System name: DOT Grievance Records Files.
Security classification: Unclassified, sensitive.
System location: Records are maintained in the personnel office that services the aggrieved employee if the grievance was processed under Departmental Personnel Manual, DPM 771-1, Agency Administrative Grievance System, pursuant to 5 CFR part 771. If processed under a negotiated grievance procedure from an approved labor agreement on behalf of a member, of a group of members, of a recognized collective bargaining unit, or if processed by the union, the grievance record is maintained in the office of the official administering the labor agreement pertaining to the collective bargaining unit. Addresses of servicing personnel offices are as follows: USCG Civilian Personnel Office, CGPC-CPM, 2100 2nd Street SW., Room 6224, Washington, DC 20593-00001; Federal Highway Administration, Office of Human Resources, 400 7th Street, SW., Room 4317,Washington, DC 20590; Federal Railroad Administration, Office of Human Resources, 1120 Vermont Ave, NW, RAD-10, Stop 30, Washington, DC 20005; Federal Transit Administration, Office of Human Resources, TAD-30, Room 9113, Washington, DC 20590; Office of Inspector General, Office of Human Resources, JM-20, Room 7107, Washington, DC 20590; Maritime Administration, Office of Personnel, MAR-360, Room 8101, Washington, DC 20590; National Highway Traffic Safety Administration, Office of Human Resources, NAD-20, Room 5306, Washington, DC 20590; Departmental Office of Human Resource Management, Departmental Director, M-10, Room 7411,Washington, DC 20590; Transportation Administrative Service Center, Human Resource Services, SVC-190, Room 2225, Washington, DC 20590; Research and Special Programs Administration, Office of Human Resources
Management, DMA-40, Room 7108, Washington, DC 20590; Research and Special Programs Administration, VOLPE National Transportation Systems Center, Human Resources Management Division, DTS-84, Room 2- 122, 55 Broadway, Cambridge, MS 02142-1093; Saint Lawrence Seaway Development Corporation, Office of Administration, PO Box 520, 180 Andrews Street, Massena, NY 13662-0520; Surface Transportation Board, 1925 K Street, NW., Suite 880, Washington, DC 20423; Federal Aviation Administration, National Headquarters, Office of Personnel, AHP-1, Room 500E, 800 Independence Avenue, SW., Washington, DC 20591; Federal Aviation Administration, Alaskan Region, 222 West 7th Avenue, PO Box 14, Anchorage, AK 99513-7587; Federal Aviation Administration, Western Pacific Region, PO Box 92007, World Postal Center, Los Angeles, CA 90009; Federal Aviation Administration, Southern Region, PO Box 20636, Atlanta, GA 30320; Federal Aviation Administration,
Great Lakes Region, O'Hare Lake Office Center, 2300 East Devon Avenue, Des Plaines, IL 60018; Federal Aviation Administration, New England Region; 12 New England Executive Park, Burlington, MA 01803; Federal Aviation Administration, Central Region, 601 East 12th Street, Kansas City, MO 64106; Federal Aviation Administration, Eastern Region, Fitzgerald Federal Building, JFK International Airport, Jamaica, NY 11430; Federal Aviation Administration, Southwest Region, 2601 Meacham Blvd., Fort Worth, TX 76137-4298; Federal Aviation Administration, Northwest Mountain Region, 1601 Lind Avenue SW., Renton, WA 98055-4056; Federal Aviation Administration, William J. Hughes, Technical Center, Atlantic City Intl Airport, Atlantic City, NJ 08405; Federal Aviation Administration; Mike Monroney Aeronautical Center, PO Box 25082, Oklahoma City, OK 73125.
Categories of individuals covered by the system: Current and former DOT employees who have submitted grievances with their respective administrations under OPM Letter 771-1, or grievances pertaining to members of DOT Collective Bargaining Units which were submitted in accordance with negotiated grievance procedures.
Categories of records in the system: The system contains records relating to grievances filed by or on behalf of DOT: statements of employees, witnesses, reports of interviews and hearings, fact-finders and/or arbitrator's findings and recommendations, copies of decisions and correspondence and exhibits.
Authority for maintenance of the system: 5 U.S.C. 7121; 5 CFR part 771.
Purpose(s): Determine validity of grievance.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Disclose information to officials of the Merit Systems Protection Board, including the Office of the Special Counsel; the Federal Labor Relations Authority and its General Counsel; or the Equal Employment Opportunity Commission when requested in performance of their authorized duties. Provide information to officials of labor organizations recognized under the Civil Service Reform Act when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders.
Retrievability: Names of the individuals on whom they are maintained, or by names and local identification of unions.
Safeguards: These records are maintained in lockable metal filing cabinets to which only authorized personnel have access.
Retention and disposal: These records may be disposed of 3 years after closing of the case. Disposal is by shredding or burning. System manager(s) and address: Director of Human Resource Management, M-10, United States Department of Transportation, 400 7th Street, SW., Room 7411, Washington, DC 20590
Notification procedure: Same as ``System Manager.''
Record access procedures: Same as ``System Manager.''
Contesting record procedures: Same as ``System Manager.''
Record source categories: Individual on whom the records is maintained. Testimony of witnesses. Agency officials. Related correspondence from organization or persons.
Exemptions claimed for the system: None.
DOT/ALL 5
System name: Employee Counseling Services Program Records.
Security classification: Unclassified, sensitive.
System location: Employee Counseling Service, which provides counseling to the employee. Other Federal, state, or local government, or private sector agency or institution providing counseling services.
Categories of individuals covered by the system: Current and former DOT employees who have been counseled or otherwise treated regarding alcohol or drug abuse or for personal or emotional health problems.
Categories of records in the system: Documentation of visits to employee counselors (Federal, state, local government, or private) and the diagnosis, recommended treatment, results of treatment, and other notes or records of discussions held with the employee made by the counselor. Documentation of treatment by a private therapist or a therapist at a Federal, state, local government, or private institution.
Authority for maintenance of the system: 5 U.S.C. 3301 and 7901, 21 U.S.C. 1101, 42 U.S.C. 4541 and 4561, and 44 U.S.C. 3101.
Purpose(s): Document the nature of the individual's problem and progress made and to record an individual's participation in and the results of community or private sector treatment or rehabilitation programs.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
Disclose information to qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or program evaluation, but such personnel may not identify, directly or indirectly, any individual patient in any report or otherwise disclose patient identities in any manner (when such records are provided to qualified researchers employed by DOT, all patient identifying information shall be removed). Disclose information, when an individual to whom a record pertains is mentally incompetent or under legal disability, to any person who is responsible for the care of the individual. DOT's General Routine Uses do not apply to this system. Whenever possible, a partial disclosure will be made or a summary of the contents of the record will be disclosed.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: These records are maintained in file folders.
Retrievability: These records are retrieved by the name or social security number of the individual on whom they are maintained or by a unique case file identifier.
Safeguards: These records are maintained in locked file cabinets with regular access strictly limited to employees directly involved in the DOT's Employee Counseling Services Program. Retention and disposal: Records are maintained for three to six years after the employee's last contact with DOT's Employee Counseling Services Program. System manager(s) and address: Director of Personnel, Office of the Secretary, M-10, Department of Transportation, Room 7411, 400 7th Street, SW., Washington, DC 20590.
Notification procedure: Contact the DOT Employee Counseling Services Program coordinator who arranged for counseling or treatment.
Record access procedures: Same as ``Notification Procedure.''
Contesting record procedures: Same as ``Notification Procedure.''
Record source categories: Individual to whom it applies, the supervisor of the individual if the individual was referred by the Supervisor, the Employee Counseling Service Program staff member who records the counseling session, and therapists or institutions providing treatment.
Exemptions claimed for the system: None.
DOT/ALL 6
System name: Workers' Compensation Information System.
Security classification: Sensitive, unclassified.
System location: These records are maintained at the Departmental Office of Human Resource Management, Office of the Secretary, in Washington, DC; at the operating administration human resource management offices in Washington, DC, and in their in regional offices and centers; and at the Departmental Personnel and Policy Division at the Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma.
Categories of individuals covered by the system: All current and former DOT employees who file (d) claims for Federal Employees' Compensation, FEC, or report work-related injuries or occupational health-related illnesses.
Categories of records in the system: The system consists of information that is derived from DOT personnel and payroll records, and from Federal Employees' Compensation claims records maintained by the Department of Labor/ Office of Workers' Compensation Programs, OWCP. OWCP records include information regarding claims filed by DOT employees, members of the US Coast Guard Auxiliary, and students at the US Merchant Marine Academy.
Authority for maintenance of the system: 5 U.S.C. Chapter 8101 et seq., 20 CFR 1.1 et seq., 5 U.S.C. 552a, and Department of Labor and DOT implementing regulations.
Purpose(s): The purpose of this system of records is to establish and maintain an automated data/information base that is used to improve claims management of the Federal Employees Compensation program within the Department; develop policy guidance; and promote training programs.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: These records are maintained in accordance with law and regulation in order to ensure proper and efficient management of the Federal Employees Compensation program within DOT. These records are required to assure compliance with the law and regulations and for maintaining program cost analysis and comparison information. These records provide occupation-related data including personnel data for the purpose of determining patterns of injury or illness and determining case disposition information. They are a source of information for purposes of controverting claims when appropriate, monitoring recovery of injured employees and offering of light duty assignments. Records in this system may also be integrated with other DOT program-related personnel information as required for the sound policy or fiscal management of the program and the agency's mission, o 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. 95
Disclosure to consumer reporting agencies: Not applicable. Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: These records are maintained in file folders, magnetic tape and disk. Storage is at the geographic location of the servicing human resource management offices, the Headquarters human resource management policy offices, and the Departmental Personnel and Payroll Division at the Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma.
Retrievability: Records are maintained by employee name, social security and FEC
case numbers, and regional/location identifiers.
Safeguards: Access to and use of these records are limited to those persons whose official duties require such access. Direct access to the automated database must be authorized by the Departmental Manager, Department of Transportation Workers' Compensation Program.
Retention and disposal: These records are maintained and disposed of in accordance FPMR 101 0911.4, General Records Schedules.
System manager(s) and address: Departmental Manager, Department of Transportation Workers' Compensation Program, Office of the Secretary, Departmental Office of Human Resource Management, 400 Seventh Street SW., Washington, DC 20590.
Office of Labor and Employee Relations, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591. Chief, Office of Civilian Personnel, United States Coast Guard, 200 Second Street SW., Washington, DC 20593. Director, Office of Human Resources, Federal Highway Administration, 400 Seventh Street SW., Washington, DC 20590. Director, Office of Personnel, Federal Railroad Administration, 1120 Vermont Avenue NW, Washington, DC 20005. Director, Office of Human Resources, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 20590. Director, Office of Human Resources, Federal Transit Administration, 400 Seventh Street SW., Washington, DC 20590. Director, Office of Personnel, Maritime Administration, 400 Seventh Street SW., Washington, DC 20590. Director, Office of Human Resource Management, Research and Special Programs Administration, 400 Seventh Street SW., Washington, DC 20590. Principal, Human Resource Services, Transportation Administrative Service Center, 400 Seventh Street SW., Washington, DC 20590. Director, Office of Human Resources, Office of Inspector General, 400 Seventh Street SW., Washington, DC 20590. Director, Office of Administration, Saint Lawrence Seaway Development Corporation, 180 Andrews Street, Massena, NY 13662-1763. Department of Transportation, Regional Human Resource Management Officers.
Notification procedure: Individuals wishing to know if their records appear in this system of records may inquire in person or writing to the system manager.
Record access procedures: Individuals who desire information about themselves contained in this system of records should contact or address their inquiries to the system manager.
Contesting record procedures: Individuals who desire to contest records about themselves contained in this system should contact or address their inquiries to the system manager. Record source categories: Information contained in this system is received from DOT records or OWCP records received from and maintained on DOT and its employees, members of the US Coast Guard Auxiliary, and students at the US Merchant Marine Academy.
Exemptions claimed for the system: None.
DOT/ALL 7
System name: Departmental Accounting and Financial Information System (DAFIS) and Delphi Accounting System.
Security classification: Unclassified, sensitive.
System location: The system is located in Department of Transportation (DOT), DOT Accounting offices and selected program, policy, and budget offices. These offices are located within the Office of the Secretary, OST; the Research and Special Programs Administration, RSPA, the Federal Aviation Administration, FAA, the United States Coast Guard, USCG, the Federal Highway Administration, FHWA, the National Highway Traffic Safety Administration, NHTSA, the Federal Transit Administration, FTA, the Maritime Administration, MARAD, the Federal Railroad Administration, FRA; the Federal Motor Carrier Safety Administration, FMCSA; the bureau of Transportation Statistics, BTS; Transportation Administrative Service Center, TASC, and the Transportation Security Administration TSA. These offices exercise systems and operational control over applicable records within the system. The system software is centrally maintained by the FAA's Mike Monroney Aeronautical Center, Oklahoma City, Oklahoma. Some centralized reporting functions are performed at Oklahoma City. Categories of individuals covered by the system: The systems : All employees of DOT, and only of DOT, which includes FAA, USCG, NHTSA, FHWA, OST, RSPA, FRA, FTA, MARAD, USCG, FMCSA, BTS, TASC, and TSA. Any other Federal agencies that use the system are responsible for Privacy Act compliance for their own employees.
Categories of records in the system: Categories include application service provider records and credit cards of government employees, and payment records for non-payroll related expenses, payment records for payroll made offline, collection records for payroll offsets, and labor cost records.
Authority for maintenance of the system: 5 U.S.C. 301; 49 U.S.C. 322; 31 U.S.C. 3512(b).
Purpose(s): The purpose for collecting the data in the DAFIS and Delphi System of Records is to control and facilitate the accounting and reporting of financial transactions for DOT.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Accounting office personnel use these records to: Provide employees with off-line paychecks, travel advances, travel reimbursements, travel processing, and other official reimbursements; Facilitate the distribution of labor charges for costing purposes; Track outstanding travel advances, receivables, and other non-payroll amounts paid to employees, etc; and, Clear advances that were made through the system in the form of off-line paychecks, payments for excess household goods made on behalf of the employee, garnishments, overdue travel advances, etc. See Prefatory Statement of General Routine Uses.
Disclosures to consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to ``consumer reporting agencies'' as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Records are stored on magnetic tape, magnetic disk, microforms, and in file folders. Storage of file folders and microforms is at the geographic locations of the servicing accounting office. Magnetic tape and disk records are maintained at the central maintenance site in Oklahoma City.
Retrievability: Records are retrieved by employee name and social security number. Retrieval is accomplished by use of telecommunications.
Safeguards: Access to magnetic tape, disk records and website records is limited to authorized agency personnel through password, encryption, firewalls, and secured operating system. Hard copy files are accessible to authorized personnel and are kept in locked file cabinets during non-duty hours.
Retention and disposal: Original payment vouchers and supporting documentation are retained and disposed in compliance with the General Records Schedules, National Archives and Records Administration, Washington, DC 20408. The following schedules apply: General Records Schedule (GRS) 1, Civilian Personnel Records; GRS 2, Payrolling and Pay Administration Records; GRS 3, Procurement, Supply and Grant Records; GRS 4, Property Disposal Records; GRS 5, Budget Preparation Presentation, and Appointment Records; GRS 6, Accountable Officers' Accounts Records; GRS 7, Expenditure Accounting Records; GRS 8, Stores, Plant and Cost Accounting Records; and GRS 9, Travel and Transportation Records. System manager(s) and address:
Director, Office of Financial Management (B-30), Office of the Secretary, Office of Financial Management, 400 Seventh Street SW, Washington, DC 20590.
Notification procedure: Inquiries should be directed to the managers of the accounting office supporting the employee's agency. Agency officials will contact the System Manager listed above if any centralized support is required for responses.
Record access procedures: Same as ``Notification procedure.''
Contesting record procedures: Same as ``Notification procedure.''
Record source categories: Information is provided by the employee directly or through the DOT Consolidated Uniform Payroll System.
Exemption claimed for the system: None.
DOT/ALL 8
System name: Employee Transportation Facilitation.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, Transportation Administrative Service Center, TASC, Facilities Service Center, Parking Management Office, 400 Seventh Street, SW., Room P2-0327, Washington, DC 20590. Field installations.
Categories of individuals covered by the system: Holders of parking permits and members of carpools and vanpools. Applicants for ridesharing information. Recipients of match letters for carpooling. Applicants and recipients of fare subsidies issued by DOT.
Categories of records in the system: Records of holders of parking permits and records of carpool and vanpool members. Records and reports of status of rideshare applications. Copies of applications and match letters received by rideshare applicants. Applications and certifications of fare subsidy recipients. Records and reports of disbursements to fare subsidy recipients. Information on local public mass transit facilities and fare subsidy programs.
Authority for maintenance of the system: 5 U.S.C. 301; 49 U.S.C. 322.
Purpose(s): Parking management and fare subsidy management. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Carpool listing produced for use in creating or enlarging carpools or vanpools. Used for production of listings and reports. Used for periodic review or revalidation. Used as part of a program designed to ensure eligibility for, and receipt of, fare subsidy.
See Prefatory Statement of General Routine Uses.
Disclosures to consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made from this system to consumer reporting agencies (collecting on behalf of the United States Government) as defined in the Fair Credit
Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Records are stored in hard copy or electronically, depending on the number of entries at each installation. Storage is at the geographic location of the servicing office. Retrievability: Records can be retrieved by name or by ZIP code of residence. Safeguards: Except for carpool listings, access is accorded only to parking and fare subsidy management offices. Printout of carpool listing used in matching program has name, agency, DOT permit number, and work telephone number only and is available upon request.
Retention and disposal: Data are deleted and not retained on ADP once the individual leaves the system for any reason (i.e., is no longer on the ridesharing listing, is no longer a member of a carpool or vanpool, or no longer receives a fare subsidy). Record copies of monthly reports and listings are retained at each installation, headquarters and field, for three years, forwarded to the Federal Records Center for two more years, and then destroyed. Consolidated reports of all installations are retained at headquarters for three years, forwarded to the Federal Records Center for two more years, and then destroyed.
System manager(s) and address: Chief, Transportation Services Section, TASC Facilities Services Center, Department of Transportation, 400 Seventh Street, SW., Room P2-0327, Washington, DC 20590. Field installations. Notification procedures: Same as System manager. Record access procedures: Same as System manager. Contesting record procedures: Same as System manager. Record source categories: Applications submitted by individuals for parking permits, carpool and vanpool membership, ridesharing information, and fare subsidies; from notifications from other Federal agencies in the program; and from periodic certifications and reports regarding fare subsidies.
Exemptions claimed for the system: None.
DOT/ALL 9
System name: Identification Media Record Systems.
Security classification: Unclassified, sensitive.
System location: The system is located in the: a. Office of Security and Administrative Management, M-40, 400 7th Street, SW., Washington, DC 20590; (for Office of the Secretary of Transportation and all DOT Agencies other than those listed below). b. Commandant, United States Coast Guard Headquarters, G-O, Washington, DC 20593 and District and Area Offices. c. Federal Aviation Administration, Office of Security and Investigations, 800 Independence Avenue, SW., Washington, DC 20591; and all FAA Regional Offices and Centers. d. Federal Highway Administration, Operations and Services Divisions, 400 7th Street, SW., Washington, DC 20590, and all FHWA Regional Offices. e. Transportation Security Administration, 400 7th Street, SW., Washington, DC 20590, and Federal Security Directors at various airports.
Categories of individuals covered by the system of records: Present and former employees, contractor employees, consultants, and other individuals or personnel that require access to DOT facilities, information, resources or information-based systems in any element of DOT.
Categories of records in the system: Applications, photographs, receipts for DOT identification and verification media and official credentials, temporary building passes, security badges, security clearance level and type, date of clearance, clearance basis, entry on duty information, current duty assignment information, routing symbols, limited relevant portions of the background investigation date of background investigation, investigating agency and follow-up investigation data, date of birth, social security number, position title and position sensitivity, assignment to sensitive duty positions, facility access, gender, esignations, 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 their fields as dictated by the Governmental SmartCard Interoperability Standard.
Authority for maintenance of the system: 5 U.S.C. 301; 49 U.S.C. 322; 49 U.S.C. 114(d); 49 U.S.C. 106(f)(2); 49 U.S.C. 40122.
Purpose(s): To control access to DOT facilities, information or information-based systems by authenticating the identity of each person using the system; the system will not be used to monitor or track individuals or their usage habits. To provide a ready concentration of employee personal data to facilitate issuance, accountability, and recovery of required identification media issued to employees, contractor employees, consultants, and other individuals or personnel who require access to DOT facilities, information or information-based systems in the performance of their duties. To provide for universal and positive verification and control for DOT employees, contractor employees, consultants, and other individuals or personnel needed to perform their official duties. To control and account for DOT identification and verification media, credentials, and security badges issued to DOT employees, former employees, contractors, and other individuals who require access to DOT facilities and information or information-based systems in the performance of their DOT or other official duties.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Records may be disclosed to contractors for the limited purpose of assisting the Department or one of its elements in issuing, controlling and accounting for DOT identification and verification media, credentials and security badges and maintaining associated databases. Records may be disclosed to Departmental contractors concerning their own current and former employees to facilitate the control and accountability of DOT identification and verification media, credential and security badges issued to contract employees. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: The records are maintained in an electronic database and may be on computer disks/chips, magnetic tape, and paper forms in file folders. The items of information set forth in the category of records section may be contained on an electronic computer chip or other media imbedded on the identification and verification medium of each employee, contractor, or other individual to whom the identification and verification media is issued.
Retrievability: Retrieval from the system is by name, social security number, date of birth, security clearance level, date of investigation, type of investigation, identification and verification media or record number, digital certificates, duty position location (POD), identification and verification media expiration or issue date, other fields as included in the Governmental SmartCard Interoperability Standard, or other category of records and can be accessed only by authorized individuals.
Safeguards: Computers provide privacy and access limitations to records by requiring a user name and password match or equivalent safeguards such as biometrics and public key infrastructure (PKI) technology. Access to decentralized segments is similarly controlled. Only those personnel with a need to have access to the system are given user names and passwords or equivalent technology. Data are manually and/ or electronically stored in a locked room with limited access. The protection of the data/information and of the identification and verification media complies with NIST Standards; at no time will any data/information be placed on the media in a manner less secure than its original source.
Retention and disposal: Hard copy of information including applications, photographs and identification media is destroyed immediately upon termination of employment and/or expiration of surrendered ID media. Inactive electronic records pertaining to applications, photographs, and identification media is removed from the video ID system monthly. The following schedules apply: General Records Schedule (GRS) 11, item 4, Space and Maintenance Records; and GRS 20, item 3a, Electronic Records. System manager(s) and address: a. Office of Security and Administrative Management, M-40, Department of Transportation, 400 7th Street, SW., Washington, DC 20590 (for OST and all DOT agencies other than those listed below). b. Commandant, G-O United States Coast Guard, Washington, DC 20593.c. Director of Security and Investigations, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591. d. Chief, Operations and Services Division, Federal Highway Administration, 400 7th Street, SW., Washington, DC 20590.
Notification procedure: Same as System Manager. Correspondence contesting records must include the full name and social security number of the individual concerned and documentation justifying the claim.
Record access procedures: Same as Notification procedure.
Contesting record procedures: Same as Notification procedure.
Record source categories: Individuals about whom the record is maintained, automated personnel systems maintained by DOT or any of its elements, and background and clearance investigation systems of records maintained by the DOT or any of its elements.
Exemptions claimed for the system: None.
DOT/ALL 10
System name: Debt Collection File.
Security classification: Sensitive, unclassified.
System location: Federal Aviation Administration, General Ledger Branch, Mike Monroney Aeronautical Center, and 6500 S. MacArthur Blvd., Oklahoma City, OK 73125.
Categories of individuals covered by the system: Persons currently or formerly associated with the Department of Transportation, DOT who are financially indebted to the United States Government under some particular service or program of the DOT other than under a contract. Individuals may include current, retired, or formerly employed DOT personnel or personnel from other Federal agencies.
Categories of records in the system: Information varies depending on the individual debtor, and includes the history of debt collection activity on the individual. Normally, the name, Social Security Number, SSN, address, amount of debt or delinquent amount, basis of the debt, date debt arose, office referring debt, collection efforts, credit reports, debt collection letters and correspondence to or from the debtor relating to the debt. Correspondence with employing agencies of debtors or Office of Personnel Management or Department of Defense, as appropriate, requesting that action begin to collect the delinquent debt through voluntary or involuntary offset procedures against the employee's salary or compensation due a retiree.
Authority for maintenance of the system: Federal Claims Collection Act of 1966 (Pub.L. 89-508), 31 U.S.C. Chapter 37, Subchapter I, General, and Subchapter II, Claims of the United States Government; Debt Collection Act of 1982, Pub.L. 97-365; 5 U.S.C. 5514, Installment Deduction for Indebtedness (salary offset); section 206 of Executive Order 11222; Executive Order 9397; and 49 CFR part 92, Salary Offset, DOT.Purpose(s): For the administrative management and collection of all delinquent debts, including past due loan payments, overpayments, fines, penalties, fees, damages, interest, leases, sales of real or personal property, etc., due to the DOT and debts due to other Federal departments and agencies that may be referred to the DOT for collection to the extent DOT controls funds due the debtor. This system provides for the implementation of the salary-offset provisions of 5 U.S.C. 5514, the administrative offset provisions of 31 U.S.C. 3716 and the provisions of the Federal Claims Collection Standards, FCCS. It applies to personal rather than contract debts.
Guidance regarding contract debts is contained in the Federal Acquisition Regulation. Records in this record system are subject to use in authorized and approved computer matching programs regulated under the Privacy Act of 1974 (5 U.S.C. 552a), as amended, for debt collection purposes.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: To the United States General Accounting Office, GAO, Department of Justice, United States Attorney, or other Federal agencies for further collection action on any delinquent account when circumstances warrant.
To a debt collection agency for the purpose of collection administered by the DOT. Debtor's name, Social Security Number, the amount of debt, and the history of the debt may be disclosed to any Federal agency where the individual debtor is employed or receiving some form of remuneration for the purpose of enabling that agency to collect a debt owed the United States Government on DOT's behalf by counseling the debtor for voluntary repayment or by initiating administrative or salary offset procedures under the provisions services to recover monies owed to the United States Government under certain programs or services of the Debt Collection Act of 1982 (Pub.L. 97-365). To the Internal Revenue Service, IRS, by computer matching to obtain the mailing address of a taxpayer for the purpose of locating such taxpayer to collect or to compromise a Federal claim by DOT against the taxpayer pursuant to 26 U.S.C. 6103(m)(2) and in accordance with 31 U.S.C. 3711, 3217, and 3718. Note: Redisclosure of a mailing address from the IRS may be made only for the purpose of debt collection, including to a debt collection agency in order to facilitate the collection or compromise of a Federal claim under the Debt Collection Act of 1982, except that a mailing address to a consumer reporting agency is for the limited purpose of obtaining a commercial credit report on the particular taxpayer.
Any such address information obtained from the IRS will not be used or shared for any other DOT purpose or disclosed to another Federal, state, or local agency which seeks to locate the same individual for its own debt collection purpose. Data base information consisting of debtor's name, Social Security Number, and amount owed may be disclosed to the Defense Manpower Data Center, DMDC, Department of Defense, the United States Postal Service or to any other Federal, state, or local agency for the purpose of conducting an authorized computer matching program in compliance with the Privacy Act of 1974 (5 U.S.C. 552a), as amended, so as to identify and locate delinquent debtors in order to start a recoupment process on an individual basis of any debt owed DOT by the debtor arising out of any administrative or program activities or services administered by DOT. Disclosure of personal and financial information from this system on current, retired, or former employees of DOT or United States Coast Guard members may be made to any creditor Federal agency seeking assistance for the purpose of that agency requesting voluntary repayment or implementing administrative or salary offset procedures in the collection of unpaid financial obligations owed the United States Government from an individual affiliated with the DOT. An exception to this routine use is an individual's mailing address obtained from the IRS pursuant to 26 U.S.C. 6103(m)(2).
Disclosure to consumer reporting agencies: Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made from this record system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)). The disclosure, once determined to be valid and overdue, is limited to information necessary to establish the identity of the individual, including name, address, and taxpayer identification number, (Social Security Number; the amount, status, and history of the claim; and the agency or program under which the claim arose for the sole purpose of allowing the consumer reporting agency to prepare a commercial credit report.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: The storage for records on personal computers is kept on floppy disks. Storage on microcomputers is first downloaded onto a floppy disk and then locked in a file cabinet. Data kept in paper file folders are locked in file cabinets.
Retrievability: Records are retrieved by name or Social Security Number.
Safeguards: Computers provide privacy and access limitation by requiring a user name and password match. These records are available only to those persons whose official duties require such access. Records are kept in limited access areas during duty hours and in locked cabinets at all other times.
Retention and disposal: Records are disposed of when ten years old except documents
needed for an ongoing investigation in which case the record will be retained until no longer needed for the investigation. Data tracks on floppy disks are overwritten a minimum of three times.
System manager(s) and address: Department of Transportation, Director, Office of Financial Management, B-30, 400 Seventh Street, SW., Washington, DC 20590.
Notification procedure: Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to the particular DOT operating administration or component in care of the System location above. Individual should furnish full name, Social Security Number, current address and telephone number.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Information in this system of records is obtained from the individual, creditor agencies, Federal employing agency of debtor, collection agencies, Federal, state or local agencies furnishing identifying information and/or address of debtor, as well as other internal DOT records such as payroll information.
Exemptions claimed for the system: None.
DOT/ALL 11
System name: Integrated Personnel and Payroll System, IPPS.
Security classification: Unclassified, sensitive.
System location: United States Department of Transportation, DOT, Office of the
Secretary, OST, 400 7th Street, SW., Washington, DC 20590. Working copies of certain records are held by OST, all DOT Operating Administrations, Office of the Inspector General, OIG, and the National Transportation Safety Board, NTSB. DOT provides personnel and payroll services to NTSB on a reimbursable basis, although NTSB is not a DOT entity. This is done for economy and convenience since both organizations' missions are transportation oriented and located in the same geographic areas.).
Categories of individuals covered by the system: Prospective, present, and former employees in the Office of the Secretary of Transportation, OST, Bureau of Transportation Statistics, BTS, Federal Aviation Administration, FAA, Federal Highway Administration, FHWA, Federal Railroad Administration, FRA, Federal Transit Administration, FTA, Maritime Administration, MARAD, National Highway Traffic Safety Administration, NHTSA, Office of the Inspector General, OIG, Research and Special Programs Administration, RSPA, St. Lawrence Seaway Development Corporation, SLSDC, Transportation Administrative Service Center, TASC, National Transportation Safety Board, NTSB, and civilian employees of the United States Coast Guard, USCG.
Categories of records in the system: This system contains those records required to insure that an employee receives his or her pay and personnel benefits as required by law. It includes, as appropriate: Service Record, Employee Record, Position Identification Strip, Claim for 10-Point Veteran Preference, Request for Referral Eligibles, Request and Justification for Selective Factors and Quality Ranking Factors, Certification of Insured Employee's Retired Status, Federal Employees' Group Life Insurance, FEGLI, Notification of Personnel Action, Notice of Short- Term Employment, Request for Insurance, FEGLI, Designation of Beneficiary, FEGLI, Notice of Conversion Privilege, Agency Certification of Insurance Status, FEGLI, Request for Approval of Non-Competitive Action, Appointment Affidavits, Declaration of Appointee, Agency Request to Pass Over a Preference Eligible or Object to an Eligible, Official Personnel Folder, Official Personnel Folder Tab Insert, Incentive Awards Program Annual Report, Application for Leave, Monthly Report of Federal Civilian Employment, Payroll Report of Federal Civilian Employment, Semi-annual Report of Federal Participation in Enrollee Programs, Request for Official Personnel Folder (Separated Employee), Statement of Prior Federal Civilian and Military Service, Personal Qualifications Statement, Continuation Sheet for Standard Form 171 ``Personal Qualifications Statement'', amendment to Personal Qualifications Statement, Job Qualifications Statement, Statement of Physical Ability for Light Duty Work, Request, Authorization, Agreement and Certification for Training, United States Government Payroll Savings Plan-Consolidated Quarterly Report, financial Disclosure Report, Information Sheet Financial Disclosure-Report, Payroll for Personal Services, Pay Receipt for Cash Payment to Transferable, Payroll Change Slip, Payroll for Personal Service payroll Certification and Summary--Memorandum, Record of Leave Data, Designation of Beneficiary--Unpaid Compensation of Deceased Civilian Employee, United States Savings Bond Issue File Action Request, Subscriber List for Issuance of United States Savings Bonds, Request for Payroll Deductions for Labor Organization Dues, Revocation of Voluntary Authorization for Allotment of Compensation for Payment of Labor Organization dues, Request by Employee for Payment of Salaries or Wages by Credit to Account at a Financial Organization, Designation of Beneficiary-- Unpaid Compensation of Deceased Civilian Employee, United States Savings Bond Issue File Action Request, Authorization for Purchase and Request for Change: United States Series EE Savings Bond, Request by Employee for Allotment of Pay for Credit to Savings Accounts with a Financial Organization, Application for Death Benefits--Civil Service Retirement System, Application for Retirement--Civil Service Retirement System, Superior Officer's Statement in Connection with Disability Retirement, Physician's Statement for Employee Disability Retirement Purposes, Transmittal of Medical and Related Documents for Employee Disability Retirement, Request for Medical Records (To Hospital or Institution) in Connection with Disability Retirement, Application for Refund of Retirement Deductions, Application to Make Deposit or Redeposit, Application to Make Voluntary Contribution, Request for Recovery of Debt Due the United States (Civil Service Retirement System), Register of Separations and Transfers--Civil Service Retirement System, Register of Adjustments--Civil Service Retirement System, Annual Summary Retirement Fund Transactions, Designation of Beneficiary Civil Service Retirement System, Health Benefits Registration Form--Federal Employees Health Benefits Program, Notice of Change in Health Benefits Enrollment, Transmittal and Summary Report to Carrier Federal Employees Health Benefits Program, Report of Withholding and Contributions for Health Benefits, Group Life Insurance, and Civil Service Retirement, Report of Withholdings and Contributions, Employee Service Statement, Election of Coverage and Benefits, Designation of Beneficiary, Position Description, Inquiry for United States Government Use Only, Application for Retirement--Foreign Service Retire System, Designation of Beneficiary, Application for Refund of Retirement Contributions (Foreign Service Retirement System), Election to Receive Extra Service Credit Towards Retirement (or Revocation Thereof), Application for Service Credit, Employee Suggestion Form, Meritorious Service Increase Certificate, Foreign Service Emergency Locator Information, Labor Distribution Data, Leave Record, Leave Summary, Individual Pay Card, Time and Attendance Report, Time and Attendance Report (For Use Abroad).
Authority for maintenance of the system: 49 U.S.C. 322.
Purpose(s): The purpose for collecting the data in the IPPS System of Records is to control and facilitate payment of salaries to DOT civilian employees.
Routine uses of records maintained in the system including categories of users and the purposes of such uses: 1. Records are maintained for control and accountability of: Pay and allowances; permanent and temporary pay changes; pay adjustments; travel advances and allowances; leave balances for employees; earnings and deductions by pay periods, and pay and earning statements for employees; management information as required on an ad hoc basis; payroll checks and bond history; union dues; withholdings to financial institutions, charitable organizations and professional associations; summary of earnings and deductions; claims for reimbursement sent to the General Accounting Office, GAO; federal, state, and local taxes withholdings; and list of FICA employees for management reporting. 2. To the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services Federal Parent Locator System, FPLS and Federal Tax Offset System for use in locating individuals and identifying their income sources to establish paternity, establish and modify orders of support and for enforcement action. 3. To the Office of Child Support Enforcement for release to the Social Security Administration for verifying social security numbers in connection with the operation of the FPLS by the Office of Child Support Enforcement. 4. To Office of Child Support Enforcement for release to the Department of Treasury for purposes of administering the Earned Income Tax Credit Program (Section 32, Internal Revenue Code of 1986) and verifying a claim with respect to employment in a tax return.
Disclosure to consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to ``consumer reporting agencies'' as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Storage is on magnetic disks, magnetic tape, microforms, and paper forms in file folders.
Retrievability: Retrieval from the system is by social security number, employee number, organization code, or home address; these can be accessed only by individuals authorized such access.
Safeguards: Computers provide privacy and access limitations by requiring a user name and password match. Access to decentralized segments is similarly controlled. Only those personnel with a need to have access to the system are given user names and passwords. Data are manually and/or electronically stored in locked rooms with limited access.
Retention and disposal: The IPPS records are retained and disposed in compliance with the General Records Schedules, National Archives and Records Administration, Washington, DC 20408. The following schedules apply: General Records Schedule 1, Civilian Personnel Records, Pages 1 thru 22, Items 1 through 39; and General Records Schedule 2, Payrolling and Pay Administration Records, Pages 1 thru 6, Items 1 thru 28. system manager(s) and address: Contact Chief, Financial Management IT Deployment Staff (B-35) at the United States Department of Transportation, Office of the Secretary, 400 Seventh Street SW., Washington, DC 20590.
Notification procedure: Individuals wishing to know if their records appear in this system of records may inquire in person or in writing to the system manager.
Record access procedures: Same as ``System manager.'' Contesting record procedures: Same as ``System manager.'' Correspondence contesting records must include the full name and social security number of the individual concerned and documentation justifying the claims.
Record source categories: Data are collected from the individual employees, time and attendance clerks, supervisors, official personnel records, personal financial statements, correspondence with the debtor, records relating to hearings on the debt, and from the Departmental Accounting and Financial Information system of records.
Exemptions claimed for the system: None.
DOT/ALL 12
System name: DOT Mentoring Records System.
Security classification: Sensitive.
System location: Department of Transportation, DOT TASC Computer Center, 400 7th Street, SW., Washington, DC 20590-0001
Categories of individuals covered by the system: a. All DOT personnel registering to become mentors. b. All DOT personnel registering to be mentees.
Categories of records in the system: All categories of records are electronic and/or paper, and may include identifying information, such as name, office routing symbol, office phone and fax numbers, e-mail address, last four digits of the social security number, grade, and employing administration. All records reflect:
a. Name.
b. Operating Administration.
c. Last four digits of social security number.
d. Routing Symbol.
e. State employed.
f. Age range.
g. Pay plan.
h. Series.
i. Civilian or Military grade.
j Work phone.
k. Work Fax.
l. Work e-mail address.
m. Work skills (Optional narrative).
n. Interests (Optional narrative).
o. Hobbies (Optional narrative).
Records for employees of the United States Coast Guard, both military and civilian may also include:
1. Collateral duties.
2. Coast Guard training Received.
3. Coast Guard qualification codes.
4. Commissioning source.
5. Education level/Type of degree.
6. Ethnicity.
7. Marital status.
8. Current OPFAC.
This information is optional for USCG employees only. Authority for maintenance of system: 5 U.S.C. 4103.
Purpose(s): This system will be used to match prospective DOT mentors with employees interested in becoming mentees. The system will also be used to monitor the number of employees participating in the DOT Mentoring Program, store participants pass words, contact participants for survey purposes, provide mentor names to senior departmental and human resource management officials, and measure the success of cross modal mentoring. Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
a. To DOT HRM personnel to evaluate interest in the program.
b. To DOT HRM personnel to transmit survey instruments to
participants.
c. To DOT HRM personnel to determine the amount of cross modal
participation.
d. To Senior Management Officials for review.
Also, see the prefatory statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: The storage is on a DOT server, with restricted access.
Retrievability: Retrieval from the system is by category (mentor/mentee), and can be accessed by the administrators of the DOT mentoring program database.
Safeguards: Computers provide privacy and access limitations by requiring a user name and password match. Access to decentralized segments is similarly controlled. Only those personnel administering the DOT Mentoring Program database are given user names and passwords.
Retention and disposal: Records disposition schedule as developed by the National Archives and Records Administration.
System manager(s) and address: Jan B. Karicher, Departmental Office of Human Resources Management, M-13, Department of Transportation 400 Seventh Street, SW., Washington, DC, 20590-0001.
Notification procedure: Inquiries should be directed to: United States Department of Transportation, Departmental Director of human Resource Management (M-10), 400 7th Street, SW., Washington, DC 20590-001.
Record access procedures: Individuals may access their own data through Internet, to the DOT HRM Home Page. Contesting record procedures: NA. Record source categories: Individual registrants.
Exemptions claimed for the system: None.
DOT/ALL 13
System name: Internet/Intranet Activity and Access Records.
Security classification: Unclassified, sensitive.
System location: The system is located in the Department of Transportation. These offices are located within the Office of the Secretary (OST), Federal Aviation ministration (FAA), the United States Coast Guard (USCG), the Research and Special Programs Administration (RSPA), the Federal Highway Safety Administration (FHWA), Federal Motor Carrier Safety Administration (FMCSA), the National Highway Safety Administration (NHTSA), the Federal Transit Administration (FTA), the Maritime Administration (MARAD), the Federal Railroad Administration (FRA), the Bureau of Transportation Statistics (BTS), the St. Lawrence Seaway Development Corporation (SLSDC), Transportation Administrative Service Center (TASC), and the Transportation Security Administration (TSA).
Categories of individuals Covered by the System of Records: All DOT employees, contractors, or other users authorized or unauthorized who access the Internet/Intranet through any of the authorized DOT network computers or mainframe/enterprise servers, including individuals who send and receive electronic communications, access Internet/Intranet sites, or access system databases, files, or applications from DOT computers or sending electronic communications to DOT computers. An ``Internet/Intranet Access Point'' is one of the authorized gateways, through which all Internet/Intranet traffic passes. For statistical purposes, the system monitors the amount of traffic using different Internet/Intranet protocols, but does not view the content of transmissions (e.g., it does not monitor the text of electronic mail messages).
Categories of records in the system: Records and reports in this system may include:
1. The source Internet/Intranet Protocol (IP) address of the computer used to make the Internet/Intranet connection.
2. The destination IP address of the site visited (could include URL address)
3. The date and time of the connection
4. The size of the transmission
5. Keywords propagated by Internet/Intranet web sites
6. Technical machine data as the system may generate (e.g., Machine-name field and Medium Access Control [MAC] address from the last device the machine traversed.)
7. Electronic mail systems, including the email address of sender and receiver of the electronic mail message, subject, date, and time.
8. Profile customization purposes to personalize levels of access.
9. Records on user access to DOT's office automation networks as well as denials of access.
10. Records relating to mainframe/enterprise server access.
11. Verification and authorization records.
Logs of Internet/Intranet access and use from a DOT computer generally do not directly contain names or similar personal identifiers. However, for official government business purposes and through research or investigation, an individual whose PC was assigned an IP address at a given time may be identifiable by name.
Authority for maintenance of the system: 49 U.S.C. 322, 49 U.S.C. 40122(g), 49 U.S.C. 40101, 40 U.S.C. 1441, 5 U.S.C. 302
Purpose(s): Data in the system of records is used by DOT systems and security personnel or persons authorized to assist these personnel, to plan and manage systems services and otherwise perform their official duties. Such services would include, but are not limited to, analyzing engineering and statistical use data to assist in making business decisions regarding upgrading hardware, software, and communications technology to meet changing Internet/Intranet use requirements. The system is also used to monitor for improper use. Authorized managers may use the records in the system to investigate improper use or other improper activity by an employee, contractor or other individual relating to DOT computer systems use or access; to initiate disciplinary or other such action; and/or where the record(s) may appear to indicate a violation or potential violation of law, to refer such record(s) to the appropriate investigative organization within the agency or the Department of Transportation, or to other law enforcement agencies for investigation.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: To provide information to any person(s) authorized to assist in an approved investigation of improper access or usage of DOT computer systems. To an actual or potential party or his or her authorized representative for the purpose of negotiation or discussion of such matters as settlement of the case or matter, or informal discovery proceedings. To contractors, grantees, experts, consultants, detailees, and other non-DOT employees performing or working on a contract, service, grant cooperative agreement, or other assignment from the Federal government, when necessary to accomplish an agency function related to this system of records. To other government agencies where required by law. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: The information is collected at each monitoring location and the data may be merged into computers within DOT. Data may be stored on an internal hard disk and periodically backed up onto magnetic tape. The data on the systems are protected by passwords. Software may be maintained on the firewall server. The length of time of storage may be governed by available disk space on the server. When it is necessary to print a hard copy, copies will be stored in a locked file cabinet.
Retrievability: Records may be retrieved by user name, user ID, e-mail address, or other identifying search term employed, depending on the record category. The Department does not usually connect IP addresses with a person. However, in some instances, for official government business purposes, the Department may connect the IP address with an individual, and records may be retrieved by IP address.
Safeguards: To safeguard against the risk of unauthorized disclosure, the DOT maintains the information at secured facilities in limited access areas of the DOT data processing facilities. The systems are also software-protected by a set of multiple passwords. There is backup capability to address issues of availability and continuity of operations. Previous week's backup tapes may be sent to an off-site storage location in some cases. DOT limits access to monitoring software of the computer(s) to authorized personnel only. In addition, DOT limits who can use the computer(s), and limits dissemination of any passwords used to operate the computer(s). DOT maintains any hard copies of sensitive information in secure file cabinets.
Retention and disposal: The information is retained at DOT Headquarters by the system administrators and Regional Administrators. When there is no longer disk space available on the monitors' hard disks, the files are released to the operating system for re-write. This means the files are ``marked'' internally as eligible for the computer operating system to overwrite with subsequent data. DOT will comply with requirements of the National Archives and Records Administration (NARA). NARA regulations state that electronic files created to monitor system usage are authorized for erasure or deletion when the agency determines that they are no longer needed for administrative, legal, audit, or other operational purposes. Generally, these (and any associated hard copy) files will be authorized for deletion after 30 days unless needed for official purposes. Not all locations, HQ or regions, will be collecting information at all times. System manager(s) and address:
a. Department of Transportation, Office of the Secretary, Office of the Chief Information Officer, S-80, 400 7th Street, SW., Washington, DC 20590.
b. Department of Transportation, Federal Aviation Administration, Assistant Administrator for Information Services and Chief Information Officer, AIO-1, FAA Headquarters, FOB-10A, 800 Independence Avenue, SW., Washington, DC 20591.
c. Department of Transportation, United States Coast Guard Headquarters, Commandant, G-C, 2100 2nd Street, SW., Washington, DC 20593.
d. Department of Transportation, Research and Special Programs Administration, Office of the Administrator, DRP-1, 400 7th Street, SW., Washington, DC 20590.
e. Department of Transportation, Federal Highway Safety Administration, Office of the Federal Highway Administrator, HOA-1, 400 7th Street, SW., Washington, DC 20590.
f. Department of Transportation, Federal Motor Carrier Safety Administration, Office of the Administrator, MC-A, 400 7th Street, SW., Washington, DC 20590.
g. Department of Transportation, National Highway Safety Administration, Office of the Administrator, NOA-01, 400 7th Street, SW., Washington, DC 20590.
h. Department of Transportation, Federal Transit Administration, Office of the Administrator, TOA-1, 400 7th Street, SW., Washington, DC 20590.
i. Department of Transportation, Maritime Administration, Office of Maritime Administrator, MAR-100, 400 7th Street, SW., Washington, DC 20590.
j. Department of Transportation, Federal Railroad Administration, The Administrator, ROA-1, 400 7th Street, SW., Washington, DC 20590.
k. Department of Transportation, Bureau of Transportation Statistics, Office of the Director, K-1, 400 7th Street, SW., Washington, DC 20590.
l. Department of Transportation, St. Lawrence Seaway Development Corporation, The Administrator, 400 7th Street, SW., Washington, DC 20590.
m. Department of Transportation, Transportation Administrative Service Center, Director, SVC-1, 400 7th Street, SW., Washington, DC 20590.
n. Department of Transportation, Transportation Security Administration (TSA), Under Secretary, TSA-1, 400 7th Street, SW., Washington, DC 20590.
Notification procedure: To determine whether the system may contain records relating to you, write to the System Manager.
Record access procedures: Same as ``Notification Procedure.'' Provide full name, assigned computer location, and a description of information that you seek, including the time frame during which the records(s) may have been generated. Individuals requesting access must comply with the Department of Transportation's Privacy Act regulations on verification of identity (49 C.F.R. 10.37).
Contesting record procedures: Same as ``Notification Procedure'' and ``Record Access Procedure.''
Record source categories: Information is collected from computers located at each of the Internet/Intranet Access locations. A software program installed on each of the machines retrieves the information from a hub or connection to the Internet/Intranet. Regional offices may be collecting information from time-to-time. Personal computers at data collection points are used to capture data in a passive mode. Most records are generated internally, i.e., computer activity logs; individuals covered by the system; and engagement officials.
Exemptions claimed for the system: None.
DOT/ALL 14
System name: Docket Management System (DMS).
Security classification: Unclassified, non-sensitive.
System location: The system is located in Department of Transportation (DOT), Dockets and Media Management Center, Transportation Administrative Service Center, 400 7th Street, SW., Room PL-401, Washington, DC 20590.
Categories of individuals covered by the system: Individuals who participate in proceedings at the DOT that are covered by the Administrative Procedure Act (APA), and who provide information about their identities.
Categories of records in the system: DOT rulemaking and related documents issued in informal rulemakings, and public comments thereon; non-rulemaking and related documents, and public comments thereon; in formal rulemakings, motions, petitions, complaints, and related documents and formal responses thereto.
Authority for maintenance of the system: 5 U.S.C. 551 et seq.
Purpose(s): To facilitate involvement of the public in APA and related proceedings. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Electronically on a publicly-accessible website.
Retrievability: Documents are retrievable through DMS by name and by docket number.
Safeguards: Records are freely available to anyone.
Retention and disposal: Paper copies are returned to the originating office upon transfer to electronic medium. Electronic version is retained indefinitely at the discretion of the DOT.
System manager(s) and address: U.S. Department of Transportation, Chief, Dockets and Media Management Center (SVC-124), 400 7th Street, SW., Room PL-401, Washington, DC 20590.
Notification procedure: Same as ``System Manager.''
Record access procedures: Same as ``System Manager.''
Contesting record procedures: Same as ``System Manager.''
Record source categories: Individuals participating in DOT APA proceedings.
Exemptions claimed for the system: None.
DOT/ALL 16
System name:
Mailing Management Systems
Security classification:
Unclassified, non-sensitive
System location:
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.
Categories of individuals covered by the system of records:
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.
Categories of records in the system:
Individual name, contact information, title and organization, if applicable, details regarding the requested publication and payment information for those publications for sale.
Authority for maintenance of the system:
5 USC 301; 49 USC 322.
Purposes:
To provide individuals and other government agencies, at their request, with mailed copies of publicly available information about DOT and its operating administrations’ programs.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
(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.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage:
Records are stored manually in file folders and electronically in mailing management system applications and databases.
Retrievability:
Records are retrievable by customer number, customer name, customer address, mailing list title and publication ID number.
Safeguards:
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.
Retention and disposal:
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.
System Manager(s) and address:
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, S.W., 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.
Notification procedure:
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, S.W., Washington DC 20590. Requests should include name, address and telephone number and describe the records you seek.
Record access procedures:
Same as “Notification procedure.”
Contesting record procedures:
Same as “System Manager.”
Record source categories:
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 email.
Exemptions claimed for the system:
None.
DOT/ALL 17
System name:
Freedom of Information Act and Privacy Act Case Files
Security classification:
Sensitive, unclassified
System location:
These records are located at Department of Transportation (DOT) Freedom of Information Act (FOIA) and Privacy Act (PA) offices located in Washington D.C., as well as FOIA Coordination offices at regional locations.
Categories of individuals covered by the system of records:
Individuals who submit FOIA and PA requests and administrative appeals to DOT.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 552, Freedom of Information Act, as amended, and 5 U.S.C. 552a, the Privacy Act of 1974, as amended.
Purposes:
These records are maintained to process individuals’ requests made under the provisions of the Freedom of Information Act and Privacy Act of 1974.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
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
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage:
Records are stored manually in file folders and electronically in databases.
Retrievability:
Records are retrieved by the name of the individual who made the request or FOIA case tracking or control number.
Safeguards:
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.
Retention and disposal:
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.
System Manager(s) and address:
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.
Notification procedure:
Same as “System Manager”
Record access procedures:
Same as “System Manager”
Contesting record procedures:
Same as “System Manager”
Record source categories:
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.
Exemptions claimed for the system:
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.
Last updated 10/31/2006