DOT/OST 003
System name: Allegations of Infringement of United States Patents.
Security classification: Unclassified, sensitive.
System location: Office of the Secretary of Transportation, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
Categories of individuals covered by the system: Individuals who believe that an agency of the Department of Transportation is infringing a United States patent owned by the individual.
Categories of records in the system: Copies of correspondence alleging that agencies of the Department of Transportation have infringed, or are infringing, United States patents owned by the originators of the correspondence. Copies of replies by the Department Patent Counsel to the originator of the allegation. Copies of correspondence forwarding the allegation to the particular Department agency accused for their comment; their replies to Patent Counsel. Copies of correspondence between the Department of Transportation and the Department of Justice concerning the allegations.
Authority for maintenance of the system: 28 U.S.C. 1498.
Purpose(s): Document allegations that agencies of the Department of Transportation have infringed, or are infringing, United States patents.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Used as a record of allegations and Patent Counsel's actions thereof. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders stored in file cabinets.
Retrievability: Indexed individually by name in alphabetical sequence.
Safeguards: Records are disclosed only to individuals with established legal interest or legal “need to know.''
Retention and disposal: Transfer to Federal Records Center two years after close of file; destroy 25 years after close of file.
System manager(s) and address: Mailing address: Patent Counsel, C-15, United States Department of Transportation, and Washington, DC 20590.
Office Location: 400 7th Street, SW., Room 10102.
Notification procedure: Same as “System manager.''
Record access procedures: Same as “System manager.''
Contesting record procedures: Same as “System Manager.''
Record source categories: Patent owners.
Exemptions claimed for the system: None.
DOT/OST 004
System name: Board for Correction of Military Records, BCMR.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 4100, Washington, DC 20590.
Categories of individuals covered by the system: Military personnel requesting the Board for Correction of Military Records to correct their military records.
Categories of records in the system: Copies of actions of the General Counsel acting under delegated authority approving or disapproving BCMR cases.
Authority for maintenance of the system: 10 U.S.C. 1552.
Purpose(s): Used as a record of the General Counsel's action in individual BCMR cases.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders stored in file cabinets (Conserv-a-File).
Retrievability: Indexed individually by name in alphabetical sequence.
Safeguards: Files are kept in the office of the Assistant General Counsel. Requests are referred to the Executive Secretary, BCMR.
Retention and disposal: Retained indefinitely for precedential purposes.
System manager(s) and address: Mailing Address: Assistant General Counsel for Environmental, Civil Rights and General Law, C-10, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
Notification procedure: Contact ``System manager.''
Record access procedures: Contact ``System manager.''
Contesting record procedures: Same as ``Record access procedure.''
Record source categories: Official agency records; hearings, documentary material from outside the agency.
Exemptions claimed for the system: None.
DOT/OST 012
System name: Files Relating to Personnel Hearings.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
Categories of individuals covered by the system: Certain employees of the Office of the
Secretary who have availed themselves of the opportunity for a hearing in certain personnel matters.
Categories of individuals covered by the system: Certain employees of the Office of the Secretary who have availed themselves of the opportunity for a hearing in certain personnel matters.
Categories of records in the system: Notices of proposed adverse actions, answers of employees, notices of decisions, and supporting material.
Authority for maintenance of the system: 5 U.S.C. 1215, 1216, 7503(c), 7513(e), 7521, and 7543(e).
Purpose(s): A record of the legal services performed and reference material for future cases.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Used by agency management in the preparation and conduct of administrative hearings. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders stored in file cabinets (Conserv-a-File).
Retrievability: Indexed individually by name in alphabetical sequence.
Safeguards: Files are kept in the office of the Assistant General Counsel.
Retention and disposal: Retire in 3 years; destroy in 6 years.
System manager(s) and address: Mailing Address: Assistant General Counsel for environmental, Civil Rights and General Law, C-10, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
Notification procedure: Apply to System manager.
Record access procedures: Apply to System manager.
Contesting record procedures: Same as “Record access procedure.''
Record source categories: Official agency records; hearings; documentary material from outside the agency.
Exemptions claimed for the system: None.
DOT/OST 016
System name: General Investigations Record System.
Security classification: Unclassified (law enforcement sensitive).
System location: TASC Security Operations, SVC-150, Department of Transportation, DOT, 400 7th Street, SW., Washington, DC 20590.
Categories of individuals covered by the system: DOT employees and contractors.
Categories of records in the system: Incident reports covering occurrences relating to the security of DOT personnel and headquarters buildings.
Authority for maintenance of the system: 5 U.S.C. 301; 49 U.S.C. 322.
Purpose(s): To maintain computerized records covering the security of DOT personnel and headquarters buildings. To develop proper responses to patterns of incidents.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses; 5 and 9 do not apply.
Disclosure to consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to ”consumer reporting agencies'' (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Records are stored in file folders. Paper records in case folders in manual filing system.
Retrievability: By name or incident title.
Safeguards: Files are maintained in a locked room with appropriate access controls. Access to the files is restricted to authorized personnel on a ``need-to-know'' basis. With appropriate access controls.
Retention and disposal: Records older than 5 years are deleted.
System manager(s) and address: Principal, TASC Security Operations, SVC-150, 400 7th Street, SW., Washington, DC 20590.
Notification procedure: Same as ``System manager.''
Record access procedures: Same as ``System manager.''
Contesting record procedures: Same as ``Record access procedure.''
Record source categories: These records contain information obtained from interviews; review of records and other authorized techniques.
Exemptions claimed for the system: Investigative data compiled for law enforcement purposes may be exempt from the access provisions pursuant to 5 U.S.C. 552a (j)(2), (k)(1) or (2).
DOT/OST 019
System name: Individual Personal Interests in Intellectual Property.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
Categories of individuals covered by the system: Inventors employed by or having contractual relationships with the Department of Transportation and other Government agencies.
Categories of records in the system: Invention disclosures, Government Patents Branch cases, patent applications, issued patents, and license agreement files.
Authority for maintenance of the system: 49 U.S.C. 322.
Purpose(s): Used by Patent Counsel and staff as a record of determination of rights in inventions, determination of novelty and patent ability, determination of patent coverage, and allocation of rights in issued patents.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders stored in file cabinets.
Retrievability: Indexed individually by name in alphabetical sequence.
Safeguards: Records are disclosed only to individuals who have legal interest in the records or legal “need to know.''
Retention and disposal: Transfer to Federal Records Center two years after close of file; destroy 25 years after close of file.
System manager(s) and address: Mailing Address: Patent Counsel, C-15, United States Department of Transportation, and Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
Notification procedure: Apply to “System manager.''
Record access procedures: Apply to “System manager.''
Contesting record procedures: Same as “Record access procedures'' Record source categories: Individual inventors, technical evaluators, and United States Patent and Trademark Office.
Exemptions claimed for the system: None.
DOT/OST 035
System name: Personnel Security Record System.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, Transportation Administrative Service Center, Security Operations, SVC-150, 400 7th Street, SW., Washington, DC 20590.
Categories of individuals covered by the system: DOT applicants, employees, former employees, contractors, and detailees to DOT from other Federal agencies.
Categories of records in the system: Records of personnel security processing, personal data on investigative and employment forms completed by the individual, reports of investigations, records of security and suitability determinations, records of access authorizations granted, documentation of security briefings/debriefings received, record of security violations by the individual.
Authority for maintenance of the system: 5 U.S.C. 301; 49 U.S.C. 322.
Purpose(s): To make suitability determinations for employment or retention in government service, assignment to sensitive duty positions and access to classified information.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Used by Departmental personnel security representatives, including contractor personnel, for making security determinations and granting access authorizations, by Departmental personnel management officials for making suitability determinations, by representatives of other Federal agencies with which the individual is seeking employment, and by Federal agencies conducting official inquiries to the extent that the information is relevant and necessary to the requesting agency's inquiry, and by Departmental officials, to the extent necessary, to identify the individual to sources from whom information is requested for any of the foregoing purposes to inform the source of the nature and purpose of the request and to indicate the type of information requested. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to ``consumer reporting agencies'' (collecting on behalf of the United States Govt.) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Completed forms and typed pages in individual folders in a manual filing system, and on a manual system control cards.
Retrievability: By name.
Safeguards: Stored in locked room with proprietary lock or in approved security safe. Access limited to authorized staff members.
Retention and disposal: Retained in accordance with General Records Schedule 18. Authorized destruction done by secure means used for classified materials.
System manager(s) and address: Principal, TASC Security Operations, SVC-150, Department of Transportation, 400 7th Street, SW., Washington, DC 20590.
Notification procedure: Same as System manager.
Record access procedures: Same as System manager. However, information compiled solely for the purpose of determining suitability, eligibility, or qualification for Federal civilian employment or access to classified information may be exempted from the access provisions pursuant to 5 U.S.C. 552a(k)(5).
Contesting record procedures: Same as ``System manager.''
Record source categories: Investigative sources contacted in personnel security investigations, National Agency Check and Written Inquiry and similar investigations; investigative reports reviewed at other Government agencies; personal history statements, employment applications and other data provided by the individual and/or other agencies.
Exemptions claimed for the system: Information compiled solely for the purpose of determining suitability, eligibility, or qualification for federal civilian employment or access to classified information may be exempted from the access provisions pursuant to 5 U.S.C. 552a(k)(1) and/or (5).
DOT/OST 037
System name: Records relating to Applications for Senate Confirmation of Proposed Executive Appointments to the Department of Transportation.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, DOT, Office of the Secretary, OST, Office of the Assistant General Counsel for Environmental, Civil Rights and General Law, 400 7th Street, SW., Room 10102, Washington, DC 20590.
Categories of individuals covered by the system: Individuals nominated for top executive positions of the Department of Transportation.
Categories of records in the system: Financial data and biographical data.
Authority for maintenance of the system: 5 U.S.C. App. 101, Executive Order 12731, and regulations of the Office of Government Ethics.
Purpose(s): Data submitted to the General Counsel as reviewing official by subject individual for use by the Senate Commerce Committee to determine if there would be a conflict of interest, or the appearance of a conflict of interest, in subject's appointment to the Department of Transportation.
Disclosure to consumer reporting agencies: None.
Routine uses of records maintained in the system, including categories of uses and the purposes of such uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Legal sized documents located in locked safe.
Retrievability: Individual names filed alphabetically.
Safeguards: Physical security consists of filing records in safe; data released to Senate Commerce Committee and authorized officials only of the Department.
Retention and disposal: Records are retained for 6 years then destroyed.
System manager(s) and address: Mailing Address: Deputy General Counsel, C-2, United States Department of Transportation, and Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10428.
Notification procedure: Inquiries may be addressed to the Deputy General Counsel at the address above, either in person or in writing. If written the individual must provide a notarized signature.
Record access procedures: Access to records requires the individual to contact in person or write the Deputy General Counsel.
Contesting record procedures: Contest of a record is also through the Deputy General Counsel.
Record source categories: Subject individual provides Documents.
Exemptions claimed for the system: None.
DOT/OST 041
System name: Correspondence Control Mail, CCM.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, Office of the Secretary, OST, Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.
Categories of individuals covered by the system: Individuals who write, or are referred in writing by a second party, to the Secretary, Deputy Secretary, Deputy Under Secretary, and their immediate offices. Individuals who are the subject of an action requiring approval or action by one of the forenamed, such as appeal actions, training, awards, foreign travel, promotions, selections, grievances, and discipline.
Categories of records in the system: Correspondence submitted by, or on behalf of, an individual, including resumes, letters of reference, etc. Responses to such correspondence. Staff recommendations on actions requiring approval or action by one of the forenamed.
Authority for maintenance of the system: 49 CFR 1.23(j).
Purpose(s): The purpose of the system is to provide history of correspondence addressed to and signed by the Secretary and Deputy Secretary of Transportation.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Referral to the appropriate action office within or outside the Department for preparation of a response. Referral to the appropriate agency for actions involving matters of law or regulation beyond the responsibility of the Department, such as the Civil Service Commission for employee appeals, the Department of Justice in matters of law enforcement, etc. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Computer disc and--selectively--on microfilm for all records since 1/1/74. In hard copy for all records prior to 1/1/74.
Retrievability: Indexed by name of correspondent, referring individual, and subject category (e.g., “employment'' for applicants) from 1/1/74 on. Indexed by name of correspondent prior to 1/1/74.
Safeguards: Computer microfilm records, and remote reader terminals, which permit random access to the system records, are locked after office hours. During office hours computer is accessible only through terminals operated by, and under the surveillance of, authorized employees of the Executive Secretary.
Retention and disposal: Hard-copy records for 1967-1969 and duplicate microfilms for 1974-1989 are in the custody of National Archives and Records Administration, NARA. Microfilm Records from 1990 and following are retained in the Departmental headquarters building. Records are retired to NARA on a space-needed basis.
System manager(s) and address: Department of Transportation, DOT, Office of the Secretary, OST, Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.
Notification procedure: Inquiries should be directed to the System Manager. Helpful information, in addition to the individual's name, includes date(s), subject matter, and addressee(s) of the incoming correspondence, and date(s) and author(s) of the response(s).
Record access procedures: Contact System Manager for information on procedures for gaining access to records.
Contesting record procedures: Contact System Manager for information on procedures for contesting records. Appeals should be directed to the Secretary of Transportation, if request for Modification or deletion is denied.
Record source categories: Correspondence from individual, his representative or sponsor. Responses to incoming correspondence. Related material provided for background as appropriate.
Exemptions claimed for the system: None.
DOT/OST 045
System name: Unsolicited Contract or Research and Development Proposals Embodying Claims of Proprietary Rights.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.
Categories of individuals covered by the system: Individuals who believe they have original and innovative ideas in the field of transportation.
Categories of records in the system: Copies of descriptions of proposed innovations or inventions and methods of carrying out the proposal. Evaluations by Patent Counsel of the adequacy and propriety of restrictive markings on the proposals and correspondence of the Patent Counsel pertaining thereto.
Authority for maintenance of the system: 49 U.S.C. 322.
Purpose(s): Used as a record of Patent Counsel's action in individual unsolicited proposal cases.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders stored in file cabinets (Conserv-a-File).
Retrievability: Indexed individually by name and subject in alphabetical sequence.
Safeguards: Records are disclosed only in accordance with the terms of restrictive markings agreed upon between submitter and DOT.
Retention and disposal: Transfer to storage when three years old; Destroy after six years.
System manager(s) and address: Mailing Address: Patent Counsel, C-15, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
Notification procedure: Apply to “System manager.''
Record access procedures: Apply to “System manager.''
Contesting record procedures: Same as ”Record access procedure.''
Record source categories: Forwarded by individual or by the DOT office to whom unsolicited proposal was addressed.
Exemptions claimed for the system: None.
DOT/OST 046
System name: Visit Control Records System.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, Transportation Administrative Service Center (TASC), Security Operations, SVC-150, 400 7th Street, SW., Room 10401, Washington, DC 20590.
Categories of individuals covered by the system: DOT employees, Industrial Security contractor employees, non-employee visitors to DOT facilities during security hours.
Categories of records in the system: Record of clearance certification (level, date granted and basis) on employees to visit facilities or attend meetings involving classified information. Record of security clearance data for visitors to DOT facility from other agencies and from contractors. Record of individuals other than employees who are authorized access to DOT facilities during security hours.
Authority for maintenance of the system: 5 U.S.C. 301; 49 U.S.C. 322.
Purpose(s): Maintain a record of clearances for individuals attending classified meetings.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Confirming to the proper authorities the security clearance for individuals requiring access to classified information; identifying individuals authorized to be present in DOT facilities. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Stored in an alarm-secured area in a locked Lek-Triever file.
Retrievability: By name.
Safeguards: Stored in locked room with proprietary lock, available only to authorized staff members.
Retention and disposal: Maintained until expiration of visit, then destroyed.
System manager(s) and address: Principal, TASC Security Operations, SVC-150, Department of Transportation, 400 7th Street, SW., Washington, DC 20590.
Notification procedure: Same as “System manager.''
Record access procedures: Same as “System manager.''
Contesting record procedures: Same as “System manager.''
Record source categories: Security clearance information furnished by personnel security officers. Visit data furnished by individual.
Exemptions claimed for the system: None.
DOT/OST 056
System name: Garnishment Files.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, Office of the Assistant General Counsel for Environmental, Civil Rights and General Law, 400 7th Street, SW., Room 10102, Washington, DC 20590 and Office of the Chief Counsel of employing DOT agency.
Categories of individuals covered by the system: Employees of the, DOT, including members of the Coast Guard, whose pay is sought to be attached under section 459 of the Social Security Act, 42 U.S.C. 659, for alimony or child support, or under 5 U.S.C. 5520a, for commercial debt.
Categories of records in the system: Correspondence and court orders, and copies thereof, concerning attachment of employees' pay.
Authority for maintenance of the system: 42 U.S.C. 659; 5 U.S.C. 5520a.
Purpose(s): Used as record of garnishments and Garnishment Attorney's action thereon.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders stored in the Garnishment Attorney's office.
Retrievability: Indexed individually by name in alphabetical order.
Safeguards: Records are disclosed only to individuals with established legal interest or legal “need to know.''
Retention and disposal: Retained for as long as the attachment of pay continues and thereafter as needed for precedential value.
System manager(s) and address: Mailing Address: Garnishment Attorney, C-10, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10102.
Notification procedure: Apply to ``System manager.''
Record access procedures: Apply to ``System manager.''
Contesting record procedures: Apply to ``System manager.''
Record source categories: Data are obtained from state courts and agencies, private attorneys, custodians of children of DOT employees, and federal pay records.
Exemptions claimed for the system: None.
DOT/OST 057
System name: Honors Attorney Recruitment Files, DOT/OST.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, 400 7th Street, SW., Room 10428, Washington, DC 20590.
Categories of individuals covered by the system: Third-year law students and recent law school graduates.
Categories of records in the system: Resumes, transcripts, copies of Personnel Form 171. Authority for maintenance of the system: 49 U.S.C. 323.
Purpose(s): Used by General Counsel, Chief Counsels, and their staffs in filling job vacancies for attorneys.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders in file cabinets.
Retrievability: Indexed individually by name in alphabetical order.
Safeguards: Records are disclosed only to individuals who have legal interests in the records or a legal need-to-know.
Retention and disposal: Retained at system location for 5 years, then destroyed.
System manager(s) and address: Mailing Address: Special Assistant to the General Counsel, C-4, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 10428.
Notification procedure: Contact the ``System manager.''
Record access procedures: Contact the ``System manager.''
Contesting record procedures: Same as ``Record access procedure.''
Record source categories: Law students, recent law school graduates, General Counsel, Chief Counsels and their staffs.
Exemptions claimed for the system: None.
DOT/OST 059
System name: Files of the Board for Correction of Military Records, BCMR, for the Coast Guard.
Security classification: Unclassified, sensitive.
System location: Department of Transportation, DOT, Office of the Secretary, OST, Office of the General Counsel, Board for Correction of Military Records, 400 7th Street, SW., Room 4100, Washington, DC 20590.
Categories of individuals covered by the system: Individuals who have filed applications for relief before the Board.
Categories of records in the system: Applications and related documents, Board decisions, and official military records of applicants.
Authority for maintenance of the system: 10 U.S.C. 1552.
Purpose(s): Used by the Chairman, the Board, the Executive Secretary, and Staff in determining whether to grant relief to applicants.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Used by the Coast Guard in presenting its views to the Board concerning pending cases. Also used by applicant and his representative. Used by the General Counsel and his/her staff in determining whether to approve decisions of the Board. See Prefatory Statement of General Routine Uses.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders stored in file cabinets.
Retrievability: Indexed individually by name in one of two alphabetical sequences representing pending and closed cases. Also indexed by docket number. Pending cases filed by docket number; closed cases filed alphabetically.
Safeguards: Records are disclosed only to the applicant, his representative, interested members of Congress, and the Coast Guard.
Retention and disposal: Transfer of official military record of individual separated from service to Federal Records Center when case closed; transfer of official military record of Active or Reserve member to Coast Guard Headquarters when case closed; retention of application file in all cases.
System manager(s) and address: Mailing Address: Executive Secretary, Board for the Correction of Military Records, C-60, United States Department of Transportation, Washington, DC 20590. Office Location: 400 7th Street, SW., Room 4100.
Notification procedure: Apply to ``System manager.''
Record access procedures: Apply to ``System manager.''
Contesting record procedures: Same as ``Record access procedure.''
Record source categories: United States Coast Guard, Veterans Administration, individual applicants.
Exemptions claimed for the system: None.
DOT/OST 100
System name: Investigative Record System.
Security classification: Unclassified--sensitive.
System location: Office of Inspector General, DOT/OST, 400 Seventh Street, SW., Washington, DC 20590. OIG Regional Offices in Baltimore, MD; Atlanta, GA; Chicago, IL; Fort Worth, TX; San Francisco, CA; and New York, NY; and Federal Records Center (FRC), Washington, DC.
Categories of individuals covered by the system: Present and former DOT employees, DOT contractors and employees as well as grantees, sub-grantees, contractors, subcontractors and their employees and recipients of DOT monies, and other individuals or incidents subject to investigation within the purview of the Inspector General Act.
Categories of records in the system: Results of investigations and inquiries conducted by Inspector General, OST; reports of investigations conducted by other departmental, Federal, state, and local investigative agencies which relate to the mission and function of the Inspector General; reports and indices relating to “hotline'' complaints; and investigative case index card files.
Authority for maintenance of the system: Inspector General Act of 1978, 5 U.S.C. App.
Purpose(s): Document the administration of investigations and inquiries conducted under of the Inspector General Act of 1978.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: The information contained in the Investigative Records System is collected and maintained in the administration of the Inspector General Act of 1978 (Pub. L. 95-452) to investigate, prevent, and detect fraud and abuse in departmental programs and operations. Material gathered is used for prosecutive, civil, or administrative actions. These records may be disseminated, depending on jurisdiction to: DOT Officials in the administration of their responsibilities; other Federal, State, local, or foreign agencies or administrations, having interest or jurisdiction in the matter. See also Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Paper records in case folders in manual filing system and on index cards.
Retrievability: By name or incident title.
Safeguards: Investigative files and case index files are maintained in several spaces with appropriate access controls. Access to investigative files is restricted to authorized personnel on a “need to know” basis.
Retention and disposal: Investigative material is destroyed by secure means used for classified materials. Central OIG investigative files are maintained in OIG Headquarters, from where the files are transferred to the FRC Washington, DC, at prescribed intervals and destroyed in accordance with the following schedule: Lead Cases. Case files and temporary contents are destroyed 180 days after transmittal of the investigative report and permanent case documents to the case control office. Official Case Folders. Official Investigative Case Folders are maintained for a period of 2 years in OIG Headquarters upon completion of legal or administrative action and transferred to the FRC Washington, DC, where they are held and destroyed 10 years from the date of receipt by FRC Washington, DC. Investigative and Hotline Indices. Destroyed 20 years after date of creation. OIG Hotline Files. Transferred to FRC Washington, DC, 2 years after completion of legal or administrative action. Destroyed 10 years from date of receipt by FRC Washington, DC. General Investigative and Hotline Files. Retained in OIG Headquarters and Field Offices. Destroyed when 5 years old.
System manager(s) and address: Assistant Inspector General for Investigations, JI-1, Office of Inspector General, Department of Transportation, 400 Seventh Street, SW., Room 9210, Washington, DC 20590.
Notification procedure: Same as “System manager.''
Record access procedures: Same as ``System manager.''
Contesting record procedures: Same as ``System manager.''
Record source categories: These records contain information obtained from interviews, review of records and other authorized investigative techniques. Exemptions claimed for the system: Investigative data compiled for law enforcement purposes may be exempt from the access provisions pursuant to 5 U.S.C. 552a (j)(2), (k)(1), or (k)(2).
DOT/OST 101
System name: Transportation Inspector General Reporting System, TIGR.
Security classification: Unclassified, sensitive.
System location: Office of Inspector General, DOT/OST, 400 Seventh Street, SW., Washington, DC 20590
Categories of individuals covered by the system: All active employees of the OIG, with history data on previous employees maintained for 2 years. Present and former DOT employees, DOT contractors and employees as well as grantees, subgrantees, contractors, subcontractors and their employees and recipients of DOT monies, and other individuals or incidents subject to investigation within the purview of the Inspector General Act.
Categories of records in the system: Individual's current position and employment status, assignments, travel, experience, training, with the following personal data: Name, social security account number, date of birth, service computation date, career status, address, assigned station, job series, education, grade, minority status, and personnel transaction date. Investigative information consists of investigation targets' name and social security account number, organization name, type of investigation, offense data, source of referral data and action taken.
Authority for maintenance of the system: Inspector General Act of 1978, 5 U.S.C. App.
Purpose(s): The purpose of the system is to provide individuals with a need to know with specific information related to (1) time and attendance of employees; (2) workload status reports; (3) security clearance alerts; (4) travel information, etc.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: (1) Security clearance notification alerts may be provided to an examined activity in advance of visits by OIG personnel if information to be examined requires a secret clearance or above; (2) time and attendance reports will be used to track temporary duty travel frequency and duration, to categorize indirect time for periodic reports, and to accrue staff hour data on assigned projects; (3) planned annual leave reporting will be used by various managers for workload planning and travel scheduling; (4) assignments information and workload status information will be used by managers to control audits and investigations, and to maximize effectiveness of staff resources; (5) miscellaneous personnel information will be used by staff managers to determine training needs, promotional eligibility, education and background, and professional organization participation; (6) information will be used to produce resource management reports; (7) travel information will be used by managers to control temporary duty travel, travel costs and issuances of travel orders; and (8) investigative information is collected and maintained in the administration of the Inspector General Act of 1978 (Pub. L. 95-452) to investigate, prevent, and detect fraud and abuse in departmental programs and operations. Material gathered is used for investigative case management. See also Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Active reports on magnetic disk, with backup active records and inactive records maintained on magnetic tape.
Retrievability: Records will be retrievable through employee social security number, by name, or incident title, with selected records having certain secondary keys consisting of certain other data elements, listed in the “Categories of Records in the System.''
Safeguards: (1) Records will be maintained in a private library not accessible by any unauthorized user; (2) authorized user identification codes will be tied to multiple password system to afford additional protection; (3) any attempt to bypass the password protection system will result in “Log-Off'' from the system or denial of access to data if access to system is authorized; (4) physical access to system documentation, hardcopy printouts, personal data files, and terminals will be restricted to authorized personnel by maintaining a secure environment in the headquarters office; (5) access to data will be restricted to those who require it in the performance of their official duties and the individual who is the subject of the record (or authorized representative); and (6) tape files will be maintained in an environmentally secure vault area when not in use.
Retention and disposal: Records will be maintained for 2 years after they become inactive. All inactive records will be maintained on magnetic tape within the computer center and will be afforded the same safeguards as active records. Machine-resident records will be destroyed at the end of the 2-year period. Hard copy records will be retained until the records are replaced or become obsolete.
System manager(s) and address: Director of Information Resource Management, JM-10, Office of Inspector General, Department of Transportation, 400 7th Street, SW., Room 7117, Washington, DC 20590.
Notification procedure: Same as “System manager.''
Record access procedures: Same as “System manager.''
Contesting record procedures: Same as “System manager.''
Record source categories: (1) Official personnel folder; (2) other personnel documents; (3) activity supervisors; (4) individual applications and forms; and (5) information obtained from interviews, review of records and other authorized investigative techniques.
Exemptions claimed for the system: Investigative data compiled for law enforcement purposes may be exempt from the access provisions pursuant to 5 U.S.C. 552a(j)(2), (k)(l), or (k)(2).