automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

DOT is in the process of developing a retention schedule for DOT ISE-SAR data. This retention schedule will be based upon the underlying retention schedules of the information identified in existing operating administrations’ retention schedules. DOT operating administrations maintain the authority to withdraw and/or edit any and all ISE-SAR data that they have entered into the NSI Shared Space in accordance with their respective policies. The NSI Shared Space does not have any internal retention mandates independent of the retention policies of the DOT operating administrations that enter their information into the NSI Shared Space.

Lawrence V. Hopkins, (202) 366-6285), Associate Director for Intelligence, Department of Transportation, Washington, DC 20590.

The Secretary of Transportation has exempted this system from the notification, access, and amendment procedures of the Privacy Act because it is a law enforcement system. However, DOT will consider individual requests to determine whether or not information may be released. Thus, individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the appropriate FOIA Requester Service Center, for which contact information can be found at http://www.dot.gov/foia under "Contact Us."

When seeking records about yourself from this system of records or any other Departmental system of records, your request must conform with the Privacy Act regulations set forth in 49 CFR part 10. You must verify your identity by providing either a notarized statement or a statement signed under penalty of perjury stating that you are the person that you say you are. You may fulfill this requirement by: (1) Having your signature on your request letter witnessed by a notary; or (2) including the following statement immediately above the signature on your request letter: "I declare under penalty of perjury that the foregoing is true and correct. Executed on [date]." If you request information about yourself and do not follow one of these procedures, your request cannot be processed.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from ISE-SARs submitted by Federal, State, local, Tribal, and territorial agencies and private sector organizations who are NSI participants. The respective mission sets of DOT operating administrations are varied and entail coverage across multiple modes. DOT operating administrations use a standardized technical approach across the Department to incorporate SAR data into the NSI Shared Space. DOT personnel, trained in the ISE-SAR program, will review operating administration SARs and submit only those SAR data that meet the ISE-SAR Functional Standard to the NSI Shared Space.

The Secretary of Transportation has exempted this system from the following subsections of the Privacy Act, 5 U.S.C. 552, to the extent that this system contains investigatory material compiled for law enforcement purposes, in accordance with 5 U.S.C. 552a(k)(2): a(c)(3) (Accounting of Certain Disclosures); (d) (Access to Records); (e)(4)(G), (H), and (I) (Agency Requirements); and (f) (Agency Requirements).

Unclassified, sensitive.

Records are maintained by the DOT Departmental Office of Civil Rights, and DOT component civil rights offices. The electronic records systems are maintained on a server that is physically located at a contractor facility in Sterling, Virginia. The server is hosted and maintained by Micropact Engineering, Inc., headquartered in Herndon, Virginia. The system owner is the Departmental Office of Civil Rights (DOCR), S-30, U.S. Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room W78-320, Washington, DC 20590.

Members of the public (including DOT employees filing complaints pursuant to sections 504 and 508 of the Rehabilitation Act of 1973, as amended) who have submitted inquiries, complaints, or appeals to DOT, alleging discrimination by DOT or by third parties pertaining to DOT Federally-assisted or DOT Federally-conducted programs or activities; individuals who are the subjects of external civil rights inquiries, complaints and appeals; and witnesses who are interviewed concerning same.

Records of civil rights discrimination inquiries, complaints, and appeals received by DOT from members of the public, DOT employees, small businesses or representatives of these groups; records compiled during the investigation of the complaints and appeals; and records of responsive actions taken by DOT, including complaint information, statements, exhibits, reports and correspondence; records concerning applications for certification as a disadvantaged business enterprise, including business name, contact information, and name of business owners. The records may contain the following personally identifiable information (PII):

• Personal contact information for individual complainants, complaint subjects, DBE appellants, and/or witnesses who are involved in particular discrimination claims, such as name, home address, email address, and home telephone number;

• Identification information and descriptive details about individual complainants, such as the last four digits of the complainant’s Social Security Number, date of birth, race, color, national origin, sex, religion, age (40 or over), disability, sexual orientation, parental status, and/or genetic information; and

• Financial information pertaining to individual owners of small businesses that have been denied "disadvantaged business enterprise" (DBE) certification.

42 U.S.C. 2000d et seq., § 12101 et seq., 42 U.S.C. 6101 et seq.; 29 U.S.C. 794, 749d; 49 U.S.C. 47113; and Executive Order 13160.

DOT Civil Rights personnel use the contact information, identification information, and descriptive details to document, investigate, and respond to civil rights complaints, inquiries, and DBE appeals, and to conduct reviews of Federally-funded recipients to assess their compliance with civil rights laws. In DBE appeal cases, DOT/DOCR staff use financial information when necessary to make personal net worth determinations about sole proprietors claiming DBE status. DOT may utilize contractors to assist with certain tasks; for example, contractors may help DOCR analyze financial information for personal net worth determinations in DBE appeal cases.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records of information contained in this system may be disclosed outside of DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3), as follows:

A. To the United States Department of Justice (DOJ), including United States Attorneys Offices, or other Federal agency conducting litigation or in proceedings before any court, adjudicative or administrative body, when it is necessary to the litigation and one of the following is a party to the litigation or has an interest in such litigation:

1. DOT or any component thereof;

2. Any employee of DOT in his/her official capacity;

3. Any employee of DOT in his/her individual capacity where the DOJ or DOT has agreed to represent the employee; or

4. The United States, or any agency thereof, is a party to the litigation or has an interest in such litigation and DOT determines that the records are both necessary and relevant to the litigation and the use of such records is compatible with the purpose for which DOT collected the records.

B. To recipients of Federal financial assistance, witnesses, or consultants if necessary to assist DOCR in resolving civil rights complaint or in obtaining additional information or expert advice relevant to the investigation of a civil rights complaint.

C. To an adjudicative body before which DOT or one of its components is authorized to appear or to an individual or entity designated by the DOT or otherwise empowered to resolve or mediate disputes to the extent that the disclosure is necessary and relevant to the litigation or alternative dispute resolution (ADR).

D. To a party, counsel, representative or witness in a litigation or ADR if relevant and necessary to the litigation or ADR.

E. To a congressional office in response to an inquiry from that congressional office made at the request of the individual to whom the record pertains.

F. To the National Archives and Records Administration (NARA) or other Federal government agencies pursuant to records management inspections being conducted under the authority of Title 44 of the United States Code.

G. To an agency, organization, or individual for the purpose of performing audit or oversight operations authorized by law, but only to the extent that such information is necessary and relevant to the audit of oversight function.

H. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant, cooperative agreement or other assignment for DOT, when necessary to accomplish and agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to DOT officers and employees.

I. To another Federal agency with responsibility for labor or employment relations or other issues, including Equal Employment Opportunity issues, when that agency has jurisdiction over issues reported to the DOT Departmental Office of Civil Rights, or component civil rights and civil liberties staff, and staff of components who do not have a designated civil rights and civil liberties office, but who perform related functions.

J. To States, DOT Federal-funding recipients, and members of the public, the following information regarding entities determined ineligible for DBE certification: Business name, the business owner(s), type and date of the denial, and name of the entity that made the decision.

K. See "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices).

Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the Federal Register at 75 FR 82132, December 29, 2010, under "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices).

Disclosure to consumer reporting agencies:

None.

Storage:

Records are maintained in an electronic database and in paper files. Certain records are maintained only in paper files (for example, financial documents, photographs, and audio recordings).

Records are retrieved by the complainant’s, inquirer’s, or DBE appellant’s name or case number, address, telephone number, or email address.

Electronic files are stored in secure, password-protected databases. Users must sign a Rules of Behavior document prior to being granted access to the electronic systems. Any paper files and system-generated reports containing PII are labeled as containing PII and are stored in locked file cabinets and/or in a locked file room. Only the System Administrator and authorized Civil Rights personnel in DOCR and in each DOT component are allowed access to the files, and on a "need-to-know" basis.

DOT is preparing a new records disposition schedule (Standard Form 115) for submission to the National Archives and Records Administration (NARA), which will include the following proposed retention periods:

• General Information: Destroy/delete 3 years after inquiry date, unless needed longer for legal or audit purposes.

• Complaints and DBE Appeals: Destroy/delete 5 years after final decision, unless needed longer for legal or audit purposes. A redacted copy of the final decision (with PII removed) may be retained longer for reference purposes.

• De-certifications and Denials: Delete immediately if decision to de-certify or deny certification is reversed or rescinded.

Director, Departmental Office of Civil Rights (DOCR), S-30, U.S. Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room W78-320, Washington, DC 20590.

At any time, an individual inquirer, complainant, or DBE appellant may contact the System Manager to request access to review his or her personal information in the system and request changes, as appropriate. During the pendency of the investigation, DOT may deny the individual access to the investigation files if necessary to avoid compromising the investigation. The investigator may require that the request be submitted in writing and include the requester’s name, mailing address, telephone number, and/or email address, a description of the records requested, and a sworn statement (either a notarized statement or a statement signed under penalty of perjury) that the requester is the individual who he or she claims to be.

Same as indicated under "Notification procedure."

Same as indicated under "Notification procedure."

Information is obtained from individuals making inquiries; correspondents; complainants; complaint subjects; DBE appellants; interviewees; investigation reports; and review of records.

Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a), because this system will contain investigatory material compiled for law enforcement purposes, a Notice of Proposed Rulemaking (NPRM) is pending to revise DOT’s Privacy Act regulations (49 CFR part 10, Appendix, part II) to exempt this system from the requirements of the following Privacy Act subsections, for the reasons stated in the proposed revision: (c)(3) (Accounting of Certain Disclosures), (d) (Access to Records), (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules) to the extent that DOCRS contains investigatory material compiled for law enforcement purposes.

Unclassified.

Records are maintained at the Department of Transportation and in component offices of the Department of Transportation in both Washington, DC and field offices.

Any individual, including Department of Transportation senior leadership, past and present, whose biographical information is collected and distributed by DOT.

Categories of records in the system may include but are not limited to:

• Individual’s name;

• Individual’s place of birth;

• Individual’s photo;

• Individual’s work history and experience;

• Individual’s education;

• Individual’s military experience;

• Individual’s civil duties and awards;

• Individual’s hometown;

• Individual’s other relevant areas of information that may be collected and distributed to the public.

5 U.S.C. 301; The Federal Records Act, 44 U.S.C. 3101; 49 U.S.C. 301

The purpose of this system is to collect biographical information of individuals, primarily DOT employees and senior leadership, in order to provide information to the media and the public.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

1. To individuals or organizations, both public and private, for the purpose of introduction at speaking engagements, meetings and other events;

2. To professional societies, civil clubs, industrial and other organizations, Federal, state and local government agencies, representatives of the news media, researchers, authors, Congress, and members of the public by posting such information on the Internet or in DOT publications to further of DOT mission and activities;

3. To professional societies, civil clubs, industrial and other organizations, state and local governments, representatives of the news media, and other Federal, state and local government agencies for publications related to DOT’s mission and activities;

4. See "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices). Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the Federal Register at 75 FR 82132, December 29, 2010, and 77 FR 42796, July 20, 2012 (available at http://www.dot.gov/privacy).

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically and/or on paper in secure facilities. Electronic records may be stored on magnetic disc, tape, digital media, and CD-ROM.

Records may be retrieved by individual’s name.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DOT automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

DOT is preparing a new records disposition schedule (Standard Form 115) for submission to the National Archives and Records Administration (NARA), which will include the following proposed retention periods: Records at the executive level (e.g. Secretary, Deputy Secretary, and Chief of Staff) are permanent. These records are cut off when superseded or obsolete, and are transferred to NARA one year after cut off. Other records will be retained for two years from the date of collection and then disposed.

DOT will retain all records until a disposition schedule is approved by NARA.

For office of the secretary components of DOT, the system manager is the Director, Public Affairs, Department of Transportation, 1200 New Jersey Ave. SE., Washington, DC, 20590. For Operating Administrations of DOT, the System Manager can be found at http://www.dot.gov/briefingroom under "Press Offices."

Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the modal Privacy Officer where the records are kept whose contact information can be found at http://www.dot.gov/foia under "Contact Us." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Departmental Freedom of Information Act Office, U.S. Department of Transportation, Room W94-122, 1200 New Jersey Ave. SE., Washington, DC 20590, ATTN: FOIA request.

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 49 CFR part 10. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Freedom of Information Act Officer, http://www.dot.gov/foia or 202.366.4542. In addition you should provide the following:

An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DOT component agency may have responsive records; and

If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from DOT employees and other individuals who are the subject of such records. Collection and use of all records is voluntary and individuals may decline from providing such information for the purposes described within this notice.

None.

Unclassified--sensitive.

United States Coast Guard, Human Resources Service and Information Center, 444 SE Quincy St., Topeka, KS 66683-3591. District Offices and other Field Units.

Coast Guard Reservists.

Master Pay and Retirement Point Credits Record. Master Personnel Data Accounting Record.

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

Prepare monthly payroll and all associated listings.

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)).

Storage:

Microfilm of payroll retained in Reserve Pay Branches and Districts. Records are filed manually in filing cabinets.

Alphabetically by name of Reservist and CG Unit Number.

Access is regularly limited to user staff members. Records are stored in secured building after duty hours.

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.

Commandant, G-WT, Director, Reserve and Training Directorate, United States Coast Guard, 2100 2nd Street, SW., Washington, DC 20593-0001.

Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

Same as "Notification procedure".

Same as "Notification procedure".

District Commander and Office of Reserve, Individual Unit Commanding Officers.

None.

Unclassified--sensitive.

United States Coast Guard, CG, Human Resources Service and Information Center, 444 SE. Quincy St., Topeka, KS 66683-3591.

Annuitants. Lighthouse Keeper Retirees. Honorary Retirees. USCG Retirees.

Pay and Personnel data of military retirees, annuitants, lighthouse keepers and retirees. Personnel data of honorary retirees. Accounts receivable and accounts payable.

5 U.S.C. 301, 10 U.S.C. 421-424, 1201, 1401; 14 U.S.C. 632; 49 CFR 1.45, 1.46.

Make payments.

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)).

Storage:

Records are filed manually in file folders. Microfilm is stored in the retired pay branch. Check tapes are filed in tape library.

Records and microfilm are indexed alphabetically, check tapes are indexed by tape number. Retrieved by name/number.

Access is regularly limited to user staff members under supervisory control. Stored in government building having roving security guard after duty hours.

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.

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.

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.

Same as "Record access procedures".

Individuals, Coast Guard personnel and payroll offices.

None.

Unclassified--sensitive.

Commandant, G-O-CGIS, United States Coast Guard Headquarters, CG, 2100 2nd Street, SW., Washington, DC 20593-0001. District Offices.

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.

Applications for port security cards awaiting processing. Processed applications indicating those granted or denied port security cards.

5 U.S.C. 301; 14 U.S.C. 2, 91, 632; 33 CFR 125; 49 CFR 1.45, 1.46.

Determine eligibility for issuance of Port Security Cards.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper files, 3x5 cards.

By name.

Maintained in file cabinets in secure areas. Personnel are screened prior to granting access.

Retained for 8 years, then destroyed by mutilating, shredding or burning.

Commandant, G-O, Chief, Operations, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

Same as `Notification Procedure’ or the local Coast Guard District or unit office.

Same as "Record access procedures."

Individual applications. National Agency checks. Other records already at Coast Guard Headquarters, if any.

Portions of this system of records may be exempt from disclosure under the provisions of 5 U.S.C. 552a(k)(2).

Unclassified--sensitive.

United States Coast Guard, Commanding Officer Human Resources Service and Information Center, 444 SE Quincy St., Topeka, KS 66683-3591.

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.

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.

5 U.S.C. 301; 14 U.S.C. 92(I), 632; 49 CFR 1.45, 1.46.

Produce a number of personnel reports used throughout the Coast Guard.

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)).

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.

Name or Social Security Number or a combination of personal and non-personal characteristics.

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.

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.

Commandant, G-WP, United States Coast Guard Headquarters, Director, Personnel Management Directorate, 2100 2nd Street, SW., Washington, DC 20593-0001.

Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

Same as "Notification procedure".

Same as "Notification procedure".

Official service record entries prepared by field units.

None.

Classified.

United States Coast Guard, Operations Systems Center, Martinsburg, WV 25401.

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.

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.

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.

Maintaining suspect lists, enforcing United States laws dealing with items such as counter narcotics, fisheries, and boating safety.

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.

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.

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.

JMIE has its own approved System Security Plan.

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.

Chief, Office of Law Enforcement and Defense Operations, United States Coast Guard, 2100 Second Street, SW., Washington, DC 20593-0001 ATTN: JMIE Program Manager.

Commanding Officer, United States Coast Guard Operations Systems Center, Martinsburg, WV 25401.

Same as "Notification procedure".

Same as record access procedure.

Federal, State and local law enforcement agencies, other Federal agencies.

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.

Unclassified--sensitive.

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.

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.

Mobilization and qualification cards and orders. Initial, Annual, and Retired Screening and Qualification Questionnaires.

5 U.S.C 301; 10 U.S.C 10207, 12301, 12321; 14 U.S.C 632; 49 CFR 1.45, 1.46.

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.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Records maintained on paper, punched cards and magnetic tape.

Name and/or social security account number.

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.

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.

Commandant, G-WT, United States Coast Guard Headquarters, Director, Reserve and Training Directorate, 2100 2nd Street, SW., Washington, DC 20593-0001.

Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

Same as "Notification procedure."

Same as "Notification procedure."

The individual, CG Headquarters and CG District Offices.

None.

Unclassified--sensitive.

Commandant, G-WT, Director, Reserve and Training Directorate, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

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.

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.

5 U.S.C. 301; 10 U.S.C. 12301-12321; 14 U.S.C. 632; 49 CFR 1.45, 1.46.

Personnel administration of individual reservists and the overall management of the reserve program.

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)).

Storage:

The storage is on computer disks with magnetic tape backups. The file is updated weekly.

By Social Security Number.

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.

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.

Commandant, G-WT, Director, Reserve and Training Directorate, United States Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

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.

Same as "Notification procedure."

Same as "Notification procedure."

The individual, Coast Guard Headquarters and district offices, and the various operating units of the Coast Guard.

None.

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.

Aircraft Registration Branch, Federal Aviation Administration, Mike Monroney Aeronautical Center, Oklahoma City, OK 73125.

FAA UAS Registration Service is a contractor managed system and the records are located by the contract manager: Aircraft Registration Branch, Federal Aviation Administration, Mike Monroney Aeronautical Center, Oklahoma City, OK 73125.

FAA ADS-B CM database, the GA ADS-B Rebate application database, the ADS-B/TIS-B/FIS-B Problem Report database, and associated records are located at FAA William J. Hughes Technical Center. 101 Atlantic City International Airport, Egg Harbor Township, New Jersey 08405.

Aircraft owners, lien holders, and lessees.

Aircraft Registration Numbers; Aircraft manufacturer name, model, serial numbers, Registered owner name, address, email, telephone number; Registration Information: (status: pending, valid, expired, canceled; type of ownership: individual, partnership, corporate, government, co-owned; dates: registration and expiry; airworthiness: type, status, date); Aircraft registration documents; Instruments affecting aircraft ownership, loan, lien, or lease interests; Applications for airworthiness; Major repair and alteration reports; Registered owner credit card information (FAA UAS Registration Service user only). ADS-B Rebate Reports (including but not limited to Rebate Reservation Code; Incentive Code, and user-specified date of validation flight); ADS-B/TIS-B/FIS-B Problem Reports including name, email address, and information about the reported issue/problem, including location and aircraft avionics equipage from pilots.

i. 49 U.S.C. § 44102, Registration requirements

ii. 49 U.S.C. § 44103, Registration of aircraft

iii. 49 U.S.C. § 44104, Registration of aircraft components and dealer’s certificates of registration

iv. 49 U.S.C. § 44105, Suspension and revocation of aircraft certificates

v. 49 U.S.C. § 44106, Revocation of aircraft certificates for controlled substance violations

vi. 49 U.S.C. § 44107, Recordation of conveyances, leases, and security instruments

vii. 49 U.S.C. § 44110, Information about aircraft ownership and rights

viii. 49 U.S.C. § 44111, Modifications in registration and recordation system for aircraft not providing air transportation

ix. 14 CFR parts 45, 47-49

x. Section 221(a) of the FAA Modernization and Reform Act of 2012

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, and to meet treaty requirements under the Convention on International Civil Aviation, Annex 7. To determine that aircraft are registered in accordance with the provisions of 49 U.S.C. 44103. To support FAA safety programs and agency management. To aid law enforcement and aircraft accident investigations. To serve as a repository of legal documents to determine legal ownership of aircraft. Provide aircraft owners and operators information about potential mechanical defects or unsafe conditions of their aircraft in the form of airworthiness directives. To aid in compliance with FAA standards including but not limited to agency enforcement regulations. Educate owners regarding safety requirements for operation. Receive and record payment of aircraft registration fee. Determining eligibility for and issuance of a rebate for equipage under the GA ADS-B Rebate Program. After January 1, 2020, the FAA Flight Standards organization will utilize the ADS-B Compliance Monitor in ongoing enforcement of agency regulations. To communicate with aircraft pilots and owners regarding reported ADS-B-related service issues.

In addition to other disclosures generally permitted under 5 U.S.C. § 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. § 552a(b)(3) as follows:

1. To the public (including government entities, title companies, financial institutions, international organizations, FAA designee airworthiness inspectors, and others) information, including aircraft owner’s name, address, United States Registration Number, aircraft type, legal documents related to title or financing of an aircraft, and ADB-S summary reports. Email addresses, credit card information, and telephone numbers of small unmanned aircraft system (sUAS) owners registered under 14 CFR part 48 will not be disclosed pursuant to this Routine Use. The public may only retrieve the name and address of owners of sUAS registered under 14 CFR part 48 by the unique identifier displayed on the aircraft.

2. To law enforcement, when necessary and relevant to a FAA enforcement activity.

3. The Department has also published 14 additional routine uses applicable to all DOT Privacy Act systems of records, including this system. These routine uses are published in the Federal Register at 75 FR 82132, December 29, 2010, and 77 FR 42796, July 20, 2012, under ‘‘Prefatory Statement of General Routine Uses’’ (available at http://www.transportation.gov/privacy/privacyactnotices).

Disclosure to Consumer Reporting Agencies:

None.

Storage:

Individual records for registered and canceled aircraft are maintained in an electronic digital image system. Some canceled aircraft records are stored as paper file folders until their conversion to digital images is completed. Backup copies of imaged records are stored at remote locations. ADS-B Rebate website records, ADS-B/TIS-B/FIS-B Problem Report records, and ADS-B CM records are maintained on the Electronic Data Centers Oracle Real Application Clusters (RAC) Systems at FAA facilities. ADS-B rebate program payment records are stored on the FAA servers.

Records of registered and cancelled aircraft in the digital image system may be retrieved by registration number, the manufacturer’s name, model, and serial-number, credit card transaction number, and by the name of the current registered owner. Records are retrieved by the aircraft description. Unconverted canceled records may be retrieved using a former registration number and the manufacturer’s name, model and serial-number. ADS-B rebate program and ADS-CM records are retrieved by the aircraft registration number. TIS-B/FIS-B records are retrieved by the reporting pilot’s name.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DOT automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions. Access to ADS-B CM Rebate and ADS-B/TIS-B/FIS-B Problem Report records are limited to those with appropriate security credentials, an authorized purpose, and need-to-know. The FAA deploys role-based access controls in addition to other protection measures reviewed and certified by the FAA’s cybersecurity professionals to maintain the confidentiality, integrity, and availability requirements of the system.

Aircraft registration records submitted under 14 CFR part 47 have been deemed by the National Archives and Records Administration to be of permanent value (see NARA Schedule N1-237-04-3). Paper copies of registration submissions are destroyed once the original is scanned into the system and the digital image is determined to be an adequate substitute for paper records. Copies of the Aircraft Registration system are transferred to NARA on an annual basis. The FAA has submitted to NARA a recommended retention period for aircraft registration records submitted under 14 CFR part 48 as permanent which is consistent with the registration of manned aircraft. Until small UAS registration records have been scheduled with NARA the FAA will provide annual snapshots of the database to NARA to determine historical value.

The FAA (DAA-0237-2016-0008) proposes to maintain most records created in support of the ADS-B Rebate Program for 3 years after the program ends; payment records will be retained for 6 years ; The FAA will manage ADS-B related records as permanent records until the proposed schedule is approved by NARA.

Manager, Aircraft Registration Branch, AFS–750, Federal Aviation Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125.

Manager, Automatic Dependent Surveillance - Broadcast (ADS B) Program, AJM-2323 800 Independence Ave. SW Washington, DC, 20591

Same as ‘‘System manager.’’

Same as ‘‘System manager.’’

Same as ‘‘System manager.’’

Individuals, manufacturers of aircraft, maintenance inspectors, mechanics, and FAA officials. All forms associated with this system and subject to the Paperwork Reduction Act have been approved by the Office of Management and Budget (OMB) under the referenced information collection requests; OMB control numbers, 2120-0024, 2120-0029, 2120-0042, 2420-0043, 2120-0078, and 2120-0729.

None.

Unclassified, sensitive.

Office of Facility Management, AMP-1, Mike Monroney Aeronautical Center (MMAC), Oklahoma City, OK 73125.

MMAC employees, tenants, and visitors, with registered vehicles. Individuals cited for parking and/or traffic violations.

Vehicle registration and traffic violations files.

44 U.S.C. 3101.

To carry out such functions as vehicle registration and traffic control; to control access and maintain an orderly traffic flow on a government facility.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Records are maintained in files and containers and in password protected electronic databases located in rooms secured with the FAA locking system.

Individual name, other personal identifier, and/or registration number.

Files are retained in a secured work area accessible only by consent of an on duty guard or by Office of Facility Management personnel.

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.

Manager, Office of Facility Management, AMP-1, Federal Aviation Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, Oklahoma City, OK 73125.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Individuals registering/operating vehicles.

None.

Unclassified, sensitive.

FAA Washington, regional, and center medical facilities.

FAA employees.

Basic medical record of an FAA employee, including medical examination reports, laboratory findings, correspondence, health awareness program participation records, and related papers.

Pub. L. 79-658, Title 5 U.S.C. Section 7901.

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.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

In approved security files and containers, and in computer databases.

By name and social security number.

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.

These records are destroyed 6 years after the date of last entry.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Information contained in this system comes from the employee and from attending physicians, nurses, and occupational health specialists, and from associated medical reports.

None.

Unclassified, sensitive.

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.

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.

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.

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.

Prepare alerts, bulletins, summaries, reports, and policy statements of incidents affecting civil aviation security.

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.

Storage:

Approved security files and containers, in file folders, on lists and forms, and in computer processable storage media.

By name or other personal identifying symbols.

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.

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.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

FAA records; Federal, State, or local agencies; foreign sources; public record sources; first party; and third parties.

Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and (k)(2).

Unclassified, sensitive.

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.

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.

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.

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.

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.

(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.

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.

These records are retrieved by name or other identifying symbols.

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.

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.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Subject individual, interviews, review of records, and other authorized applicable investigative techniques.

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).

Unclassified, sensitive.

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.

Tort and property claimants who have filed claims against the Government/FAA.

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.

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.

Permit the administrative settlement of tort and Federal employees personal property claims against the government.

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.

Storage:

These records are stored in approved file cabinets and containers.

These records are indexed by name.

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.

These records are destroyed 3 years after the final decision is rendered.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Claimant, investigation reports, and courts.

None.

Unclassified, sensitive.

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.

This file contains information on Litigants, Claimants, Decedents, Plaintiff’s Attorney, FAA Attorney and Department of Justice Attorney.

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.

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.

Case management/record management.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

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.

Access is by name, location of accident, and/or docket number.

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.

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.

Assistant Chief Counsel, Litigation Division, AGC-400, Office of Chief Counsel, Federal Aviation Administration, 400 Seventh Street, SW., Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Employees of the Office of Chief Counsel, Federal courts, individuals and their attorney, FAA records, litigation files, etc.

None.

Unclassified, sensitive.

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.

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.

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.

49 U.S.C 44702.

Determine professional qualifications and designation authorization (initial and subsequent) of AMEs.

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.

Storage:

Computer processable storage media and hard copy files.

By AME name, AME number, region, state, county, and city.

File rooms with restricted access by authorized personnel only. Computer processing of AME information is conducted within established FAA computer security regulations.

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.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Aviation Medical Examiners. Additional background information on civilian AMEs may be obtained directly from the Federation of State Medical Boards of the United States.

None.

Unclassified, sensitive.

Office of the Chief Counsel, Federal Aviation Administration, AGC-200, Washington, DC 20591.

Persons petitioning for a change in the Federal Aviation Regulations.

Petitions for rulemaking, correspondence, documents showing disposition of the petition, and public comments on any resulting NPRM.

49 U.S.C. 106(g), 40101, 40103, 40106, 40109, 40113, 44701, 44702, 44711.

Make available for public review documents concerning petitions for rulemaking.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Unlocked file cabinets.

Exemption number, docket number, or alphabetical listing of petitioner names.

Access through request to Dockets Specialist.

Transferred to Federal Records Center when inactive; destruction not authorized.

Docket and Regulations Technician, Office of the Chief Counsel, AGC-200, FAA, 800 Independence Avenue, SW., Washington, DC 20591.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Petitions for rulemaking.

None.

Unclassified, sensitive.

Office of the Chief Counsel, AGC-200, Federal Aviation Administration, 800 Independence Ave. SW., Washington, DC.

Persons petitioning for an exemption (other than medical) under the Federal Aviation Regulations.

Petitions for exemptions, supplementary information, correspondence and the grant or denial of the exemption.

49 U.S.C. 106(g), 40101, 40103, 40106, 40109, 40113, 44701, 44702, 44711.

Make available for public review documents concerning petitions for exemption (other than medical exemptions).

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Original and copies of records stored in unlocked file cabinets.

Exemption number, docket number, or alphabetical listing of petitioner names.

Access through request to Dockets Specialist.

Transferred to Federal Records Center when inactive; destruction not authorized.

Rules Docket Section, AGC-200, Office of the Chief Counsel, Federal Aviation Administration, 800 Independence Ave. SW., Washington DC 20591.

Same as System manager.

Same as System manager.

Same as System manager.

Petitions for exemptions.

None.

Unclassified, sensitive.

Office of the Chief Counsel, FAA, Washington, DC, and Regional Counsel and airport divisions.

Litigants, witnesses, plaintiff’s attorney, FAA attorney, Department of Justice Attorney, etc.

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.

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.

Litigation.

See Prefatory Statement of General Routine Uses.

Storage:

File folders stored in locked and unlocked file cabinets and individual attorney’s offices.

Caption of the particular litigation, which may include an individual’s name or corporation or trade association name.

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.

Files are kept for 2 years after case has been closed and then sent to Records Center.

Manager, Airports/Environmental Law Division, AGC-600, Office of the Chief Counsel, FAA, 800 Independence Avenue, SW., Washington, DC 20591.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Federal courts, individuals and their attorneys, FAA records, litigation files, etc.

None.

Unclassified, sensitive.

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.

Certificated Airmen.

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.

49 U.S.C. 44703, and 14 CFR 61.31.

Maintain appropriate documentation on individuals who apply for and complete physiological training conducted by, or coordinated through the FAA Aeromedical Education Division.

Determine individual training qualifications. Receipt and transfer of training funds. Maintain individual records of training completion. See Prefatory Statement of General Routine Uses.

Storage:

Hard copy files and computer processable storage media.

By name and location of training.

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.

Records are destroyed when 5 years old. (Applications, Hold Harmless Statements, Chamber Flight Records)

Manager, Aeromedical Education Division, AAM-400, FAA Civil Aeromedical Institute, Mike Monroney Aeronautical Center, PO Box 25082, Oklahoma City, OK 73125.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Covered individuals.

None.

Unclassified, sensitive.

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.

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.

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).

49 U.S.C. 40101, 40113, 44701, 44702, and 44703.

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.

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.

Storage:

File folders, on lists, on forms, and on computer-accessible storage media. Records are also stored in microfiche, microfilm, and electronic optical storage.

Name, birth date, social security number, or any other identification number of the individual on whom the records are maintained.

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.

Records destroyed 5 years after designation becomes inactive, or when no longer needed, whichever is sooner.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Individual to whom it applies.

None.

Unclassified, sensitive.

Federal Aviation Administration, Alaskan Region, 222 W. 7th Ave., 14, Anchorage, AK 99513-7587.

Employees occupying FAA owned or leased housing. Employees and agencies that lease FAA housing in Alaska.

Housing records, leases.

5 U.S.C. 5911(f), OMB Circular A-45.

Establish regional rental rates for quarters; maintain status of housing; maintain up-to-date list of persons occupying FAA units.

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.

Storage:

Filing cabinet, Real Estate and Utilities Branch AAL-54.

Station location, unit numbers, name of employee, number of dependents, pay period rental rate.

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.

End of year reports are retained for 5 years.

Federal Aviation Administration, Housing Manager, AAL-50, 222 W. 7th Ave., 14, Anchorage, AK 99513-7587.

Same as "System manager."

Same as "System manager."

Same as "System manager."

FAA Employees. Employees of other agencies that lease housing from FAA.

None.

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.

Unclassified, sensitive.

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.

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.

44 U.S.C. 3101.

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.

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.

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.

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.

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.

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.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

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.

None.

Sensitive, unclassified

• Federal Aviation Administration (FAA), Mike Monroney Aeronautical Center (MMAC), Oklahoma City, Oklahoma 73125: Civil Aerospace Medical Institute, Aerospace Medical Certification Division, AAM-300; Regulatory Support Division, AFS-600; and Civil Aviation Registry, Airmen Certification Branch AFS-760.

• Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591: Drug Abatement Division, AAM-800 or the local Compliance and Enforcement Centers of the Drug Abatement Division; Office of Security and Hazardous Materials; Flight Standards District Offices (FSDO’s); Certificate Management Offices (CMO’s); Certificate Management Field Offices (CMFO’s); International Field Offices; Office of Security and Hazardous Materials Regional and Field Offices; FAA Regional Offices; and Chief Counsel, Regional Counsel, and Aeronautical Center Counsel Offices.

This system contains information on:

(1) Current certificated airmen, airmen whose certificates have expired, airmen who are deceased, airmen rejected for medical certification, airmen with special certifications, and others requiring medical certification;

(2) Air traffic controllers in air route traffic control centers, terminals, and flight service stations, and applicants for these positions;

(3) Holders of and applicants for airmen certificates, airmen seeking additional certifications or additional ratings, individuals denied certification, airmen holding inactive certificates, and airmen who have had certificates amended, modified, suspended or revoked.

(4) Persons involved in aircraft accidents and incidents, including crewmembers, passengers, persons on the ground, and witnesses.

(5) Individuals performing safety-sensitive functions under FAA’s drug and alcohol testing regulations who have (a) tested positive on a Department Of Transportation (DOT)-required drug test; (b) tested 0.04 or greater for breath alcohol concentration on a DOT-required alcohol test; or (c) refused to submit to testing under a DOT-required testing program.

(6) Individuals in their commercial capacities who work for companies conducting drug and alcohol testing.

(7) Individuals who witness violations of FAA regulations.

(8) Individuals against whom FAA has initiated informal action, administrative action or legal enforcement action for violating safety regulations and statutes or orders issued thereunder (see generally 49 U.S.C. 40101 et seq., 44101 et seq., 45101 et seq., 46101 et seq.; FAA regulations, 14 CFR Parts 1-199; hazardous materials regulations, 49 CFR Parts 171-180; and drug and alcohol testing regulations, 49 CFR Part 40).

• Name, date of birth, place of residence, mailing address, social security number, and airman certificate number.

• Records that are required to determine the physical or mental condition of an individual with respect to medical standards established by FAA.

• Records concerning drug or alcohol testing, test results, or refusals to submit to testing under a DOT-required testing program.

• Records concerning applications for certification, applications for knowledge examinations, results of knowledge tests, applications for inspection authority, certificates held, ratings, stop orders, and requests for replacement 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, and pictures of accident scenes.

• Records concerning safety compliance notices, informal actions, warning notices, oral or written counseling, letters of correction, letters of investigation, notices of proposed legal enforcement action, final action legal documents in enforcement actions, and correspondence of Regional Counsels, the Aeronautical Center Counsel, Chief Counsels, and others in enforcement cases.

• All records on individuals within FAA databases for which the Safety Performance Analysis System (SPAS) is a software interface (i.e., inspection, surveillance, and investigation records concerning individuals, in systems including but not limited to: Accident/Incident Database System (AIDS), Air Transportation Oversight System (ATOS), Enforcement Information System (EIS), National Program Tracking and Reporting System (PTRS), National Vital Information System (VIS), and the Drug Abatement Division’s Compliance and Enforcement Tracking System (CETS)).

• SPAS-related enforcement records maintained in Chief Counsel, Regional Counsel, and Aeronautical Center Counsel offices.

49 U.S.C. 40101, 40113, 44701-44703, 44709, 45101-106, 46301.

This system is the official repository of aviation records on individuals that are required to be maintained in connection with FAA’s oversight and enforcement of compliance with safety regulations and statutes and orders issued thereunder or that are required to be made available, upon request, to other agencies, certain members of the public (e.g., Aviation Medical Examiners), or the public at large.

(a) Provide basic airmen certification and qualification information to the public upon request; examples of basic information include:

• The type of certificates and ratings held;

• The date, class, and restrictions of the latest physical airman’s certificate number;

• The status of the airman’s certificate (i.e., whether it is current or has been amended, modified, suspended or revoked for any reason);

• The airman’s home address, unless requested by the airman to be withheld from public disclosure per 49 U.S.C. 44703(c);

• Information relating to an individual’s physical status or condition used to determine statistically the validity of FAA medical standards; and

• Information relating to an individual’s eligibility for medical certification, requests for exemption from medical requirements, and requests for review of certificate denials.

(b) Use contact information to inform airmen of meetings and seminars conducted by the FAA regarding aviation safety.

(c) Disclose information to the National Transportation Safety Board (NTSB) in connection with its investigation responsibilities.

(d) Provide information about airmen to Federal, State, local and Tribal law enforcement agencies when engaged in an official investigation in which an airman is involved.

(e) Provide information about enforcement actions or orders issued thereunder to government agencies, the aviation industry, and the public upon request.

(f) Make records of delinquent civil penalties owed to the FAA available to the U.S. Department of the Treasury (Treasury) and the U.S. Department of Justice (DOJ) for collection pursuant to 31 U.S.C. 3711(g).

(g) Make records of effective orders against the certificates of airmen available to their employers if the airmen use the affected certificates to perform job responsibilities for those employers.

(h) Make airmen records available to users of FAA’s Safety Performance Analysis System (SPAS), including the Department of Defense Commercial Airlift Division’s Air Carrier Analysis Support System (ACAS) for its use in identifying safety hazards and risk areas, targeting inspection efforts for certificate holders of greatest risk, and monitoring the effectiveness of targeted oversight actions.

(i) Make records of an individual’s positive drug test result, alcohol test result of 0.04 or greater breath alcohol concentration, or refusal to submit to testing required under a DOT-required testing program, available to third parties, including employers and prospective employers of such individuals. Such records will also contain the names and titles of individuals who, in their commercial capacity, administer the drug and alcohol testing programs of aviation entities.

(j) Provide information about airmen through the airmen registry certification system to the Department of Health and Human Services, Office of Child Support Enforcement, and the Federal Parent Locator Service that locates non-custodial parents who owe child support. Records in this system are used to identify airmen to the child support agencies nationwide in enforcing child support obligations, establishing paternities, establishing and modifying support orders and location of obligors. Records named within the section on Categories of Records will be retrieved using Connect: Direct through the Social Security Administration’s secure environment.

(k) Make personally identifiable information about airmen available to other Federal agencies for the purpose of verifying the accuracy and completeness of medical information provided to FAA in connection with applications for airmen medical certification.

(l) Make records of past airman medical certification history data available to Aviation Medical Examiners (AMEs) on a routine basis so that AMEs may render the best medical certification decision.

(m) Make airman, aircraft and operator record elements available to users of FAA’s Skywatch system, including the Department of Defense (DoD), the Department of Homeland Security (DHS), the Department of Justice (DOJ) and other authorized government users, for their use in managing, tracking and reporting aviation-related security events.

(n) Provide information about airmen to Federal, State, local, and Tribal law enforcement, national security or homeland security agencies whenever such agencies are engaged in the performance of threat assessments affecting the safety of transportation or national security.

(0) See Prefatory Statement of General Routine Uses.

Storage:

Records are maintained in file folders, on lists and forms, and in computer processing storage media. Records are also stored on microfiche, on roll microfilm, and as electronic images.

Records may be retrieved by name, birth date, sex, Social Security number, airman certificate number, or other identification number of the individual on whom the records are maintained; or by medical identification number, accident number and/or incident number, and enforcement investigative report number or docket number.

Manual records: Strict information handling procedures have been developed to cover the use, transmission, storage, and destination of personal data in hard copy form. The procedures are periodically reviewed for compliance with applicable laws. Automated Processing Records in FAA-Administered Systems: Computer processing of personal information is conducted within established FAA computer security regulations. A risk assessment of the FAA facility is performed prior to the implementation of the system of records. Automated Processing Records in Commercial Computer Contractor-Administered Systems: Computer programs are operated on commercial security levels and record element restrictions to prevent release of data to unauthorized parties.

Records are either destroyed or retired to the local Federal Records Center and then destroyed in accordance with the current version of FAA Order 1350.15C, Records Organization, Transfer and Destruction Standards. The retention and destruction period for each record varies depending on the type of record, but ranges between 30 days and 10 years.

Federal Aviation Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, 6500 South MacArthur Blvd., Oklahoma City, Oklahoma 73125--

• Records concerning aviation medical certification: Manager: Aerospace Medical Certification Division, AAM-300;

• FAA certification records and general airman records: Manager, Airmen Certification Branch, AFS-760;

• Records concerning aircraft accidents and incidents, inspections, surveillance, and investigations: Manager, Aviation Data Systems Branch, AFS-620;

• Records in FAA-Administered databases concerning administrative actions and legal enforcement actions: Manager, Aviation Data Systems Branch, AFS-620;

• Records pertaining to legal enforcement actions maintained in Chief Counsel, Regional Counsel, and Aeronautical Center Counsel offices: The address of the appropriate FAA regional or field office maintaining the official agency enforcement file may be obtained from AFS-620.

• Records pertaining to administrative actions and informal actions: The investigating FAA field office or regional office or the Drug Abatement Division, AAM-800, or the local Compliance and Enforcement Centers of the Drug Abatement Division, as appropriate. The address of the appropriate FAA regional or field office maintaining the official agency enforcement file may be obtained from AFS-620.

• Electronic enforcement litigation tracking system records: Chief Counsel, Regional Counsel, and Aeronautical Center Counsel offices.

• Accounting files: Office of Financial Operations (AMZ) at the Aeronautical Center, and Office of Financial Management (AFM) at headquarters.

• Aviation medical certification records from headquarters and regional files: Medical Specialties Division at headquarters, AAM-200, or the Regional Flight Surgeon within the region where examination was conducted (visit or call the local FAA office for proper Regional Office address).

• Drug and alcohol testing records, and records of refusals to submit to testing required under a DOT-required testing program: Drug Abatement Division, AAM-800, or the local Compliance and Enforcement Centers of the Drug Abatement Division, as appropriate.

• Records pertaining to security and hazardous materials: Office of Hazardous Materials, ADG-1

Individuals wishing to know if their records appear in this system of records may make a request in person or in writing to the appropriate system manager. The request must include:

• Name;

• Mailing address;

• Telephone number and/or e-mail address;

• A description and, if possible, the location of the records requested; and

• A statement under penalty of perjury that the requester is the individual who he or she claims to be.

Individuals who desire access to information in this system of records should make a written request to, or an appointment with, the appropriate system manager. Each request should describe the particular record to the fullest extent possible, including the subject matter of the record, and, if known, the date when it was made, where it was made, and the originating person or office. Each request must also include a statement under penalty of perjury that the requester is the individual who he or she claims to be.

Individuals who desire to contest information about themselves contained in the system of records should make their request in writing, detailing the reasons why the records should be corrected, and submit the request to the attention of the FAA official responsible for the record at the address appearing in this notice. The request must include a statement under penalty of perjury that the requester is the individual who he or she claims to be.

a. Medical Records are obtained from Aviation Medical Examiners (AME’s), the individual to whom the records pertain, consultants, hospitals, treating or examining physicians, and Federal/State/local/Tribal Government agencies.

b. Airmen Certification Records are obtained from the individual to whom the records pertain, FAA aviation safety inspectors, and FAA designated representatives.

c. General Aviation Accident/Incident Records and Air Carrier Incident Records are obtained from Aviation Medical Examiners, pathologists, accident investigation records, medical laboratories, Federal/State/local/Tribal law enforcement officials, and FAA employees. Data are also collected from manufacturers of aircraft and involved passengers.

d. Informal Action, Administrative Action and Legal Enforcement Records are obtained from witnesses, the Offices of the Chief Counsel, Regional Counsels and Aeronautical Center Counsel, the National Transportation Safety Board, Office of Security and Hazardous Materials (ASH) personnel, Flight Standards personnel, Office of Aviation Safety (AVS) personnel and Aeronautical Center personnel.

e. Drug and alcohol testing records and records relating to test results and refusals to submit to testing are obtained from the individual to whom the records pertain, current or previous employers, witnesses, FAA Drug Abatement inspectors, service agents providing drug and alcohol testing services for employers, and other Federal/State/local/Tribal Government agencies.

Records in this system that relate to administrative actions and legal enforcement actions are exempted from certain access and disclosure requirements of the Privacy Act of 1974, pursuant to 5 U.S.C. 552a(k)(2).

Unclassified, sensitive.

Federal Aviation Administration, FAA, Office of Aviation Medicine, Drug Abatement Division, 800 Independence Avenue, SW., Washington, DC 20591.

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.

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.

The Omnibus Transportation Employee Testing Act of 1991 (49 U.S.C. 45101-45106), 14 CFR part 61, et al.

Support the information resource, reporting and archival needs of the Drug Abatement Division.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Maintained in an automated information system.

Name of an individual or by a unique case file identifier.

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.

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.

Manager, Drug Abatement Division, AAM-800, Office of Aviation Medicine, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591.

Same as "System manager."

Same as "System manager."

Same as "System manager."

FAA records.

None.

Unclassified, Sensitive.

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.

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.

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.

49 U.S.C. 44701.

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.

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.

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.

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.

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.

These records are retained for a period of 5 years. National Archives and Records Administration (NARA) approval pending.

Department of Transportation, Federal Aviation Administration, Manager, Suspected Unapproved Parts Program Office, 4500 Aviation Drive, Suite 214, Dulles, VA 20166.

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

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.

Portions of this system are exempt from disclosure under the provisions of 5 U.S.C. 552a(k)(2).

Unclassified, sensitive.

U. S. Department of Transportation, Federal Aviation Administration (FAA), Assistant Administrator for Financial Services, 800 Independence Avenue, SW., Washington, DC 20591.

Present and former Federal employees of the Federal Aviation Administration.

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.

49 U.S.C. 40101; 49 U.S.C. 40122(g)

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.

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.

Storage:

These records are stored on Local Area Network drives, magnetic cartridges, diskettes, and may be in hardcopy format when required.

These records are retrieved by the employee’s name, organization, and assigned project numbers.

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.

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.

Manager, Cost Accounting Division (APF-300), 800 Independence Avenue, SW., Washington, DC 20591.

Write to the System Manager.

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).

Write to the System Manager. Identify the information being contested, the reason for contesting it and the correction requested.

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).

None.

Unclassified.

For waivers, the system will be located in the Commercial Operations Branch, Flight Standards Service (AFS-820), Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20024

For airspace authorizations, the system will be located in the Emerging Technologies Team (AJV-115), Air Traffic Organization, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20024.

Aircraft operators, aircraft owners, persons requesting a waiver or authorization.

Aircraft operator name; Aircraft owner name; Name of person requesting a waiver or authorization; Contact information for person applying for waiver or authorization: mailing address, telephone number, and email address of person submitting application for waiver or authorization; Responses to inquiries concerning the applicant’s previous and current waivers; Remote pilot in command name; Airmen Certification Number (in those individuals certificated under another program prior to 2013 and have not requested a change of certificate number the airmen certificate number may be the individual’s Social Security Number); Contact information for remote pilot in command: address and telephone number; Remote pilot in command certificate number; Aircraft manufacturer name and model; Aircraft registration number; Regulations subject to waiver or authorization; Requested date and time operations will commence and conclude under waiver or authorization; Requested altitude applicable to the waiver or authorization; Description of proposed operations.

i. 49 U.S.C. 106(g), Duties and powers of Administrator

ii. 49 U.S.C. 40101, Policy

iii. 49 U.S.C. 40103, Sovereignty and use of airspace

iv. 49 U.S.C. 40106, Emergency powers

v. 49 U.S.C. 40113, Administrative

vi. 49 U.S.C. 44701, General requirements

vii. FAA Modernization and Reform Act of 2012, Pub. L. 112-95 (“FMRA”) § 333, Special Rules for Certain Unmanned Aircraft Systems

viii. 14 CFR part 107, subpart D, “Waivers”

ix. 14 CFR § 107.41, “Operation in certain airspace”

The purpose of this system is to receive, evaluate, and respond to requests for authorization to operate a small UAS, pursuant to 14 C.F.R. part 107, in Class B, C, or D airspace or within the lateral boundaries of the surface area of Class E airspace designated for an airport, and evaluate requests for a certificate of waiver to deviate safely from one or more small UAS operational requirements specified in part 107. The FAA also will use this system to support FAA safety programs and agency management, including safety studies and assessments. The FAA may use contact information provided with requests for waiver or authorization to provide small UAS owners and operators information about potential unsafe conditions and educate small UAS owners and operators regarding safety requirements for operation. The FAA also will use this system to maintain oversight of FAA-issued waiver or authorizations and records from this system may be used by FAA for enforcement purposes.

In addition to other disclosures generally permitted under 5 U.S.C. § 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. § 552a(b)(3) as follows:

1. To the public, waiver and airspace authorization applications and decisions, including any history of previous, pending, existing, or denied requests for waivers and authorizations applicable to the small UAS at issue for purposes of the waiver, and special provisions applicable to the small UAS operation that is the subject of the request. Email addresses and telephone numbers will not be disclosed pursuant to this Routine Use. Airspace authorizations the FAA issues pursuant to 14 CFR § 107.41 also will not be disclosed pursuant to this Routine Use, except to the extent that an airspace authorization is listed or summarized in the terms of a waiver.

2. To law enforcement, when necessary and relevant to a FAA enforcement activity.

3. The Department has also published general routine uses applicable to all DOT Privacy Act systems of records, including this system. These routine uses are published in the Federal Register at 75 FR 82132, December 29, 2010, and 77 FR 42796, July 20, 2012, under ‘‘Prefatory Statement of General Routine Uses’’ (available at http://www.transportation.gov/ privacy/privacyactnotices).

Disclosure To Consumer Reporting Agencies:

None.

Storage:

Individual records relevant to both waivers and airspace authorizations under 14 CFR part 107 are maintained in an electronic database system.

Records of applications for waivers and authorizations in the electronic database system may be retrieved by small UAS registration number, the manufacturer’s name and model, the name of the current registered owner and/or organization, the name of the remote pilot in command, the airmen certification number, the name of the applicant and/or organization that submitted the request for waiver or authorization, the special provisions (if any) to which the FAA and the applicant agreed for purposes of the waiver or authorization, and the location and altitude, class of airspace and area of operations that is the subject of the request. Records may also be sorted by regulation section that is the subject of the request for waiver or authorization.

Records in this system for waivers and airspace authorizations under 14 CFR part 107 are safeguarded in accordance with applicable rules and policies, including all applicable DOT automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

The FAA will retain records in this system of records, which covers both waivers and airspace authorizations under 14 CFR part 107, as permanent government records until it receives record disposition authority from the National Archives and Records Administration (NARA), pursuant to 36 CFR §§ 1225.16 and 1225.18. The FAA has requested from NARA authority to dispose of waiver and authorization records after two years following the expiration of the waiver or authorization.

For waivers: Manager, Commercial Operations Branch, Flight Standards Service (AFS-820), Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20024.

For airspace authorizations: Manager, UAS Tactical Operations Section, Air Traffic Organization, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20024.

Individuals seeking notification of whether this system of records contains information about them may contact the System Manager at the address provided in the section ‘‘System manager.’’

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 49 CFR Part 10. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. § 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Individuals seeking access to records in this system of records should follow the same procedures described in the section “Notification Procedure,” above.

Individuals seeking amendment to records in this system of records should follow the same procedures described in the section “Notification Procedure,” above.

Records are obtained from individuals, manufacturers of aircraft, maintenance inspectors, mechanics, and FAA officials.

None.

Sensitive, unclassified.

This system is in the Office of Administration for the Federal Highway Administration (FHWA), 400 Seventh Street, SW., Room P2, Washington, DC 20590.

Individuals who submit letters, e-mail, and faxes (correspondence) to FHWA and to DOT about matters under FHWA’s purview.

The system contains records and related correspondence on individuals and groups who have sent correspondence expressing opinions or concerns, or are requesting information.

49 U.S.C. 322.

These records are maintained to track the receipt of and/or progress of replies to incoming correspondence. The records also track an electronic copy of incoming and outgoing correspondence.

To those entities/individuals within DOT and/or another Federal, state, tribal, or local agency, who can aid in responding to the issues and concerns raised in the incoming correspondence. Therefore, the routines uses are compatible with the purpose of collecting the information. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

These records are stored in a database maintained under current FHWA application and hardware security requirements. Designated FHWA employees in each FHWA organization are granted access to the data for the purpose of downloading data to produce reports for local management use. These employees access the database through FHWA’s secure intranet. Data downloaded by FHWA organizations may be retained on Local Area Network drives and may be in hardcopy format when required.

Records are retrieved by the name of the individuals or groups who wrote the correspondence, the tracking control number, the subject matter, and the date of the incoming document.

Computer records are maintained in a secure, password-protected computer system. Paper records are maintained in a lockable file cabinet in a lockable room. All records are maintained in a secure, access-controlled area of the building.

The records in this system of records are retained and disposed of in accordance with the approved records disposition schedules in FHWA Order M 1324.1A, Files Management and Records Disposition Manual.

Mary Peterson, FHWA Executive Secretariat, 400 Seventh Street, SW., Room 4207, Washington, DC 20590.

Write to the System Manager.

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.

Write to the System Manager. Identify the information being contested, the reason for contesting it, and the correction requested.

The records are obtained from the individuals themselves who send correspondence, faxes or e-mails, etc.

None.

Unclassified--sensitive.

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).

Employees who are not eligible for the contractor-issued credit card and other groups of employees, and first-duty hires.

Record of travel advances and repayments.

5 U.S.C. 5707; 41 CFR part 301.

Controlling the repayments of travel advances to FHWA personnel.

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)).

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).

Indexed by name.

Locked file cabinet.

The files are retained for 6 years and 3 months after period covered by account, pursuant to General Records Schedule 6.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Individuals on whom the records are maintained.

None.

Unclassified--sensitive.

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.

First duty and permanent change of station employees within the FHWA.

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).

5 U.S.C. 5707; 41 CFR part 302.

Support the payments to employees and serves as support for updated employee earnings records.

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)).

Storage:

Maintained on an 8 x 10 inch form in file folders.

The files are indexed by name.

Supervised by the Team Leader, Travel Policy and Operations in FHWA and the Division Manager, Financial Operations in FAA.

Destroy after 6 years, pursuant to General Records Schedule 9.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Individuals on whom the records are maintained.

None.

Unclassified--sensitive.

Department of Transportation, Federal Highway Administration, Office of Budget and Finance, HABF, 400 Seventh Street, SW., Washington, DC 20590.

Individuals indebted to the Federal Highway Administration.

Amount of indebtedness.

5 U.S.C. 301.

Monitor and control accounts receivable and support bills of collection issued to debtors of the Federal Highway Administration.

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)).

Storage:

Maintained in file folders and loose-leaf binders.

Filed by name.

Supervised by Chief, Accounting Team.

Transfer to the Federal Records Center when 3 years old. Destroy 6 years and 3 months after period covered by the account.

Department of Transportation, Federal Highway Administration, Office of Budget and Finance, HABF, Chief, Accounting Team, 400 Seventh Street, SW., Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Employer.

None.

Sensitive, unclassified.

This system of records is located in the Federal Highway Administration (FHWA), Office of Policy, 400 7th Street, SW., Room 3312, Washington, DC 20590.

Present employees of the FHWA, and individuals under contract with the Federal Highway Administration who provide services to the Agency that would otherwise be performed by a Federal employee.

This system of records may include employee labor charging data containing employee names, current pay period, year-to-date salaries, hours worked by FHWA organizations and by established activity codes, and employee leave status. The system of records will also include financial data from the corporate accounting system, called Delphi (e.g., contract costs, travel costs, purchases of equipment) and financial data regarding grants management (e.g., Federal-aid funding amounts allocated to States or other Federal programs).

31 U.S.C. 902; 31 U.S.C. 3512.

The Managerial Cost Accounting System established by the FHWA will enhance the Agency’s ability to: (1) Measure and benchmark the Agency’s financial and operational performance; (2) support management decisions and plans based on reliable cost information; (3) measure and control the cost of resources consumed and outputs produced; (4) track individual labor costs directly associated with projects/activities; and (5) facilitate the distribution of labor charges and actual operating expenses for costing purposes.

• To contractors, consultants, and other non-FHWA employees performing or working on a contract, 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 authorized by law.

• See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

These records are stored in a database maintained under current FHWA application and hardware security requirements. Designated FHWA employees in each FHWA organization are granted access to the data for the purpose of downloading data to produce reports for local management use. These employees access the database through FHWA’s secure intranet. Data downloaded by FHWA organizations may be retained on Local Area Network drives and may be in hardcopy format when required.

These records may be retrieved by the employee’s name and organization, designated activity, or FHWA/DOT goal.

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 are based on his or her assigned access rights. User access to sensitive data is granted only to limited individuals with the approval of FHWA management. All records are maintained in secure, access-controlled areas or buildings.

The records in this system of records are retained and disposed of in accordance with the approved records disposition schedules in FHWA Order M 1324.1A, Files Management and Records Disposition Manual.

Strategic Initiatives Team Leader, Office of Policy, 400 7th Street, SW., Room 3312, Washington, DC 20590.

Write to the System Manager.

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.

Write to the System Manager. Identify the information being contested, the reason for contesting it, and the correction requested.

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, Fiscal Management Information System (FMIS), and the Delphi accounting system. Information contained in this system will also be obtained from CASTLE, the new DOT personnel system.

Sensitive, Unclassified.

This system is located in the Federal Highway Administration (FHWA), Office of Information and Management Services, 400 7th Street SW., Room 4331, Washington, DC 20590.

Employees and contractors of DOT’s FHWA and Federal Motor Carrier Safety Administration, State DOT employees and contractors who require access to UPACS for their job duties, as well as other external users with specific needs.

This system of records may include user’s general profile information that identifies the user, i.e., name, work address, work email address, and the full Social Security Number for FHWA employees, user’s application rights records, State, organization and routing symbol records, application information, log and session records and user-base review records.

Federal Managers Financial Integrity Act of 1982 as codified in 31 U.S.C. 3512.

The User Profile and Access Control System (UPACS) is the security control system that manages user authentication and associated access rights for individuals needing entry into any of FHWA’s applications.

(1) Respond to user complaints; (2) reply to user feedback comments; (3) manage access to restricted applications; (4) manage access rights to information within an application; (5) provide information to any person(s) authorized to assist in an approved investigation of improper access or usage of FHWA computer systems; (6) provide access to other government agencies when required by law; and (7) fulfill requests for reports and other similar information. These reports would be generated for auditing purposes and consist of the following information (any combination thereof): user account approvals and removals, account transfers, failed login attempts, locked passwords and PINs, all resets of passwords and PINs, after-hour activity, a user’s successful or unsuccessful access and what FHWA application the user has accessed. See also the Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

All UPACS data is stored on a secure FHWA server. Database tables are setup to detect unauthorized access. FHWA employees and contractors who have access to UPACS information must protect sensitive FHWA data residing on any media, such as tapes, disks, and printouts. UPACS information is provided to only those who have a need to know and access to the information is controlled by the user’s level of access rights.

These records of access may be retrieved by a user’s name or Social Security Number.

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 FHWA management.

The records in this system of records are retained and disposed of in accordance with the approved records disposition schedules in FHWA Order M 1324.1A, Files Management and Records Disposition Manual.

Director, Office of Information and Management Services, Federal Highway Administration, 400 7th Street, SW., Room 4423, Washington, DC 20590.

Write to the System Manager.

Write to the System Manager. Provide full name and a description of the 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 CFR 10.37).

Write to the System Manager. Identify the information being contested, the reason for contesting it, and the correction being requested. Individuals requesting access must comply with the Department of Transportation’s Privacy Act regulations on verification of identity (49 CFR 10.37).

Information contained in this system is obtained from users when they register for or change UPACS profile information and when they access different applications through UPACS.

None.

OMB Control Number:

None.

Sensitive, unclassified.

This system of records is in the Office of Professional and Corporate Development, Federal Highway Administration.

This system contains information on students that participate in FHWA’s DDETFP.

The information in the system consists of documents related to the administration of the program that include the students’ name, home mailing address, e-mail address, date of birth, education records, home telephone number, race (optional), gender (optional), and citizenship.

Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109.59.

The DDETFP aims to attract qualified students to the field of transportation education and research and advance transportation workforce development. The DDETFP includes seven fellowship categories including the Graduate Fellowships, Historically Black Colleges and Universities Fellowships, Hispanic Serving Institutions Fellowships, Tribal Colleges Fellowships, People with Disabilities Fellowships, Grants for Research, and Intern Fellowships. DDETFP is supported by an automated system that allows for the centralized collection and analysis of vital program information. Information in this system is used to track student progress throughout the education pipeline, identify gaps and evaluate program performance and effectiveness in meeting federal transportation workforce recruitment and development goals. Records contained in this system only will be used for program analysis and evaluation purposes.

To FHWA program staff and contractors directly involved in the administration of the program and system, and to other government agencies when authorized by law. See Prefatory Statement of Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Documents are stored in locked cabinets and secured electronically in a database.

Records are retrievable by name.

Access to electronic information is limited to program staff and protected via password controls. Physical access to the server and paper files is limited to appropriate personnel through building key cards and room-access keypads. Other security measures include firewalls, routine scans and monitoring, back-up activities, and security background checks.

Pending approval by the National Archives and Records Administration, this system has a proposed record retention of five (5) years for paper and permanent for electronic records.

Program Manager, Office of Professional and Corporate Development, Federal Highway Administration, 4600 N. Fairfax Drive, Suite 800, Arlington, VA 22203.

Same as "System Manager".

Same as "System Manager".

Same as "System Manager".

Records are obtained via applications/forms that students complete and that come to FHWA directly or via their university.

None.

Sensitive, Unclassified.

This system is located in the National Highway Institute (NHI), Federal Highway Administration, 4600 N. Fairfax Drive, Suite 800, Arlington, VA 22203.

CMTS contains information on customers and instructors who use or contribute services to the National Highway Institute. The NHIW does not contain any information about individuals, just course and session data that is stored in CMTS. When customers create accounts on NHIW to enroll in training, they are really creating an account in the User Profile and Access Control System (UPACS), and the information is stored in CMTS under the Customer module.

CMTS contains records related to the administration of the training. Personally identifiable information in CMTS consists of customer names, work address, e-mail address, and work telephone number and instructor names and e-mail addresses. The NHIW contains training course and session information stored in CMTS that does not pertain to individuals and is available for public viewing.

Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109-59.

FHWA has been given the responsibility of enhancing the highway movement of people and goods, while also ensuring the safety of the traveling public, promoting the efficiency of the transportation system, and protecting the environment. One vital component involved in reaching those goals is providing training pertaining to highway activities, particularly in making sure that professionals and members of the public have access to the best, most accurate information. Towards this goal, NHI develops and implements applicable training programs. To manage this increasingly complex task and to make the training process more accessible and useful NHI uses NHIW and a back-end database (CMTS) to support this public site. The NHIW, http://www.nhi.fhwa.dot.gov, is available to the general public and displays NHI’s training information. Through this site, members of the public can sign up for and take NHI-developed training, link to a separate government web site to pay for that training, schedule and participate in a Web conference, and download resources for developing courses. In addition, the NHIW offers the ability to purchase course materials. CMTS supports the NHIW by maintaining course development information, customer records, invoices, instructor records and contract data. There is a direct link between NHIW and CMTS.

The records are used to administer training and for program evaluation purposes. Only federal program staff and contractors directly involved in administering the program have access to the information stored in CMTS.

Disclosure to consumer reporting agencies:

None.

Storage:

Records are stored in an electronic database and in paper files.

Records are retrieved by participant name, course number, instructor name, contract number, and invoice number.

Access to records in the electronic database is limited to program staff and protected via password controls. Physical access to the server and paper files is limited to appropriate personnel through building key cards and room-access keypads. Other security measures include firewalls, routine scans and monitoring, back-up activities, and security background checks.

The records retention schedules for these systems are pending National Archives and Records Administration (NARA) approval. The proposed retention period for this system is for the information to be maintained indefinitely.

Director of Training, Federal Highway Administration, 4600 N. Fairfax Drive, Suite 800, Arlington, VA 22203.

Individuals wishing to know if their records appear in this system may make a request in writing to the System Manager. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and the location of the records requested, and verification of identity.

Individuals seeking access to information about them in this system should apply to the System Manager, following the same procedure as indicated under "Notification procedure."

Individuals seeking to contest the content of information about them in this system should apply to the System Manager, following the same procedure as indicated under "Notification procedure."

The customer records are obtained from forms that customers complete at training sessions, that are then entered directly in the system by program personnel or transactions (weekly patches) that occur via NHIW. Instructor records are obtained directly from the instructors. Data is entered directly in the system by program staff or by transactions (weekly patches) that occur via NHIW.

None.

Unclassified

Volpe National Transportation Systems Center, U.S. Department of Transportation, Cambridge, MA 02142

MCMIS records may contain personally identifiable information (PII) on the following’s categories of individuals which may be retrieved by unique identifier associated with the individual;

1. Individuals who are the sole proprietor and/or owner of a motor carrier or hazardous material shipper subject to Federal Motor Carrier Safety Regulations and who have provided a social security number (SSN) in lieu of an employer identification number (EIN).

MCMIS records may also include personally identifiable information on the following categories of individuals, however this information is not retrieved by unique identifier associated with the individual.

1. Individuals who are owner/operators officers, managers, and employees of a motor carrier or hazardous material shipper subject to Federal Motor Carrier Safety Regulations.

2. Drivers of commercial motor vehicles who:

• Were involved in a recordable crash;

• Were the subject of a roadside driver/vehicle inspection;

• Are the subjects of an investigatory action; or

• Are employed by a motor carrier which is the subject of an investigation.

MCMIS stores the following types of information:

• Census Files--These files contain the USDOT number, carrier identification, carrier address, type and size of operation, commodities carried, and other characteristics of the operation for interstate (and some intrastate) motor carriers, intermodal equipment providers, cargo tank facilities, and shippers. They include motor carrier PII consisting of social security numbers (SSN) and employee identification numbers (EIN).

• Investigatory Files--These files contain results of safety audits, compliance review investigations, and enforcement actions conducted by federal, state, and local law enforcement agencies. They include driver, co-driver, owner, officer, manager, and employee PII consisting of SSN and EIN.

• Driver/Vehicle Safety Violations and Inspection Data--This data is collected during roadside inspections of drivers and vehicles and includes driver and co-driver PII consisting of names, dates of birth, vehicle license plate numbers, and state driver’s license numbers.

• Crash Data--This data is collected from state and local police crash reports and includes driver and co-driver PII consisting of names, dates of birth, vehicle license plate numbers, and state driver’s license numbers.

MCMIS Shares PII with the Following Systems or System Components:

• Driver Information Resource (DIR)--The DIR creates a driver profile using MCMIS crash data from the past five years and inspection data from the past three years. This profile shows PII data for the driver regardless of the employing carrier. The DIR also includes driver/vehicle safety violations and inspection data per the PSP description below. Access is restricted to FMCSA staff, FMCSA contractors and Motor Carrier Safety Assistance Program (MCSAP) State lead agencies.

• Pre-Employment Screening System (PSP)--The specific objectives of the PSP are aligned with the requirements of 49 U.S.C. 31150. The PSP will provide driver crash and inspection records from the DIR to requesting motor carriers that have a driver’s consent. The PSP allows a driver to review his/her own driver-related data in the DIR.

• Driver Safety Measurement System (DSMS)--FMCSA utilizes MCMIS data in the DSMS to support the Compliance Safety Accountability (CSA) initiative and its Driver Safety Measurement System (DSMS). The DSMS uses driver/vehicle safety violations and inspection data and crash data to evaluate the safety performance of Commercial Motor Vehicle (CMV) drivers in seven categories. Access is restricted to FMCSA enforcement personnel, FMCSA Headquarters (HQ) staff and MCSAP State lead agencies.

• Carrier Safety Measurement System (CSMS)--FMCSA utilizes MCMIS data in the CSMS to support the CSA initiative and its DSMS. The CSMS uses driver/vehicle safety violations and inspection data and crash data to evaluate the safety of motor carriers. Access is restricted to FMCSA enforcement, federal and local law enforcement personnel, FMCSA HQ staff, MCSAP State lead agencies and law enforcement agencies that are FMCSA grantees. The objective of CSMS is to provide an assessment of a carrier’s regulatory compliance and safety performance.

• Safety Fitness Electronic Records (SAFER)--The SAFER Web site receives MCMIS driver/vehicle safety violations and inspection data and census data on a daily basis for report generation. Although SAFER receives driver-related PII from MCMIS, SAFER reports for the public users contain no PII. The driver-related PII from MCMIS is included on the Company Safety Profile reports that are requested by commercial motor carriers for their company and enforcement officers.

• Enforcement Management Information System (EMIS)--The EMIS is a web-based application used to monitor, track, and store information related to FMCSA enforcement actions. It manages and tracks enforcement actions associated with notifying the carrier, monitoring the carrier’s response, determining whether further compliance action is required, and generating reports for various FMCSA Headquarters, FMCSA Service Center, and FMCSA Division staff. It is an authoritative source for FMCSA enforcement data. EMIS imports census files, investigatory files, driver/vehicle safety violations and inspection data, and crash data from MCMIS for the purpose of automatically initiating UNFIT/UNSATISFACTORY cases within EMIS resulting from Safety Rating letters generated by MCMIS.

• Analysis & information (A&I) Online--The A&I is a web-based tool designed to provide quick and efficient access to descriptive statistics and analyses regarding commercial vehicle, driver, and carrier safety information. It is used by Federal, State and local law enforcement personnel, the motor carrier industry, insurance companies, and the general public. A&I imports census files, investigatory files, driver/vehicle safety violations and inspection data, and crash data from MCMIS for the purpose of processing a monthly data snapshot of the MCMIS database.

• ProVu--ProVu is an application that allows Federal and State enforcement personnel and the motor carrier industry to electronically view standard motor carrier safety profile reports available from the FMCSA. ProVu imports driver/vehicle safety violations and inspection data and crash data in a standard report exported from MCMIS for the purpose of generating Company Safety Profile reports.

• Compliance Analysis and Performance Review Information (CAPRI)--CAPRI is used by Federal and State enforcement personnel when conducting compliance reviews and safety audits, specialized cargo tank facility reviews, household good investigations, and hazardous material (HM) shipper reviews. CAPRI includes worksheets for collecting census files, investigatory files, driver/vehicle safety violations and inspection data, and crash data from MCMIS to track (1) hours of service, (2) driver qualifications, and (3) drug and alcohol compliance. It also creates the preliminary carrier safety fitness rating and various reports for motor carriers.

• Sentri--Sentri (formerly known as the Mobile Client Application) SENTRI is used by Federal and State enforcement personnel to access motor carrier and driver information. SENTRI combines roadside inspection, investigative, and enforcement functions into a single interface.

• McQuery--The MCMIS database is copied into McQuery, creating an exact image of the MCMIS database. The data in McQuery is used for responding to Freedom of Information Act (FOIA) requests and other requests for public information, generating special data requests for FMCSA, and supporting the operations of FMCSA.

• GOTHAM--GOTHAM is an internal FMCSA analysis system that utilizes selected extracts of MCMIS data and is only accessible through the DOT/FMCSA Intranet. GOTHAM imports census files, investigatory files, driver/vehicle safety violations and inspection data, and crash data from MCMIS for the purpose of delivering standard reports via the Intranet.

• Docket Management System (DMS)--DMS is a National Transportation Safety Board NTSB system that stores investigative material in one of two ways. Documents that are categorized in DMS "For Official Use Only" ("OUO") are found only in the non-public side of the docket. In these instances, the documents are accessible only by those NTSB employees that are allowed access to NTSB Office of Highway Safety dockets. If a document is placed in the publicly available portion of DMS, NTSB redacts any PII.

• New Application Screening (NAS)--NAS is an application, which is populated by A&I, that identifies potential "chameleon carriers" within the FMCSA past and present carrier population. This tool provides you with the ability to search for specific carriers and identify relationships to other past and present carriers." Currently, NAS is available to select FMCSA personnel. It is searchable by motor carrier name, state, and address.

MCMIS SHARES NON-PII WITH THE FOLLOWING FMCSA SYSTEMS OR SYSTEM COMPONENTS:

• Query Central (QC)--QC is a secure web application that provides Federal and State safety enforcement personnel with a single location where they can enter one query and obtain targeted safety data on commercial motor vehicle (CMV) carriers, vehicles, and drivers from multiple sources in FMCSA and Customs and Border Patrol. QC does not maintain a database of its own, but instead pulls data from the authoritative sources in real-time. QC utilizes MCMIS to verify carrier information. QC displays privacy- related information on drivers from MCMIS.

• Licensing and Insurance System (L&I)--The L&I system is used to enter and display licensing and insurance information regarding authorized for-hire motor carriers, foreign motor carriers, freight forwarders, and property brokers. It is the authoritative source for FMCSA licensing and insurance data. L&I is part of the registration process. L&I imports information from MCMIS as follows:

--Data about carriers that received unsatisfactory ratings;

--Data about Out-of-Service carriers; and

--USDOT numbers for synchronization with docket numbers.

• Hazmat Registration (HMReg)--HMReg exports data from MCMIS to the Pipeline and Hazardous Materials Safety Administration (PHMSA) database server in response to HAZMAT registration data requests.

49 U.S.C. 502, 504, 506, 508, Chapter 139, and 49 CFR 1.73.

The purpose of this system is to provide a central collection point for records on some intrastate motor carriers, interstate motor carrier, hazardous material shipper, freight brokers and freight forwarders in order to facilitate the analysis of data required to administer and manage the agency’s safety and commercial enforcement programs.

1. In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: To federal, state, local, and foreign government agencies for the purposes of enforcing motor carrier and Hazardous Materials shipper safety.

2. To State lead agencies and other law enforcement grantees under the FMCSA Motor Carrier Safety Assistance Grant Program and Border Enforcement Grant program, which is a federal grant program that provides financial assistance to states for their work in reducing in the frequency and severity of CMV crashes and hazardous materials incidents.

3. To the National Transportation Safety Board (NTSB) in connection with NTSB investigations involving motor carriers, interstate motor carriers, and hazardous material shippers.

4. To Federal, State, and local government agencies for the purposes of household goods investigations (HHG) and enforcing HHG statutes and regulations.

5. To Federal, State and local government agencies for the purposes of driver, motor carrier, broker, and freight forwarder investigations, and enforcing commercial operating statutes and regulations.

6. See "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices). Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the Federal Register at 75 FR 82132, December 29, 2010, and 77 FR 42797, July 20, 2012 under "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices).

Disclosure to consumer reporting agencies:

None.

Storage:

MCMIS records are stored in an automated system operated and maintained at the Volpe National Transportation Systems Center (Volpe Center) in Cambridge, MA.

Records may be retrieved by; individuals’ name, Social Security Number, Employer Identification Number, company name, trade name, and geographical location.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable DOT automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.

Records will be retained and disposed in accordance with National Archives and Records Administration (NARA) retention disposition schedule (RDS) NI-557-05-007 item #5. Master data files are retained on a permanent basis. For a complete discussion of the RDS please see www.nara.gov.

The system manager is the Division Chief, IT Development Division; Office of Information Technology; Federal Motor Carrier Safety Administration; U.S. Department of Transportation; 1200 New Jersey Avenue SE; W68-330; Washington, DC 20590

Individuals seeking notification of and access to any record contained in this system of records, or seeking to contest its content, may submit a request in writing to the Tiffanie Coleman, FMCSA FOIA Officer whose contact information can be found at http://www.dot.gov/foia under "Contact Us." If an individual believes more than one component maintains Privacy Act records concerning him or her, the individual may submit the request to the Departmental Freedom of Information Act Office, U.S. Department of Transportation, Room W94-122, 1200 New Jersey Ave. SE., Washington, DC 20590, ATTN: FOIA request.

When seeking records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 49 CFR Part 10. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Freedom of Information Act Officer, http://www.dot.gov/foia or 202.366.4542. In addition you should provide the following:

An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DOT component agency may have responsive records; and

If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records. Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

See "Notification procedure" above.

See "Notification procedure" above.

Records are obtained from roadside driver/vehicle inspections and crash reports submitted by state and local law enforcement agencies and from investigations performed by state and federal investigators. State officials and FMCSA field offices forward safety information to MCMIS immediately after it has been compiled and processed locally.

Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a), portions of this system are exempt from the requirements of subsections (c)(3), (d), (e)(4)(G)-(I) and (f) of the Act, for the reasons stated in DOT’s Privacy Act regulation (49 CFR Part 10, Appendix, Part II, at A.8). See 66 FR 20406, April 23, 2001. A copy of this Notice and accompanying Privacy Act Exemptions Final Rule may be found on the DOT Privacy Office Web site--www.dot.gov/privacy.

Unclassified--sensitive.

Office of Enforcement (MC-EC); 400 7th Street, SW., Room 3419, Washington, DC 20590.

Officers, agents or employees of motor carriers, including drivers who have been the subject of investigation for Motor Carrier Safety regulation violations.

Motor Carrier safety regulation violations and identifying features.

Motor Carrier Safety Act of 1984, 49 U.S.C. 521(b).

Decide enforcement action, and for use as historical documents in case of appeal.

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.

Storage:

File folders in the Field Legal Services’ offices

Names of individuals.

Only Office of the Chief Counsel or Field Legal Services employees, and other FMCSA employees have regular access to the files.

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.

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

Individuals, motor carrier files, OMCHS file information as gathered by OMCHS investigators, etc.

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).

Unclassified, Sensitive.

Department of Transportation, Federal Motor Carrier Safety Administration (FMCSA), Office of Bus and Truck Standards and Operations, 400 7th Street, SW., Washington, DC 20590; FMCSA Service Centers.

Operators of interstate commercial motor vehicles who transport certain commodities and have been granted waivers/exemptions from normally-applicable safety requirements.

Applications for waiver, exemptions, final disposition of request for waiver/exemptions; and exemption renewal.

Motor Carrier Safety Act of 1984 (49 U.S.C. 31136(e) and TEA-21 (49 U.S.C. 31315).

Monitor drivers of commercial motor vehicles who operate in interstate commerce and have requested waivers to existing Federal Motor Carrier Safety Regulations (FMCSRs).

The purpose of the information in these records is to make determinations concerning whether drivers who request exemptions from the medical standards in the FMCSRs should be permitted to operate a CMV in interstate commerce. The determination is based on drivers’ medical records describing the impairment for which they are requesting an exemption, the ability to manage the impairment, and the demonstrated ability to operate a CMV in a safe manner with the impairment. This information, with augmentation and updating, is also used every two years to determine if the exemption should be renewed as is specified in TEA-21 (49 U.S.C. 31315). The use of the information in the various determinations is focused on insuring that the program is as safe or safer than the circumstance present in the absence of the program as is required in TEA-21 (49 U.S.C. 31315).

The records are used to monitor the drivers’ performance throughout the period they have an exemption and are active in the program. Monitoring could be related to the drivers’ medical condition or their driving performance. The records are also used to respond to Congressional inquiries about individuals in the program. Those authorized to use the information are the managers at FMCSA and the members of the contracting project team that supports the program.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

The records are currently stored in two locations. The physical records are stored at a secure site located at the contracting company which supports the exemption program. The records are also stored in an electronic format on a secure web-based information system. The information system is protected through the use of HTTPS and SSL (Secure Socket Links). All users of the system are required to obtain a client certificate which identifies the user to the web site. The company that supports the program has set up a certificate server, from which authorized users can request a client certificate. All client certificate requests are reviewed by company’s Information Systems Manager, who is responsible for providing access to the site. The Information System Manager works with the Project Manager and the FMCSA Project Officer to determine the user access to the site. Once a user is approved, the Information System Manager notifies the user via e-mail that their client certificate has been approved, and provides them with instructions on how to download and install the client certificate on the user’s personal computer. Currently, only the project staff and selected FMCSA Managers have access to the site.

Records are retrieved by driver’s name.

Files are classified as sensitive and are regularly accessible only by designated employees within the FMCSA Service Centers and FMCSA headquarters.

The files are retained while the driver waivers are active. The inactive driver waiver files are purged every three years.

Federal Motor Carrier Safety Administration, Office of Bus and Truck Standards and Operations, 400 7th Street, SW., Washington, DC 20590.

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

Application for Waiver or Waiver Renewal.

None.

Controlled Unclassified Information (CUI).

The NCCDB and its Web site (http://nccdb.fmcsa.dot.gov/HomePage.asp) are administered and maintained by the facility listed below:

John A. Volpe National Transportation Systems Center (Volpe Center), 55 Broadway, Cambridge, MA 02142.

The Safety Violation and Household Goods Consumer Complaint Hotline (888-DOT-SAFT or 888-368-7238) is operated by the contractor listed below:

Ecompex, Inc. (Ecompex), DTMC75-05-C-00008, 7926 Jones Branch Drive, Suite 560, McLean, VA 22102.

The hotline and Web site are operated under a leasing agreement between Ecompex and the subcontractor listed below:

Computing Technologies, Inc. (CoTs), DTFH61-99-Z-00073, 3028 Javier Road, Suite 400, Fairfax, VA 22031.

1. Consumers and commercial motor vehicle drivers who report violations of Federal Motor Carrier Safety Regulations (FMCSRs).

2. Consumers who contract with motor carriers and brokers to transport their household goods (HHG) in interstate operations.

3. Motor carriers, employees, drivers and consumers who contract with Hazardous Materials motor carriers and Cargo Tank Facilities.

Records and reports in the NCCDB may include the following:

1. HHG complaints (PII).

Respondent names, tracking number, addresses, fax numbers, phone numbers, and e-mail addresses.

2. Safety Violation complaints (PII).

Respondent names, tracking number, addresses, fax numbers, phone numbers, and e-mail address.

3. Hazardous Materials and Cargo Tank Complaints (PII).

Respondent names, tracking number, addresses, fax numbers, phone numbers, and e-mail address.

4. Acknowledgement letters to complainants (PII).

Complainant’s name, tracking number, and address.

5. Notification letters to motor carriers (PII).

Respondent’s name, complaint number, and address.

49 U.S.C. 14701 note.

The major goal of NCCDB is to meet the requirements set forth in section 4214, Public Law 109-59, 119 Stat. 1144, 1759-1760, codified at 49 U.S.C. 14701 note, the Safe, Accountable Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), which requires FMCSA to establish:

1. A system, database, and procedures for filing and logging consumer complaints relating to household goods motor carriers for the purpose of compiling or linking complaint information gathered by FMCSA and the States with regard to such carriers.

2. Procedures to allow the public to have access, subject to 5 U.S.C. 552(a), to aggregated complaint information and a process for carriers to challenge duplicate or fraudulent information in the database.

NCCDB is capable of recording the following types of complaints:

1. Safety Violation Complaints--Consumers, commercial motor vehicle drivers, and others can report violations of Federal Motor Carrier Safety Regulations (FMCSRs).

2. Household Goods (HHG) Complaints--Consumers can report complaints related to the contracting and moving of HHG.

3. Hazardous Materials and Cargo Tank Complaint--Consumers can report complaints related to Hazardous Materials and Cargo Tank.

The data collected by NCCDB can be used by FMCSA to identify problematic motor carriers in order to take enforcement actions and to promote compliance with FMCSRs. The NCCDB can also be used to alert consumers of those motor carriers with a history of complaints related to transporting HHG and to provide guidance to the public on how to avoid being victimized by unscrupulous moving companies.

Motor carriers can use NCCDB to assist with complaint reconciliation. After being informed of a complaint, the respondent is encouraged to resolve the complaint with the complainant.

• Information may be shared with congressional offices and Federal, State, and local government agencies for the purposes of enforcing the safety of motor carriers and HHG transporters.

• Information may be shared with Federal, State, and local law enforcement programs to safeguard against and respond to the breach of personally identifiable information.

• Information may also be accessed by Federal contractors involved in the system support and maintenance of NCCDB.

• In addition to those disclosures generally permitted under 5 U.S.C. 552a(b)(3) of the Privacy Act, additional disclosures may be made in accordance with the DOT Prefatory Statement of General Routine Uses, published at 65 FR 19476 (April 11, 2000).

Disclosure to consumer reporting agencies:

None.

Storage--NCCDB records are stored in an automated system operated and maintained at the Volpe National Transportation Systems Center (Volpe Center), U.S. Department of Transportation, 55 Broadway, Cambridge, MA 02142. Backup copies of NCCDB records are archived in a secure offsite facility.

NCCDB records can be retrieved through automated searches on the following key words or identifying information:

• Complainant Name.

• Respondent Name.

• Address (Complainant and Respondent).

• Fax Number (Complainant and Respondent).

• Phone Number (Complainant and Respondent).

• State Name (Complainant and Respondent).

• Zip Code (Complainant and Respondent).

• E-mail Address (Complainant and Respondent).

• Secondary Respondent Name.

• Motor Carrier Number.

• USDOT Number.

• Complaint ID Number.

• Complaint Date.

Access to NCCDB is restricted to those authorized users with a specific "need to know" and requires authentication with a valid user name and password. Only authorized federal government personnel and contractors conducting system support or maintenance activities may access NCCDB records. The scope of access is limited to the official need of each authorized individual. NCCDB is housed in a secure data center, and access to NCCDB is restricted to authorized personnel only. Access to the building in which NCCDB is located is also restricted to authorized personnel only. FMCSA operates NCCDB in accordance with the E-Government Act of 2002 (Pub. L. 107-347), the Federal Information Security Management Act (FISMA) of 2002 (Title III of Pub. L. 107-347), and other required policies, procedures, practices, and security controls for implementing the Automated Information Systems Security Program.

Complaint files are retained at the John A. Volpe National Transportation Systems Center by the system administrator. All files received by the Safety Violation and Household Goods Consumer Complaint Hotline are retained in compliance with agency record control schedules. Complaints mailed from FMCSA to Ecompex are recorded online in NCCDB by Ecompex staff. The Volpe Center and Ecompex comply with all requirements of the National Archives and Records Administration (NARA) with respect to record retention and control. NARA regulations indicate 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.

James Dubose; Federal Motor Carrier Safety Administration; Commercial Enforcement Division; MC-ECC, M61300, W63-421; 1200 New Jersey Avenue SE; Washington, DC 20590.

Individuals wishing to know if their records appear in this system may make a request in writing to the System Manager. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and the location of the records requested, compliant tracking number, and verification of identity. FMCSA’s requirement for verification of identify for NCCDB include the following:

• Complaint ID/tracking number of the complaint.

• Name address and telephone number.

• Date of compliant.

• Origin and destination of the complaint (If appropriate).

• Respondent’s name and DOT number (If appropriate).

• Description of the complaint.

Individuals seeking access to information about them in this system should apply to the System Manager, following the same procedure as indicated under "Notification Procedure."

Individuals seeking to contest the content of information about them in this system should apply to the System Manager, following the same procedure as indicated under "Notification Procedure."

NCCDB complaints are obtained from consumers, motor carriers, brokers, and consumers who contract with Hazardous Materials motor carriers and Cargo Tank Facilities.

Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a(k)(2)), portions of this system are exempt from the requirements of subsections (c)(3), (d), (e)(4)(G)-(I) and (f) of the Act, for the reasons stated in DOT’s Privacy Act regulation (49 CFR Part 10, Appendix, Part II at A.8.

Unclassified, Sensitive

Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142.

The input of information into EDMS is discretionary. Field users have been instructed to upload all compliance review, inspection and enforcement documents related to motor carriers generated after October 1, 2005, but some divisions have uploaded older documents in accordance with NARA’s FMCSA Field Records Schedule in order to destroy paper copies of documents covered by the schedule. Use of the administrative (non-carrier related) sections of EDMS are also at the discretion of the Division/Field Administrator and may or may not contain certain types of information including, but not limited to, sensitive personnel documents such as Travel Vouchers (which include Social Security Numbers). Therefore, there is the potential for the following categories of individuals to be covered by this system:

• All owners of interstate commercial motor vehicle operations, active or inactive.

• All operators of interstate commercial motor vehicles, licensed or unlicensed.

• All FMCSA employees.

Operators and operators of interstate commercial motor vehicles; Federal Motor Carrier Safety Administration (FMCSA) employees.

The input of information into EDMS is discretionary. Field users have been instructed to upload all compliance review, inspection and enforcement documents related to motor carriers generated after October 1, 2005, but some divisions have uploaded older documents in accordance with NARA’s FMCSA Field Records Schedule in order to destroy paper copies of documents covered by the schedule. Use of the administrative (non-carrier related) sections of EDMS are also at the discretion of the Division/Field Administrator and may or may not contain certain types of information including, but not limited to, sensitive personnel documents such as Travel Vouchers (which include Social Security Numbers). Therefore, there is the potential for the following categories of documents to reside in this system:

• Carrier Related Documents include, but are not limited to:

○ Carrier Enforcement Case Documents.

○ General Carrier Documents, including, but not limited to:

ߦ Compliance Reviews.

ߦ Correspondence, including e-mail.

ߦ Crash Reports.

ߦ Out of Service Orders.

ߦ Safety Audits.

○ Carrier Receipt Documents.

○ Driver Enforcement Case Documents, including, but not limited to:

ߦ Notice of Claim.

ߦ Receipts.

ߦ Correspondence, including e-mail.

ߦ Enforcement Cases.

ߦ Exhibits.

ߦ Final Agency Orders.

○ Roadside Inspection Certification.

○ Roadside Inspection Report.

• Administrative Documents including, but not limited to:

○ Delegations of Authority.

○ Non-personnel related Employee Documents.

○ Federal Programs.

○ Rules of Conduct.

○ Employee Work Schedules.

○ Time and Attendance Records.

○ Congressional Correspondence.

○ Suspicious Activity Reports.

• Management Documents including, but not limited to:

○ Financial Management documents including, but not limited to:

ߦ Budgets.

ߦ Invoices.

ߦ Procurement Requests.

ߦ Property.

ߦ Purchase Card documents.

ߦ Purchase Orders.

ߦ Travel (Authorizations, Voucher and Receipts).

○ Personnel Management documents including, but not limited to:

ߦ Performance Appraisals.

ߦ Award Nominations.

ߦ Position Descriptions.

ߦ Personnel Actions (SF-50).

ߦ Request for Personnel Actions (SF-52).

ߦ Telecommuting Agreements.

ߦ Within-Grade Step Increase documentation.

49 U.S. C. 31136 (e), Motor Carrier Safety Act of 1984, 49 U.S.C. 31315, and the Transportation Equity Act for the 21st Century (TEA-21) which was enacted June 9, 1998 as Public Law 105-178.

To provide FMCSA personnel with a centralized document repository application for archiving and accessing documents relevant to FMCSA business processes. The mission of FMCSA is to improve the safety of commercial motor vehicles and save lives by enforcing the laws and regulations set forth to govern motor carrier operations. The business processes included in realizing this mission are the performance of compliance reviews and inspections on motor carrier operations and inspections of commercial motor vehicles, which may result in enforcement actions being taken against a motor carrier for failure to adhere to motor carrier laws and regulations. EDMS contains the documents related to these processes and allows all authorized users access to these documents in the performance of their duties.

EDMS is also used in the administrative process as a central repository in the operation of a specific office within FMCSA. Travel, procurement, budget and other administrative documents are housed in this system to support the migration to a "paperless" work environment.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Documents are stored on this system on a dedicated server. Metadata specific to each document is stored on a separate database server and is dynamically linked to each document.

Records are retrievable by USDOT number, carrier census information (carrier name, DBA, address, etc.), Division, Service Center, Driver Name, Employee Name, Document Category, Document Date, Author, and Fiscal Year.

The electronic records uploaded to EDMS are stored in one server on a secure web-based system. The index data associated with these documents is stored on a database server. Both of these servers are physically protected by virtue of the fact that they are housed in a limited-access controlled server room. The entire EDMS application is electronically safeguarded through the use of HTTPS and SSL (Secure Socket Links) and is accessible only to users within the FMCSA network, or from specific IP addresses of authorized contractors. All users of the system are required to obtain a user name through FMCSA Technical Support, the contractor support group which provides technical support to the majority of FMCSA Information Technology systems. All applications for accounts must first be approved by the FMCSA Organizational Coordinator for the area in which the user works. All requests are then reviewed by FMCSA Technical Support to ensure conformance with FMCSA’s security standards. Once a user is approved, FMCSA Technical Support contacts the user via e-mail and requests that the user call FMCSA Technical Support to obtain their temporary password to the system. The temporary password is configured to expire and force the user to change his/her password upon first login attempt. All FMCSA employees are eligible for an account in EDMS, but access to certain libraries contained on the system is dependent upon the user’s role.

The files are retained and disposed of according to the FMCSA Field Records Schedule according to the National Archives and Records Administration, and FMCSA policy.

Department of Transportation, Federal Motor Carrier Safety Administration, Office of Data Analysis and Information Systems, 400 7th Street, SW., Washington, DC 20590.

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

None.

OMB Control Number:

None.

Unclassified, sensitive.

Records are located at Federal Motor Carrier Safety Administration (FMCSA) field offices throughout the United States as well as the offices of State agencies responsible for the enforcement of interstate and intrastate motor carrier operations within their jurisdiction.

SAFETYNET covers companies and drivers of commercial motor vehicles (CMV) (i.e., trucks with a gross combination weight of 10,001 pounds or more, buses used to transport more than 9 passengers (including the driver), and vehicles transporting hazardous materials). It also includes information on shipping and freight-forwarding companies registered with FMCSA. SAFETYNET systems deployed and operated by State agencies may also contain information on motor carrier companies and operations residing in that State. Specific personal information related to individuals is maintained on:

1. Drivers associated with vehicle inspections and crashes related to the motor carrier companies in the system;

2. FMCSA and State officials with authorized access to SAFETYNET via personally assigned user accounts; and

3. Federal and State Safety Investigators (SI) performing motor carrier enforcement duties.

Records and reports in this system may include:

1. Registration Information: Includes the USDOT Number, carrier identification, types of vehicles, number of drivers, and commodities carried for motor carriers and hazardous material shippers registered with FMCSA and the State within which the SAFETYNET instance is deployed.

2. Review and Rating Information: The SAFETYNET system may contain compliance review records regarding companies’ motor carrier operations, safety performance, and adherence to Federal and State regulations.

3. Inspection Information: Roadside inspection information about vehicles and drivers, including violations of safety regulations governing the driver, the vehicle, and those specifically related to hazardous materials.

4. Crash Information: Individual States collect and maintain information on recordable motor carrier crashes, which includes date, time and location of crash, investigating agency, weather and road surface conditions, motor carrier ID, driver name, driver license number, power unit identification, and crash outcome, including number of people injured and/or killed.

5. Complaint Information: Records of complaints received by Federal and State agencies from various sources against motor carrier companies, their drivers, and/or their operations.

6. Personal Identifier Information: Drivers and co-drivers are identified by name, date of birth, and driver license number.

49 U.S.C. 31136(e), Motor Carrier Safety Act of 1984; 49 U.S.C. 31315, Transportation Efficiency Act for the 21st Century, TEA-21.

SAFETYNET is used to maintain records of the safety performance of interstate carriers and hazardous materials shippers that are subject to the Federal Motor Carrier Safety Regulations (FMCSR) or Hazardous Materials Regulations (HMR). SAFETYNET also contains information on intrastate carriers (carriers who collect, deliver, or transfer commodities within state boundaries only) that are registered with a State implementing the SAFETYNET system. A large subset of information, collected locally using the SAFETYNET systems, is uploaded to FMCSA centralized systems. Conversely, information collected by other States, and the centralized Federal systems, are distributed to the field-deployed SAFETYNET systems.

See Prefatory Notice of General Routine Uses.

Disclosure to consumer reporting agencies:

No.

Storage:

Records are stored electronically in databases on physical systems located at FMCSA field offices throughout the United States as well as the offices of State agencies responsible for the enforcement of interstate and intrastate motor carrier operations within their jurisdictions.

Records are retrieved by the driver’s name, date of birth, vehicle identifier, mailing address, and phone number.

SAFETYNET information is accessible only to FMCSA and State enforcement personnel with specifically assigned user IDs and passwords. Some limited personnel under contract to FMCSA or State agencies responsible for carrying out enforcement activities or supporting the SAFETYNET system also have access via specifically assigned IDs and passwords. All SAFETYNET IDs and passwords are issued to users only after approval by local SAFETYNET System Managers, or their designees. All Federal and State enforcement related access to SAFETYNET is limited to FMCSA or State internal networks. The upload of data to centralized FMCSA systems is through the FMCSA internal network, specifically designated trusted source networks, or other approved encryption communication protocols. Physical security and access to the hosting facility is managed and maintained by the local SAFETYNET System Manager. FMCSA Division and Service Center offices keep their servers in a secure room. It is the responsibility of each participating state agency to properly secure the server within their facility.

SAFETYNET records are currently undergoing scheduling with the National Archives.

Director, Office of Information Management, FMCSA, 400 7th Street, SW., Washington, DC 20590.

Individuals seeking to determine whether this system of records contains information pertaining to them should write to the Privacy Officer, Office of Management Information and Services, FMCSA, 400 7th Street, SW., Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

In addition to individual user input through the client/server interface, SAFETYNET collects information from other enforcement systems such as ASPEN, which is roadside CMV inspection software, for vehicle and driver inspections. The SAFETYNET software may be configured at the State level to interface with and receive data from State inspection, crash, or carrier registration information systems.

None.

OMB Control Number:

None.

Unclassified, Sensitive.

Records are maintained at the DOT Service Provider sites managed by AT&T in Ashburn, VA and Allen, TX.

PSP records will include personally identifiable information (PII) pertaining to Commercial Motor Vehicle (CMV) drivers, as defined by 49 CFR 390.5, (referred to in this system of records notice as operator-applicants). PSP will also include access transaction records. For CMV drivers, this will include personal information submitted by the CMV driver to access his or her personal PSP record. For motor carriers or authorized industry service provider, Access Transaction Records will include the unique username and password submitted by the user to access the PSP system and the CMV driver information submitted by the motor carrier or authorized industry service provider to retrieve a PSP record.

Categories of records in this system include:

CMV crash and inspection records. Data extract from the FMCSA Motor Carrier Management Information System (MCMIS) containing the most recent five years’ crash data and the most recent three years’ inspection information for operator-applicants including:

• CMV driver name (last, first)

• CMV driver date of birth

• CMV driver license number

• CMV driver license State

Access transaction records. In the case of a motor carrier or industry service provider accessing a CMV driver’s PSP record, transaction records include information about the subject of the electronic record request including:

• CMV driver name (last, first, middle initial)

• CMV driver date of birth

• CMV driver license number

• CMV driver license State

Access Transaction Records also include information about the motor carrier or industry service provider accessing the record including:

• User unique system username

• User unique system password

In the case of an operator-applicant requesting his or her own PSP record, the Access Transaction Record will include:

• CMV driver name (last, first, middle initial)

• CMV driver date of birth

• CMV driver license number

• CMV driver license State

• CMV driver address.

49 U.S.C. 31150, as added by section 4117 of Public Law 109-59 [Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU)].

The purpose of this system is to make CMV crash and inspection records available to authorized operator-applicants, authorized industry service providers, and authorized motor carriers. Records maintained in the system will also support operational management of the PSP program.

In addition to those disclosures generally permitted under Section (b) of the Privacy Act, 5 U.S.C. 552a(b), all or a portion of the records or information contained in this system may be disclosed outside of DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

1. To authorized industry service providers and motor carriers as part of the operator-applicant’s PSP record; authorized industry service providers and motor carriers may use PSP records only for purposes of pre-employment safety screening of operator-applicants and must have the operator-applicant’s consent to access the PSP record;

2. To the DOT Validation Authority (e.g., Lexis-Nexis) to verify and validate the presented identity of the individual operator-applicant requesting access to his or her own inspection and crash data.

3. Other possible routine uses of the information, applicable to all DOT Privacy Act systems of records, are published in the Federal Register at 75 FR 82132, December 29, 2010, under "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices).

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically or on paper in secure facilities. Electronic records may be stored on magnetic disc, tape, digital media, and CD-ROM. Any paper records received or required for purposes of processing data requests will be stored in secure file folders at the DOT Service Provider’s secure storage facility.

Records will be retrieved by using the operator-applicant’s last name, date of birth, license number, and license State.

All records in the system will be protected from unauthorized access through appropriate administrative, physical, and technical safeguards. Electronic files will be stored in a database secured by password security, encryption, firewalls, and secured operating systems, to which only authorized Service Provider or DOT/FMCSA personnel will have access, on a need-to-know basis. Paper files will be stored in file cabinets in a locked file room to which only the authorized Service Provider and DOT/FMCSA personnel will have access, on a need-to-know basis. All access to the electronic system and paper files will be logged and monitored. All PII data elements will be encrypted in the PSP system.

The Service Provider will be subject to routine audits of the PSP program by FMCSA to ensure compliance with the Privacy Act, applicable sections of the Fair Credit Reporting Act and other applicable Federal laws, regulations, or other requirements.

Access by external users (operator-applicants, authorized industry service providers and motor carriers) will be restricted within the system based upon the user’s role as an authorized industry service provider, motor carrier, or validated operator-applicant. An authorized industry service provider or motor carrier is an entity or person who has been provided a unique user identification and password and must use the unique identification and password to access data in PSP. External users will be able to query the CMV crash and inspection database only. The Service Provider will provide users with an advisory statement that authorized industry service providers and motor carriers could be subject to criminal penalties and other sanctions under 18 U.S.C. 1001 for misuse of the PSP system.

In order for an authorized industry service provider or motor carrier to receive an individual operator-applicant’s crash and inspection data, the authorized industry service provider or motor carrier must certify, for each request, under penalty of perjury, that the request is for pre-employment purposes only and that written or electronic consent of the operator-applicant has been obtained. Upon completion of certification, the Service Provider will provide the individual operator-applicant data to the industry service provider or motor carrier via the secure PSP Web site. The authorized industry service provider or motor carrier will access this individual’s information by entering a unique identification username and password. Authorized industry service providers or motor carriers will be required to maintain each operator-applicant’s signed, written consent form or electronic signature for five years. Authorized industry service providers or motor carriers are subject to random audits by DOT to ensure that written or electronic consent of operator-applicants was obtained.

The PSP system also allows validated operator-applicants to access their own crash and inspection data upon written or electronic request. Upon receipt of an operator-applicant’s request, the Service Provider will validate the identity of the requestor (operator-applicant) by using his or her full name, date of birth, driver license number, driver license State and current address against a validation authority.

The contractor and FMCSA have established an ongoing, random-selection audit process to monitor compliance with the written consent obligation. The audit requirements and penalties process is incorporated by reference as part of the contract between FMCSA and the contractor. The purpose of the audit requirements and penalties process is to ensure that the account holder obtains a driver-signed consent form prior to completing a PSP driver record inquiry in accordance with the Fair Credit Reporting Act, 15 U.S.C. 1681 et seq., and 49 U.S.C. 31150. The contractor will penalize an account holder, who fails to comply with the audit requirements. Based on the nature and frequency of these violations, the contractor may send a written warning, suspend, or terminate the account holder from the PSP.

Individuals who access the PSP system via the iOS application are subject to the privacy policy integrated in the application.

1. CMV crash and inspection records: Pursuant to General Records Schedule (GRS) 20 ("Electronic Records," February 2008, see http://www.archives.gov/records-mgmt/ardor/grs20.html), governing extract files, each monthly MCMIS extract in PSP is deleted approximately three months after being superseded by a current MCMIS extract, unless needed longer for administrative, legal, audit or other operational purposes.

2. Access Transaction Records: Pursuant to GRS 24, "Information Technology Operations and Management Records," Item 6, April 2010, see http://www.archives.gov/records-mgmt/grs/grs24.html) Access Transaction Records are retained for a period of five years.

PSP System Manager: Office of Information Technology; Federal Motor Carrier Safety Administration; U.S. Department of Transportation; 1200 New Jersey Avenue SE., W65-319; Washington, DC 20590.

Operator-applicants wishing to know if their inspection and crash records appear in this system may directly access the PSP system or make a request in writing to the PSP System Manager identified under "System Manager Contact Information."

Individual operator-applicants wishing to know if their Access Transaction Records appear in this system may make a written request to the following address: NIC Technologies, 4601 N. Fairfax Drive, Suite 1160, Arlington, VA 22203.

Any other requests for records about yourself from this system of records or any other Departmental system of records your request must conform with the Privacy Act regulations set forth in 49 CFR part 10. You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. While no specific form is required, you may obtain forms for this purpose from the Chief Freedom of Information Act Officer, http://www.dot.gov/foia or 202.366.4542. In addition you should provide the following:

An explanation of why you believe the Department would have information on you;

• Identify which component(s) of the Department you believe may have the information about you;

• Specify when you believe the records would have been created;

• Provide any other information that will help the FOIA staff determine which DOT component agency may have responsive records; and

• If your request is seeking records pertaining to another living individual, you must include a statement from that individual certifying his/her agreement for you to access his/her records.

Without this bulleted information the component(s) may not be able to conduct an effective search, and your request may be denied due to lack of specificity or lack of compliance with applicable regulations.

See "Notification Procedure" above.

Operator-applicants seeking to contest the content of information about them in this system should apply to the System Manager by following the same procedures as indicated under "Notification Procedure." Operator-applicants may also submit a data challenge to FMCSA’s online system to record and monitor challenges to FMCSA data, DataQs. The system can be accessed via the DataQs Web site (https://dataqs.fmcsa.dot.gov/login.asp). The DataQs system, provides an electronic means for operator-applicants to file concerns about Federal and State data contained in the PSP report. Specifically, DataQs allows an individual to challenge data maintained by FMCSA on, among other things, crashes, inspections, registration, operating authority, safety audits and enforcement actions. Through this system, data concerns are automatically forwarded to the appropriate Federal or State office for processing and resolution. Any challenges to data provided by State agencies must be resolved by the appropriate State agency. Additionally, FMCSA is not authorized to direct a State to change or alter MCMIS data for violations or inspections originating within a particular State(s). Once a State office makes a determination on the validity of a challenge, FMCSA considers that decision as the final resolution of the challenge. FMCSA cannot change State records without State consent. The system also allows filers to monitor the status of each filing.

1. CMV crash and inspection records: All commercial driver crash and inspection data in PSP is received from a monthly MCMIS data extract. The MCMIS SORN identifies the source(s) of the information in MCMIS. (FMCSA modified the MCMIS SORN to describe the system’s sharing of PII with the Driver Information Resource and PSP systems. See 74 FR 66391, December 15, 2009). All DOT SORNs may be found at www.dot.gov/privacy.

2. Access transaction records: An audit trail of those entities or persons that accessed the PSP (i.e. authorized motor carriers, authorized industry service providers, or validated operator-applicants) is automatically created when requests are initiated and when data is released by the Service Provider. These records are internal documents to be used by the Service Provider and FMCSA for auditing, monitoring and compliance purposes.

None.

Unclassified, Sensitive.

Medical Exemption Program databases reside at the following locations:

• Volpe National Transportation Systems Center (Volpe Center), U.S. Department of Transportation, Cambridge, MA 02142.

• MANILA Consulting Group, Inc. (MANILA), McLean, VA 22101.

The Medical Exemption Program includes PII from CMV drivers applying for an exemption from the federal vision standard [49 CFR 391.41(b)(10)] or the federal diabetes standard [49 CFR 391.41(b)(3)] in the FMCSR.

FMCSA has established the Medical Exemption Program to support the paper-based Federal Vision Exemption Program (FVEP), the paper-based Federal Diabetes Exemption Program (FDEP), and the web-based Med-Ex application managed by the FMCSA Office of Medical Programs.

Federal Vision Exemption Database--A legacy database that contains PII, including sensitive health information received from CMV drivers applying for a vision exemption from the federal vision standard [49 CFR 391.41(b)(10)] via mail, e-mail, and fax prior to the launch of Med-Ex. There are no external users of this database.

Federal Diabetes Exemption Database--A database that contains PII, including sensitive health information received from CMV drivers applying for a diabetes exemption from the federal diabetes standard [49 CFR 391.41(b)(3)] via mail, email, and fax. There are no external users of this database.

Med-Ex Application--A web-based application that collects and stores PII, including sensitive health information from CMV drivers applying for a vision exemption from the federal vision standard [49 CFR 391.41(b)(10)] via hardcopy applications mailed to FMCSA and electronic applications submitted through the Med-Ex Web site.

The Medical Exemption Program collects the following PII or information containing PII from CMV drivers as part of the vision exemption application process:

A. Applicant Information

• Name

• Home address

• Home/mobile phone number

• Gender

• Date of birth

• SSN

B. CMV Driver Information

• Driver license number and issuing state

• Driver license classification code

• Driver license date of issuance and expiration date

• Restrictions and endorsements

• Copy of valid driver license

• List of all licenses held to operate CMVs in last three years

• Copy of motor vehicle record (MVR) covering last three years.

(Florida drivers must supply official copy of complete driving record from state of Florida due to state citation and accident reporting requirements. Indiana drivers must supply copies of accident reports from state police in addition to MVR due to state accident reporting requirements.)

C. Employment Information

• Current employer name, address, and phone number

• If employed by or leased to companies, driving history and name, address, and phone number for each company for past three years

• If self-employed, all customer names, addresses, and phone numbers for past three years

• Dates of employment

D. Medical Information

• Optometrist/ophthalmologist letter stating the following:

• Date of examination

• Nature, duration, and stability of vision deficiency

• Corrected and uncorrected visual acuity for each eye

• Field of vision test results for each eye

• Color vision information

• Medical opinion regarding ability to operate CMVs with diagnosed visual deficiency

The Medical Exemption Program collects the following PII or information containing PII from CMV drivers as part of the diabetes exemption application process:

A. Applicant Information

• Name

• Home address

• Home/mobile phone number

• Gender

• Date of birth

• SSN

B. CMV Driver Information

• Copy of valid driver license

• Copy of MVR from official state agency

• List of waivers, exemptions, and skill performance evaluation certificates

C. Employment Information

• Current employer name, address, and phone number

D. Medical Information

• Medical Examination Report

• Medical Examiner’s Certificate

• Endocrinologist Evaluation Checklist

• Vision Evaluation Checklist

Motor Carrier Safety Act of 1984 [49 U.S.C. 31136(e)] and the Transportation Equity Act for the 21st Century (TEA-21) (49 U.S.C. 31315)

The purpose for maintaining vision and diabetes exemption records in the Medical Exemption Program is to provide the FMCSA Office of Medical Programs with sufficient information to determine if CMV drivers are eligible for an exemption from the federal vision standard [49 CFR 391.41(b)(10)] or the federal diabetes standard [49 CFR 391.41(b)(3)] in the FMCSR. However, some of the CMV driver information that is collected during the exemption application process is used to ensure that duplicate applications are not submitted. The Medical Exemption Program also collects quarterly and annual medical monitoring information to determine if CMV drivers that have received a diabetes exemption are in compliance with the conditions of the exemption. During the exemption renewal process, updated application information is compared to application information stored in the Medical Exemption Program to determine if CMV drivers remain eligible for a vision or diabetes exemption.

• Information is accessed by FMCSA Office of Medical Programs employees and FMCSA contractors responsible for processing, monitoring, and reviewing exemption applications and by FMCSA employees and contractors responsible for system support and maintenance.

Some applicant information (name, age, basic information related to applicant’s medical condition, and current driver license class) is published in the Federal Register in a notice requesting public comment upon receipt of an exemption request (49 U.S.C. 31315).

See DOT Prefatory Statement of General Routine Uses published in the Federal Register on December 29, 2010 (75 FR 82132).

Disclosure to consumer reporting agencies:

None.

Storage:

Electronic records are stored in the Medical Exemption Program databases at the Volpe Center and MANILA. Vision exemption applications submitted via the web-based Med-Ex application are stored in a database in a secured area within the Volpe Center located in Cambridge, MA. Hardcopy vision exemption applications submitted via mail, email, or fax are entered and scanned into Med-Ex and stored in a secured area at MANILA until a disposition decision is made. MANILA destroys these hardcopy applications after FMCSA completes the disposition of the application. All hardcopy diabetes and vision exemption applications are stored in locked file cabinets.

Electronic records are retrieved by using automated searches. Name, tracking number, application status, SSN, and date of birth may be used to retrieve records in the Medical Exemption Program.

All records in the Medical Exemption program at the Volpe Center and MANILA are protected from unauthorized access through appropriate administrative, physical, and technical safeguards. Electronic files are stored in separate databases at MANILA and the Volpe Center that are secured by password security, encryption, firewalls, and secured operating systems and to which only authorized personnel with a specific "need to know" have access. Paper files are stored in file cabinets in a locked file room to which only authorized MANILA personnel with a specific "need to know" have access. Physical access to the Volpe Center and MANILA is restricted to authorized personnel. All access to the electronic system and paper files is logged and monitored. Access to electronic records is password protected, and the scope of access for each password is limited to the official need of each individual authorized access.

The proposed Medical Exemption Program records schedule has been submitted to the U.S. National Archives and Records Administration (NARA) and is pending approval. Medical Exemption Program applications with a status of accepted are assigned a disposition date of 10 years. All other applications are assigned a disposition date of 3 years after the application date or 30 days after a status change to deceased, whichever occurs first. Medical Exemption Program applications are destroyed at the end of each calendar year following the disposition date. Hardcopy documents that have been entered and scanned into the Med-Ex application are assigned a 30-day disposition date following the disposition date assigned to the electronic record and destroyed at the end of the calendar year.

Office of Medical Programs, Federal Motor Carrier Safety Administration, U.S. Department of Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590

Individuals wishing to know if their records appear in this system may make a request in writing to the System Manager. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and the location of the records requested, and verification of identity (such as a statement, under penalty of perjury, that the requester is the individual who he or she claims to be).

Individuals seeking access to information about them in this system should apply to the System Manager by following the same procedures as indicated under "Notification Procedure."

Individuals seeking to contest the content of information about them in this system should apply to the System Manager by following the same procedures as indicated under "Notification Procedure."

CMV drivers requesting a vision or diabetes exemption are responsible for submitting the following documentation, as appropriate:

• Completed vision or diabetes exemption application.

• Copy of valid driver license.

• Copy of MVR from official state agency.

• Medical Examiner’s Certificate.

• Medical Examination Report.

• Endocrinologist Evaluation Checklist.

• Vision Evaluation Checklist or letter from optometrist/ophthalmologist.

• Letters from employers concerning employment history or customer information if self-employed.

For vision exemption applications, authorized MANILA personnel use the Commercial Driver’s License Information System (CDLIS) to verify that convictions reported on MVR are accurate and up-to-date. Convictions that are included in CDLIS but missing from MVR are verified by requesting ticket information and police reports from CMV drivers. CDLIS information is reviewed several times during the application process and continues to be monitored after an exemption has been granted.

Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a), portions of this system are exempt from the requirements of subsections (c)(3), (d), (e)(4)(G)-(I), and (f) of the Privacy Act for the reasons stated in DOT’s Privacy Act regulations (49 CFR Part 10, Appendix, Part II, A.8).

Unclassified, Sensitive.

Records are maintained at the Volpe National Transportation Systems Center (Volpe Center), U.S. Department of Transportation, Cambridge, MA 02142. Records may also be maintained at authorized Test Delivery Organizations, addresses for which may be found on the FMCSA National Registry Web site.

Categories of individuals covered by this include:

• Medical Examiners (MEs) applying for FMCSA ME Certification.

• Certified MEs’ administrative personnel who have registered on the National Registry.

• Commercial Motor Vehicle (CMV) Drivers examined by FMCSA Certified MEs.

The National Registry of Certified Medical Examiners system collects, processes, transmits, and stores the following types of information:

(1) Information on Medical Examiners:

• Identity Verification

• Full name (first, last, middle initial)*

• Type of ME photographic identification document

• Expiration date of ME photographic identification document

• National Registry Number created by FMCSA*

• Contact Information/Place of Business (physical location where ME will perform licensed CMV driver medical exams)

• Business name*

• Business address

• Business telephone number

• Business email address

• Business Web site link information

• Medical Credential

• State Medical License Number*

• Medical License State of Issue

• State medical license expiration date

• Medical profession*

• Employer Contact (Health care provider that employs the ME)

• Name

• Address

• Telephone number

• Email address

• Training Information

• Training received/completed

• Provider name

• Training provider address

• Training completion date

• Certification Test Information

• Test Delivery Organization/Test Center name

• Date of certification test

• Certification test questions

• Certification test answers

• Test score (numeric)

• Test results (pass/fail)

• Certification Decision/Status

Data elements marked with an asterisk "*" are collectively referred to as "National Registry Identity" information.

(2) MEs’ Administrative Personnel:

• Identity Verification Information

• Full name (first, last, middle initial)

• ME Business Relationship

• Business address

• Business telephone number

• Business email address

• Business Web site link information

• Name of ME for whom the individual is acting as administrative personnel

• Certified ME National Registry number of ME for whom the individual is acting as administrative personnel

(3) Commercial Motor Vehicle Drivers’ Information:

• Identity Verification

○ Full name

○ Date of birth

• State Driver’s License

• License number

• License issuing State

• Commercial Driver License (CDL) status

• CDL Interstate status

• Medical Examination

• Certificate expiration date

• Name of ME conducting Medical Exam

• Medical qualification decision

• Driver restrictions/variances

• Driver waiver/exemption type

• Supporting medical documentation for medical qualification decision making (collected only in event of FMCSA oversight/audit activity)

SAFETEA-LU sections 4116(a) (codified as amended at 49 U.S.C. 31149) and 4116(b) (codified as amended at 49 U.S.C. 31136(a)(3)).

FMCSA will use the ME contact information, medical credentials, training, certification test and identification information to evaluate the ME’s eligibility for certification. FMCSA may request and review ME supporting documentation for eligibility of certification. FMCSA will compare the ME’s identity verification, contact and medical licensing information to the State’s medical licensing data provided by the ME during registration in order to ensure the data provided by the ME is valid. FMCSA reviews the ME test responses in order to validate the test grade and score provided by the Test Center and to ensure that the Test Center properly graded and scored the test. FMCSA will use the ME contact and ME employer information to list eligible FMCSA certified MEs on the publically available Web site for the general public to search for MEs.

FMCSA will use the FMCSA ME contact information including that of their business and/or employer and/or their designated ME administrative personnel (if identified), to communicate with the ME regarding the ME’s application and certification status.

FMCSA will use the CMV driver medical exam information to monitor the ME competence and performance in evaluating the CMV driver’s health and to detect irregularities in examination procedures.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or information contained in this system may be disclosed outside DOT as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

• To the Test Centers verify the ME’s identity and eligibility to take the ME Certification test, to make changes to ME information (at the direction of the ME) in the National Registry at the time Certification test, and to transfer Certification test information to the National Registry.

• To Test Development Contractors who will use the ME Certification test results, ME profession, and geographic location to analyze the certification test results to identify future improvements and modifications to the test questions and to identify potential patterns of fraud and abuse in the testing process by individual medical examiner candidates, testing organizations, testing centers, or proctors.

• To FMCSA Certified MEs or their Administrative Personnel to search for CMV drivers for whom they have performed medical examinations and submit/update CMV driver medical exam summary data to FMCSA.

• To the general public to perform searches of the publically available portion of the National registry for the purpose of identifying FMCSA Certified MEs and the location of medical examination facilities.

• To an agency, organization, or individual for the purpose of performing audit or oversight operations as authorized by law, but only such information as is necessary and relevant to such audit or oversight function.

• To contractors, consultants, and others performing or working on a contract, cooperative agreement, grant, or other assignment for DOT, when necessary to accomplish an agency function related to this system of records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are applicable to FMCSA employees.

• To State Medical Boards for the purposes of verifying ME license information and status. (State Medical Boards are the authoritative repositories for ME license information and, as such, already have access to ME licensing information and the verification of the same by the Department does not constitute a disclosure under the Privacy Act. This Routine Use is included in this Notice in an effort by the Department to be transparent to the public regarding the way it which it will use personal information maintained in the National Registry system of records.)

• In addition to those disclosures permitted under 5 U.S.C. 552a(b) of the Privacy Act of 1974, additional disclosures may be made in accordance with the U.S. Department of Transportation (DOT) Prefatory Statement of General Routine Uses published in the Federal Register on December 29, 2010 (75 FR 82132).

Disclosure to consumer reporting agencies:

None.

Storage:

Records in this system are stored electronically in the National Registry system. The records are also stored on backup tapes and sent off-site weekly to a secure storage facility.

FMCSA may retrieve ME information based on ME name, business name, employer address, medical profession, and/or National Registry number. FMCSA may retrieve information on CMV drivers based on: driver’s last name, and exam start and end date range. MEs may access information on CMV drivers for whom they have submitted exam results using the following criteria: driver’s last name, or exam start and end date range. Testing Delivery Organizations/Test Centers may access ME information for the purposes of verifying ME identity and certification eligibility using the ME Name, address and/or National Registry number to verify the ME’s eligibility and identification.

Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Federal and DOT automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being stored. Access to the computer system containing the records in this system is limited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances and permissions.

The DOT/FMCSA records schedule for the National Registry program records is currently pending approval at the National Archives and Records Administration (NARA) under Job Number N1-557-11-2. All records maintained in this system of records will be treated as permanent records until the schedule is approved by NARA. The proposed schedule includes the following retention periods for records containing PII: National Registry Identity Information for all MEs granted National Registry status shall be retained for 60 years from the date that certification was granted. Records other than National Registry Identity information of MEs who are certified will be retained for 16 years (the duration of the certificate’s effectiveness, which is ten (10) years, plus an additional six (6) years to allow employers and investigators to verify the validity of CMV drivers’ medical certification and to allow FMCSA to process ME removals and Administrative Reviews of removals).

National Registry applications of MEs who do not complete the certification process will be maintained for one year from initial application submission.

National Registry applications of MEs who fail the qualification test or are deemed ineligible for certification by DOT will be maintained for one year from the date of the certification decision.

Records of MEs who voluntarily request removal from the National Registry will be maintained for three years from the date the removal is finalized by DOT.

National Registry Identity Information for all MEs involuntarily removed from the National Registry shall be retained for 60 years from the date that certification was granted. All other records related to these MEs shall be retained for 16 years (the duration of the certificate’s effectiveness, which is ten (10) years, plus an additional six (6) years to allow employers and investigators to verify the validity of CMV drivers’ medical certification and to allow FMCSA to process ME removals and Administrative Reviews of removals).

Records of individual CMV Drivers will be maintained concurrently with the records of the ME who performed the driver’s medical examination.

Records of the ME’s administrative personnel will be maintained concurrently with the records of the ME for whom they provide services or for one year from the date that the Department is notified that the individual is no longer authorized to perform duties in the system on behalf the ME, whichever is shorter.

Elaine Papp, Division Chief, Division of Medical Programs, Office of Carrier, Driver and Vehicle Safety, Federal Motor Carrier Safety Administration, U.S. Department of Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590.

Individuals wishing to know if their records appear in this system may make a request in writing to the System Manager. The request must include the requester’s name, mailing address, telephone number, and/or email address; a description and the location of the records requested; and verification of identity (such as a statement, under penalty of perjury), that the requester is the individual who he or she claims to be. Requests must conform to the Privacy Act regulations set forth in 49 CFR part 10. You must verify your identity by providing either a notarized statement or a statement signed under penalty of perjury stating that you are the person that you say you are. You may fulfill this requirement by: (1) Having your signature on your request letter witnessed by a notary; or (2) including the following statement immediately above the signature on your request letter: "I declare under penalty of perjury that the foregoing is true and correct. Executed on [date]." If you request information about yourself and do not follow one of these procedures, your request cannot be processed. Requests not following these procedures will not processed.

Same as indicated under "Notification Procedure".

Same as indicated under "Notification Procedure".

ME information is obtained from application submissions provided by the medical examiner. CMV driver information is provided by the driver at the time of medical examination to the ME for submission to FMCSA.

None.

Unclassified, Sensitive.

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

FRA employees (injuries and illnesses) FRA employees involved in government property accidents.

Federal Occupation Injuries and Illnesses Survey (Standard Form OSHA-102) Departmental Accident/Injury Reports DOT Forms 3902 1.

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).

To track employees injuries, illnesses, and accidents involved in government property to develop causative trends, accident prevention policies, and correct safety items.

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).

Storage:

Maintained on copies of basic documents.

By name.

Physical security consists of file drawer with data; records provide to authorized individuals by FRA Safety Manager after physical Screening.

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.

Same as "System manager."

Same as "System manager."

Documents provided by the individual.

None.

Unclassified, sensitive.

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.

Individuals that have allegedly failed to comply with certain railroad safety statutes and regulations.

Facts and circumstances surrounding alleged rail safety violations by individuals; recommendations for enforcement actions; and enforcement cases.

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).

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.

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)).

Storage:

File folders, file cabinets and an automated tracking system.

Records are retrievable by name of individual and/or his or her employer.

Access limited to authorized officials. Manual records are maintained in file cabinets that are locked after working hours. Automated records are password protected.

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.

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.

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.

Contact (202) 493-6053 or write to the System Manager for information on procedures for gaining access to records.

Same as "record access procedure."

Information is obtained directly from the individual or from other persons with personal knowledge of the facts and circumstances involved.

None.

Unclassified.

Department of Transportation (DOT), Federal Railroad Administration (FRA), Office of the Chief Counsel, Safety Law Division, RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001. Department of Transportation, Docket Management System, Room PL-401, 400 7th Street, SW., Washington, DC 20590, and on the Internet at http://www.dms.dot.gov and at http://www.fra.dot.gov.

Individuals requesting FRA review, with or without administrative hearings, of employing railroad decisions to revoke or deny the individual’s engineer certification (collectively referred to as engineer certification appeals).

Submissions from individuals, railroads and the FRA relating to engineer certification appeals (petitions, hearing transcripts, correspondence between parties, and other filings, etc.) and decisions by the Locomotive Engineer Review Board (LERB), FRA Administrative Hearing Officer, and the FRA Administrator regarding these appeals.

Rail Safety Improvement Act of 1988 (Pub. L. 100-342).

To maintain a public docket so that the LERB, FRA Administrative Hearing Officer, and the FRA Administrator can issue decisions pursuant to the dispute resolution procedures set forth in 49 CFR Part 240. Once issued, the decisions will be part of the public docket as well. Even though these decisions do not constitute precedent, how the LERB, FRA Administrative Hearing Officer, and FRA Administrator have resolved certain issues in past cases may add some predictability to the outcome of a potential case. Furthermore, greater public awareness of actions that can lead to loss of an engineer certification may help reduce such actions in the first place.

Posting of LERB, presiding officer, and Administrator final decisions on governmental Web sites, including FRA’s public Web site (http://www.fra.dot.gov) to inform the public of how safety laws are being enforced, and to inform those individuals or entities who may potentially become parties to these proceedings, or who are already parties to proceedings how FRA is implementing the dispute resolution procedures set forth in 49 CFR Part 240. Posting of documents submitted by the parties in a given case on governmental Web sites to make them more easily accessible.

Disclosure to consumer reporting agencies:

None.

Storage:

File folders, file cabinets, and the Department of Transportation’s Docket Management System.

Records are retrievable by name of individual and/or his or her employer, keywords in the text, or by docket numbers assigned sequentially as the docket clerk receives them.

None are necessary because all documents are a matter of public record.

Appropriate records retention schedules will be applied. Certain automated records will be retained indefinitely to provide a complete compliance history.

Docket Clerk, 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. Docket Clerk, Department of Transportation, Docket Management System, Room PL-401, 400 7th Street, SW., Washington, DC 20590.

Inquiries should be directed to: Federal Railroad Administration, Safety Law Division, Office of the Chief Counsel, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001.

Contact (202) 493-6053 or write to the System Manager for information on procedures for gaining access to records.

Same as "record access procedure."

Information is obtained directly from the individual or from other persons with personal knowledge of the facts and circumstances involved.

None.

OMB Control number:

Not Applicable.

Unclassified, sensitive.

Department of Transportation, Federal Railroad Administration (FRA), Office of Administration and Finance, Office of Information Technology, 1120 Vermont Ave., NW., Washington, DC 20590.

Individuals who write, or are referred in writing by a second party, to the Administrator, Deputy Administrator, Associate Administrators, and/or their immediate offices and staff. 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.

Correspondence submitted by or on behalf of an individual and responses to such correspondence; and one-time movement and waiver requests from regulations submitted by railroads.

44 U.S.C. 3101.

The purpose of the system is to provide history and internal tracking of correspondence addressed to and signed by the Administrator, Deputy Administrator, Associate Administrators, and their immediate offices and corresponding staff. The system provides FRA with the ability to track correspondence, one-time movements, waivers, and train horn rule to ensure timely response to the individual, public, or organization.

Referral to the appropriate action office within the agency for preparation of a response. Referral to the appropriate agency for actions involving matters of law or regulation beyond the responsibility of the agency. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

All data about the record is stored in a database and corresponding attachments are stored on a file server.

Records are retrieved by name or control number.

Access to the system is limited to individuals responsible for responding or tracking correspondence and the system administrator through the use of user IDs and passwords. Physical access to the system and manual records is restricted through security guards and access badges to enter the facility where equipment and records are located.

The office that owns the CCM records sets retention and disposal for the records. CCM is not an official record. The record owner keeps hard copy files of CCM records in accordance with National Archives and Records Administration (NARA) and agency record retention policies.

Department of Transportation, Federal Railroad Administration, Office of Administration and Finance, Office of Information Technology, 1120 Vermont Ave., NW., Mail Stop 35, Washington, DC 20590.

Individuals seeking to determine whether their information is contained within this system should address written inquiries to the Freedom of Information Act Coordinator, Office of Chief Counsel, Federal Railroad Administration, 1120 Vermont Ave., NW., Stop 10, Washington, DC 20590. Requests should include name, address and telephone number and describe the records you seek.

Individuals seeking access to records contained within this system can send their requests to the Freedom of Information Act Coordinator, Office of Chief Counsel, Federal Railroad Administration, 1120 Vermont Ave., NW., Stop 10, Washington, DC 20590. Requests should include name, address and telephone number and describe the records you seek.

Contact System Manager for information on procedures for contesting records at Department of Transportation, Federal Railroad Administration, Office of Administration and Finance, Office of Information Technology, 1120 Vermont Ave., NW., Mail Stop 35, Washington, DC 20590.

Correspondence from an individual or his/her representative or sponsor; responses to incoming correspondence; and related material provided for background as appropriate.

None.

Unclassified, Non-Sensitive.

This system of record is in the Office of Information Technology for the Department of Transportation/Federal Transit Administration, Integrated Communication Solutions data center located at 5260 Westview Drive, Frederick, MD 21703.

FTA employees and contractors

Information maintained in this system consists of employee/contractor work information in the form of room number, work telephone number, and systems to which the employees have access. The system also stores employee/contractor home addresses and telephone numbers.

49 U.S.C. 321.

Employee/contractor personal information is encouraged in case of emergency where the individual’s family may need to be reached. Input of this information is not mandatory and is provided at the individual’s option. Also, no record subject is able to see the information of any other record subject.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Documents are stored electronically in a SQL Server database on the internal network (behind departmental firewall).

Records are retrieved by searching on an individual’s name or office symbol.

OASIS is an FTA application that resides on the internal network behind the departmental firewall. Users are authenticated by their network user ID and password.

Data is kept in the system for the life of the system. Many of FTA’s applications interface with OASIS and individuals who are no longer working for FTA are in an inactive status. This is necessary in order to maintain historical traceability in our applications.

Office of Information Technology (TAD-20), Federal Transit Administration, 1200 New Jersey Ave., SE., Washington, DC 20590.

Same as "System Manager."

Same as "System Manager."

Same as "System Manager."

Personal information is entered voluntarily by the individual at her/his own discretion for emergency procedures.

Unclassified, sensitive.

Maritime Administration, Division of Accounting Operations, MAR-330, 400 7th Street, SW., Room 7325, Washington, DC 20590.

All Maritime Administration employees and certain other employees.

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.

5 U.S.C. 5101-5115, 31 U.S.C. 3512.

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.

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)).

Storage:

Manual and automated.

By name or social security number.

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.

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

Chief, Division of Accounting Operations, MAR-330, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

The individual. Those authorized by individual to furnish information. Supervisors. Timekeepers. Personnel Offices. IRS.

None.

Unclassified, sensitive.

Maritime Administration, Division of Accounting Operations, MAR-330, 400 7th Street, SW., Washington, DC 20590.

Debtors owing money to MARAD, including employees, former employees, business firms, general public and institutions.

Name and address; amount owed, and service, overpayment or other accounting therefore; invoice number, if any.

5 U.S.C. 5701-09, Federal Property Management Regulation 101-7, Treasury Fiscal Requirements Manual 31 U.S.C. 3711.

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.

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)).

Storage:

Manual.

By name, and invoice number as appropriate.

Physical security; handling by authorized personnel only.

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.

Chief, Division of Accounting Operations, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Division of General Law and International Law, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Same as Notification procedure.

Same as Notification procedure.

The individual. Those authorized by the individual to furnish information. Contracting officer as appropriate. Accounting records.

None.

Unclassified, sensitive.

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.

Individuals who have requested records under the Freedom of Information and/or Privacy Acts.

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.

5 U.S.C. 552, 552a.

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.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Chronologically by date of initial determination. By name of requester and date.

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.

Records are disposed of in accordance with the appropriate record disposition authorization approved by the Archivist of the United States.

Chief, Division of General and International Law, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "System Manager."

The individual. Records derived from processing Freedom of Information and Privacy Act requests.

None.

Unclassified, sensitive.

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.

Non-Federal visitors, Federal personnel entering facilities after duty hours, and employees seeking parking and firearm permits.

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.

50 App U.S.C. 1744, 46 App U.S.C. 1111, and 46 App U.S.C. 1114.

To keep records of non-Federal visitors, Federal personnel entering facilities after duty hours, and employees seeking parking and firearm permits.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Filed alphabetically by name, or date and time.

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.

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.

Superintendent of respective Reserve Fleets and Chief, Fire and Security, United States Merchant Marine Academy, Kings Point, New York 11024-1699.

Division of General and International Law, Office of the Chief Counsel, Maritime Administration, MARB221, 400 7th Street, SW., Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

The individual. Those authorized by the individual to furnish information. Employees.

None.

Unclassified, sensitive.

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.

Employees, Consultants, Advisory Committee Members, and official requests of the Department.

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.

13 U.S.C. 3701(a)(3).

Transmittal to United States Treasury for payment, to State Department for passports.

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)).

Storage:

Manual.

Filed by name, social security number, or travel order number.

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.

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.

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.

Division of General and International Law, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Same as Notification Procedure.

Same as Notification Procedure.

The individual. Those authorized by the individual to furnish information. Supervisors. Finance (or accounting) office standard references.

None.

Unclassified--Sensitive.

Office of Maritime Administrator, MAR-100, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

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.

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.

5 U.S.C. 301; 49 U.S.C. 322.

To prepare statistical reports for management on correspondence volume or topics of public interest.

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.

Storage:

Maintained in paper form.

By control number, by correspondent’s name, by subject, and by date.

Paper records are stored in file cabinets on secured premises with access limited to personnel whose official duties require access.

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.

Maritime Administrator, MAR-100, 400 7th Street, SW., Washington, DC 20590.

Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Same as Notification Procedure.

Same as Notification Procedure.

The correspondent, referral source, Department employees involved in processing the correspondence, and other individuals, as required to prepare an appropriate response.

None.

Unclassified, sensitive.

Office of Chief Counsel, MAR-220, Maritime Administration, 400 Seventh Street, SW., Washington, DC 20590.

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.

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.

46 app U.S.C. 1114 and 1241a, and 50 app U.S.C. 1291a.

Records of individuals subject of any litigation and claims proceedings.

See Prefatory Statement of General Routine Uses.

Storage:

Paper records in file folders.

Filed alphabetically by name.

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.

Destroyed 5 years after date of document.

Chief Counsel, Maritime Administration, MAR-220, 400 Seventh Street, SW., Washington, DC 20590.

Division of General and International Law, Office of the Chief Counsel, Maritime Administration, MAR-226, 400 Seventh Street, SW., Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification Procedure."

Subject claimant or plaintiff. Those authorized by the foregoing to furnish information. Whatever other sources are pertinent to the nature of the case.

Pursuant to 5 U.S.C. 552a(k)(1), (k)(2) and (k)(5), this system is exempt from portions of the act.

None.

Unclassified, sensitive

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.

Employees, general public, institutions, and anyone who charges out or signs for property or other materials.

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.

40 U.S.C. 483(b).

Tracking system for anyone who charges out or signs for property or other materials.

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)).

Storage:

Paper copy of file folders and trays.

Filed alphabetically by name.

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.

Retained 2 years after property is accounted for.

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.

Division of General and International Law, Office of the Chief Counsel, MAR-220, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

Subject individual. Those authorized by the individual to furnish information. Book cards. Supply person providing the equipment.

None.

Unclassified, sensitive.

Director, Office of Accounting, MAR-330, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Individuals paying for goods or services, reimbursing overpayments, or otherwise delivering cash to the Department.

Individual’s name, the goods or services purchased, amount, date, check number, division or office, bank deposit, treasury deposit number.

46 app U.S.C. 1114.

System for individuals paying for goods and or services, reimbursement of overpayments, delivery of cash to the Department.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Manual and machine-readable.

Name and/or account or case number.

Records are located in lockable metal file cabinets or in secured premises with access limited to those whose official duties require access.

Permanently maintained.

Director, Office of Accounting, MAR-330, MARAD, 400 7th St., SW., Washington, DC 20590.

Division of General and International Law, MAR-221, Office of Chief Counsel, Maritime Administration, 400 7th Street, SW., Washington, DC 20590.

Same as Notification Procedure.

Same as Notification Procedure.

Subject individual. Those authorized by the individual to furnish information.

None.

Unclassified, sensitive.

Director, Office of Personnel, Maritime Administration, MAR-360, 400 7th Street, SW., Washington, DC 20590.

Current and former employees.

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.

46 App U.S.C. 1111.

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.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Manual and machine-readable.

Filed by name and/or social security number.

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.

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.

Director, Office of Personnel, Maritime Administration, MAR-360, 400 7th Street, SW, Washington, DC 20590.

Division of General and International Law, MAR-221, Office of Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

Subject individual and those authorized by the individual to furnish information. Others involved in references of the individual. Physicians. Employee’s supervisor.

None.

Unclassified, sensitive.

Office of Admissions, United States Merchant Marine Academy, Kings Point, NY 11204.

Applicants for admission to the Academy.

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).

46 App U.S.C. 1295b.

Determine admissions to the Academy.

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.

Storage:

Manual and automated.

Filed alphabetically by last name.

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.

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.

Director, Office of Admissions, United States Merchant Marine Academy, Kings Point, NY 11204.

Division of General and International Law, MAR-221. Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

Subject individual, the individual’s high school officials, references, and those authorized by the individual to furnish information.

Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from portions of the act.

Unclassified, sensitive.

Office of Maritime Labor and Training, Maritime Administration, MAR-240, 400 7th Street, SW, Washington, DC 20590.

Current and former cadets enrolled in the Student Incentive Payments, SIP, Program at the State Maritime Academies.

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).

Merchant Marine Act, 1936 (as amended) Title XIII B Maritime Education and Training (46 App. U.S.C. 1295c).

Monitor the service, employment and academic obligations of the SIP recipients.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Filed alphabetically by last name.

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.

The records are retained until six years after graduation and then destroyed.

Director, Office of Labor and Training, Maritime Administration, MAR-250, 400 7th Street, SW, Washington, DC 20590.

Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification Procedure."

Same as "Notification Procedure."

The subject student. State Merchant Marine Academies. Those authorized by the student to furnish information.

None.

Unclassified, sensitive.

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.

Officers and shareholders of non-personal applicants and individual applicants.

Name; date and place of birth; nationality, and naturalization data.

46 App U.S.C. 802, 803, 808, 1114 and 50 app U.S.C. 1744.

Keep track of officers and shareholders of non-personal applicants and individual applicants.

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)).

Storage:

Paper records in file folders.

Filed alphabetically by applicant’s name, name of individual, or vessel name.

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.

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.

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.

Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification Procedure."

Same as "Notification Procedure."

Subject applicant and individual. Those authorized by the foregoing to furnish information.

None.

Unclassified, sensitive.

Office of Marine Insurance, Maritime Administration, MAR-575, 400 7th Street, SW, Washington, DC 20590.

Individuals (e.g., seamen, passengers, stevedores) filing claims against general agents for death, disability, loss of personal effects, detention and repatriation and property damage.

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).

46 app U.S.C. 1101, 1114, 191-1205 and 50 app U.S.C. 1744.

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.

See Prefatory Statement of General Routine Uses.

Disclosure for consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Filed alphabetically by seaman’s name and vessel’s name.

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.

The records are transferred to the Federal Records Center after one year where they are retained indefinitely.

Director, Office of Marine Insurance, Maritime Administration, MAR-575, 400 7th Street, SW, Washington, DC 20590.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as Notification Procedure.

Same as Notification Procedure.

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.

None.

Unclassified, sensitive.

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.

Each seafarer enrolling in an agency training course.

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).

46 app U.S.C. 1114, 1295b, 1295c, 1295d, and 1295g.

Verification of attendance and performance.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Filed alphabetically by student’s name.

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.

The records are transferred to the Federal Records Center one year after graduation or termination and disposed of 60 years after date of enrollment.

Training Facility Registrar in region where the training was taken; see System Location.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification Procedure."

Same as "Notification Procedure."

The student. The training instructors. Those authorized by the individual to furnish information.

None.

Unclassified, sensitive.

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.

All individuals boarding Reserve Fleet vessels.

Name, affiliation, date, and signature (Form: MA-118).

46 app U.S.C. 1295b, 1295g, and 50 app U.S.C. 1744.

Limit Governments liability for any damage suffered by certain persons aboard RRF/NDRF ships.

See Prefatory Statement of General Routine Uses.

Disclosure of consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Filed alphabetically by name.

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.

Records are maintained for three years and then destroyed.

Superintendent of Respective Reserve Fleets; and United States Merchant Marine Academy, Kings Point, New York 11024.

Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as Notification Procedure.

Same as Notification Procedure.

Subject individual. Those authorized by the individual to furnish information.

None.

Unclassified, sensitive.

Division of National Security Plans, MAR-620, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Nominees and members of the National Defense Executive Reserve.

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.

46 app U.S.C. 1295e, 1295g and 1126-1.

Transferring data to the Federal Preparedness Agency pursuant to E.O. 11179.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Alphabetically by last name.

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.

Retained until one year after individual’s appointment is terminated or until death and then discarded.

Chief, Division of National Security Plans, MAR-620, Maritime Administration, same as above address.

Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification Procedure."

Same as "Notification Procedure."

The individual. Those authorized by the individual to furnish information. The investigator performing personal and security investigation. Sources contacted by the investigator.

None.

Unclassified, sensitive.

Office of Maritime Labor and Training, MAR-250, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Seamen given awards for service, valor, etc.

Name; address; mariner’s document number; social security number; and names of ships.

46 App. U.S.C. 2001-2007.

Provide information to the seamen and family members upon request.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Records are stored in paper copy in file folders and on magnetic tape.

Files are maintained alphabetically by name of seaman.

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.

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.

Director, Office of Maritime Labor and Training, MAR-250, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as Notification procedure.

Same as Notification procedure.

Subject individual. The individual’s co-workers. Witnesses to incidents. Those authorized by the individual to furnish information.

None.

Unclassified, sensitive.

Department of Transportation Computer Center, SVC-172, 400 7th Street, SW, Washington, DC 20590.

Merchant seamen who sailed the previous calendar year.

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.

46 app U.S.C. 1295g.

To ensure an adequate supply of American mariners.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Records are stored on computer disks.

Filed by social security number.

In addition to technical securities, the records are located in secured rooms or premises with access limited to those whose official duties require access.

Refreshed and maintained only for current available calendar year.

Director, Office of Maritime Labor and Training, Maritime Administration, MAR-250, 400 7th Street, SW, Washington, DC 20590.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

United States Coast Guard.

None.

Unclassified, sensitive.

Division of Accounting Operations, MAR-330, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Seamen owed wages for service aboard Government vessels operated by general agents.

Name; social security number; employing general agent; and wages due and owing.

46 app U.S.C. 1114(B), 1241a, and 50 app U.S.C. 1291(a).

Reporting wages owed.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Paper records are filed alphabetically by name and by social security number.

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.

Retained until such time as claim is resolved or wages are disbursed.

Chief, Division of Accounting Operations, MAR-330, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Division of General and International Law, Office of the Chief Counsel, MAR-221, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

The general agents.

None.

Unclassified, sensitive.

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.

All current and former employees of non-appropriated fund activities since 1970.

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.

46 app U.S.C. 1295g.

Track information on non-appropriated fund employees.

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)).

Storage:

Paper records in file folders.

Alphabetically by employee’s name.

Records are located in lockable metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.

Records are retained indefinitely.

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.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification Procedure."

Subject employee. Those authorized by the employee to furnish information. Past employers and references. The employee’s supervisor.

Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from portions of the act.

Unclassified, sensitive.

Office of External Affairs, United States Merchant Marine Academy, Kings Point, NY 11024.

All graduates of USMMA, since 1942, and some parents of graduates.

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.

46 app U.S.C. 1295g.

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.

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.

Storage:

Paper records in file folders and basic information are on magnetic tape.

Alphabetically by name, and by social security number.

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.

The records are kept indefinitely.

Director, Office of External Affairs, United States Merchant Marine Academy, Kings Point, N.Y. 10024.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

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.

None.

Unclassified, sensitive.

Department of Budgets and Accounts, United States Merchant Marine Academy, Kings Point, NY 11024.

All current midshipmen.

Name, social security number, and all midshipmen activity fee deposits to the Academy.

46 app U.S.C. 1295g.

Track activity fee deposits to the Academy.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Filed by class year and then alphabetically by name.

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.

Maintained for one year after graduation or separation, and then destroyed.

Assistant Head, Department of Budgets and Accounts, United States Merchant Marine Academy, Kings Point, NY 11024.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification Procedure."

Same as "Notification Procedure."

Midshipmen. Those authorized by midshipman to furnish information. Department of Budgets and Accounts personnel.

None.

Unclassified, sensitive.

Registrar’s Office, United States Merchant Marine Academy, Kings Point, NY 11024.

All present and past midshipmen.

Name; social security numbers; courses taken; grades received; and cumulative average.

46 app U.S.C. 1295g.

Record academic status of past and present midshipmen.

Sent to other schools or employers when requested by the midshipman. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders, paper records in file drawers, microfilm records, and magnetic tape.

Alphabetically by midshipman’s name.

Records are located in lockable metal file cabinets in secured rooms or secured premises with access limited to those whose official duties require access.

Transfer to Federal Records Center five years after graduation. Destroy sixty years after graduation.

Registrar, United States Merchant Marine Academy, Kings Point, N.Y. 10024.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification Procedure."

Same as "Notification Procedure."

The midshipman. Those authorized by the midshipman to furnish information. Faculty. Registrar’s staff.

None.

Unclassified, sensitive.

Medical Department, United States Merchant Marine Academy, Kings Point, NY 11024.

All midshipmen.

Complete medical history prior to and during enrollment at the Academy.

46 app U.S.C. 1295g.

Maintain health of midshipmen.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Paper records in file folders.

Filed alphabetically by midshipman’s name.

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.

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.

Medical Officer, United States Merchant Marine Academy, Kings Point, N.Y. 11024.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as Notification procedure.

Same as Notification procedure.

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.

Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from portions of the act.

Unclassified, sensitive.

Office of the Commandant of Midshipman, United States Merchant Marine Academy, Kings Point, NY 11024.

All current and former midshipmen since inception of the Academy in 1942. Also, all cadet corps personnel from 1938 to 1942.

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.

46 app U.S.C. 1295g.

Record personnel matters on USMMA midshipmen.

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)).

Storage:

Paper records in file folders.

Alphabetically by midshipman’s name.

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.

Retained on site for five years after graduation, then disposed of in accordance with the unit’s record control schedule.

Commandant of Midshipman, United States Merchant Marine Academy, Kings Point, NY 11024.

Division of General and International Law, MAR-221, Office of the Chief Counsel, Maritime Administration, 400 7th Street, SW, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

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.

Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from portions of the act.

Unclassified, sensitive.

Maritime Administration, Academies Program Officer, Office of Maritime Labor, Training & Safety, MAR-250, 400 Seventh Street, SW, Washington, DC 20590.

Students, graduates of United States Merchant Marine Academy and State maritime academies.

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.

46 App. U.S.C. 1295b(e).

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.

See Prefatory Notice of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

File information is on computer with hard copy back up material in metal cabinets in a secured room.

Name.

Files are retrievable only through information known to the Academy Program Officer or other persons authorized to perform data input tasks.

Files held until completion of eight-year service obligation period or as determined by the Maritime Administration.

Maritime Administration, Academies Program Officer, Office of Maritime Labor, Training & Safety, 400 Seventh Street, SW, Rm. 7302, Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Students, graduates of the United States Merchant Marine Academy and State maritime academies.

None.

Unclassified, Sensitive.

NCCIPS Data Center Loading Dock, Cypress Loop Road, Building 9323, Stennis Space Center, MS 39529.

The Mariner Outreach System (MOS) contains information about U.S. Coast Guard (USCG) mariners. MOS provides a systematic way to monitor the adequacy of our nation’s merchant mariner pool and to track and maintain contact information and qualifications of mariners. Therefore, there is the potential for the following categories of individual’s information to be covered by this system:

• Data about mariners who hold or previously held a USCG credential.

MOS contains the following types of information:

• Information from the Merchant Mariner License and Documentation (MMLD) including personal data such as last 4 digits of SSN, date of birth (DOB), place of birth (POB).

• Mariners updated contact information, e.g., address, e-mail(s), and phone number(s).

National Security Directive #28 (October 5, 1989), Merchant Marine Act of 1936; Maritime Security Act of 2003 (Pub. L. 108-136).

MOS is an invaluable tool for MARAD and its partners to make valid vessel and human resources projections; identify potential mariner shortfalls; allow mariners to provide up-to-date/accurate contact information; and to facilitate crewing of vessels should a mariner shortage occur.

The Office of Maritime Workforce Development’s routine use of information is for resource projection, maintain contact information and facilitate filling shortages. The merchant mariners who hold or previously held a USCG credential can self-register and update his/her own contact information after registration.

Disclosure to consumer reporting agencies:

None.

Storage:

Data is stored in this system on a dedicated server.

Registered mariners can only view their own personal records by user ID, obtained from initial self-registration, and password.

Authorized administrator at Maritime Workforce Development can retrieve data for analysis, resource protection, and facilitation of crewing of vessels, as necessary, by last name, first name and last 4-digits of social security number.

The production environment is located in a secure zone behind a firewall, called a Demilitarized Zone (DMZ) that enables secure connections from the Internet.

DOT Crisis and Security Management Center (CSMC) monitors all traffic within the department looking for any possible attacks. CSMC works with the modes during possible attacks. MARAD has Cisco ASA devices to monitor events on the system, detect attacks, and provide identification of unauthorized use of the system.

The Stennis Data Center in Mississippi hosting MOS is occupied by the Department of Navy contractor personnel and is not open to the general public. The Data Center is uniquely constructed. It was formerly an ammunition manufacturing facility and as such, its external walls are constructed completely of steel reinforced concrete that is 12 to 48 inches thick. It has no windows. The construction materials as well as its location inside of the Stennis Space Center significantly reduce its vulnerability to most conventional types of external threats i.e. vehicle born improvised explosive devices (VBIEDs), burglary, trespassing, and unauthorized entry.

The facility operates in a secure closed manner. Outside personnel do not have unescorted access to the facility. Mail deliveries are received by facility personnel who screen all material before being brought into the facility. All equipment is delivered and sent through a secure loading dock. All equipment is installed either by or under the supervision of facility personnel.

The test and development environments are available only to local personnel and selected users connecting via a Virtual Private Network.

System data is protected by daily backups to Linear Tape Open (LTO3) tape. In addition, daily backups of data to a local server hard drive, which are kept for a period of 14 days to safeguard the data.

The files are retained and disposed of according to the MARAD Records Schedule, according to the National Archives and Records Administration, and DOT policy.

Director, Office of Maritime Workforce Development, Maritime Administration, 1200 New Jersey Ave., SE., Washington, DC 20590. 202-366-5469.

Individuals wishing to know if their records appear in this system may make a request in writing to the FOIA/Privacy Act Officer, Maritime Administration, 1200 New Jersey Ave, SE., W26-499, Washington, DC 20590. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and, if possible, the location of the records requested, and verification of identity (such as, a statement under penalty or perjury that the requester is the individual who he or she claims to be).

Individuals seeking access to information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure." Mariners can log into the system to view their documents.

Individuals seeking to contest the content of information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."

Information in MOS is obtained from U.S. Coast Guard (USCG) and registered merchant mariners.

The data from USCG include: (a) MMLD data which contain credentials information, e.g., merchant mariners credentials (MMC), merchant mariners document (MMD), merchant mariners’ standards, training certification, and watch keeping (STCW), merchant mariners’ license, certificate of registry (COR); (b) Personal info: Name (e.g., first name, middle name, last name, e-mail addresses, resident address, citizenship, personal contact information); (c) merchant mariners’ sea service records.

Registered merchant mariners data source: During self-registration, the merchant mariner enters into MOS his/her last 4 digits of SSN, first name, last name, place of birth, date of birth, and the password of his/her choice. A registered mariner can use the user id and password to update his/her own information later on.

None.

Unclassified, Sensitive.

NCCIPS Data Center Loading Dock, Cypress Loop Road, Building 9323, Stennis Space Center, MS 39529.

The following categories of individuals are covered by this system:

• Current and former students of the U.S. Merchant Marine Academy (USMMA) at Kings Point, NY.

• Current and former students enrolled in the Student Incentive Payment (SIP) program at the six (6) State Maritime Academies (SMAs).

MSCS contains the following types of information:

• Current SMA SIP and USMMA students’ name, address, SSN, date of birth (DOB) and graduation date.

• Former SMA SIP and USMMA students’ name, address, SSN, DOB.

• Data to determine former student compliance with obligation requirements.

• Data to determine SIP funding provided to SMA (SIP) cadets.

• Data to determine if a graduate from the SMA or the USMMA has received a deferment or waiver from MARAD of their service obligation.

Merchant Marine Act of 1936; Maritime Security Act of 2003 (Pub. L. 108-136).

MSCS provides an online method for students and graduates of the maritime academies to report their compliance with post-graduation national service obligation requirements. The system also assists MARAD in monitoring and documenting student’s enrollment status while attending the maritime academies, making subsidy payments to SMA SIP students, and maintaining a record of the maritime academy graduates fulfillment of their service obligations. The MSCS also contains the graduate’s employment determination waivers, and graduate school deferments.

MSCS is used by current students and graduates to report their compliance with service obligation requirements. MSCS is used by the Office of Maritime Workforce Development at MARAD to monitor student’s enrollment status. MSCS is used by the USMMA to enter service obligation information on the USMMA graduates.

Disclosure to consumer reporting agencies:

None.

Storage:

Data is stored in this system on a dedicated server.

Records are retrievable by name or social security number.

The production environment is located in a secure zone behind a firewall, called a Demilitarized Zone (DMZ) that enables secure connections from the Internet.

DOT Crisis and Security Management Center (CSMC) monitors all traffic within the department looking for any possible attacks. CSMC works with the modes during possible attacks. MARAD has Cisco ASA devices to monitor events on the system, detect attacks, and provide identification of unauthorized use of the system.

The Stennis Data Center in Mississippi hosting MSCS is occupied by the Department of Navy contractor personnel and is not open to the general public. The Data Center is uniquely constructed. It was formerly an ammunition manufacturing facility and as such, its external walls are constructed completely of steel reinforced concrete that is 12 to 48 inches thick. It has no windows. The construction materials as well as its location inside of the Stennis Space Center significantly reduce its vulnerability to most conventional types of external threats i.e. vehicle born improvised explosive devices (VBIEDs), burglary, trespassing, and unauthorized entry.

The facility operates in a secure closed manner. Outside personnel do not have unescorted access to the facility. Mail deliveries are received by facility personnel who screen all material before being brought into the facility. All equipment is delivered and sent through a secure loading dock. All equipment is installed either by or under the supervision of facility personnel. The test and development environments are available only to local personnel and selected users connecting via a Virtual Private Network.

System data is protected by daily backups to Linear Tape Open (LTO3) tape. In addition, daily backups of data to a local server hard drive, which are kept for a period of 14 days to safeguard the data.

The files are retained and disposed of according to the MARAD Records Schedule, according to the National Archives and Records Administration, and DOT policy.

Academies Program Officer, Maritime Administration, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. 202-366-0284.

Individuals wishing to know if their records appear in this system may make a request in writing to the FOIA/Privacy Act Officer, Maritime Administration, 1200 New Jersey Ave., SE., W26-499, Washington, DC 20590. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and, if possible, the location of the records requested, and verification of identity (such as, a statement under penalty or perjury that the requester is the individual who he or she claims to be).

Individuals seeking access to information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure." Mariners can log into the system to view their documents.

Individuals seeking to contest the content of information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."

Information in MSCS is obtained from the USMMA and the SMA, and both current and former students of the USMMA and current and former students enrolled in the SIP program at the six (6) SMAs.

Information includes students’ names (first, middle initial, and last), addresses, SSNs, date of birth, enrollment status while attending the Academies, subsidy payments to SMA SIP students, records of the graduates’ fulfillment of service obligations, graduates’ employment determination waivers, and graduate school deferments.

None.

Unclassified, Sensitive.

NCCIPS Data Center Loading Dock, Cypress Loop Road, Building 9323, Stennis Space Center, MS 39529.

The Payroll Labor Distribution System is a system, which creates Accounting Transaction files based on Payroll information from IR Labor Cost File and the Reserve Fleet Files. This system has a biweekly processing cycle, which performs by the Federal users in the MARAD office of accounting through a menu processor, the processing programs, and data entry programs.

Therefore, there is the potential for the following categories of individuals’ information to be covered by this system:

• Data about MARAD personnel (officials and employees).

The input of information into PLDS is not discretionary. Utilizing information from Department of Interior (DOI) Payroll system and the Reserve Fleet files, PLDS performs accounting, reconciliation and cost assignment using data from both sources. PLDS contains the following types of information:

• DOI (Labor Cost File) which includes MARAD personnel’s personal information, e.g., SSN, first name, middle name, last name, pay grade and step, salary data.

• Reserve Fleet files contain MARAD personnel’s personal information, e.g., SSN, first name, middle name, last name, hours worked during a pay period.

Maritime Domain Awareness (MDA) program and the Maritime Security Act of 2003 (Pub. L. 108-136).

The Payroll Labor Distribution System allows for the utilization of payroll information, received from DOI (Labor Cost File), in performing the routine accounting functions for the Maritime Administration (MARAD) officials and employees. These functions include the comparison and reconciliation of data from the Labor Cost Distribution File against data on the Reserve Fleet Files. These functions also include the assignment of costs to project numbers based on information taken from the Reserve Fleet files, and the creation of accounting transactions for input into the Departmental Accounting Financial Information System (Dafis) Accounting System.

The routine use of the information is for payroll accounting procedures, including reconciliation with the DOI Payroll system.

Disclosure to consumer reporting agencies:

None.

Storage:

Data is stored in this system on a dedicated server.

Only authorized staff in the Chief Financial Officer (CFO) office can retrieve records by searching name, SSN and/or project.

The production environment is located in a secure zone behind a firewall, called a Demilitarized Zone (DMZ) that enables secure connections from the Internet.

DOT Crisis and Security Management Center (CSMC) monitors all traffic within the department looking for any possible attacks. CSMC works with the modes during possible attacks. MARAD has Cisco ASA devices to monitor events on the system, detect attacks, and provide identification of unauthorized use of the system.

The Stennis Data Center in Mississippi hosting PLDS is occupied by the Department of Navy contractor personnel and is not open to the general public. The Data Center is uniquely constructed. It was formerly an ammunition manufacturing facility and as such, its external walls are constructed completely of steel reinforced concrete that is 12 to 48 inches thick. It has no windows. The construction materials as well as its location inside of the Stennis Space Center significantly reduce its vulnerability to most conventional types of external threats i.e. vehicle born improvised explosive devices (VBIEDs), burglary, trespassing, and unauthorized entry.

The facility operates in a secure closed manner. Outside personnel do not have unescorted access to the facility. Mail deliveries are received by facility personnel who screen all material before being brought into the facility. All equipment is delivered and sent through a secure loading dock. All equipment is installed either by or under the supervision of facility personnel.

The test and development environments are available only to local personnel and selected users connecting via a Virtual Private Network.

System data is protected by daily backups to Linear Tape Open (LTO3) tape. In addition, daily backups of data to a local server hard drive, which are kept for a period of 14 days to safeguard the data.

The files are retained and disposed of according to the MARAD Records Schedule, according to the National Archives and Records Administration, and DOT policy. Currently PLDS records are retained for 12 years. Records older than 12 years will be purged by system owner.

John Hoban, Deputy Chief Financial Officer (CFO), Maritime Administration, 1200 New Jersey Ave., SE., Washington, DC 20590. John.Hoban@dot.gov. 202-366-5110.

Individuals wishing to know if their records appear in this system may make a request in writing to the FOIA/Privacy Act Officer. (DOT employees may make the request in person or in writing). The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and, if possible, the location of the records requested, and verification of identity (such as, a statement under penalty or perjury that the requester is the individual who he or she claims to be).

Individuals seeking access to information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."

Individuals seeking to contest the content of information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."

Information in PLDS is obtained from DOI and Reserve Fleet files.

The records retrieved from DOI’s Labor Cost File per pay period (via secured ftp) contain personal information such as SSN, name (last, middle, first), pay grade and step, and salary.

The data in Reserve Fleet File include SSN, name (last, middle, first), hours worked during a pay period.

None.

Unclassified, Sensitive.

NCCIPS Data Center Loading Dock, Cypress Loop Road, Building 9323, Stennis Space Center, MS 39529.

The following categories of individuals are covered by PMIS:

1. All active MARAD employees, which include U.S. Merchant Marine Academy (USMMA) Federal employees.

2. All inactive MARAD and USMMA employees, which include retirees.

PMIS contains the following types of records:

• Payroll information such as pay grade, salary, awards, thrift savings data (TSP), reduction in force (RIF) Personnel data include SSN, name (first, middle, last), security clearance level, employment status, organization, etc.

• Project labor charges has the labor rate information for each MARAD mission project.

Merchant Marine Act of 1936.

PMIS is used for personnel management, which includes name, labor charges, approved project codes. The information is utilized for project management and forecasting labor charges.

PMIS provides MARAD managers with timely Personnel Compensation & Benefit (PC&B) information to allow informed decision-making, which can be the cost effects of current and future staffing and the financial position of their organizations. PMIS is also used to generate bi-weekly, monthly, and ad hoc management reports, e.g., a within grade increase (WGI) projection report for the employees’ pay increase and budget cost within an organization.

Disclosure to consumer reporting agencies:

None.

Storage:

Data is stored in this system on a dedicated server.

Records are retrievable by last name, organization code and pay period.

The production environment is located in a secure zone behind a firewall, called a Demilitarized Zone (DMZ) that enables secure connections from the Internet.

DOT Crisis and Security Management Center (CSMC) monitors all traffic within the department looking for any possible attacks. CSMC works with the modes during possible attacks. MARAD has Cisco ASA devices to monitor events on the system, detect attacks, and provide identification of unauthorized use of the system.

The Stennis Data Center in Mississippi hosting PMIS is occupied by the Department of Navy contractor personnel and is not open to the general public. The Data Center is uniquely constructed. It was formerly an ammunition manufacturing facility and as such, its external walls are constructed completely of steel reinforced concrete that is 12 to 48 inches thick. It has no windows. The construction materials as well as its location inside of the Stennis Space Center significantly reduces its vulnerability to most conventional types of external threats i.e. vehicle born improvised explosive devices (VBIEDs), burglary, trespassing, and unauthorized entry.

The facility operates in a secure closed manner. Outside personnel do not have unescorted access to the facility. Mail deliveries are received by facility personnel who screen all material before being brought into the facility. All equipment is delivered and sent through a secure loading dock. All equipment is installed either by or under the supervision of facility personnel.

The test and development environments are available only to local personnel and selected users connecting via a Virtual Private Network.

System data is protected by daily backups to Linear Tape Open (LTO3) tape. In addition, daily backups of data to a local server hard drive, which are kept for a period of 14 days to safeguard the data.

The files are retained and disposed of according to the MARAD Records Schedule, according to the National Archives and Records Administration, and DOT policy. Schedule No. 232 (Dispose of when superseded by master file processing updates.)

Deputy Chief Financial Officer (CFO), Maritime Administration, 1200 New Jersey Ave, SE., Washington, DC 20590. 202-366-5110.

Individuals wishing to know if their records appear in this system may make a request in writing to the FOIA/Privacy Act Officer, Maritime Administration 1200 New Jersey Ave, SE., W26-499, Washington, DC 20590. The request must include the requester’s name, mailing address, telephone number and/or e-mail address, a description and, if possible, the location of the records requested, and verification of identity (such as, a statement under penalty or perjury that the requester is the individual who he or she claims to be).

Individuals seeking access to information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure." Mariners can log into the system to view their documents.

Individuals seeking to contest the content of information about them in this system should apply to the FOIA/Privacy Act Officer, following the same procedure as indicated under "Notification procedure."

Information in PMIS is obtained from U.S. Department of Interior (DOI) and DOT/FAA Federal Personnel and Payroll System (FPPS).

The data from DOI includes employees’ payroll data such as SSN, name (first, middle, last), hours worked, and salary.

The information from FPPS contains number of employees for each organization, SSN, name (first, middle, last), salary, type of pay plan, and leave balance.

None.

Unclassified, sensitive.

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.

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.

Summary of the nature of the comment or the report, date written and filed, author affiliation.

49 CFR Part 7 7.45, and Part 7, App.F.

Gather information for use in the NHTSA Reference Docket

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

Storage:

Manual file.

By individual name.

Records are maintained in a Technical Reference Library.

Indefinitely held.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

From letters freely sent to NHTSA by the public; publications used by engineers in writing standards.

None.

Unclassified, sensitive.

Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Transportation Research Board, 2101 Constitution Ave., NW., Washington, DC 20418.

Writers of technical articles and reports who have authored publications selected for inclusion in the Highway Safety Literature database.

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.

5 U.S.C. 301, 49 U.S.C. 322.

Gather technical articles and reports for inclusion in NHTSA’s Highway Safety Literature catalog.

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.

Storage:

Magnetic tape.

By individual name.

Records are stored in file cabinets.

Records are maintained indefinitely.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Publications related to highway safety.

None.

Unclassified, sensitive.

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.

Individuals who have requested information or advice from the Agency.

Correspondence with individuals who have requested information or advice on promoting devices.

5 U.S.C. 301, 49 U.S.C. 322.

Provide agency with background information on number of issues, reports, etc., and/or who seek guidance from NHTSA.

Reference purposes. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

In file folders.

By individual name.

Conserva-Files; locked when not in use.

Records are retained for one year and are then discarded.

Department of Transportation, National Highway Traffic Safety Administration, Office of the Executive Secretary, NOA-10, 400 7th Street, SW., Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Individuals.

None.

Unclassified, sensitive.

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

Suspects, defendants, witnesses, informants, automobile dealers, and victims of odometer fraud.

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.

To gather information to be used in allegations of odometer fraud.

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.

Storage:

File folder storage and in an electronic database.

By individual name, dealer name, complainant name, case number and vehicle identification number.

Locked files and restricted electronic access. Files are regularly used only by members of the Odometer Fraud Staff.

Retained for five years after case is closed, then destroyed.

Department of Transportation, National Highway Traffic Safety Administration, Attn: Chief, Odometer Fraud Staff, 400 Seventh Street, SW., Room 6208, Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Victims, automobile dealers, banks, State motor vehicle departments, State and Federal law enforcement agencies, and other sources used during the course of criminal investigations.

None.

Unclassified, sensitive.

Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Defects Investigation, NSA-01, 400 7th Street, SW., Room 2403, Washington, DC 20590.

Vehicle owners.

Vehicle identification, vehicle problem.

To gather information/evidence in the conduct of alleged defective vehicles or vehicle equipment.

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.

Storage:

Disc pack and paper file.

Identification number for each vehicle owner.

Coded entry numbers.

Eight years or indefinite.

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.

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.

Same as "Notification procedure".

Same as "Notification procedure".

General public, State highway offices, insurance companies, vehicle manufacturers.

None.

Unclassified, sensitive.

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.

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.

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.

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.

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.

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.

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.

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.

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.

Chief, National Driver Register, National Highway Traffic Safety Administration, NTS-24, Department of Transportation, Room 6124, Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Driver licensing administrators of the States, and the District of Columbia, or the agencies within the jurisdictions responsible for such records.

None.

Unclassified, sensitive.

Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Room 5219, Washington, DC 20590.

Petitioners (commercial entities) seeking exemption from Federal motor vehicle safety standards.

Income statement and balance sheets, production information.

49 U.S.C. 30113.

Gather information regarding exemptions and possible penalties on Federal motor vehicle safety standards.

Disclosure to consumer reporting agencies:

None.

For consultation by attorneys while file is active; copies in public docket. See Prefatory Statement of General Routine Uses.

Storage:

Office files.

Temporary exemptions; filed by corporation’s names.

Available only to the System manager and his secretary.

Permanent retention.

Senior Staff Attorney, Department of Transportation, National Highway Traffic Safety Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Washington, DC 20590.

Department of Transportation, National Highway Traffic Safety Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Room 5219, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

Petitioners.

None.

Unclassified, sensitive.

Department of Transportation, National Highway Traffic Safety Administration, Office of the Chief Counsel, NCC-01, 400 7th Street, SW., Room 5219, Washington, DC 20590.

Persons against whom civil penalties are sought or contemplated for violations of NHTSA-administered statutes.

Investigatory records of alleged violations.

49 U.S.C. 30165.

Gather information for use by agency in possible civil suits for penalty violations.

See Prefatory Statement of General Routine uses.

Disclosure to consumer reporting agencies:

None.

Storage:

Office files.

Files in CIR numerical order.

Available only to the System Manager and his secretary.

Records are retained indefinitely.

Senior Staff Attorney, Department of Transportation, National Highway Traffic Safety Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Washington, DC 20590.

Department of Transportation, National Highway Traffic Safety Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW., Room 5219, Washington, DC 20590.

Same as "Notification procedure."

Same as "Notification procedure."

NHTSA investigations and tests.

None.

Unclassified, sensitive.

Department of Transportation, National Highway Traffic Safety Administration, NHTSA, Office of Human Resources, NAD-20, 400 7th Street, SW., Room 5306, Washington, DC 20590.

Employees in the non-professional exclusive unit covered by the NHTSA/AFGE contract of March 5, 1974.

Information or documents relating to a decision by the Administration or an arbitrator affecting an individual.

To substantiate or deny allegations relating to employee grievances.

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.

Storage:

Maintained in file folders and index cards.

Retrieved by names of grievant(s).

Access limited to those with official "need to know." Personnel screening is employed to prevent unauthorized disclosure.

The records are maintained up to 3 years and then retired to the Washington National Records Center.

Director, Office of Human Resources, Department of Transportation, National Highway Traffic Safety Administration, NAD-20, 400 7th Street, SW., Room 5306, Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Individual to who record pertains and/or representative; agency officials; employees; witnesses; official documents; etc.

None.

Unclassified, sensitive.

Department of Transportation, National Highway Traffic Safety Administration, Office of Vehicle Safety Compliance, NSA-32, 400 7th Street, SW., Washington, DC 20590.

Importers or declarants of imported motor vehicles and motor vehicles equipment, both private and commercial.

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.

Gather information on importation compliance of motor vehicle and motor vehicle equipment.

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.

Storage:

Paper forms and computer disc tapes.

By name of importer or declarant, addressee(s) vehicle or vehicle identification, customs district and entry number, and port of entry.

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.

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.

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.

Same as "System manager."

Same as "System manager."

Same as "System manager."

Forms executed by importers or declarants for the NHTSA, United States Customs Service, and the Environmental Protection Agency.

None.

Sensitive, unclassified.

Servers: The Servers hosting the CARS Database System are housed in a contractor-owned facility at Oracle On Demand in Austin, Texas.

Portals: This system is accessed via portals located at:

• Registered, participating new car dealers via the Internet at http://www.cars.gov.

• NHTSA Headquarters, located at 1200 New Jersey Avenue, and in various of NHTSA’s regional offices and at other off-site locations used in connection with CARS Program.

• The off-site facilities of NHTSA and DOT Contractors.

Authorized users at NHTSA Headquarters access their records in the CARS Database System via the DOT Intranet. Authorized users at the NHTSA portal locations and at the contractor portal locations access their records in the CARS Database System via the Internet at http://www.cars.gov.

Some system software is maintained by Oracle On Demand in Austin, Texas. The CARS Database System interfaces with participating new car dealers, and with other DOT systems used to pay the dealers, through that system software, as well as other software maintained by the Federal Aviation Administration’s Enterprise Services Center (ESC) at the Mike Monroney Aeronautical Center, Oklahoma City, OK.

Any electronic or hard-copy files containing CARS-related records will be maintained at the pertinent NHTSA, DOT or Contractor portal locations.

The system covers the following individuals:

• Individual buyers/lessees of new cars participating in the CARS program.

• Sole proprietors of salvage auctions and automobile disposal facilities participating in the CARS program.

• Records about individual car buyers/lessees participating in the CARS Program consist of transaction records containing the following PII data elements: name and address of the purchaser/lessee; the purchaser/lessee’s State driver’s license number or other State identification number; the State driver’s license number or other State identification number of the co-purchaser/lessee (if any), as listed in the title; and the Vehicle Identification Number (VIN) of the trade-in vehicle and the VIN of the new vehicle. Depending on the State and content of the sales contract, PII also may be found on the following documents required to be scanned by dealers and entered into the system: Document of title of trade-in vehicle (or, in certain States, documentation of paperless title), proof of insurance for trade-in vehicle (cards or letter from insurer), trade-in registration, sales summary sheet, and salvage certificate.

• Records about any sole proprietors of salvage auctions and disposal facilities participating in the CARS Program consist of business operation records that may include the following PII elements: Name, home address, telephone number and email address, to the extent that such individuals operate their businesses out of their homes.

Public Law 111-32, 123 Stat. 1859.

The purpose for collecting records in the CARS Database System is to implement the CARS Program and ensure compliance with the terms of the CARS Act. Specifically:

• NHTSA personnel and contractors use the information that each car dealer enters into the CARS database to verify that purchasing/leasing consumers, new and trade-in vehicles, dealers, salvage auctions and disposal facilities are eligible to participate in the Program.

• NHTSA personnel and contractors use information entered into the system to determine if individual transactions satisfy CARS program requirements.

• NHTSA personnel and contractors use the system to send information about eligible transaction to a DOT financial management system to process vouchers and cause dealers to be paid by DOT/NHTSA for eligible transactions.

• Both to establish eligibility and for audit purposes, NHTSA compares dealer-entered information in the CARS Database System to purchaser/lessee and transactional information already within the system.

• NHTSA personnel and contractors and the DOT Inspector General may use information about individual transactions, purchasers/lessees, dealers, salvage auctions and disposal facilities participating in the CARS Program to prevent, identify and investigate program violations and fraud.

• NHTSA personnel and contractors will use survey data provided by purchasers/lessees to report to Congress on the efficacy of the Program.

The CARS Database System shares PII about individual purchasers/leasees and their new and trade-in vehicles, and about any sole proprietors of salvage auctions and automobile disposal facilities, as follows:

• NHTSA personnel and contractors will use VINs from the system to update DOJ’s NMVTIS database, as required by the CARS Act.

• NHTSA personnel and contractors, as well as the DOT Inspector General, may provide to the U.S. Department of Justice, State Attorneys General and the National Association of Attorneys General (NAAG) information about certain transactions, including PII about individual purchasers/lessees and any sole proprietors of salvage auctions and disposal facilities participating in the CARS Program, for purposes of investigating complaints and investigating and prosecuting criminal violations, including fraud.

• NHTSA personnel and contractors will provide to States lists of VINs of trade-in vehicles for which they issued car titles, for purposes of cancelling the car titles.

• Salvage auctions and disposal facilities receive the VIN and voucher transaction code for each trade-in car sent to them for sale or destruction. They include the VIN and code on a certificate that they return to DOT/NHTSA.

Other possible routine uses of the information, applicable to all DOT systems, are published in the Federal Register at 65 FR 19476 (April 11, 2000), under "Prefatory Statement of General Routine Uses" (available at http://www.dot.gov/privacy/privacyactnotices/).

Disclosure to consumer reporting agencies:

None.

Storage:

Records are stored in databases, on magnetic tape, on magnetic disk and in secure electronic and hard-copy files at DOT, NHTSA and contractor portal locations, as required. The databases are on servers; the data is typically stored on a Storage Area Network (SAN) and backed-up on tape stored in Oklahoma City, Oklahoma, Kansas City, Kansas and Austin, Texas. Magnetic tape and disk records are maintained at the central maintenance site in Oklahoma City, at the disaster recovery site in Kansas City, and at the remote hosting site in Austin. Storage of electronic or hard-copy file folders is at the geographic location of the pertinent portal location.

Records related to individual purchasing/leasing consumers participating in the CARS program are retrieved by State identification number (ID). This will be either a State driver’s license and/or another form of State ID (i.e., driver’s permit or standard ID). Complaint records relating to consumers participating in the CARS program also may be retrieved from electronic files (i.e., Excel spreadsheets) by word searches.

Records related to any sole proprietors of automobile disposal facilities are retrieved through the use of a unique number given to the proprietors through the Environmental Protection Agency (EPA). The EPA number will be listed on the http://www.cars.gov Web site for disposal facilities that are authorized to receive CARS vehicles.

Access to records in the CARS Database system will be limited to NHTSA personnel and contractors through password security, encryption, firewalls, and secured operating system, except for bank account information and a limited amount of eligible transaction information which will be encrypted and sent securely to DOT’s financial management system for purposes of effecting payments to participating dealers for eligible transactions.

Registered dealers entering data into the system will be able to access only records relating to transactions initiated by the same dealer--and not records relating to other transactions entered into the system.

Any electronic or hard copies of CARS-related records containing PII at DOT, NHTSA and contractor portal locations will be kept in secure electronic files or in hard-copy file folders locked in secure file cabinets during non-duty hours.

Under the CARS Final Rule, records created under the CARS program will be kept for 5 years. Records that are needed longer, such as to resolve claims and audit exceptions and prosecute fraud, will be retained until such matters are resolved.

The records may be moved at a future date to one or more different locations in response to the operational needs of DOT, NHTSA, the CARS Program or DOT/NHTSA contractors.

The CARS Database System Manager (NPO-400), Office of the Chief Information Officer, NHTSA, 1200 New Jersey Avenue, SE., Washington, DC 20590.

Individuals or business entities wishing to know if their records appear in this system should direct their requests to the System Manager identified above.

Individuals seeking access to information about them in this system should follow the same procedure as indicated under "Notification Procedure."

Individuals seeking to contest the content of information about them in this system should follow the same procedure as indicated under "Notification Procedure."

Transaction information pertaining to individual purchasers/lessees is obtained by car dealers, on behalf of NHTSA, directly from the individuals, from source documents the individuals provide (some of which are scanned into the database by the dealer), and/or directly from their new and trade-in cars. Dealers scan and/or enter the information into the CARS database and manually compare the information to the source documents or systems to verify its accuracy. NHTSA personnel and contractors then review the records to ensure accuracy prior to assessing the eligibility of individual transactions.

Business operations information about any sole proprietor salvage auctions and disposal facilities is obtained directly from the proprietors.

Consumer complaint information is obtained by DOT/NHTSA employees or contractors directly from consumers, including through NHTSA’s CARS Hotline.

None.

Unclassified, sensitive.

Office of the Secretary of Transportation, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.

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.

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.

28 U.S.C. 1498.

Document allegations that agencies of the Department of Transportation have infringed, or are infringing, United States patents.

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.

Storage:

File folders stored in file cabinets.

Indexed individually by name in alphabetical sequence.

Records are disclosed only to individuals with established legal interest or legal "need to know."

Transfer to Federal Records Center two years after close of file; destroy 25 years after close of file.

Mailing address: Patent Counsel, C-15, United States Department of Transportation, and Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.

Same as "System manager."

Same as "System manager."

Same as "System Manager."

Patent owners.

None.

Unclassified, sensitive.

Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 4100, Washington, DC 20590.

Military personnel requesting the Board for Correction of Military Records to correct their military records.

Copies of actions of the General Counsel acting under delegated authority approving or disapproving BCMR cases.

10 U.S.C. 1552.

Used as a record of the General Counsel’s action in individual BCMR cases.

See Prefatory Statement of General Routine Uses.

Storage:

File folders stored in file cabinets (Conserv-a-File).

Indexed individually by name in alphabetical sequence.

Files are kept in the office of the Assistant General Counsel. Requests are referred to the Executive Secretary, BCMR.

Retained indefinitely for precedential purposes.

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.

Contact "System manager."

Contact "System manager."

Same as "Record access procedure."

Official agency records; hearings, documentary material from outside the agency.

None.

Unclassified, sensitive.

Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.

Certain employees of the Office of the Secretary who have availed themselves of the opportunity for a hearing in certain personnel matters.

Certain employees of the Office of the Secretary who have availed themselves of the opportunity for a hearing in certain personnel matters.

Notices of proposed adverse actions, answers of employees, notices of decisions, and supporting material.

5 U.S.C. 1215, 1216, 7503(c), 7513(e), 7521, and 7543(e).

A record of the legal services performed and reference material for future cases.

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.

Storage:

File folders stored in file cabinets (Conserv-a-File).

Indexed individually by name in alphabetical sequence.

Files are kept in the office of the Assistant General Counsel.

Retire in 3 years; destroy in 6 years.

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.

Apply to System manager.

Apply to System manager.

Same as "Record access procedure."

Official agency records; hearings; documentary material from outside the agency.

None.

Unclassified (law enforcement sensitive).

TASC Security Operations, SVC-150, Department of Transportation, DOT, 400 7th Street, SW., Washington, DC 20590.

DOT employees and contractors.

Incident reports covering occurrences relating to the security of DOT personnel and headquarters buildings.

5 U.S.C. 301; 49 U.S.C. 322.

To maintain computerized records covering the security of DOT personnel and headquarters buildings. To develop proper responses to patterns of incidents.

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)).

Storage:

Records are stored in file folders. Paper records in case folders in manual filing system.

By name or incident title.

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.

Records older than 5 years are deleted.

Principal, TASC Security Operations, SVC-150, 400 7th Street, SW., Washington, DC 20590.

Same as "System manager."

Same as "System manager."

Same as "Record access procedure."

These records contain information obtained from interviews; review of records and other authorized techniques.

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).

Unclassified, sensitive.

Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.

Inventors employed by or having contractual relationships with the Department of Transportation and other Government agencies.

Invention disclosures, Government Patents Branch cases, patent applications, issued patents, and license agreement files.

49 U.S.C. 322.

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.

See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:

None.

Storage:

File folders stored in file cabinets.

Indexed individually by name in alphabetical sequence.

Records are disclosed only to individuals who have legal interest in the records or legal "need to know."

Transfer to Federal Records Center two years after close of file; destroy 25 years after close of file.

Mailing Address: Patent Counsel, C-15, United States Department of Transportation, and Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.

Apply to "System manager."

Apply to "System manager."

Same as "Record access procedures"

Individual inventors, technical evaluators, and United States Patent and Trademark Office.

None.

Unclassified, sensitive.

Department of Transportation, Transportation Administrative Service Center, Security Operations, SVC-150, 400 7th Street, SW., Washington, DC 20590.

DOT applicants, employees, former employees, contractors, and detailees to DOT from other Federal agencies.

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.

5 U.S.C. 301; 49 U.S.C. 322.

To make suitability determinations for employment or retention in government service, assignment to sensitive duty positions and access to classified information.

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)).

Storage:

Completed forms and typed pages in individual folders in a manual filing system, and on a manual system control cards.

By name.

Stored in locked room with proprietary lock or in approved security safe. Access limited to authorized staff members.

Retained in accordance with General Records Schedule 18. Authorized destruction done by secure means used for classified materials.

Principal, TASC Security Operations, SVC-150, Department of Transportation, 400 7th Street, SW., Washington, DC 20590.

Same as System manager.

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).

Same as "System manager."

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.

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).

Unclassified, sensitive.

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.

Individuals nominated for top executive positions of the Department of Transportation.

Financial data and biographical data.

5 U.S.C. App. 101, Executive Order 12731, and regulations of the Office of Government Ethics.

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.

See Prefatory Statement of General Routine Uses.

Storage:

Legal sized documents located in locked safe.

Individual names filed alphabetically.

Physical security consists of filing records in safe; data released to Senate Commerce Committee and authorized officials only of the Department.

Records are retained for 6 years then destroyed.

Mailing Address: Deputy General Counsel, C-2, United States Department of Transportation, and Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10428.

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.

Access to records requires the individual to contact in person or write the Deputy General Counsel.

Contest of a record is also through the Deputy General Counsel.

Subject individual provides Documents.

None.

Unclassified, sensitive.

Department of Transportation, Office of the Secretary, OST, Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.

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.

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.

49 CFR 1.23(j).

The purpose of the system is to provide history of correspondence addressed to and signed by the Secretary and Deputy Secretary of Transportation.

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.

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.

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.

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.

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.

Department of Transportation, DOT, Office of the Secretary, OST, Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.

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).

Contact System Manager for information on procedures for gaining access to records.

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.

Correspondence from individual, his representative or sponsor. Responses to incoming correspondence. Related material provided for background as appropriate.

None.

Unclassified, sensitive.

Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.

Individuals who believe they have original and innovative ideas in the field of transportation.

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.

49 U.S.C. 322.