SORN 65 FR 19523 - April 11, 2000

Tuesday,
April 11, 2000

Part III

Department of
Transportation
Office of the Secretary
Privacy Act of 1974: Systems of Records;
Notice

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices

DEPARTMENT OF TRANSPORTATION
Office of the Secretary
Privacy Act of 1974: Systems of
Records
AGENCY:

Operating Administrations,

DOT.
ACTION: Notice to amend and delete
systems of records.
SUMMARY: The United States Department
of Transportation is publishing its
Privacy Act System of Records notices
subject to the Privacy Act of 1974 (5
USC 552a) in their entirety. This notice
incorporates a Purpose statement and
makes any other minor changes or
deletions to existing notices.
EFFECTIVE DATE: April 11, 2000.
ADDRESSES: Send comments to the
Privacy Act Officer, United States
Department of Transportation, 400 7th
St., SW., Washington DC 20590.
FOR FURTHER INFORMATION CONTACT:
Vanester M. Williams at (202) 366–1771.
SUPPLEMENTARY INFORMATION: These
minor changes are not within the
purview of subsection (r) of the Privacy
Act of 1974, as amended, which
requires the submission of a new or
altered systems report. In addition,
several departmental systems of records
are being deleted as they are either
covered by another system of record or
are no longer in use.

Table of Contents
Appendix Prefatory Statement of General
Routine Uses
DOT/ALL 1—DOT Grievance Records Files.
DOT/ALL 5 Employee Counseling Services
Program Records.
DOT/ALL 6 Workers’ Compensation
Information System.
DOT/ALL 7 Departmental Accounting and
Financial Information System, DAFIS.
DOT/ALL 8 Employee Transportation
Facilitation.
DOT/ALL 9 Identification Media Record
System.
DOT/ALL 10 Debt Collection File.
DOT/ALL 11 Integrated Personnel and
Payroll System, IPPS.
DOT/ALL 12 DOT Mentoring Program
Records System.
DOT/CG 501 Auxiliary Management
Information System, AUXMIS.
DOT/CG 503 Motorboat Registration.
DOT/CG 505 Recreational Boating Law
Enforcement Case Files.
DOT/CG 507 Coast Guard Supplement to
the Manual of Courts Martial
Investigations.
DOT/CG 508 Claims and Litigation.
DOT/CG 509 Non-Judicial Punishment
Report.
DOT/CG 510 Records of Trial: Special,
General and Summary Courts-Martial.
DOT/CG 511 Legal Assistance Case File
System.

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DOT/CG 526 Adjudication and Settlement
of Claims System.
DOT/CG 528 Centralized Reserve Pay and
Retirement System.
DOT/CG 533 Retired Pay and Personnel
System.
DOT/CG 534 Travel and Transportation of
Household Effects.
DOT/CG 535 Coast Guard Exchange
System, CGES, and Moral, Welfare and
Recreation, MWR, Program.
DOT/CG 536 Contract and Real Property
File System.
DOT/CG 537 FHA Mortgage Insurance for
Servicemen.
DOT/CG 571 Disability Separation System.
DOT/CG 572 USCG Military Personnel
Health Record System.
DOT/CG 573 United States Public Health
Services, PHS, Commissioned Officer
Corps Staffing and Recruitment Files.
DOT/CG 576 USCG Non-Federal Invoice
Processing System, NIPS.
DOT/CG 577 USCG Federal Medical Care
Recovery Act, FMCRA, Record System.
DOT/CG 586 Chemical Transportation
Industry Advisory Committee.
DOT/CG 588 Marine Safety Information
System, MSIS.
DOT/CG 589 United States Merchant
Seamen’s Records.
DOT/CG 590 Vessel Identification System,
VIS.
DOT/CG 591 Merchant Vessel
Documentation System (Manual and
Automated).
DOT/CG 592 Registered/Applicant Pilot
Eligibility Folder.
DOT/CG 611 Investigative Case System.
DOT/CG 612 Port Security Card System.
DOT/CG 622 Military Training and
Education Records.
DOT/CG 623 Military Pay and Personnel
System.
DOT/CG 624 Personnel Management
Information System, PMIS.
DOT/CG 625 Officer Selection and
Appointment System.
DOT/CG 626 Official Officer Service
Records.
DOT/CG 627 Enlisted Recruiting Selection
Record System.
DOT/CG 628 Officer, Enlisted, and
Recruiter Selection Test File.
DOT/CG 629 Enlisted Personnel Record
System.
DOT/CG 630 Coast Guard Family Housing.
DOT/CG 631 Family Advocacy Case Record
System.
DOT/CG 632 Uniformed Services
Identification and Privilege Card Record
System.
DOT/CG 633 Coast Guard Civilian
Personnel Security Program.
DOT/CG 634 Child Care Program Record
System.
DOT/CG 636 Personal Affairs Record
System Coast Guard Military Personnel.
DOT/CG 637 Appointment of Trustee or
Guardian for Mentally Incompetent
Personnel.
DOT/CG 638 USCG Alcohol Abuse
Prevention Program Record System.
DOT/CG 639 Request for Remission of
Indebtedness.
DOT/CG 640 Outside Employment of

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Active Duty Coast Guard Personnel.
DOT/CG 641 Coast Guard Special Needs
Program.
DOT/CG 642 Joint Maritime Information
Element, JMIE, Support System, JSS.
DOT/CG 671 Biographical Statement.
DOT/CG 676 Official Coast Guard Reserve
Service Record.
DOT/CG 677 Coast Guard Reserve
Personnel Mobilization System.
DOT/CG 678 Reserve Personnel
Management Information System
(Automated).
DOT/FAA 801 Aircraft Registration System.
DOT/FAA 807 Police Warrant File and
Central Files.
DOT/FAA 811 Employee Health Record
System.
DOT/FAA 813 Civil Aviation Security
System.
DOT/FAA 815 Investigative Record System.
DOT/FAA 816 Tort Claims and Personal
Property Claims Record System.
DOT/FAA 821 Litigation and Claims Files
with Docket Sheet and Card Catalogue
Index for Cross Reference.
DOT/FAA 822 Aviation Medical Examiner
System.
DOT/FAA 825 Petitions for Rulemaking
Public Dockets.
DOT/FAA 826 Petitions for Exemption
(Other than Medical Exemption) Public
Dockets.
DOT/FAA 827 Environmental Litigation
Files.
DOT/FAA 828 Physiological Training
System.
DOT/FAA 830 Representatives of the
Administrator.
DOT/FAA 832 Pilot, Crewmember and
Aircraft Rental Flight Record System.
DOT/FAA 833 Housing Management
Monthly Report.
DOT/FAA 837 Photographs and
Biographical Information.
DOT/FAA 845 Correspondence Control and
Information System.
DOT/FAA 847 General Air Transportation
Records on Individuals.
DOT/FAA 851 Administration and
Compliance Tracking in an Integrated
Office Network.
DOT/FHWA 204 FHWA Motor Carrier
Safety Proposed Civil and Criminal
Enforcement Cases.
DOT/FHWA 213 Driver Waiver File.
DOT/FHWA 215 Travel Advance File.
DOT/FHWA 216 Travel Voucher Change
of Duty Station.
DOT/FHWA 217 Accounts Receivable.
DOT/FRA 106 Occupational Safety and
Health Reporting System.
DOT/FRA 130 Office of Chief Counsel
Individual Enforcement Case System.
DOT/FTA 177 FTA-Sponsored Reports
Author File.
DOT/FTA 194 Litigation and Claims Files.
DOT/MA 001 Attendance, Leave and
Payroll Records of Employees and
Certain Other Persons.
DOT/MA 002 Accounts Receivable.
DOT/MA 003 Freedom of Information and
Privacy Request Records.
DOT/MA 004 Visitor Logs and Permits for
Facilities Under Department Control.
DOT/MA 005 Travel Records (Domestic and

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices
Foreign) of Employees and Certain Other
Persons.
DOT/MA 006 Executive Correspondence
Files.
DOT/MA 007 Litigation, Claims, and
Administrative Proceeding Records.
DOT/MA 008 Property Accountability
Files.
DOT/MA 009 Records of Cash Receipts.
DOT/MA 010 Employees Personnel Files
Not Covered by Notices of Other
Agencies.
DOT/MA 011 Biographical Files.
DOT/MA 012 Applications to United States
Merchant Marine Academy, USMMA.
DOT/MA 013 Cadet Files, State Maritime
Academies.
DOT/MA 014 Citizenship Statements and
Affidavits.
DOT/MA 015 General Agent’s Protection
and Indemnity and Second Seaman’s
Insurance; WSA and NSA.
DOT/MA 016 Marine Training School
Registrants.
DOT/MA 017 Waivers of Liability to Board
Reserve Fleet Vessels and Other Craft
Located at United States Merchant
Marine Academy.
DOT/MA 018 National Defense Executive
Reserve.
DOT/MA 020 Seamen’s Awards for Service,
Valor, etc.
DOT/MA 021 Seaman’s Employment
Analysis Records.
DOT/MA 022 Seaman’s Unclaimed Wages
(Vietnam Conflict).
DOT/MA 024 USMMA Non-Appropriated
Fund Employees.
DOT/MA 025 USMMA Graduates.
DOT/MA 026 USMMA Midshipmen
Deposit Account Records.
DOT/MA 027 USMMA Midshipman Grade
Transcripts.
DOT/MA 028 USMMA Midshipman
Medical Files.
DOT/MA 029 USMMA Midshipman
Personnel Records.
DOT/NHTSA 401 Docket System.
DOT/NHTSA 402 Highway Safety
Literature Personal Author File.
DOT/NHTSA 409 Federal Motor Vehicle
Safety Standards, FMVSS, Compliance.
DOT/NHTSA 411 General Public
Correspondence System.
DOT/NHTSA 413 Odometer Fraud Data
Files System.
DOT/NHTSA 415 Office of Defects
Investigation/Defects Information
Management System, ODI/DIMS.
DOT/NHTSA 417 National Driver Register,
NDR.
DOT/NHTSA 422 Temporary Exemption
Petitions.
DOT/NHTSA 431 Civil Penalty
Enforcement Files.
DOT/NHTSA 436 Contract Grievance
Records.
DOT/NHTSA 463 Motor Vehicle and Motor
Vehicle Equipment Import.
DOT/OST 003 Allegations of Infringement
of United States Patents.
DOT/OST 004 Board for Correction of
Military Records, BCMR.
DOT/OST 012 Files Relating to Personnel
Hearings.
DOT/OST 016 General Investigations

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Record System.
DOT/OST 019 Individual Personal Interests
in Intellectual Property.
DOT/OST 035 Personnel Security Record
System.
DOT/OST 037 Records of Confirmation
Proceeding Requirements for Proposed
Executive Appointments to the
Department of Transportation.
DOT/OST 041 Correspondence Control
Mail, CCM.
DOT/OST 045 Unsolicited Contract or
Research and Development Proposals
Embodying Claims of Proprietary Rights.
DOT/OST 046 Visit Control Records
System.
DOT/OST 056 Garnishment Files.
DOT/OST 057 Honors Attorney
Recruitment Files.
DOT/OST 059 Files of the Board for
Correction of Military Records, BCMR for
The Coast Guard.
DOT/OST 100 Investigative Record System.
DOT/OST 101 Inspector General Reporting
System, TIGR.
DOT/RSPA 02 National Defense Executive
Reserve, NDER, File.
DOT/RSPA 04 Transportation Research
Activities Information Service, TRAIS.
DOT/RSPA 05 Transportation Research
Information Service on line, TRIS-OnLine.
DOT/RSPA 06 Emergency Alerting
Schedules.
DOT/RSPA 08 Technical Pipeline Safety
Standards Committee.
DOT/RSPA 09 Hazardous Materials
Incident Telephonic Report System.
DOT/RSPA 10 Hazardous Materials
Incident Written Report System.
DOT/RSPA 11 Hazardous Materials
Information Requests System.
DOT/SLS 151 Claimants under Federal Tort
Claims Act.
DOT/SLS 152 Data Automation Program
Records.
DOT/TSC 700 Automated Management
Information System.
DOT/TSC 702 Legal Counsel Information
Files.
DOT/TSC 703 Occupational Safety & Health
Reporting System.
DOT/TSC 704 Stand-By Personnel
Information.
DOT/TSC 707 Automated Manpower
Distribution System.
DOT/TSC 712 Automated Payroll/
Personnel/Communications/Security
System.
DOT/TSC 714 Health Unit Employee
Medical Records.

Notice of Systems of Records
The identification of the operating
unit or units within the Department to
which the particular system of records
pertains appears as ‘DOT’ followed by a
designating abbreviation. The
abbreviations and their meanings are as
follows:
OST—Office of the Secretary of
Transportation.
CG—United States Coast Guard.
FAA—Federal Aviation Administration.
FHWA—Federal Highway Administration.

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FRA—Federal Railroad Administration.
MARAD—Maritime Administration.
NHTSA—National Highway Traffic Safety
Administration.
RSPA—Research and Special Programs
Administration.
SLS—Saint Lawrence Seaway Development
Corporation.
TSC—Transportation Systems Center.
FTA—Federal Transit Administration.

General Routine Uses Under the
Privacy Act of 1974
The following routine uses apply,
except where otherwise noted or where
obviously not appropriate, to each
system of records maintained by the
Department of Transportation, DOT.
1. In the event that a system of records
maintained by DOT to carry out its
functions indicates a violation or
potential violation of law, whether civil,
criminal or regulatory in nature, and
whether arising by general statute or
particular program pursuant thereto, the
relevant records in the system of records
may be referred, as a routine use, to the
appropriate agency, whether Federal,
State, local or foreign, charged with the
responsibility of investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, or rule, regulation, or order
issued pursuant thereto.
2. A record from this system of
records may be disclosed, as a routine
use, to a Federal, State, or local agency
maintaining civil, criminal, or other
relevant enforcement information or
other pertinent information, such as
current licenses, if necessary to obtain
information relevant to a DOT decision
concerning the hiring or retention of an
employee, the issuance of a security
clearance, the letting of a contract, or
the issuance of a license, grant or other
benefit.
3. A record from this system of
records may be disclosed, as a routine
use, to a federal agency, in response to
its request, in connection with the
hiring or retention of an employee, the
issuance of a security clearance, the
reporting of an investigation of an
employee, the letting of a contract, or
the issuance of a license, grant, or other
benefit by the requesting agency, to the
extent that the information is relevant
and necessary to the requesting agency’s
decision on the matter.
4a. Routine Use for Disclosure for Use
in Litigation. It shall be a routine use of
the records in this system of records to
disclose them to the Department of
Justice or other Federal agency
conducting litigation when
(a) DOT, or any agency thereof, or
(b) Any employee of DOT or any
agency thereof (including a member of

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the Coast Guard), in his/her official
capacity, or
(c) Any employee of DOT or any
agency thereof (including a member of
the Coast Guard), in his/her individual
capacity where the Department of
Justice has agreed to represent the
employee, or
(d) The United States or any agency
thereof, where DOT determines that
litigation is likely to affect the United
States, is a party to litigation or has an
interest in such litigation, and the use
of such records by the Department of
Justice or other Federal agency
conducting the litigation is deemed by
DOT to be relevant and necessary in the
litigation, provided, however, that in
each case, DOT determines that
disclosure of the records in the litigation
is a use of the information contained in
the records that is compatible with the
purpose for which the records were
collected.
4b. Routine Use for Agency Disclosure
in Other Proceedings. It shall be a
routine use of records in this system to
disclose them in proceedings before any
court or adjudicative or administrative
body before which DOT or any agency
thereof, appears, when
(a) DOT, or any agency thereof, or
(b) Any employee of DOT or any
agency thereof (including a member of
the Coast Guard) in his/her official
capacity, or
(c) Any employee of DOT or any
agency thereof (including a member of
the Coast Guard) in his/her individual
capacity where DOT has agreed to
represent the employee, or (d) The
United States or any agency thereof,
where DOT determines that the
proceeding is likely to affect the United
States, is a party to the proceeding or
has an interest in such proceeding, and
DOT determines that use of such
records is relevant and necessary in the
proceeding, provided, however, that in
each case, DOT determines that
disclosure of the records in the
proceeding is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected.
5. The information contained in this
system of records will be disclosed to
the Office of Management and Budget,
OMB in connection with the review of
private relief legislation as set forth in
OMB Circular No. A–19 at any stage of
the legislative coordination and
clearance process as set forth in that
Circular.
6. Disclosure may be made to a
Congressional office from the record of
an individual in response to an inquiry
from the Congressional office made at
the request of that individual. In such

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cases, however, the Congressional office
does not have greater rights to records
than the individual. Thus, the
disclosure may be withheld from
delivery to the individual where the file
contains investigative or actual
information or other materials which are
being used, or are expected to be used,
to support prosecution or fines against
the individual for violations of a statute,
or of regulations of the Department
based on statutory authority. No such
limitations apply to records requested
for Congressional oversight or legislative
purposes; release is authorized under 49
CFR 10.35(9).
7. One or more records from a system
of records may be disclosed routinely to
the National Archives and Records
Administration in records management
inspections being conducted under the
authority of 44 USC 2904 and 2906.
8. [Reserved]
9. DOT may make available to another
agency or instrumentality of any
government jurisdiction, including State
and local governments, listings of names
from any system of records in DOT for
use in law enforcement activities, either
civil or criminal, or to expose fraudulent
claims, regardless of the stated purpose
for the collection of the information in
the system of records. These
enforcement activities are generally
referred to as matching programs
because two lists of names are checked
for match using automated assistance.
This routine use is advisory in nature
and does not offer unrestricted access to
systems of records for such law
enforcement and related antifraud
activities. Each request will be
considered on the basis of its purpose,
merits, cost effectiveness and
alternatives using Instructions on
reporting computer matching programs
to the Office of Management and
Budget, OMB, Congress and the public,
published by the Director, OMB, dated
September 20, 1989.
10. It shall be a routine use of the
information in any DOT system of
records to provide to the Attorney
General of the United States, or his/her
designee, information indicating that a
person meets any of the
disqualifications for receipt, possession,
shipment, or transport of a firearm
under the Brady Handgun Violence
Prevention Act. In case of a dispute
concerning the validity of the
information provided by DOT to the
Attorney General, or his/her designee, it
shall be a routine use of the information
in any DOT system of records to make
any disclosures of such information to
the National Background Information
Check System, established by the Brady
Handgun Violence Prevention Act, as

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

DOT Grievance Records Files.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

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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,

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PO Box 14, Anchorage, AK 99513–7587;
Federal Aviation Administration,
Western Pacific Region, PO Box 92007,
World Postal Center, Los Angeles, CA
90009; Federal Aviation Administration,
Southern Region, PO Box 20636,
Atlanta, GA 30320; Federal Aviation
Administration, Great Lakes Region,
O’Hare Lake Office Center, 2300 East
Devon Avenue, Des Plaines, IL 60018;
Federal Aviation Administration, New
England Region; 12 New England
Executive Park, Burlington, MA 01803;
Federal Aviation Administration,
Central Region, 601 East 12th Street,
Kansas City, MO 64106; Federal
Aviation Administration, Eastern
Region, Fitzgerald Federal Building, JFK
International Airport, Jamaica, NY
11430; Federal Aviation Administration,
Southwest Region, 2601 Meacham
Blvd., Fort Worth, TX 76137–4298;
Federal Aviation Administration,
Northwest Mountain Region, 1601 Lind
Avenue SW., Renton, WA 98055–4056;
Federal Aviation Administration,
William J. Hughes, Technical Center,
Atlantic City Intl Airport, Atlantic City,
NJ 08405; Federal Aviation
Administration; Mike Monroney
Aeronautical Center, PO Box 25082,
Oklahoma City, OK 73125.

Current and former DOT employees
who have submitted grievances with
their respective administrations under
OPM Letter 771–1, or grievances
pertaining to members of DOT
Collective Bargaining Units which were
submitted in accordance with
negotiated grievance procedures.

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.
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.’’

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.

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.

PURPOSE(S):

Determine validity of grievance.

DOT/ALL 5

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

PO 00000

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Jkt 190000

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.

Frm 00005

Fmt 4701

Sfmt 4703

SYSTEM NAME:

Employee Counseling Services
Program Records.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Employee Counseling Service, which
provides counseling to the employee.

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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.

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.
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:

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.

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

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.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SAFEGUARDS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PURPOSE(S):

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.

None.

VerDate 202000

19:33 Apr 10, 2000

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

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.

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.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/ALL 6
SYSTEM NAME:

Workers’ Compensation Information
System.
SECURITY CLASSIFICATION:

Sensitive, unclassified.
These records are maintained at the
Departmental Office of Human Resource
Management, Office of the Secretary, in

PO 00000

Frm 00006

Fmt 4701

The system consists of information
that is derived from DOT personnel and
payroll records, and from Federal
Employees’ Compensation claims
records maintained by the Department
of Labor/Office of Workers’
Compensation Programs, OWCP. OWCP
records include information regarding
claims filed by DOT employees,
members of the US Coast Guard
Auxiliary, and students at the US
Merchant Marine Academy.
5 U.S.C. Chapter 8101 et seq., 20 CFR
1.1 et seq., 5 U.S.C. 552a, and
Department of Labor and DOT
implementing regulations.

NOTIFICATION PROCEDURE:

Jkt 190000

CATEGORIES OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM LOCATION:
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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.

Sfmt 4703

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

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may also be integrated with other DOT
program-related personnel information
as required for the sound policy or fiscal
management of the program and the
agency’s mission, or in response to
legislative and/or administrative
initiatives or requirements. These
records may be used as a source of
information for the development of
policy guidance and/or training
programs, for program review and
evaluation purposes, and for the
provision of management information
on an as required or ad hoc basis. Users
include DOT human resource
management officials, safety and health
officials, supervisors, and managers.
These records are to be held in
confidence and no information shall be
disclosed except:
a. To the Department of Labor, OWCP,
OSHA, the DOT Office of Inspector
General, and/or OPM for review of
appropriate case and/or investigative
actions in collaboration with them.
b. Also, see the Prefatory Statement of
General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Not applicable.
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.

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.

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.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

The system is located in Department
of Transportation, 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, and
the Federal Railroad Administration,
FRA. These offices exercise systems and
operational control over applicable
records within the system. The system
software is centrally maintained by the
Federal Aviation Administration’s Mike
Monroney Aeronautical Center,
Oklahoma City, Oklahoma. Some
centralized reporting functions are
performed at Oklahoma City.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

The system will cover: All civilian
employees of the FAA, USCG, NHTSA,
FHWA, OST, RSPA, FRA, FTA, and
MARAD; and, the military employees of
USCG as their Operating
Administrations are implemented on
the system.

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.

RECORD ACCESS PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

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

Categories include payment records
for non-payroll related expenses,
payment records for payroll made offline, collection records for payroll
offsets, and labor cost records.

CONTESTING RECORD PROCEDURES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETENTION AND DISPOSAL:

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

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

SYSTEM MANAGER(S) AND ADDRESS:

RECORD SOURCE CATEGORIES:

Departmental Manager, Department of
Transportation Workers’ Compensation

Information contained in this system
is received from DOT records or OWCP

RETRIEVABILITY:

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

VerDate 202000

19:33 Apr 10, 2000

NOTIFICATION PROCEDURE:

Jkt 190000

PO 00000

Frm 00007

Fmt 4701

Sfmt 4703

5 U.S.C. 301.
PURPOSE(S):

The purpose for collecting the data in
the DAFIS System of Records is to
control and facilitate the accounting and
reporting of financial transactions for
DOT.

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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 offline paychecks, travel advances, travel
reimbursements, and other official
reimbursements; Facilitate the
distribution of labor charges for costing
purposes; Track outstanding travel
advances, receivables, and other nonpayroll amounts paid to employees, etc;
and, Clear advances that were made
through the system in the form of offline 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:

SYSTEM MANAGER(S) AND ADDRESS:

PURPOSE(S):

DAFIS Accounting Manager (B–30),
Office of the Secretary, Office of
Financial Management, 400 Seventh
Street SW., Washington, DC 20590.

Parking management and fare subsidy
management.

NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’

DISCLOSURES TO CONSUMER REPORTING
AGENCIES:

CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’

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)).

RECORD SOURCE CATEGORIES:

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

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM NAME:

STORAGE:

SECURITY CLASSIFICATION:

EXEMPTION CLAIMED FOR THE SYSTEM:

None.
DOT/ALL 8

Employee Transportation Facilitation.

Records are stored on magnetic tape,
magnetic disk, microforms, and in file
folders. Storage of file folders and
microforms is at the geographic location
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
social security number. Retrieval is
accomplished by use of
telecommunications.
Access to magnetic tape and disk
records is limited to authorized agency
personnel through password security.
Hardcopy 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
on site at the accounting office for a
period of three years. Certain
transportation documents are forwarded
to the General Service Administration
for audit during that period. After three
years, records are sent to GSA’s Records
Centers for storage. Records are
destroyed after ten years and three
months.

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.

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:

Jkt 190000

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

PO 00000

Frm 00008

Fmt 4701

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SAFEGUARDS:

19:33 Apr 10, 2000

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.

Inquiries should be directed to the
manager of the accounting Office
supporting the employee’s agency.
Agency accounting Managers will
contact the DAFIS System Managers
listed above if any centralized support
is required for responses.

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)).

VerDate 202000

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Sfmt 4703

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.

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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.

Lawrence Seaway Development
Corporation, Research and Special
Programs Administration, Bureau of
Transportation Statistics, Maritime
Administration, and Transportation
Administrative Service Center.

will be destroyed within one year of
termination of employment.
SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Applications, photographs, receipts
for DOT identification cards and official
credentials, temporary building passes,
security badges, and applications for
other identification needed for official
duties.

NOTIFICATION PROCEDURES:

Same as System manager.
RECORD ACCESS PROCEDURES:

Same as System manager.
CONTESTING RECORD PROCEDURES:

Same as System manager.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

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.

PURPOSE(S):

To provide a ready concentration of
employee personal data to facilitate
issuance, accountability, and recovery
of required identification media issued
to employees and contractors.

NOTIFICATION PROCEDURE:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Records are maintained for control
and accountability of DOT identification
cards, credentials, and security badges
issued to DOT employees, former
employees, and contractors for
identification purposes and admittance
to the DOT facilities or for other official
duties. See Preparatory Statement of
General Routine Uses.

SYSTEM LOCATION:

Department of Transportation, DOT.
a. TASC Security Operations, SVC–
150, 400 7th Street, SW., Washington,
DC 20590; (for OST and all DOT
Operating Administrations except those
below).
b. Commandant, G–CAS, United
States Coast Guard Headquarters, G–0,
Washington, DC 20591 and District and
Area Offices.
c. Federal Aviation Administration,
Office of Civil Aviation Security, 800
Independence Avenue, SW.,
Washington, DC 20591; and each FAA
Regional and Center Civil Aviation
Security Divisions/Staff.
d. Federal Highway Administration,
Operations and Services Divisions, 400
7th Street, SW., Washington, DC 20590,
and all FHWA Regional Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Present and former employees and
contractor employees in the Office of
the Secretary, United States Coast
Guard, Federal Aviation
Administration, Federal Highway
Administration, Federal Transit
Administration, Federal Railroad
Administration, National Highway
Traffic Safety Administration, St.

VerDate 202000

19:33 Apr 10, 2000

RECORD ACCESS PROCEDURES:

Same as Notification procedure.
CONTESTING RECORD PROCEDURES:

Same as Notification procedure.
Correspondence contesting records must
include the full name and social
security number of the individual
concerned and documentation justifying
the claim.
Individuals on whom the record is
maintained.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/ALL 10

STORAGE:

The storage is on computer disks,
magnetic tape, and paper forms in file
folders.

SYSTEM NAME:

Debt Collection File.
SECURITY CLASSIFICATION:

RETRIEVABILITY:

Retrieval from the system is by name,
social security number, date of birth, or
identification card number and can be
accessed by authorized individuals.
SAFEGUARDS:

Computers provide privacy and
access limitations by requiring a user
name and password match. Access to
decentralized segments are similarly
controlled. Only those personnel with a
need to have access to the system are
given user names and passwords. Data
are manually and/or electronically
stored in a locked room with limited
access.
RETENTION AND DISPOSAL:

Information including applications,
photographs and identification media,

PO 00000

Same as System Manager, except that
for USCG, notification should be given
to Commandant, G–TIS.

RECORDS SOURCE CATEGORIES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Jkt 190000

a. Principal, TASC Security
Operations, SVC–150, Department of
Transportation, 400 7th Street, SW.,
Washington, DC 20590 (address for OST
and all DOT operating administrations
except those below).
b. For USCG: Commandant, G–0,
United States Coast Guard, Washington,
DC 20593.
c. For FAA: Director, Civil Aviation
Security, Federal Aviation
Administration, and 800 Independence
Avenue, SW., Washington, DC 20591.
d. For FHWA: Chief, Operations and
Services Division, Federal Highway
Administration, 400 7th Street, SW.,
Washington, DC 20590.

Frm 00009

Fmt 4701

Sfmt 4703

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.

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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

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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

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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

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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,

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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 NonCompetitive 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 PlanConsolidated 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

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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,

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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.

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.

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:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

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

None.
DOT/ALL 12

PURPOSE(S):

RETRIEVABILITY:

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

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.

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

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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,

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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.

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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 USE 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.

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:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Individual registrants.

None.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

DOT/CG 501
SYSTEM NAME:

STORAGE:

Auxiliary Management Information
System, AUXMIS.

AUXMIS II master records contain
personal and activity information
concerning USCG Auxiliary members.
The approximately 40,000 records
presently in the system are stored in a
Progress Relation Database Management
System on DLT tapes using Net Backup
and are stored off-site.

SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

U.S. Coast Guard Operations System
Center, G–OPB, 600 Coast Guard Dr.,
Kearneysville, WV 25430.

RETRIEVABILITY:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

All present Coast Guard Auxiliarists.
All Auxiliarists disenrolled since 1996.

STORAGE:

CATEGORIES OF RECORDS IN THE SYSTEM:

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

Personal information (name, address,
birth date, Social Security Number,
SSN, phone number). Auxiliary
qualifications information (Instructor,
Examiner, Specialty). Auxiliary
activities information (patrols
conducted, classes taught). Information
on facilities—boats, radio stations or
aircraft—owned by Auxiliarists.

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

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national, district and program specific
mailings to auxiliary membership. An
annual summary of all member specific
information is mailed directly to
respective members. Used by: Chief,
Office of Auxiliary and staff; Coast
Guard Groups and commands; District
Directors of Auxiliary, DIRAUX and
staff; Various elected and appointed
office holders of the Auxiliary. See
Prefatory Statement of General Routine
Uses.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 632, 830, 831;
49 CFR 1.45, 1.46; COMDTINST
M16790.1E.
PURPOSE(S):

Primary management tool for the
Coast Guard Auxiliary program.

Cumulative unit and individual
activity summaries for use as a
management tool by Coast Guard
District, Area and Headquarters program
managers, Coast Guard field units, Coast
Guard District Directors of Auxiliary,
DIRAUX all Auxiliary units.
Identification of all Auxiliary members.
Alphabetical nationwide cross-reference
listing for use by headquarters and
district office staffs. Mailing labels for

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SAFEGUARDS:

The master files cannot be accessed
without the proper user identification
and password. Eight user access levels
have delimiters to restrict the domains
in which a user can view and/or change
member information.
RETENTION AND DISPOSAL:

Retention of weekly tape files is 180
days, then erased. Retention of disk files
is 1 week, and then updated. Retention
of the year-end tape file is permanent.
SYSTEM MANAGER(S) AND ADDRESS:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Jkt 190000

The current AUXMIS II master file
resides on a HP–755 hardware suite
with a Unix 10.2 operating system.
Information is retrieved by number and
name of the individual and can be
accessed by those DIRAUX and other
designated users with access to the
database through CGDN or modem
connection at anytime.

United States Coast Guard, Office of
Command and Control Architecture,
Commandant, G–OCC, U.S. Coast
Guard, 2100 2nd Street, SW.,
Washington, DC 20593–0001. U.S. Coast
Guard, Office of Auxiliary,
Commandant, G–OCX, U.S. Coast
Guard, 2100 Second Street SW.,
Washington, DC 20593–0001.
NOTIFICATION PROCEDURE:

Commandant, G–SII–2, United States
Coast Guard Headquarters, Office of
Information Management, 2100 2nd

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

Individual Auxiliary members can
view their AUXMIS II record through a
designated person with restricted
domain user access from their Flotilla or
Division. At any time, members of the
Auxiliary can request access to their
personal, hardcopy ‘‘member jacket’’ file
located at their respective DIRAUX
office.
CONTESTING RECORD PROCEDURES:

Record content can be contested at
any time and, if error is found, all
DIRAUX level users have the access to
correct individual records. Restricted
domain user access provides members
the means to correct their own address,
name and phone numbers.

CATEGORIES OF RECORDS IN THE SYSTEM:

Case files containing names of
violators, their addresses and social
security numbers, together with
descriptions of boats and notations of
the alleged violations of Federal boating
laws, and copies of correspondence
relating to the disposition of any penalty
involved.

STORAGE:

All records are maintained in file
cabinets.
RETRIEVABILITY:

By name/number.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

Only authorized office personnel have
access to subject files. All personnel
screened prior to allowing access.
Building secured and guarded after duty
hours.
RETENTION AND DISPOSAL:

SYSTEM MANAGER(S) AND ADDRESS:

All records pertaining to Auxiliary
members are derived from forms filled
out by the individuals involved on a
voluntary basis.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

NOTIFICATION PROCEDURE:

None.

Department of Transportation, United
States Coast Guard Headquarters,
Commandant, G–SII, 2100 2nd Street,
SW., Washington, DC 20593–0001.

DOT/CG 503
SYSTEM NAME:

Motorboat Registration.

RECORD ACCESS PROCEDURES:

SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Department of Transportation,
Commandant, G–OPB, United States
Coast Guard, CG, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

Department of Transportation, United
States Coast Guard Headquarters,
Commandant, G–SII–2, 2100 2nd Street,
SW., Washington, DC 20593–0001.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures’’

Boat owner registering for the
issuance of boat identification numbers
for boats recorded in the State of Alaska.
Boat owner name, address, and boat
information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM NAME:

Recreational Boating Law
Enforcement Case Files.

PURPOSE(S):

SYSTEM LOCATION:

Administer the Coast Guard’s boating
safety program.

Unclassified—sensitive.

ROUTINE USES OF RECORDS MAINTAINED THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

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Owners/operators of vessels found in
violation of Federal recreational boating
laws or regulations.

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Index cards, logbooks, and file
folders.

RETENTION AND DISPOSAL:

Department of Transportation, United
States Coast Guard,CG, Coast Guard
District Offices and Headquarters unit
offices for records of incidents in their
localities.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552(b)(12). Disclosures may be made
from this system to consumer reporting
agencies (collecting on behalf of the U.
S. Government) as defined in the Fair
Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

Information available only to
authorized personnel. Files maintained
in office in building that is secured
during non-working hours and has a
roving guard patrol.

None.

SECURITY CLASSIFICATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SAFEGUARDS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 632, 46 U.S.C.
2301; 49 CFR 145, 146

See Prefatory Statement of General
Routine Uses.

Name of individual in alphabetical
file, or by civil penalty case number.

Individual applicant.

DOT/CG 505

CATEGORIES OF RECORDS IN THE SYSTEM:

Determine enforcement action to be
taken by the Coast Guard.

RETRIEVABILITY:

RECORD SOURCE CATEGORIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

PURPOSE(S):

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Records are retained permanently.
Commandant, United States Coast
Guard, Office of Boating Safety, G–OPB,
Department of Transportation, United
States Coast Guard Headquarters, 2100
2nd Street, SW., Washington, DC
20593–0001.

RECORD SOURCE CATEGORIES:

(5 U.S.C. 301; 14 U.S.C. 89a, 93(a)&(c),
632; 16 U.S.C. 1431; 49 CFR 1.45, 1.46)

Sfmt 4703

Records in system maintained for
three years before disposal by
mutilation or burning. Records on
reported warnings are destroyed after 1
year (paper files).
SYSTEM MANAGER(S) AND ADDRESS:

Commandant, G–OPB, Chief, Office of
Boating Safety, Department of
Transportation, United States Coast
Guard Headquarters, 2100 2nd Street,
SW., Washington, DC 20593–0001.
NOTIFICATION PROCEDURE:

Department of Transportation,
Commandant,G–SII, United States Coast

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Guard Headquarters, 2100 2nd Street,
SW., Washington, DC 20593–0001.
RECORD ACCESS PROCEDURES:

Procedures may be obtained by
writing to or visiting the local Coast
Guard District or Unit where incident
occurred. Proof of identity will be
required prior to release of records. A
military identification card, driver’s
license or similar document is
considered suitable identification.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:

Reports of Coast Guard boarding
officers and marine safety investigations
as well as from reports by.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Portions of this system may be exempt
from disclosure under the provisions of
5 U.S.C. 552a (k)(2) which provide in
part, that investigatory material
complied for law enforcement purposes
may be withheld from disclosure to the
extent that the identity of the source of
the information would be revealed by
disclosing the investigatory record, and
the source has received an express
guarantee that his identity would be
held in confidence, or prior to December
31, 1974, if the source received an
implied promise that his identity would
be held in confidence.
DOT/CG 507

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DOT/CG 508

(5 U.S.C. 301; 14 U.S.C. 93(e), 632; 49
CFR 1.45, 1.46).

SYSTEM NAME:

PURPOSE(S):

SECURITY CLASSIFICATION:

Resolution of claims against the Coast
Guard as well as claims asserted by the
government.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES

Reports are transmitted to the
Veterans Administration to assist that
agency in determining entitlement to
benefits administered by it. See
Prefatory Statement of General Routine
Uses.

None.

STORAGE:

Military and civilian employees of the
Coast Guard and other individuals who
may be involved in any Coast Guard
investigation.
Investigations into injuries to Coast
Guard personnel, mishaps involving
vessels, aircraft and vehicles. Incidents
involving, explosions, for loss or
destruction of classified material.
Circumstances involving equipment
failures and property damage, loss or
destruction. Circumstances involving
violation of standards of conduct
personnel.

VerDate 202000

19:33 Apr 10, 2000

CATEGORIES OF RECORDS IN THE SYSTEM:

Name of person, vessel or other
facility involved in investigation.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SAFEGUARDS:

See Prefatory Statement of General
Routine Uses.

Authorized personnel are granted
access to these records in connection
with the performance of their official
duties.

Department of Transportation,
Commandant,G–L, U.S. Coast Guard,
Office of the Chief Counsel, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
NOTIFICATION PROCEDURE:

Department of Transportation,
Commandant, G–SII–2 United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

Persons in litigation with the Coast
Guard.

Determination of claims.

RETRIEVABILITY:

SYSTEMS MANAGER(S) AND ADDRESS:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

PURPOSE(S):

Storage cabinets.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

Records are maintained in division
files for three years and then forwarded
to Federal Records Depository.

Department of Transportation,
Commandant, G–L United States Coast,
CG, Office of the Chief Counsel, 2100
2nd Street, SW., Washington, DC
20593–0001.

Department of Transportation,
Commandant (G–L), United States Coast
Guard (CG), 2100 2nd Street, SW.,
Washington, DC 20593–0001.

(5 U.S.C. 301; 5 U.S.C. 3301; 14 U.S.C.
1.45, 33 U.S.C. 2712(e); 33 CFR 133.21;
49 CFR 1.45, 1.46; E. O. 12777;
COMDTINST M5890.9)

POLICY AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

SYSTEM LOCATION:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Coast Guard Supplement to the
Manual of Courts Martial Investigations.
Unclassified—sensitive.

Unclassified—sensitive.

SUITS AND CLAIMS FOR AND AGAINST THE COAST
GUARD.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM NAME:

SECURITY CLASSIFICATION:

Claims and Litigation.

Same as ‘‘Notification procedure’’.
CONTESTING RECORD PROCEDURES:

RECORD SOURCE CATEGORIES:

Coast Guard investigating officers,
military and civilian personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

PO 00000

Frm 00015

Fmt 4701

STORAGE:

File cabinets.
RETRIEVABILITY:

Two card index files, one alphabetic
and one numeric, maintained for cross
reference.
SAFEGUARDS:

Access is regularly limited to Coast
Guard and civilian employees of the
Claims and Litigation Division granted
in connection with official duties.
RETENTION AND DISPOSAL:

Maintained for five years and then
forwarded to the Federal Records
Center. Card index files retained
indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:

Same as ‘‘Notification procedure’’.

Jkt 190000

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Sfmt 4703

Commandant, G–L, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
NOTIFICATION PROCEDURE:

Department of Transportation,
Commandant, G-SII–2, United States

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices
SAFEGUARDS:

Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Records are made available to
authorized personnel. Records are
maintained in building with limited
access during non-working hours and
with roving security patrol.

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification Procedure’’.
CONTESTING RECORD PROCEDURES:

See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RETENTION AND DISPOSAL:

Same as ‘‘Notification Procedure’’.
RECORD SOURCE CATEGORIES:

Coast Guard military and civilian
personnel, members of the public, and
Coast Guard investigating officers.

Disposal procedures not as yet
established. Back-up material disposed
of after introduction into system.
SYSTEM MANAGER(S) AND ADDRESS:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

DOT/CG 509

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

SYSTEM NAME:

NOTIFICATION PROCEDURE:

SAFEGUARDS:

Department of Transportation,
Commandant, G–SII–2, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.

Maintained in file cabinets in
building with limited access during
non-working hours and with roving
security patrol.

RECORD ACCESS PROCEDURES:

Retained permanently. Maintained for
two years, reviewed by System Manager
and then transferred to Federal Records
Center.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Non-Judicial Punishment Report.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Department of Transportation,
Commandant, G–L, United States Coast
Guard, CG, 2100 2nd Street, SW.,
Washington, DC 20593–0001.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Coast Guard military personnel who
have been subject to non-judicial
punishment proceedings under Article
15, Uniform Code of Military Justice.

Maintained in file cabinets.
RETRIEVABILITY:

Alphabetically by name of individual.

RETENTION AND DISPOSAL:

Same as ‘‘Notification procedure’’.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure’’.

SYSTEM MANAGER(S) AND ADDRESS:

Department of Transportation,
Commandant, G–L, Office of the Chief
Counsel, United States Coast Guard
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

RECORD SOURCE CATEGORIES:

Individual service records and from
proceedings conducted.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

None.

NOTIFICATION PROCEDURE:

Records of Proceedings under Article
15, Uniform Code of Military Justice.

DOT/CG 510

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM NAME:

(5 U.S.C. 301, 10 U.S.C. 815; 14 U.S.C.
632; 49 CFR 1.45, 1.46.)

Records of trial: Special, General and
Summary Courts Martial.

PURPOSE(S):

SECURITY CLASSIFICATION:

Military justice administration.

Records provide statistical data
concerning the number of proceedings
held, units holding proceedings,
offenses committed, punishments
imposed, and background data of
individuals concerned. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Same as ‘‘Notification procedure’’.

SYSTEM LOCATION:

Department of Transportation,
Commandant, G–L, United States Coast
Guard, CG, 2100 2nd Street, SW.,
Washington, DC 20593–0001.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

STORAGE:

File cabinets.
RETRIEVABILITY:

20:52 Apr 10, 2000

Trial proceedings and subsequent
statutory reviews—Court of Military
Review, Court of Appeals for the Armed
Services, and Chief Counsel of the Coast
Guard.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

DOT/CG 511

None.

SYSTEM NAME:

Legal Assistance Case File System.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 10 U.S.C. 865; 14 U.S.C.
632; 49 CFR 1.45, 1.46; E.O. 11835
(January 27, 1975, paragraph 94b).

SECURITY CLASSIFICATION:

PURPOSE(S):

Department of Transportation,
Commandant, G–L, United States Coast
Guard, CG, 2100 2nd Street, SW.,

Documentation of Coast Guard courts
martial.

By name.

RECORD SOURCE CATEGORIES:

Any individual who is tried by court
martial in the Coast Guard.

None.

VerDate 202000

CONTESTING RECORD PROCEDURES:

Records of trial.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’.

Unclassified—sensitive.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Department of Transportation, United
States Coast Guard Headquarters,
Commandant, G–SII, 2100 2nd Street,
SW., Washington, DC 20593–0001.

Jkt 190000

PO 00000

Frm 00016

Fmt 4701

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Unclassified, sensitive.
SYSTEM LOCATION:

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Washington, DC 20593–0001. United
States Coast Guard District Legal Offices
and Legal Offices of Coast Guard Units.

Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001. District or
unit legal offices:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

NOTIFICATION PROCEDURE:

Coast Guard military members
seeking personal legal assistance.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information concerning the matters
handled by these officers for clients.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 10 U.S.C. 1044, 1054; 14
U.S.C. 632, 44 U.S.C. 3101; 49 CFR 1.45,
1.46

STORAGE:

Commandant, (G–SII–2, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

Office of Chief Counsel at Coast Guard
Headquarters or within the legal offices
in the various Coast Guard districts or
units, dependent on where legal
assistance was rendered.
CONTESTING RECORD PROCEDURES:

PURPOSE(S):

Same as ‘‘Record access procedures’’.

Provide legal assistance.

RECORD SOURCE CATEGORIES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

These records are also used to prepare
statistical reports concerning a legal
officer’s time utilization.
The Prefatory Statement of Routine
Uses applies to records in this system
only to the extent that their disclosure
would not constitute a violation of the
judicially recognized privilege attaching
to attorney-client communications and
of the ethical and professional
responsibilities of lawyers under the
American Bar Association’s Code of
Professional Responsibility.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

Client involved and as a result of any
subsequent investigation by the legal
officer on behalf of the client.
None.
DOT/CG 526
SYSTEM NAME:

Adjudication and Settlement of
Claims System.

Normally, written records kept in file
folders.
RETRIEVABILITY:

Unclassified—sensitive.

Kept in office space or filing cabinets,
which are normally locked during nonworking hours. Building patrolled by
roving security guards after duty hours.

After adjudication and settlement,
most submissions are retained for
precedent setting value, as required.
SYSTEM MANAGER(S) AND ADDRESS:

CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure’’.
RECORD SOURCE CATEGORIES:

CATEGORIES OF RECORDS IN THE SYSTEM:

Claims arising out of disputes
concerning amounts of pay received.

DOT/CG 528

Centralized Reserve Pay and
Retirement System.

Determine entitlement of claimants.

To use as precedent setting data in the
resolution of similar questions in the
future. Used by authorized Coast Guard
officials and officials of the IRS, GAO,
and the Civil Service Commission, as
required. See Prefatory Statement of
General Routine Uses.

SYSTEM MANAGER(S) AND ADDRESS:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

PO 00000

None.

SYSTEM NAME:

PURPOSE(S):

Jkt 190000

Individual, CG payroll offices, legal
staff, investigators, Director of Personnel
and Management, Comptroller General,
GAO, and congressional
correspondence.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Records retained as long as needed to
serve client or as long as deemed
necessary by the legal officer. Disposal
is by whatever means considered
appropriate by the legal officer,
depending on contents of the record
involved.

19:33 Apr 10, 2000

RETENTION AND DISPOSAL:

Same as ‘‘Notification procedure’’.

RETENTION AND DISPOSAL:

VerDate 202000

Access is limited to authorized
officials by screening of personnel.
Maintained in Government building
having roving security guards after duty
hours.

RECORD ACCESS PROCEDURES:

Commandant, G–WP, United States
Coast Guard, 2100 2nd Street, SW.,
Washington, DC 20593–0001. Coast
Guard Districts and Units.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Commandant, G–L, Office of the Chief
Counsel, United States Coast Guard

SAFEGUARDS:

SYSTEM LOCATION:

5 U.S.C. 301, 5 U.S.C. 5514; 14 U.S.C.
632, 461; 37 U.S.C. 1007; 49 CFR 1.45,
1.46.

SAFEGUARDS:

Claimant name.

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

SECURITY CLASSIFICATION:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Alphabetical indexes by name of
member.

RETRIEVABILITY:

NOTIFICATION PROCEDURE:

Active, Reserve, and Retired military
members; civilian employees.

STORAGE:

Records are stored manually in file
folders.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

United States Coast Guard, Human
Resources Service and Information
Center, 444 SE Quincy St., Topeka, KS
66683–3591. District Offices and other
Field Units.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Coast Guard Reservists.

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CATEGORIES OF RECORDS IN THE SYSTEM:

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

Street, SW., Washington, DC 20593–
0001.

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)).

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 10 U.S.C. 1331; 10
U.S.C. 12731; 14 U.S.C. 632; 49 CFR
1.45, 1.46

CONTESTING RECORD PROCEDURES:

PURPOSE(S):

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

Same as ‘‘Notification procedure’’.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD SOURCE CATEGORIES:

Prepare monthly payroll and all
associated listings.

STORAGE:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Preparation of budgets. Accounting.
Compute pay and points. Compilation
of data. Report earnings to state and city
taxing authorities. Used by authorized
Coast Guard, IRS, GAO, and other
Agency Officials as required. See
Prefatory Statement of General Routine
Uses; 3 through 5 do not apply.

DOT/CG 533

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

SYSTEM NAME:

RETRIEVABILITY:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures may be made from this
system to ‘‘Consumer reporting
agencies’’ (collecting on behalf of the
United States Government) as defined in
the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

STORAGE:

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

SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

SAFEGUARDS:

United States Coast Guard, CG,
Human Resources Service and
Information Center, 444 SE. Quincy St.,
Topeka, KS 66683–3591.
CATEGORIES OF INDIVIDUALS:

Annuitants. Lighthouse Keeper
Retirees. Honorary Retirees. USCG
Retirees.
CATEGORIES OF RECORDS IN THE SYSTEM:

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

Alphabetically by name of Reservist
and CG Unit Number.
SAFEGUARDS:

PURPOSE(S):

Make payments.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

Microfilm and records are retained
until member is discharged or retired.
Three years subsequent to retirement or
discharge, records are transferred to a
Federal Records Center.

W–2 wage and federal tax reporting to
the Internal Revenue Service. Reports of
earnings to State and city taxing
authorities. Listing of currently retiring
officers, home addresses and mailing
labels used by authorized USCG and
USCG affiliated organizations. Reports
and information exchanged with the
Veterans Administration, Office of
Personnel Management, Social Security
Administration, Department of Defense,
and the Red Cross. See Prefatory
Statement of General Routine Uses.

NOTIFICATION PROCEDURE:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd

Disclosures pursuant to 5 U.S.C.
552a(b)(12). Disclosures may be made

VerDate 202000

19:33 Apr 10, 2000

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETRIEVABILITY:

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

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

Retired Pay and Personnel System.

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

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

None.

Records are retained in the Retired
Pay Branch for 3 years subsequent to
retiree’s or annuitant’s death, and then
forwarded to a Federal Records Center.
Magnetic tapes are retained 18 months,
microfilm for 6 years (required by GAO)
then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Personnel Management
Directorate, United States Coast Guard
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001.
Notification procedure: Department of
Transportation, Commandant, G–SII,
United States Coast Guard
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001. Written
request must be signed by the
individual.
RECORD ACCESS PROCEDURES:

Procedure may be obtained by writing
to or visiting Commandant, G–SII at the
address in ‘‘Notification Procedure’’ or
the local Coast Guard District or unit
office for the area in which an
individual’s duty station is located.
Proof of identity will be required prior
to affording an individual access to
records. A military identification card, a
driver’s license, or similar document
will be considered suitable
identification.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures’’.

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RECORD SOURCE CATEGORIES:

SAFEGUARDS:

Individuals, Coast Guard personnel
and payroll offices.

Access is regularly limited to user
staff members. Stored in a building
secured after duty hours.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Civilian employees. Active duty and
retired military members. Military
dependents.

RETENTION AND DISPOSAL:

None.

Travel and Transportation of
Household Effects.

Records are kept for 3 years, and then
transferred to a Federal Records Center.
Exception: Schedule 98–Ts (Freight and
Transportation) are forwarded to
General Accounting Office, GAO after 3
months.

SECURITY CLASSIFICATION:

SYSTEM MANAGER(S) AND ADDRESS:

DOT/CG 534
SYSTEM NAME:

Unclassified—sensitive.
SYSTEM LOCATION:

Commandant, G–WP, U.S. Coast
Guard Headquarters, Director, Personnel
Management Directorate, 2100 2nd
Street, SW., Washington, DC 20593–
0001. District Office and Headquarters’
units.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Active duty military members, retired
military members, and civilian
employees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Travel claims, transportation claims,
government bills of lading, applications
for shipment of household effects.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 10 U.S.C. 1147; 14
U.S.C. 512, 632; 37 U.S.C. 406; 49 CFR
1.45, 1.46
PURPOSE(S):

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

RECORD ACCESS PROCEDURES:

Procedure may be obtained by writing
to or visiting Commandant, G-SII) at the
address in ‘‘Notification procedure’’ or
the local Coast Guard District or unit
office for the area in which an
individual’s duty station is located.
Proof of identity will be required prior
to affording an individual access to
records. A military identification card, a
driver’s license, or similar document
will be considered suitable
identification.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RECORD SOURCE CATEGORIES:

Same as ‘‘Record access procedure’’.

Vouchers submitted for payment of
claims, for audit of claims for payment,
to account for cost of moving household
goods, advice of shipment of household
goods for reporting of funds expended,
and for payment of claims. Used by
General Accounting Office in
connection with the performance
official duties. See Prefatory Statement
of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

Individual subject of the record.
Ground freight and transportation
carriers and agents. Airline companies.
Personnel offices. Other responsible
agencies.
None.

RETRIEVABILITY:

Schedule numbers and/or individual
name.

19:33 Apr 10, 2000

Coast Guard Exchange System, CGES
and Morale, Welfare and Recreation,
MWR Program.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Automated records may be stored on
tape, disc, drums and punched cards.
Manual records may be stored in file
folders and/or credit ledgers, card files,
and notebooks.
RETRIEVABILITY:

Frm 00019

Fmt 4701

RETENTION AND DISPOSAL:

Records are retained until usefulness
has expired and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Commandant, G–WP, United States
Coast Guard Headquarters, Director,
Personnel Management Directorate,
2100 2nd Street, SW., Washington, DC
20593–0001. CG Districts, Maintenance
and Logistics Commands and
Headquarters Units.

PO 00000

Payroll for CGES/MWR employees.
Personnel actions. Accounting
purposes. Budget and inventory
controls. See Prefatory Statement of
General Routine Uses.

Access is regularly limited to
authorized personnel. Building is
secured after duty hours.

SYSTEM NAME:

Jkt 190000

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SAFEGUARDS:

DOT/CG 535

SYSTEM LOCATION:

Filed manually in file folders.

Maintain financial and personnel
records for Coast Guard nonappropriated fund entities.

Indexed alphabetically.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Unclassified—sensitive.

STORAGE:

PURPOSE(S):

STORAGE:

SYSTEM CLASSIFICATION:

POLICY AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

VerDate 202000

5 U.S.C. 301; 5 U.S.C. 2105; 10 U.S.C.
1059, 1146, 1587; 14 U.S.C. 632; 49 CFR
1.45, 1.46.

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Written request must be signed by
the individual.

CONTESTING RECORD PROCEDURES:

Payroll records. Accounting records
for CGES/MWR loans. Listing of bad
checks. Job applications.
Correspondence. Membership
applications. Accounts receivable.
Investigatory reports involving abuse of
facilities. Accounting records for CGES/
MWR.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

NOTIFICATION PROCEDURE:

Payment of household and
transportation claims.

CATEGORIES OF RECORDS IN THE SYSTEM:

Sfmt 4703

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

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd

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Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure’’.
RECORD SOURCE CATEGORIES:

Individual record subject. Previous
employees. Employment agencies.
Civilian and military investigative
reports. General correspondence.

and maintain inventories. Determine
contractor responsibilities and liability.
Used by the General Accounting Office,
GAO in performance of duties. See
Prefatory Statement of General Routine
Uses.

SYSTEM LOCATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

Coast Guard Military Personnel who
have applied for Federal Housing
Administration Mortgage Insurance.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

DOT/CG 536

Manually filed in file folders,
maintained on tape/card three ring
binders, and in hard cover books.

SYSTEM NAME:

RETRIEVABILITY:

Contract and Real Property File
System.

Retrieved by individual/company
name, number, construction job, and/or
location.

None.

SYSTEM CLASSIFICATION:

SAFEGUARDS:

Unclassified—sensitive.
SYSTEM LOCATION:

Commandant, G–CFM, United States
Coast Guard Headquarters, Chief of
Staff, 2100 2nd Street, SW., Washington,
DC 20593–0001. District and
Headquarters Units.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals doing business with the
Coast Guard. Employees of prime and
sub-contractors. Individuals requiring
use of CG property. Military members
and civilian employees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contracts and related files. Real
property and leased family housing
files. Bidders list. Minority compliance
records. Payment schedule files relating
to Admiralty and Tort claims. Personnel
claims. Collection register. Open
purchase order file. Correspondence
files and vendor lists. Information on
employees of contractors, job level and
pay of these employees. Permits,
licenses and easement.

Access restricted to authorized
personnel only, some records in locked
safe and/or filing cabinet. Maintained in
building having roving security guard
after duty hours.
RETENTION AND DISPOSAL:

Some records retained indefinitely;
some retained 3, 4 or 6 years, then
destroyed or forwarded to a Federal
Records Center for an additional 7 years.
Commandant, G–CFM, United States
Coast Guard Headquarters, Chief of
Staff, 2100 2nd Street, SW., Washington,
DC 20593–0001.
NOTIFICATION PROCEDURE:

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
Same as ‘‘Notification procedure’’.
Same as ‘‘Notification procedure’’.
Individuals. Contractors. Contract
employees. Bidders. Financial
institutions. Insurance Companies.
Community associations. Other
agencies.

Recordkeeping of payments and
collection. Determine potential for
contracting with the government.
Record issuance of personal property

VerDate 202000

19:33 Apr 10, 2000

5 U.S.C. 301; 14 U.S.C. 632, 680–689;
49 CFR 1.45, 1.46
PURPOSE(S):

Enroll, terminate, and verify
eligibility of members in FHA 222
Program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Verify that billings from HUD are
correct, and payable from Coast Guard
funds.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/CG 537

FHA Mortgage Insurance for
Servicemen.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

PO 00000

None.
POLICIES AND PRACTICES FOR STORING
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manually in closed file cases.
By named individual, alphabetically.
Access is regularly limited to user
staff members. After duty hours, the
building is patrolled by roving security
guards.
RETENTION AND DISPOSAL:

Files are maintained as long as a
member is covered by an insured
mortgage loan; 3 years after, files are
forwarded to Federal Records Center.
Destroyed 4 years after case files are
closed.
SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM NAME:

Jkt 190000

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SAFEGUARDS:

CONTESTING RECORD PROCEDURES:

5 U.S.C. 301; 10 U.S.C. 2571; 14
U.S.C. 92(f), 93(o), 632, 666, 685; 49
CFR 1.45, 1.46; COMDTINST 5100.47.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETRIEVABILITY:

RECORD ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

Determine compliance of contractors
with minimum wages for certain skills
and trades on government contracts.

Selected aspects of FHA Mortgage
Insurance Records for military
personnel, including copies of Form
DD–802, ‘‘Request for and Certificate of
Eligibility’’ and Form DD–803,
‘‘Certificate of Termination.’’

SYSTEM MANAGER(S) AND ADDRESS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PURPOSE(S):

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

Frm 00020

Fmt 4701

Sfmt 4703

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

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices
NOTIFICATION PROCEDURE:

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street SW., Washington, DC 20593–
0001. The written request should
include the requester’s name in full and
signature.
RECORD ACCESS PROCEDURES:

Procedures may be obtained by
writing Commandant, G–SII, at the
address above, or by visiting the Coast
Guard Headquarters, 2100 2nd Street,
SW., Washington, DC 20593–0001.
Proof of identity will be required prior
to affording an individual access to his
records. A military identification card, a
driver’s license, or similar document
will be considered suitable
identification.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures’’.

of individuals for benefits administered
by that agency and available to USPHS
or DOD medical personnel in
connection with the performance of
their official duties. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

File folders, microfilm, magnetic tape,
punched cards, machine lists, discs, and
other computerized or machine readable
media.
RETRIEVABILITY:

Name, social security number, and the
diagnosis or International Classification
of Diseases, ICD code.
SAFEGUARDS:

Records are maintained in locked
filing equipment in controlled access
rooms. Records are accessible only to
authorized personnel. Computer
terminals are located in supervised
areas, with access controlled by
password or other user code system.

DOT/CG 571
SYSTEM NAME:

Unclassified—sensitive.
Commander, U.S. Coast Guard
Personnel Command, 2100 2nd St., SW.,
Rm. 1504, Washington, DC 20593–0001.

NOTIFICATION PROCEDURE:

USCG active duty personnel, USCG
Reserve personnel on active duty orders
for periods greater than 29 days, and
USCG personnel separated or retired for
physical disability.
CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Central Physical Evaluation Board
files. Formal Physical Evaluation Board
files. Physical Review Council files.
Physical Disability Appeal Board files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 10 U.S.C. 1216, 14
U.S.C. 366, 632; 49 CFR 1.45, 1.46.
PURPOSE(S):

Same as ‘‘Notification procedure’’.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure’’.
RECORD SOURCE CATEGORIES:

Information in records developed
through proceedings of administrative
bodies listed in ‘‘Categories of records’’
above.

Physical disability separation and
retirement proceedings.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

DOT/CG 572

Department of Veteran Affairs for
assistance in determining the eligibility

USCG Military Personnel Health
Record System.

VerDate 202000

19:33 Apr 10, 2000

Determine suitability of members for
overseas assignments and to develop
automated information relating to
medical readiness in wartime and
contingence operations.

Commander, U.S. Coast Guard,
Personnel Command, 2100 2nd St., SW.,
Rm. 1504, Washington, DC 20593–0001.
Notarized written requests should
contain the full name and social
security number of the member and be
addressed to: Commandant, G–SII–2,
United States Coast Guard
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

SYSTEM NAME:

Jkt 190000

PO 00000

Frm 00021

Fmt 4701

Sfmt 4703

Records of medical and dental
treatment, including x-rays. Physical
Examinations. ADP Records containing
due date for physical/dental and eye
examinations, inoculations, screening
tests and results of actions required by
Coast ‘‘Guard or other federal state or
local government or agency. Records
concerning line of duty determination
and eligibility for disability benefits.

PURPOSE(S):

SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM LOCATION:

CATEGORIES OF RECORDS IN THE SYSTEM:

5 U.S.C. 301; 10 U.S.C. 1071–1107; 14
U.S.C. 632; 49 CFR 1.45, 1.46

Retained two years after disposition
then transferred to Federal Records
Center, St. Louis, MO.

SECURITY CLASSIFICATION:

Member’s unit or the Coast Guard
health care facilities at which the
member or dependents receive
treatment.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETENTION AND DISPOSAL:

Physical Disability Separation
System.

SYSTEM LOCATION:

Active duty, reserve, and retired
members of the uniformed services and
their dependents.

STORAGE:

Individual concerned and the Federal
Housing Administration.
None.

Unclassified—sensitive.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

RECORD SOURCE CATEGORIES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

SECURITY CLASSIFICATION:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

a. Provided to federal, state, or local
governments and agencies to compile
statistical data for research and auditing;
to provide quality assurance; to report
medical conditions and other data
required by law; to aid in preventive
health and communicable disease
control programs.
b. Provided to the Joint Commission
on Accreditation of Healthcare
Organizations to evaluate health care
provided, personnel and facilities for
professional certification and hospital
accreditation; to provide quality
services.
c. Records of communicable disease
are provided to the Department of
Defense to analyze the results, to ensure
uniformity of record keeping, and to
centralize production of reports for all
uniformed services.
d. Provided to the Department of
Defense or other federal, state, or local
governments and agencies for casualty
identification purposes.
e. Provided to the Social Security
Administration and Veterans
Administration for use in determining
an individual’s entitlement to benefits
administered by those agencies.

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f. Provided to the Public Health
Service, Department of Defense, or
Veterans Administration medical
personnel or to personnel or facilities
providing care to eligible beneficiaries
under contract in connection with
medical treatment of individuals.
Records are provided to the
Department of Health and Human
Services for purposes of the Federal
Medical Care recovery set. Records are
available to the Public Health Service or
DOD medical personnel in connection
with medical treatment of individuals at
USPHS or DOD facilities. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM MANAGER(S) AND ADDRESS:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Individual files are in folders.
Portions of records are automated at
some units.
Name or social security number of
member or dependents.
Room or cabinets in which records are
located are locked when unattended.
Access limited to these records at all
times by personnel screening.
RETENTION AND DISPOSAL:

a. Active Duty Personnel: Individual
medical files are retained at the
members’ unit or medical
administration office for so long as
individual is assigned to the particular
area. When the member is reassigned,
the individual medical file is transferred
to the new duty station upon
reassignment of member. Upon
separation or retirement, the individual
medical file is incorporated into the
Official Officer Service Records System,
DOT/CG 626, or Enlisted Personnel
Records System, DOT/CG 629, as
appropriate.
b. Retired Personnel: Individual
medical files are retained at the medical
facility for a period of 4 years from date
of last activity. Transferred to National
Personnel Records Center (Military
Personnel Records). 9700 Page Blvd, St.
Louis, MO 63132, 4 years after last
report.
c. Dependents: Individual medical
files are retained at the medical
treatment facility for period of 4 years
from date of last activity. Transferred to
new duty station of sponsor upon
written request of dependent. Records
not transferred are forwarded to

19:33 Apr 10, 2000

Unclassified—sensitive.
SYSTEM LOCATION:

Commandant, G–WK, United States
Coast Guard Headquarters, Director,
Health and Safety Directorate, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

PHS commissioned officers assigned
to duty with the Coast Guard.
CATEGORIES OF RECORDS IN THE SYSTEM:

Personnel records, assignment
preference, reference questionnaires,
background information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

NOTIFICATION PROCEDURE:

Assist administrators in assigning
personnel to area requiring their specific
skills.

RECORD ACCESS PROCEDURES:

SAFEGUARDS:

SECURITY CLASSIFICATION:

Commandant, G–WK, United States
Coast Guard Headquarters, Director,
Health and Safety Directorate, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
Commandant, G–SII–2, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.

RETRIEVABILITY:

VerDate 202000

National Personnel Records Center,
CPR, 111 Winnebago Street, St. Louis,
MO 63118, and 4 years after last
activity.
d. Reserve Personnel: Individual
medical files are retained in custody of
the reserve group or unit, or district
commander(s) for so long as the
reservist is assigned to the particular
area. When the member is reassigned,
the individual medical file is transferred
to the new reserve group or unit or
district commander as appropriate.
Upon separation or retirement, the
individual medical file is incorporated
into Official Coast Guard Reserve
Service Record System, DOT/CG 676

a. Active Duty personnel: Health care
facility where the record is located, or
see ‘‘Notification Procedure’’.
b. Retired Personnel and all
Dependents: Health care facility where
the record is/was located, or: (Retired)
National Personnel Records Center,
(Military Personnel Records) 9700 Page
Blvd., St. Louis, MO 63132;
(Dependents) National Personnel
Records Center, CPR, 111 Winnebago
Street, St. Louis, MO 63118
Reserve Personnel: Reserve group or
unit or district commander of the
district where command is located, or
see ‘‘Notification Procedure’’.
The decision to release medical
records directly to the individual shall
be made by medical practitioner per 49
CFR 10.35(c).
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’
Medical facilities where beneficiaries
treated or examined. Investigations
resulting from illness or injury. The
individual.
None.
DOT/CG 573
SYSTEM NAME:

United States Public Health Services,
PHS Commissioned Officer Corps
Staffing and Recruitment Files.

Frm 00022

Fmt 4701

Sfmt 4703

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Monitor career development of
personnel assigned to program. See
Prefatory Statement of General Routine
Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

File folders.
RETRIEVABILITY:

By name of individuals.
SAFEGUARDS:

During working hours access is
controlled by office personnel, during
non-working hours building is patrolled
by roving security patrol.
Records are retained during period of
an individual’s assignment to the Coast
Guard. Thereafter, records are destroyed
by shredding.
SYSTEM MANAGER(S) AND ADDRESS:

Commandant, G–WK, Director, Health
and Safety Directorate, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

PO 00000

PURPOSE(S):

RETENTION AND DISPOSAL:

RECORD SOURCE CATEGORIES:

Jkt 190000

5 U.S.C. 301; 10 U.S.C. 1043, 14
U.S.C. 93(r), 632, 645; 42 U.S.C. 213,
253; 49 CFR 1.45, 1.46.

NOTIFICATION PROCEDURE:

Commandant, G–SII–2, United States
Coast Guard Headquarters, 2100 2nd

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Street, SW., Washington, DC 20593–
0001. Written request must be signed by
the individual.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RECORD ACCESS PROCEDURES:

PURPOSE(S):

Procedures may be obtained by
writing to or visiting Commandant, GSII–2 at the address in ‘‘Notification
procedures’’. Proof of identity will be
required prior to release of records. A
military identification card, driver’s
license or similar document will be
considered suitable identification

Review of cost data and
appropriateness of care.

CONTESTING RECORD PROCEDURES:

See ‘‘Record access procedures’’.
RECORD SOURCE CATEGORIES:

Previous employers, educational
institutions, references, Coast Guard
Medical Administrators and the
individual.

5 U.S.C. 301; 10 U.S.C. 1091, 14
U.S.C. 93(r), 632; 49 CFR 1.45, 1.46.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Medical information, including
records of health care and medical
invoices may be disclosed to health care
professionals, auditing, utilization and
peer review organizations to support a
government claim. See Prefatory
Statement of General routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DOT/CG 576

USCG Non-Federal Invoice Processing
System, NIPS.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

Storage of individual files is in
folders. Portions of records are extracted
in an ADP data base. ADP data is
maintained in hard disk and magnetic
tape storage.

SYSTEM LOCATION:

RETRIEVABILITY:

Commandant, G–WK, United States
Coast Guard, 2100 Second Street, SW.,
Washington, DC 20593–0001.
Commander, Maintenance and Logistics
Command Atlantic, Health Services
Division, Governor’s Island Building
400, New York, NY 10004–5100.
Commander, Maintenance and Logistics
Command Pacific, Health Services
Division, Coast Guard Island, Alameda,
CA 94501–5100.

Name or Social Security Number of
member or dependents sponsor. Name
of Member’s Unit. Name or tax
identification number of non-Federal
health care providers.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Active duty, reserve, and retired
members of the uniformed services and
their eligible dependents, and nonFederal health care providers that have
rendered services to eligible
beneficiaries.
CATEGORIES OF RECORDS IN THE SYSTEM:

Correspondence, memoranda, and
related documents concerning potential
and actual health care invoices for
processing by NIPS. Medical and dental
treatment records provided to the
individual that are the subject of an
invoice for non-federal health care
provided to an eligible beneficiary.
Automated data processing, ADP
records containing identifying data on
individuals including: Units of
assignment and address, home address,
and information necessary to process
and monitor bills for payment.

VerDate 202000

RECORD SOURCE CATEGORIES:

STORAGE:

SYSTEM NAME:

19:33 Apr 10, 2000

Room and cabinets in which records
are located are locked when unattended.
There are roving guard patrols during
non-duty hours. Access to records is
regularly limited to those directly
involved in managing claims. Records
in the ADP database are retrievable only
by those with authorized access to ADP
equipment and the database is protected
by standard ADP security measures
including the use of passwords.
RETENTION AND DISPOSAL:

Retained for 1 year; transferred to a
Federal Record Storage Facility and
retained for an additional 5 years 3
months, and destroyed thereafter.

NOTIFICATION PROCEDURE:

Send a written request with patient’s
name, sponsor’s name and social
security number, to the System Location

Fmt 4701

Sfmt 4703

DOT/CG 577
SYSTEM NAME:

USCG Federal Medical Care Recovery
Act, FMCRA Record System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

U.S. Coast Guard, Health and Safety
Directorate, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

Active duty, reserve, and retired
members of the uniformed services and
their eligible dependents.

Commandant, G–WK, Director, Health
and Safety Directorate, United States
Coast Guard Headquarters, 2100 Second
Street, SW., Washington, DC 20593–
0001.

Frm 00023

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SYSTEM MANAGER:

PO 00000

From the individual, individual’s
spouse, parent or guardian. Medical
facilities (United States Coast Guard,
Department of Defense, uniformed
Services Treatment Facility, or nonFederal, provider) where beneficiaries
are treated. For Active Duty personnel—
the Official Officer Service Records
System, DOT/CG 626, and the Enlisted
Personnel Record System; DOT/CG 629.
For Reserve personnel—the Official
Coast Guard Reserve Service Record
System, DOT/CG 676. Investigations
resulting from illness or injury.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

SAFEGUARDS:

Jkt 190000

Write or visit the appropriate
Commander, MLC at the address given
in ‘‘Notification procedure.’’
Responsible for where the care was
received.
Same as ‘‘Record access procedures.’’

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

None.

RECORD ACCESS PROCEDURES:

CONTESTING RECORD PROCEDURES:

None.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

for the MLC where care was rendered.
The request must be signed by the
individual, or if a minor dependent, by
the parent or guardian. Commander,
Maintenance and Logistics Command
Atlantic, Health Services Division,
Governor’s Island, New York, NY
10004–5100, or Commander,
Maintenance and Logistics Command
Pacific, Health Services Division, Coast
Guard Island, Alameda, CA 94501–
5100, as appropriate.

CATEGORIES OF RECORDS IN THE SYSTEM:

Correspondence, memoranda, and
related documents concerning potential
ad actual FMCRA claims, and copies of
medical and dental treatment provided
to the individual subject of the claim,
and copies of medical bills associated
with civilian care provided at
government expense. Automated data

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processing, ADP records containing
identifying data on individuals, unit of
assignment and address, home address,
the amount of the claim, the amount
paid to the government on the claim,
dates of correspondence sent, due dates
of reply, claim number, date claim
opened, and date claim closed.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 632; 42 U.S.C.
2651–2653; 49 CFR 1.45, 1.46.
PURPOSE(S):

Managing, processing, and collecting
claims for the government.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Information may be disclosed to
attorneys and insurance companies
involved in settling and litigating
claims. See Prefatory Statement of
General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Storage of individual files is in
folders. Portions of records are extracted
in ADP database. ADP database will be
maintained in hard disk and magnetic
tape storage.

NOTIFICATION PROCEDURE:

Send a written request with the
client’s name, sponsor’s name and
social security number to the system
manager. The request must be signed by
the individual, or if a minor dependent,
by the parent or guardian.
Write or visit: Commandant, G–WK,
U.S. Coast Guard, Attn: FMCRA Section,
2100 Second Street, SW., Washington,
DC 20593–0001.
Same as ‘‘Record access procedures.’’
RECORD SOURCE CATEGORIES:

Room and cabinets in which records
are located are locked when unattended.
Roving guard patrol during non-duty
hours. Access to records limited to those
directly involved in managing claims
with a need to know. Records in ADP
database retrievable only to those with
authorized access to ADP equipment
and database is protected by standard
ADP.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/CG 586

Unclassified-sensitive.
SYSTEM LOCATION:

Commandant, G–M, United States
Coast Guard, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

Personnel screening prior to granting
access. Building has roving security
after hours.
RETENTION AND DISPOSAL:

Permanently retained.
SYSTEM MANAGER(S) AND ADDRESS:

Commandant (G–M), United States
Coast Guard Headquarters, Chief,
Marine Safety and Environmental
Protection, 2100 2nd Street, SW.,
Washington, DC 20593–0001.
NOTIFICATION PROCEDURE:

Commandant, G–SII–2, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Written request must be signed by
the individual.

Same as ‘‘Record access procedures’.
RECORD SOURCE CATEGORIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

From the individual of record.

Committee members.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Address, phone number. Biographical
sketch. Committee information. Minutes
of meetings.

19:33 Apr 10, 2000

By committee name/individual name.

CONTESTING RECORD PROCEDURES:

Records are retained at USCG
Headquarters for 1 year; transferred to a
Federal Records Storage Facility and
retained for an additional 5 years, 3
months for a total of 6 years, 3 months
and destroyed thereafter.

VerDate 202000

RETRIEVABILITY:

Procedures may be obtained by
writing to or visiting Commandant, G–
SII–2, at the address in ‘‘Notification
Procedure.’’ Proof of identity will be
required prior to granting access. A
military identification card, driver’s
license or similar document is
considered suitable identification.

RETENTION AND DISPOSAL:

Health and Safety Directorate, United
States Coast Guard, Headquarters, 2100
2nd Street, SW., Washington, DC
20593–0001.

STORAGE:

RECORD ACCESS PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

From the individual, or if a minor, the
parent or guardian. Medical facilities
(U.S. Coast Guard, Department of
Defense, Uniformed Services Treatment
Facility, or Civilian Facility) where
beneficiaries are treated. Injury
investigations. Attorneys and insurance
companies involved in the claim. For
Active Duty personnel—the Official
Officer Service Records System; DOT/
CG 626, and the Enlisted Personnel
Records System; DOT/CG 629. For
reserve personnel—the Official Coast
Guard Reserve Service Record System,
DOT/CG 676.

SECURITY CLASSIFICATION:

SAFEGUARDS:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

File folders.

CONTESTING RECORD PROCEDURES:

Chemical Transportation Industry
Advisory Committee.

Name or social security number of
member, retiree or dependent.

See Prefatory Statement of General
Routine Uses.

None.

RECORD ACCESS PROCEDURES:

SYSTEM NAME:

RETRIEVABILITY:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DOT/CG 588
SYSTEM NAME:

Marine Safety Information System,
MSIS.

5 U.S.C. 301; 14 U.S.C. 632; 49 CFR
1.45, 1.46.

SECURITY CLASSIFICATION:

PURPOSE(S):

SYSTEM LOCATION:

Arranging meetings, keeping records
of committee business, determine
committee membership.

United States Coast Guard (USCG),
Operations Systems Center, 175 Murall
Drive, Martinsburg, WV 25401.

Jkt 190000

PO 00000

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Sfmt 4703

Unclassified—sensitive.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals with established
relationship(s) associates to maritime
vessels that are included in the Marine
Safety Information System, MSIS.
Specifically, information on vessel
owners, operators, masters, crew and/or
agents can be stored in MSIS.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information on maritime vessels and
vessel characteristics including: Vessel
identification data, registration data,
port visits, inspection data,
documentation data, port safety
boardings, casualties, pollution
incidents, and civil violations if
applicable and associated information
(data pertaining to people or
organizations associated with vessels)
for owners, operators, agents, and
possibly crew members. Statements
submitted by Coast Guard relating to
boardings, investigations as a result of a
pollution and/or casualty incident, as
well as any violations of United States
law, along with civil penalty actions
taken as a result of such violations.
Such reports could contain names of
passengers on vessels, as well as
witnesses to such violations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 632; 33 U.S.C.
1228; 46 U.S.C. 2102, 3301, 3714, 3717,
6101, 6102, 6307(c)’’, 6301, 7101, 7309;
49 CFR 1.45, 1.46.
PURPOSE(S):

Build a safety performance history of
vessels, their owners, operators and
facilities, thereby enhancing safety.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

MSIS primarily supports operational
decision making in implementing and
enforcing marine safety and
environmental programs. In addition,
the system is used by field units for the
issuance of Certificates of
Documentation, Certificates of
Inspections, port safety boardings,
monitoring cargo transfers, capturing
data on pollution incidents and
casualties, and for reporting of
violations resulting from these
incidents. MSIS Records may be
disclosed to the following United States
Government entities.
(1) United States Department of
Commerce, National Technical
Information Service, NTIS:
Characteristics of vessels documented
by the USCG and owner information.
This information is the same as that
published in the annual publication
‘‘Merchant Vessels of the United

VerDate 202000

19:33 Apr 10, 2000

States,’’ CG–408 (also known as ‘‘the
blue book’’). This information is
distributed on tape and is sold to the
public.
(2) United States Customs Service,
USCS: Characteristics of vessel, United
States ports visited and owner
information. USCG information is
compared to USCS vessel and/or owner
information.
(3) Military Sealift Command (MSC):
Characteristics of vessels. USCG
information is compared to MSC vessel
information.
See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Storage of all records is in an ADP
data base operated and maintained by
the United States Coast Guard. All data
is retained indefinitely.
RETRIEVABILITY:

Records are retrieved by:
a. Vessel name or vessel identification
number, VIN.
b. Facility name or facility identifying
number, FIN.
c. Involved parties name, IPN, (owner,
operators, agent, etc.).
d. Casualty case number.
e. Pollution incident case number.
SAFEGUARDS:

The MSIS falls under the guidelines
of the Operations System Center in
Martinsburg, WV. This computer facility
has its own approved System Security
Plan which provides that:
a. The system be maintained in a
secure computer room with access
restricted to authorized personnel only.
b. Access to the building must be
authorized and is limited. A Sensitive
Application Certification (SAC) has
been approved for the MSIS.
The United States Coast Guard will
operate the MSIS in consonance with
Federal security regulations, policy,
procedures, standards and guidance for
implementing the Automated
Information Systems Security Program.
c. Only authorized Department of
Transportation personnel, and
authorized United States Government
contractors conducting system
maintenance may access MSIS records.
d. Access to records password
protected and the scope of access for
each password is limited to the official
need of each individual authorized
access.

PO 00000

RETENTION AND DISPOSAL:

Record retention is indefinite.
SYSTEM MANAGER(S) AND ADDRESS:

United States Coast Guard,
Information Management Division, G–
MIR–2, 2100 2nd Street, SW,
Washington, DC 20593–0001.
Notification Procedure: Submit a
written request noting the information
desired and for what purpose the
information will be used. A first party
request should be specifically noted.
The request must be signed by the
individual, or his/her legal
representative. Send the request to:
Commandant, G–SII, United States
Coast Guard Headquarters, 2100 Second
Street, SW., Washington, DC 20593–
0001
RECORD ACCESS PROCEDURES:

STORAGE:

Jkt 190000

e. Additional protection is afforded by
the use of two password security.

Frm 00025

Fmt 4701

Sfmt 4703

Same as Notification procedures.
CONTESTING RECORD PROCEDURES:

Same as Notification procedures.
RECORD SOURCE CATEGORIES:

All information entered into the MSIS
is gathered from boardings, inspections,
and Documentation offices in the course
of normal routine business. This
information is gathered from the
owners, operators, crew members,
agents, passengers, witnesses, United
States Coast Guard personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C. 552a (k)(2).
However, in specific cases where
maintenance of information results in
the denial of a right, privileges or
benefits to which the individual is
entitled, the information will be
released in accordance with section
(k)(2). This provides in part that
investigatory material compiled for law
enforcement purposes may be withheld
from disclosure to the extent the
identity of the source of the information
would be revealed by disclosing the
investigatory record, and the source has
received an express promise that his/her
identity would be held in confidence.
DOT/CG 589
SYSTEM NAME:

United States Merchant Seamen’s
Records.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Commandant, G–M, United States
Coast Guard, CG, 2100 2nd Street, SW.,

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices

Washington, DC. 20593–0001. Marine
Inspection Office or the Marine Safety
Office where the seaman was
documented.
CATEGORIES OF INDIVIDUALS:

United States Merchant Seamen.
CATEGORIES OF RECORDS IN THE SYSTEM:

Personnel File. Shipping Articles.
Locator List. Log Books. Seamen’s
License Records. Fingerprint Records.
Disciplinary Records. Security Records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C 301; 14 U.S.C. 632; 46 U.S.C.
2103, 7319, 7701, 8701; 14 CFR 12.02–
25; 49 CFR 1.45, 1.46.
PURPOSE(S):

Administering the Commercial Vessel
Safety Program to determine domestic
and international qualifications for the
issuance of licenses, documents and
staff officer certifications.
ROUTINE USES OF THE RECORDS MAINTAINED IN
THE SYSTEM, INCLUDING CATEGORIES OF USERS
AND THE PURPOSES OF SUCH USES:

Provide information to other Federal
Agencies, such as the Veterans’
Administration, the Social Security
Administration, etc. in connection with
benefits and services administered by
those agencies; to provide information
to private organizations when
considered beneficial to the seaman. See
Prefatory Statement of General Routine
Use.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12). Disclosures may be made
from this system to ‘‘consumer reporting
agencies’’ (collecting on behalf of the
United States Govt.) as defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

STORAGE:

Paper files are stored at a secure,
controlled access site managed by
contract personnel; on-site government
oversight is provided by the Coast
Guard’s National Maritime Center.
Electronic records are stored on a secure
database server at the Coast Guard
Operations Systems Center.
RETRIEVABILITY:

Alphabetical order by last name, first
name, middle name. Retrieval is made
by name and cross-indexed by
identifying number (e.g. Social Security

19:33 Apr 10, 2000

SAFEGUARDS:

The active personnel records are
stored in a locked room at a contractor’s
site. Access to the room is regularly
limited to trained employees of the
contractor and to National Maritime
Center personnel. National Maritime
Center personnel provide full time
oversight. Computer records are
retrievable only by approved Coast
Guard and contractor personnel.
Passwords are required by all personnel
who access the system and the system
records the name of the user each time
a record is accessed. Each user’s access
is limited to only that portion of the
overall file that has previously been
determined to the user’s needs.
RETENTION AND DISPOSAL:

Paper personnel files are held at the
contractor’s site for five years past the
last activity with the file. They are then
transferred to the Federal Records
Center in Suitland, MD. Disciplinary
Records are maintained in paper form.
Administrative Law Judge’s Decisions
and Orders and Appeal File are
transferred to a Federal Records Center
after 5 years. Commandant’s Decision
on Appeal and National Transportation
Safety Board Decisions and Orders are
retained. Disciplinary Record Cards are
destroyed upon notice of death.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Commandant, G–M, United
States Coast Guard Headquarters,
Marine Safety and Environmental
Protection, 2100 2nd Street, SW.,
Washington, DC 20593–0001.
NOTIFICATION PROCEDURE:

United States Coast Guard
Headquarters, Commandant, G–SII,
2100 2nd Street, SW., Washington, DC
20593–0001.
RECORD ACCESS PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

VerDate 202000

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Number, ‘‘Z’’ number, or Continuous
Discharge Book number).

Same as ‘‘Notification procedure’’ or
the Marine Inspection Office or Marine
Safety Office where the document was
issued locally.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures.’’
RECORD SOURCE CATEGORIES:

Personnel File—seamen, United
States Coast Guard officials, other
Federal Agencies and employer.
Shipping Articles Vessels’ operators,
seamen, masters of vessels, State
Department, and Coast Guard officials.
Disciplinary Records—Investigating
Officers at the various Marine
Inspection and Marine Safety Offices.

Jkt 190000

PO 00000

Frm 00026

Fmt 4701

Sfmt 4703

Portions of this system of records may
be exempt from disclosure under the
provisions of 5 USC 552a (k)(2).
DOT/CG 590
SYSTEM NAME:

Vessel Identification System, VIS.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

United States Coast Guard, USCG,
Operations Systems Center, 600 Coast
Guard Drive, Kearneysville, WV 25430–
3000.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals with established
relationship(s)/association to vessels
that are state-numbered and/or titled
and United States Coast Guarddocumented, and that are included in
the Vessel Identification System, VIS.
Specifically, owners, or agents of such
vessels, as well as lienholders.
CATEGORIES OF RECORDS IN THE SYSTEM:

Vessel identification information and
vessel characteristics on state-numbered
and/or titled vessels or Coast Guarddocumented vessels. Personal
information including: Name of each
owner, address of principal place of
residence of at least one owner, mailing
address if different than the principal
place of residence, and either an
owner’s social security number, date of
birth and driver’s license number, or
other identifier. Records containing
lienholder and insurance information
including: Name of lienholder, and city
and state of principal place of residence
or business of each lienholder. Law
enforcement status code (stolen,
recovered, lost, destroyed, or
abandoned), law enforcement hold,
reporting agency, originating case
number, National Crime Information
Center, NCIC, number, VIS user
identification, incident location, last
sighted date/time/location, law
enforcement contact and phone number,
and hours of operations. Records
containing vessel registration
information including: registration and,
if applicable title number including
effective and expiration date, issuing
authority, and, for Coast Guard
documented vessels, the official
number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 632; 46 U.S.C.
12501–12507; 49 CFR 1.45, 1.46

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PURPOSE(S):

RECORD ACCESS PROCEDURES:

Provide a nationwide pool of statenumbered and/or titled and United
States Coast Guard-documented vessels
that will assist in identification and
recovery of stolen vessels, deter vessel
theft and fraud, and other purposes
relating to the ownership of vessels.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Same as ‘‘Notification procedure’’.
CONTESTING RECORD PROCEDURES:

STORAGE:

Index of owners maintained by
Commandant, G–MVD. All other
records maintained at home port of
vessel by vessel name.

Same as ‘‘Notification procedure’’.
RECORD SOURCE CATEGORIES:

Participating States and the National
Crime Information Center, NCIC.

RETRIEVABILITY:

Name of vessel owner.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Federal and state numbering and
titling officials for the purposes of
tracking, registering and titling vessels.
See Prefatory Statement of General
Routine Uses.

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

SAFEGUARDS:

DOT/CG 591

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM NAME:

Listings of vessel owners constantly
updated by additions and deletions
(automated). Field office vessel folders
transferred to FRC two years after
change of vessel’s home port or 2 years
after removal of vessel from
documentation (manual).

Merchant Vessel Documentation
System, Manual.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SECURITY CLASSIFICATION:

STORAGE:

SYSTEM LOCATION:

Unclassified—sensitive.

Automated data processing (ADP)
database operated and maintained by
the United States Coast Guard.
RETRIEVABILITY:

Vessel owner or business name;
Vessel owner’s social security number
or alternate identifier (e.g. DOB, driver’s
license number, or taxpayer
identification number); vessel hull
identification number, HIN; State
certificate of number; title number.;
United States Coast Guard official
number; USCG vessel name and hailing
port.

Commandant, G–M, Chief, Marine
Safety and Environmental Protection,
United States Coast Guard
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

Automated: United States Coast
Guard, USCG, Operations Systems
Center, 600 Coast Guard Drive,
Kearneysville, WV 25430–3000.
Manual: United States Coast Guard,
USCG, National Vessel Documentation
Center, 2039 Stonewall Jackson Drive,
Falling Waters, WV 25419–9502.

NOTIFICATION PROCEDURE:

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

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORD ACCESS PROCEDURES:

Vessel owners. Mortgagees. Vessel
buyers and sellers. Lien claimants.
Vessel builders.

Same as ‘‘Notification procedure’’ or
the local Coast Guard District Office.
CONTESTING RECORD PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

The VIS falls under the guidelines of
the United States Coast Guard
Operations System Center, OSC in
Martinsburg, WV. This computer facility
has its own approved System Security
Plan.

Vessel owner information. Vessel
information. Instruments of record (bills
of sale, mortgages, etc.).

Records of active cases are retained
until they become inactive; inactive
cases are archived and retained for 50
years. Records will be selected to be
archived into an off-line file for any
vessel that has been inactive for a period
of 10 years. Copies of backups are stored
at an off-site location.
SYSTEM MANAGER (S) AND ADDRESS:

Information Resource Division,
System Development Division, G–MRI–
3, United States Coast Guard
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

VerDate 202000

19:33 Apr 10, 2000

Same as ‘‘Record Access Procedures.’’

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 632; 46 U.S.C.
12119, 12502, 46 CFR part 67; 49 CFR
1.45, 1.46
PURPOSE(S):

Publication of the annual
MERCHANT VESSELS OF THE
UNITED STATES. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

PO 00000

Vessel owners, Mortgagees, lien
claimants, vessel sellers and buyers,
Coast Guard admeasures, and vessel
builders.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SYSTEM NAME:

Registered/Applicant Pilot Eligibility
Folder.
SECURITY CLASSIFICATION:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Jkt 190000

RECORD SOURCE CATEGORIES:

DOT/CG 592

Establish the eligibility of vessels for
documentation, record and track
documented vessels, issue marine
documents and record instruments of
record (bills of sale, mortgages, etc.).

NOTIFICATION PROCEDURE:

Commandant, G–SII, USCG
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

RETENTION AND DISPOSAL:

SYSTEM MANAGER(S) AND ADDRESS:

SAFEGUARDS:

RETENTION AND DISPOSAL:

Personnel screening.

Frm 00027

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Unclassified—sensitive.
SYSTEM LOCATION:

Commander, Ninth Coast Guard
District, Great Lakes Pilotage Staff, 1240
East Ninth St., Cleveland, OH 44199–
2060.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

United States registered pilots and
applicant pilots suitable registered to

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perform pilotage duties aboard foreign
vessels on the Great Lakes.

DOT/CG 611

States Coast Guard computer center
without use of proper administrative
controls. Release of dossiers to
accredited personnel on ‘‘need-to-know’
basis only.

SYSTEM NAME:

Investigative Case System.

CATEGORIES OF RECORDS IN THE SYSTEM:

Application for registration, renewal
of registration, annual report of physical
examination, Coast Guard license data,
and examination for registration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 632, 709; 49
CFR 1.45, 1.46.
PURPOSE(S):

SECURITY CLASSIFICATION:

Unclassified—sensitive.

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

Commandant, G–O–CGIS, United
States Coast Guard, CG, 2100 2nd Street,
SW., Washington, DC 20593–0001.
Coast Guard District Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Document pilot registration.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Training program needs, retirements,
statistical compilations, and
negotiations with Canadian authorities
to assure equitable participation by U.S.
registered pilots with Canadian
registered pilots. See Prefatory
Statement of General Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

United States Coast Guard military
personnel, merchant marine personnel,
port and dock workers, and persons
under investigation for violations of
laws and regulations administered by
the Coast Guard.
CATEGORIES OF RECORDS IN THE SYSTEM:

Personnel security investigations,
national agency check results, criminal
investigation, counterintelligence
investigations, computerized case
control system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 2, 89a, 93(e),
632; 33 U.S.C. 1221; 14 U.S.C. 632;
COMDTINST 5830.1

STORAGE:

PURPOSE(S):

SYSTEM MANAGER(S) AND ADDRESS:

Chief, Operations, G–O, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
NOTIFICATION PROCEDURE:

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’ or
the local Coast Guard District Office.
CONTESTING RECORD PROCEDURES:

Stored in file folders.

Same as ‘‘Record access procedures.’’

Security clearances.

RETRIEVABILITY:

Name and pilot registration number.
SAFEGUARDS:

Screened by office personnel prior to
use. Locked in cabinets during nonworking hours.
RETENTION AND DISPOSAL:

Records are maintained permanently.
SYSTEM MANAGER(S) AND ADDRESS:

Commander, Ninth Coast Guard
District, Great Lakes Pilotage Staff, 1240
East Ninth Street, Cleveland, OH 44199–
2060.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager’’.

RECORD SOURCE CATEGORIES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Actions by commanders under the
Uniform Code of Military Justice. Career
advancement of United States Coast
Guard military personnel. Approval of
merchant seamen documents. Access of
individuals to port facilities. See
Prefatory Statement of General Routine
Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CONTESTING RECORD PROCEDURES:

SYSTEM LOCATION:

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

RETRIEVABILITY:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

By name and/or case number.
SAFEGUARDS:

Individual’s original application for
U.S. Pilot’s registration and individual’s
yearly report of medical examination.

Alarm controlled spaces, locked and/
or limited access file cabinets and office
spaces. Using receipt control, automatic
data processing, ADP system cannot be
penetrated for data through terminals, or
otherwise, located outside the United

None.

19:33 Apr 10, 2000

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DOT/CG 612

Unclassified—sensitive.

RECORD SOURCE CATEGORIES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C. 552a (k)(2), (5),
and (7).

SECURITY CLASSIFICATION:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Same as ‘‘System manager’’.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Port Security Card System.

None.

Investigative dossiers and 3x5 card
retrieval system.

Same as ‘‘System manager’’.

National Agency Checks, background
investigations, criminal investigations,
interviews, records checks,
observations, statements.

SYSTEM NAME:

STORAGE:

RECORD ACCESS PROCEDURES:

VerDate 202000

Dossiers retained 50 years from date
of birth. Deceased, retirees and others
separated are held one year from
separation. Dossiers are retired to the
Washington National Federal Records
Center for further retention of 30 years.
3x5 Cards are annotated to recall retired
dossiers if necessary. Computer
printouts are retained for 10 years then
destroyed.

Persons regularly employed on
vessels and water front facilities, or
persons having regular public or private
business with the operation,
maintenance, or administration of
vessels and cargoes or waterfront
facilities.

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CATEGORIES OF RECORDS IN THE SYSTEM:

Applications for port security cards
awaiting processing. Processed
applications indicating those granted or
denied port security cards.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

Determine eligibility for issuance of
Port Security Cards.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.

RETRIEVABILITY:

SYSTEM NAME:

Name, rate, class number, cadet code
number, and Social Security Number.

Military Training and Education
Records.

SAFEGUARDS:

SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Director, Reserve and Training
Directorate, G–WT, United States Coast
Guard Headquarters, 2100 2nd Street,
SW., Washington, DC 20593–0001.
District and Headquarters Units.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Coast Guard Military Personnel
(Commissioned Officers, Commissioned
Warrant Officers, Cadets, and Enlisted
Personnel).

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

CATEGORIES OF RECORDS IN THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper files, 3x5 cards.
RETRIEVABILITY:

By name.
SAFEGUARDS:

Maintained in file cabinets in secure
areas. Personnel are screened prior to
granting access.
RETENTION AND DISPOSAL:

Retained for 8 years, then destroyed
by mutilating, shredding or burning.
SYSTEM MANAGER(S) AND ADDRESS:

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

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

Same as ‘Notification Procedure’ or
the local Coast Guard District or unit
office.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures.’’
Individual applications. National
Agency checks. Other records already at
Coast Guard Headquarters, if any.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

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

19:33 Apr 10, 2000

General Service Correspondence
Course. Off-Duty Education Records.
Professional Training Records. Nontraditional Educational Support
Records. Achievement and Aptitude
Test Results. Academic Performance
Records. Correspondence Course Rate
Advancement Records. Military
Performance Records. Admissions
Processing Records. Grade Reporting
Records. Cadet Academic Status
Records. Transcript Maintenance
Records. Cadet Discipline Status
Records. Military Personnel Records.
Military Training Schedules Records.

Records are kept in file cabinets in
offices that are locked during off-duty
hours. Those records stored in ADP
equipment may only be accessed
through use of a user access code.
RETENTION AND DISPOSAL:

Personal History, Service History and
School Conduct and Military
Performance records are kept for one
year. Academic and Correspondence
Course records are kept for five years.
Aptitude and Achievement Test results,
as a part of Training and Education
records, are kept for five years. Records
are destroyed by mutilating, shredding
or burning.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Reserve and Training
Directorate, G–WT, United States Coast
Guard Headquarters, 2100 2nd Street,
SW., Washington, DC 20593–0001.
NOTIFICATION PROCEDURE:

United States Coast Guard,
Headquarters, Commandant, G–SII,
2100 2nd Street, SW., Washington, DC
20593–0001.
RECORD ACCESS PROCEDURES:

Same as ‘Notification Procedure’ or
the local Coast Guard activity where
assigned for training.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 93(g), 632; 49
CFR 1.45, 1.46.

CONTESTING RECORD PROCEDURES:

PURPOSE(S):

RECORD SOURCE CATEGORIES:

Evaluation and measurement of
training performance.

Official military personnel records,
test results, instructors and supervisors.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Statistical summaries. Input to
personnel records. Partial criteria for
selection and admission to service/
professional schools. Partial criteria for
selection to postgraduate education
programs. Criteria for admission to the
Coast Guard. Criteria for retention in
service Schools. Criteria for promotion.
See Prefatory Statement of General
Routine Uses, 3 through 5 do not apply.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD SOURCE CATEGORIES:

VerDate 202000

DOT/CG 622

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

File folders stored in file cabinets.
Portions are stored on ADP equipment.

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Same as ‘‘Record Access Procedures.’’

Portions of this system of records may
be exempt under 5 U.S.C. 552a(k)(5), (6),
and (7).
DOT/CG 623
SYSTEM NAME:

Military Pay and Personnel System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

United States Coast Guard, CG,
Department of Transportation Computer
Center, 400 7th Street, SW.,
Washington, DC 20590–0001. United
States Coast Guard Human Resources
Service and Information Center, 444 SE.
Quincy Street, Topeka, KS 66683–3591.
United States Coast Guard, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Unit maintaining the individual’s

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pay and personnel record and
permanent duty unit.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All Coast Guard military personnel,
active duty and reserve. Retired reserve
Coast Guard military personnel waiting
for pay at age 60. Active duty National
Oceanic and Atmospheric
Administration, NOAA officers.
Personnel separated from service in all
the preceding categories.
CATEGORIES OF RECORDS IN THE SYSTEM:

Identifying information, such as
name(s), date of birth, home residence,
mailing address, social security number,
payroll information, and home
telephone number. Work experience,
educational level achieved, and
specialized education or training
obtained in and outside of military
service. Military duty assignments,
ranks held, pay and allowances,
personnel actions such as promotions,
demotions, or separations. Enrollment
or declination of enrollment in
insurance programs. Performance
evaluation. Individual’s desires for
future assignments, training requested,
and notations by assignment officers.
Information for determinations of
waivers and remissions of indebtedness
to the United States Government.
Information for the purpose of
validating legal requirements for
garnishment of wages.
AUTHORITY FOR MAINTENANCE OF SYSTEM:

5 U.S.C. 301; 14 U.S.C. 92(I), 632; 5
U.S.C. 5501–5597; 49 CFR 1.45, 1.46.
PURPOSE(S):

Administer the Coast Guard pay and
personnel system.
ROUTINE USE OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

To the Department of Treasury for the
purpose of disbursement of salary,
United States Savings Bonds,
allotments, or travel claim payments. To
government agencies to disclose
earnings and tax information. To the
Department of Defense and Veterans
Administration for determinations of
benefit eligibility for military members
and their dependents. To contractors to
manage payment and collection of
benefit claims. To the Department of
Defense for manpower and readiness
planning. To the Comptroller General
for the purpose of processing waivers
and remissions. To contractors for the
purpose of system enhancement,
maintenance, and operations. To
federal, state, and local agencies for
determination of eligibility for benefits

VerDate 202000

19:33 Apr 10, 2000

connected with the Federal Housing
Administration programs. To provide an
official of another federal agency
information needed in the performance
of official duties to reconcile or
reconstruct data files in support of
functions for which the records were
collected and maintained. To an
individual’s spouse, or person
responsible for the care of the
individual concerned when the
individual to whom the record pertains
is mentally incompetent, critically ill or
under other legal disability for the
purpose of assuring the individual is
receiving benefits or compensation they
are entitled to receive. To a requesting
government agency, organization, or
individual the home address and other
relevant information on those
individuals who, it is reasonably
believed, might have contracted an
illness, been exposed to, or suffered
from a health hazard while a member of
government service. To businesses for
the purpose of electronic fund transfers
or allotted pay transactions authorized
by the individual concerned. To credit
agencies and financial institutions for
the purpose of processing credit
arrangements authorized by the
individual concerned. To other
government agencies for the purpose of
earnings garnishment. To prepare the
Officer Register and Reserve Officer
Register which is provided to all Coast
Guard officers and the Department of
Defense. To other federal agencies and
collection agencies for the collection of
indebtedness and outstanding travel
advances to the federal government. The
home mailing addresses and telephone
numbers of members and their
dependent/s to duly appointed Family
Ombudsman and personnel within the
Coast Guard for the purpose of
providing entitlement information to
members or their dependents.
See Prefatory Statement of General
Routine Uses, 3 and 5 do not apply.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Computer disks, magnetic tape
microfilm, and paper forms in file
folders.
RETRIEVABILITY:

Name or social security number.
SAFEGUARDS:

Computers provide privacy and
access limitations by requiring a user

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name and password match. Access to
decentralized segments are similarly
controlled. Only those personnel with a
need to have access to the system are
given user names and passwords. The
magnetic tape backups have limited
access in that users must justify the
need and obtain tape numbers and
volume identifiers from a central source
before they are provided data tapes.
Paper record and microfilm records are
in limited access areas in locking
storage cabinets.
RETENTION AND DISPOSAL:

Leave and Earnings Statements, and
pay records are microfilmed and
retained on site four years, then
archived at the Federal Record Center,
and destroyed when 50 years old. The
official copy of the personnel record is
maintained in the Official Officer
Service Records, DOT/CG 626 for active
duty officers, the Enlisted Personnel
Record System, DOT/CG 629 for active
duty enlisted personnel or the Official
Coast Guard Reserve Service Record,
DOT/CG 576 for inactive duty reservists.
Duplicate magnetic copies of the pay
and personnel record are retained at an
off site facility for a useful life of seven
years. Paper records for waivers and
remissions are retained on site six years
three months after the determination
and then destroyed. Paper records to
determine legal sufficiency for
garnishment are retained on site six
years three months after the member
separates from the service or the
garnishment is terminated and then
destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

For active duty members of the Coast
Guard: Chief, Office of Personnel,
United States Coast Guard
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001. For Coast
Guard inactive duty reserve members
and retired Coast Guard reservists
awaiting pay at age 60: Chief, Office of
Reserve Affairs, United States Coast
Guard Headquarters, 2100 2nd Street,
SW., Washington, DC 20593–0001. For
Coast Guard Waivers and Remissions:
Chief, Personnel Services Division, G–
PMP, Office of Personnel, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20590–
0001. For records used to determine
legal sufficiency for garnishment of
wages and pay records: Commanding
Officer, LGL, United States Coast Guard
Human Resources Service and
Information Center, 444 SE. Quincy
Street, Topeka, KS 66683–3591. For data
added to the decentralized data segment
the commanding officer, officer-incharge of the unit handling the

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individual’s pay and personnel record,
or Chief, Administrative Services
Division for individuals whose records
are handled by Coast Guard
Headquarters. For NOAA members:
National Oceanic and Atmospheric
Administration, Commissioned
Personnel Division, 11400 Rockville
Pike, Rockville, MD 20852.
NOTIFICATION PROCEDURE:

For all information on Coast Guard
members other than below: United
States Coast Guard Headquarters, G-SII,
2100 2nd Street, SW., Washington, DC
20593–0001. For records used to
determine legal sufficiency for
garnishment of wages and pay records:
Commanding Officer, United States
Coast Guard Human Resources Service
and Information Center, 444 S.E. Quincy
Street, Topeka, KS 66683–3591. For data
added to the decentralized data segment
the commanding officer, officer-incharge of the unit handling the
individual’s pay and personnel record,
or Chief, Administrative Services
Division for individuals whose records
are handled by Coast Guard
Headquarters. Addresses for the units
handling the individual’s pay and
personnel record are available from the
individual’s commanding officer. For all
information on NOAA members:
National Oceanic and Atmospheric
Administration, Commissioned
Personnel Division, 11400 Rockville
Pike, Rockville, MD 20852.
Same as ‘‘Notification procedure’’.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure’’.
RECORD SOURCE CATEGORIES:

Official Officer Service Records, DOT/
CG 626. Enlisted Personnel Record
System, DOT/CG 629. Official Coast
Guard Reserve Service Record, DOT/CG
676. Individual, Coast Guard personnel
officials, National Oceanic and
Atmospheric Administration personnel
officials, and the Department of Defense.

All regular Coast Guard personnel on
active duty. All reserve Coast Guard
personnel on extended active duty and
Reserve personnel on initial active duty
for training.
CATEGORIES OF RECORDS IN THE SYSTEM:

A single computer record that
currently contains about 450 data
elements on each member. Some data
elements are used only for enlisted,
others only for officers. The file contains
personal information such as name,
place of birth, rank, location, etc. The
file also contains pay date elements
which will form the basis for deriving
pay entitlements for Coast Guard
military personnel under the Joint
Uniform Military Pay System, JUMPS.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

None.
DOT/CG 624
SYSTEM NAME:

Personnel Management Information
System, PMIS.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

PURPOSE(S):

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

United States Coast Guard,
Commanding Officer Human Resources

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses, 3 through 5 do not apply.

Name or Social Security Number or a
combination of personal and nonpersonal characteristics.
The computer provides privacy and
access limitations by requiring a user
name and password match. In addition

Sfmt 4703

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’.
RECORD SOURCE CATEGORIES:

Official service record entries
prepared by field units.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SYSTEM NAME:

RETRIEVABILITY:

Fmt 4701

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

DOT/CG 625

STORAGE:

Frm 00031

SYSTEM MANAGER(S) AND ADDRESS:

CONTESTING RECORD PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PO 00000

End-of-Year system backup tapes and
day-to-day transaction tapes are retained
indefinitely. Statistical and other report
extract tapes are recycled into the
system and consequently destroyed.
Paper working files are disposed of in
accordance with current record disposal
instructions.

Same as ‘‘Notification procedure’’.

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)).

Jkt 190000

RETENTION AND DISPOSAL:

NOTIFICATION PROCEDURE:

SAFEGUARDS:

SYSTEM LOCATION:

each element of the file has its own
level of accessibility which must be
held by the user. Only those staff
components at Headquarters with a
need to have access to the file are given
user names and passwords. Access to
the ‘‘Time Share’’ extract is similarly
controlled. The backup tapes and
monthly dumps also have limited access
in that users must justify the need
before they are provided the tape
numbers.

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

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

The storage is on computer disks with
tape backups. The file is updated once
a week. Once a month the file is
dumped to a tape file for historical
purposes.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

19:33 Apr 10, 2000

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD ACCESS PROCEDURES:

VerDate 202000

Service and Information Center, 444 SE
Quincy St., Topeka, KS 66683–3591.

Officer Selection and Appointment
System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Department of Transportation, DOT,
Commander, United States Coast Guard,
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.
Records are also located at Director,
Coast Guard Recruiting Center, 4200
Wilson Blvd., Suite 450, Arlington, VA
22203 and individual recruiting offices.
Use Appendix I for locations.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Applicants for Coast Guard Officer
Candidate School or direct commission
programs of the Coast Guard.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information in the system is supplied
by applicants and also by persons, other
than the applicants, who submit
information pertinent to the suitability
of the applicants for commissioned
service in the Coast Guard.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 10 U.S.C. 591, 12201, 14
U.S.C. 211–295, 632; 49 CFR 1.45, 1.46.
PURPOSE(S):

The primary purpose is to aid officials
and employees of the Coast Guard in the
performance of their duties in managing
and contributing to the recruitment and
appointment of men and women for
officer programs in the regular and
reserve components of the Coast Guard.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The Attorney General of the United
States or his authorized representatives
in connection with litigation, fraudulent
enlistment or other matters under the
jurisdiction of such agencies. Official
employees of the Veterans
Administration and Selective Service
Administration in the performance of
their official duties related to enlistment
and reenlistment eligibility and related
benefits. The Senate or the House of
Representatives of the United States or
any committee or subcommittee on
matters within their jurisdiction
requiring disclosure of files or records of
personnel covered by this system.
See Prefatory Statement of General
Routine Uses, 3 through 5 do not apply.

RETENTION AND DISPOSAL:

Application files for non-selected
officer candidate applicants are
destroyed after six months and nonselected applicants for direct
commission are destroyed after one
year. Files for all selected applicants are
placed in the selectee’s officer personnel
folder.
SYSTEM MANAGER(S) AND ADDRESS:

Department of Transportation ,
Commander, U. S. Coast Guard
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.
NOTIFICATION PROCEDURE:

Department of Transportation, United
States Coast Guard Headquarters,
Commandant, G–SII, 2100 2nd Street,
SW., Washington, DC 20593–0001.
RECORD ACCESS PROCEDURES:

Procedure may be obtained by writing
to or visiting Commandant, G–SII at the
address in ‘‘Notification Procedure’’ or
to the applicable Coast Guard District
Office. A letter request should contain
full name, address, social security
number, approximate date of
application, and signature. Proof of
identification will consist of military
identification card, driver’s license or
other official identification.
CONTESTING RECORD PROCEDURES:

contracts, or access to classified
information may be withheld from
disclosure but only to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or,
prior to December 31, 1974, under an
implied promise that the identity of the
source would be held in confidence.
Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C. 552a(k)(7), which
provide, in part, that evaluation material
used to determine potential for
promotion in the armed services may be
withheld from disclosure but only to the
extent that the disclosure of such
material would reveal the identity of a
source who furnished information to the
Government under an express promise
that the identity of a source would be
held in confidence, or, prior to
December 31, 1974, under an implied
promise that the identity of the source
would be held in confidence.
DOT/CG 626
SYSTEM NAME:

Official Officer Service Records.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

Same as ‘‘Record access procedures.’’
RECORD SOURCE CATEGORIES:

SYSTEM LOCATION:

Commander, U.S. Coast Guard
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.
National Personnel Records Center,
9700 Page Boulevard, St. Louis, MO
63112. Individual officer’s unit.

Paper records are stored in file
folders.

Coast Guard recruiting personnel and
employee processing application.
Medical personnel conducting physical
examination and private physicians
providing consultations or patient
history. Character and employer
references named by applicants.
Educational institutions, staff and
faculty members. Selective Service
Commission. Local state and Federal
law enforcement agencies. Prior or
current military service record.
Commanding officer of Coast Guard
unit, if active duty. Coast Guard offices
charged with personnel security
clearance functions.
Other Coast Guard officials and
employees in the performance of their
official duties and as specified by
current instructions and regulations
promulgated by competent authority.

RETRIEVABILITY:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The system is indexed alphabetically
by name of applicant and is retrieved by
name.

Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C. 552a(k)(5), which
provide, in part, that investigatory
material compiled solely for the purpose
of determining suitability, eligibility, or
qualifications for Federal civilian
employment, military service, Federal

5 U.S.C. 301; 14 U.S.C. 93, 632; 10
U.S.C. 1071–1107, 1475–1480, 14 U.S.C.
251–295; 49 CFR 1.45, 1.46.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

N/A.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

SAFEGUARDS:

Records kept in file cabinets locked
after working hours. Buildings have 24hour security guards and limited access.

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20:52 Apr 10, 2000

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All Commissioned officers of the
Coast Guard on active duty, permanent
or disability retired lists. Regular
officers who resign and do not accept a
Reserve commission.
CATEGORIES OF RECORDS IN THE SYSTEM:

General file & service record card.
Fitness File & Officer Summary Records.
Medical File. Medical History for
officers on the Temporary Disability
Retired List.

PURPOSE(S):

Normal administrative procedures,
including assignment, promotion,
training, special recognition, etc.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Physical Evaluation Boards. Board for
Correction of Military Records.
Answering of Congressional and
personal inquiries initiated by the
individual whose record is concerned.
Preparation of forms, statements
compilations, and computations
necessary in the daily personnel
administration of each individual
entering reentering or leaving the Coast
Guard. (Routine personnel
administration requires copies of this
and other service record material to be
included in administrative files
physically separated from the record;
however, the original of this material
will be included in the official service
record maintained at Coast Guard
Headquarters). Furnishing of
information (authorized and specified
by the individual concerned) normally
concerned with employment,
educational or veteran benefits, claims
or applications. Furnishing specified
material in an officer’s service record
pursuant to the order of a court of
competent jurisdiction. Personnel from
other Federal Agencies in the conduct of
official business, as authorized by the
Chief, Officer Personnel Management
Division or Chief, Reserve Personnel
Management Division, or their
designated representative. See Prefatory
Statement of General Routine Uses, 3
through 5 do not apply.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records are maintained on paper and
in digitized form. The paper records are
stored in files in a controlled access
area. The digitized records are stored on
hard drives accessed via password by
designated Coast Guard personnel.
RETRIEVABILITY:

Individual records are indexed and
retrievable by name and/or last four
digits of member’s service number.
SAFEGUARDS:

During working hours physical access
to records is controlled by the Personnel

19:33 Apr 10, 2000

RETENTION AND DISPOSAL:

Each individual record is maintained
at Coast Guard Headquarters until three
months after retirement/resignation,
after which is shipped to the National
Personnel Records Center (Military
Personnel Records), 9700 Page
Boulevard, St. Louis, MO 63132. After
the separation documents are received,
records of Reserve Officers released
from active duty and Regular Officers
who resign and accept Reserve
Commissions are sent to the United
States Coast Guard Headquarters, 2100
2nd Street, SW., Washington, DC
20593–0001.
SYSTEM MANAGER(S) AND ADDRESS:

Commander, U.S. Coast Guard,
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.
NOTIFICATION PROCEDURE:

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
Same as ‘‘Notification procedure’’.
Same as ‘‘Notification procedure’’.
Personal interview and voluntary
submissions by individuals. Training/
Educational Reports. Fitness Reports.
USCG District Offices and other
operating units of the Coast Guard.
Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C. 552a(k)(5), which
provide, in part, that investigatory
material compiled solely for the purpose
of determining suitability, eligibility, or
qualifications for Federal civilian
employment, military service, Federal
contracts, or access to classified
information may be withheld from
disclosure, but only to the extent that
the disclosure of such material would
reveal the identity of a source who
furnished information to the
Government under an express promise
that the identity of the source would be
held in confidence, or, prior to
December 31, 1974, under an implied
promise that the identity of the source
would be held in confidence. Portions
of this system of records may be exempt

Frm 00033

Fmt 4701

SYSTEM NAME:

Enlisted Recruiting Selection Record
System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Commander, U. S. Coast Guard
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.
Director, Coast Guard Recruiting Center,
4200 Wilson Blvd., Suite 450, Arlington,
VA 22203 and Coast Guard recruiting
offices.

CATEGORIES OF RECORDS IN THE SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

PO 00000

DOT/CG 627

Records and correspondence
pertaining to prospective applicants,
applicants for regular and reserve
enlisted programs, and any other
individuals who have initiated
correspondence pertaining to enlistment
in the United States Coast Guard.

CONTESTING RECORD PROCEDURES:

Jkt 190000

from disclosure under the provisions of
5 U.S.C. 552a(k)(7), which provide, in
part, that evaluation material used to
determine potential for promotion in the
armed services may be withheld from
disclosure but only to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the government under an
express promise that the identity of the
source would be held in confidence, or,
prior to December 31, 1974, under an
implied promise that the identity of the
source would be held in confidence.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORD ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

Disclosures may be made from this
systems to ‘‘consumer reporting
agencies’’ (collecting on behalf of the
United States Government) as defined in
the Fair Credit Reporting Act (15 U.S.C.
1681a(f) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

VerDate 202000

Command, CGPC. Records are
maintained in a central storage area
locked behind two separate doors
during non-working hours in the
building, which has roving and static
security patrols.

Sfmt 4703

Records and correspondence in both
automated and non-automated forms
concerning personal history, education,
professional qualifications, mental
aptitude, physical qualifications,
character and interview appraisals,
National Agency Checks and
certifications, service performance and
congressional or special interests.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 10 U.S.C. 503, 504,
1168, 1169, 1475–1480; 14 U.S.C. 350–
373, 632; 49 CFR 1.45, 1.46.
PURPOSE(S):

The primary purpose is to serve for
officials and employees of the United
States Coast Guard, in the performance
of their duties in managing and
contributing to the recruitment program
of the Coast Guard and Coast Guard
Reserves.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The Comptroller General or any of his
authorized representatives, upon
request, in the course of the
performance of duties of the General
Accounting Office relating to the
management or quality of military
recruitment. Officials and employees of
other Departments and agencies of the
Executive Branch of government, upon
request, in the performance of their
official duties related to the
management or quality of military
recruitment. Officials and employees of
the Veterans Administration and
Selective Service System in the
performance of their official duties
related to enlistment and reenlistment
eligibility and related benefits. Such
contractors and their employees as are
or may be operating in accordance with
an approved official contract with the
United States Government. See
Prefatory Statement of General Routine
Uses; 3 through 5 do not apply.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Automated records are stored on
magnetic tape. Paper records are stored
in file folders.
RETRIEVABILITY:

Alphabetically by name of subject and
social security number.
SAFEGUARDS:

Records are accessible only to
authorized personnel within the Coast
Guard recruiting organization and are
handled with security procedures
appropriate for documents marked ‘‘For
Official Use Only.’’
RETENTION AND DISPOSAL:

Records are normally maintained for
two years and then disposed of by
mutilating, shredding, or burning.
SYSTEM MANAGER(S) AND ADDRESS:

Commander, U. S. Coast Guard,
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.

CONTESTING RECORD PROCEDURES:

SYSTEM LOCATION:

Commander, U.S. Coast Guard,
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.

Same as ‘‘Notification procedure’’.
RECORD SOURCE CATEGORIES:

Coast Guard recruiting personnel and
administrative staff. Medical personnel
or private physicians providing
consultations or patient history.
Character and employer references.
Educational institutions, staff and
faculty members. Selective Service
System. Local, State, and Federal law
enforcement agencies. Prior or current
military service records. Members of
Congress. Other officials and employees
of the Coast Guard, Department of
Defense and components thereof, in the
performance of their duties and as
specified by current instructions and
regulations promulgated by competent
authority.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C. 552a(k)(5), which
provide, in part, that investigatory
material compiled solely for the purpose
of determining suitability, eligibility, or
qualification of Federal civilian
employment, military service, Federal
contracts, or access to classified
information may be withheld from
disclosure but only to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence or,
prior to December 31, 1974, under an
implied promise that the identity of the
source would be held in confidence.
Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C. 552a(k)(7), which
provide, in part, that evaluation material
used to determine for promotion in the
armed services may be withheld from
disclosure but only to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of a
source would be held in confidence, or,
prior to December 31, 1974, under an
implied promise that the identity of the
source would be held in confidence.

Civilian or military personnel who
have taken the following tests: United
States Navy Officer Qualification Test,
OQT; United States Navy and United
States Marine Corps Aviation Selection
Test (AST); United States Navy Basic
Test Battery, BTB (retests); the
Cooperative Tests for Advanced
Electronic Training, AET TESTS; the 16
Personality Factor Test used for
screening of enlisted personnel for
recruiting duty; Professional
Examination for Merchant Mariners.
CATEGORIES OF RECORDS IN THE SYSTEM:

Answer sheets, electronic files.
5 U.S.C. 301; 14 U.S.C. 632; 46 U.S.C.
7306, 7313, 7316; 49 CFR 1.45, 1.46.
PURPOSE(S):

Provide test results if an applicant
(military or civilian) applies for an
officer program or is already in the
military and interested in a certain
training program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses: 3 through 5 do not apply.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

File folders, case files, and electronic
media.
RETRIEVABILITY:

By name or electronically by social
security number.
SAFEGUARDS:

Combination-type safe, locked files.
Test results are given only on a need to
know basis to authorized personnel.
Only custodian of safes and alternate
custodian have access.

DOT/CG 628

RETENTION AND DISPOSAL:

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

SYSTEM NAME:

Test answer sheets are destroyed after
2 years. Card file—destroyed after 4
years.

RECORD ACCESS PROCEDURES:

SECURITY CLASSIFICATION:

NOTIFICATION PROCEDURE:

Officer, Enlisted, and Recruiter
Selection System File.

Same as ‘‘Notification procedure’’.

VerDate 202000

19:33 Apr 10, 2000

Commander, U.S. Coast Guard,
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.

Unclassified—sensitive.

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SYSTEM MANAGER(S) AND ADDRESS:

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices
NOTIFICATION PROCEDURE:

individual’s eligibility for benefits
administered by that agency, and to
medical facilities maintained by the
Department of Health, Education and
Welfare in conjunction with medical
treatment afforded an individual. See
Prefatory Statement of General Routine
Uses: 3 through 5 do not apply.

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:

Individuals concerned and United
States Coast Guard recruiting officials.
United States Marine Corps officials.
United States Navy Recruiting officials,
United States Navy Bureau of Medicine
Surgery officials.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Enlisted Personnel Record System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
Commander, U.S. Coast Guard
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.
District offices and Headquarters Units.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All enlisted members of the Coast
Guard now serving on active duty
(including enlisted members of the
Reserve on extended active duty), and
members who have been temporarily or
permanently retired or discharged.
CATEGORIES OF RECORDS IN THE SYSTEM:

Enlisted contract package, record of
emergency, data, leave records,
performance ratings, administrative
remarks, medical records. All other
requisite Coast Guard personnel forms,
and pertinent miscellaneous
correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 10 U.S.C. 1071–1107,
12201, 14 U.S.C. 350–373, 632; 49 CFR
1.45, 1.46.
PURPOSE(S):

Normal administrative procedures,
including assignment, promotion,
training, special recognition, etc.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Data are provided to the Veterans
Administration for determination of an

19:33 Apr 10, 2000

Same as ‘‘Record access procedures.’’
RECORD SOURCE CATEGORIES:

Information is obtained from the
individual, and Coast Guard Officials.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Portions of this system may be exempt
under the provisions of 5 U.S.C.
552a(k)(5) and (7).

SYSTEM NAME:

Coast Guard Family Housing.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Commandant, G–WP, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Each Integrated Support
Command and Headquarters Unit.

RETRIEVABILITY:

SYSTEM LOCATION:

Same as ‘‘Notification procedure’’ or
the local Coast Guard District or unit
administrative officer for the area in
which an individual’s duty station is
located.

DOT/CG 630

Paper records are stored in files in a
room with controlled access. Digitized
records are stored on hard drives
accessed via password by designated
Coast Guard personnel.

SYSTEM NAME:

VerDate 202000

Disclosures may be made from this
systems to ‘‘consumer reporting
agencies’’ (collecting on behalf of the
United States Government) as defined in
the Fair Credit Reporting Act (15 U.S.C.
1681a(f) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

STORAGE:

DOT/CG 629

RECORD ACCESS PROCEDURES:

CONTESTING RECORD PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Portions of this system are exempt
under the provisions of 5 U.S.C.
552a(k)(5), (6), and (7).

Street, SW., Washington, DC 20593–
0001.

Name of individual or the last three
digits of individual’s social security
number.
SAFEGUARDS:

Records maintained at Coast Guard
Headquarters are located in a central
storage area, locked behind two separate
doors during non-working hours, in a
building with a roving security patrol.
Records at field units are maintained in
Government office buildings with offduty hours security. During working
hours, access to records is controlled by
office personnel.
RETENTION AND DISPOSAL:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Military and civilian personnel of all
pay grades who made application for
government and/or government leased
housing. Military personnel who make
applications in locating community
housing. Certain government employees
occupying government housing.
Military or civilian personnel who have
corresponded with the President, a
Congressman, or the Commandant
concerning family housing.

Maintained at CGPC until three
months after an enlisted member is
discharged, permanently retired for
physical disability, or retired for years
of service, after which records are
transmitted for permanent storage to
National Personnel Records Center,
(Military Personnel Records), GSA, 9700
Page Boulevard, St. Louis, MO. 63132.
In the case of members transferred to the
Reserve, their records are sent to
Commandant (G-WT) after separation
documents are received.

CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Commander, U.S. Coast Guard,
Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593–0001.

5 U.S.C. 301; 14 U.S.C. 475, 620, 632,
681, 687; 49 CFR 1.45, 1.46.

NOTIFICATION PROCEDURE:

Placing the applicant in government
owned or leased housing or community
housing.

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd

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Sfmt 4703

Applicants name, pay grade, marital
status, current address and dependent
information maintained for the Coast
Guard Housing System. Includes
housing survey; computer data
summaries are maintained for the family
housing survey. Copies of
correspondence from individual to the
President, a Congressman or the
Commandant, inquiry sheets, and
replies maintained for Congressional
correspondence files.

PURPOSE(S):

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Assessing housing needs of District
and Headquarters Units. Answering
inquiries from individuals,
Congressmen or the Commandant
concerning family housing. Preparing
Budgets. See Prefatory Statement of
General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

SYSTEM LOCATION:

RETRIEVABILITY:

Commandant, G–WP, U.S. Coast
Guard Headquarters, 2100 2nd St. SW.,
Washington, DC 20593–0001. District,
Maintenance and Logistics Command,
MLC, or Headquarters Unit Social
Worker’s office, at the duty station of
the sponsor, and at selected medical
facilities. District, MLC, or Headquarters
Unit Family Advocacy Representative,
FAR under whose jurisdiction an
incident occurred.

Name, social security number, types
of incidents, etc.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Name of individual, Coast Guard
command, and date received.
SAFEGUARDS:

CATEGORIES OF RECORDS IN THE SYSTEM:

File Folder.
RETRIEVABILITY:

Maintained until applicant is placed
in housing, then destroyed. Records
concerning Congressional
correspondence are maintained
indefinitely.

Medical records of suspected and
confirmed cases of family member abuse
or neglect, investigative reports,
correspondence, family advocacy
committee reports, follow up and
evaluation reports, and any other
supportive data assembled relevant to
individual family advocacy program
files.

SYSTEM MANAGER(S) AND ADDRESS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

5 U.S.C. 301; 14 U.S.C. 632, 42 U.S.C.
5101, 5102; 49 CFR 1.45, 1.46.

Maintained in locked file cabinets and
desk file drawers.
RETENTION AND DISPOSAL:

Coordination of the Coast Guard’s
Family Advocacy program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’ or
the local Coast Guard District Office.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures.’’
RECORD SOURCE CATEGORIES:

Applicant, individuals who complete
family housing survey forms, initiate
correspondence concerning family
housing, and Coast Guard Officials.

To Federal, State and Local
government or private agencies for
coordination of family advocacy
programs, medical care, mental health
treatment, civil or criminal law
enforcement, and research into the
causes and prevention of family
domestic violence. To individuals or
organizations providing family support
program care under contract to the
Federal Government. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SYSTEM NAME:

Family Advocacy Case Record
System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

VerDate 202000

19:33 Apr 10, 2000

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Fmt 4701

Sfmt 4703

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. MLC, district, or unit where the
individual is assigned.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:

Reports from medical personnel,
educational institutions, law
enforcement agencies, public and
private health and welfare agencies,
Coast Guard personnel and private
individuals.

DOT/CG 632
SYSTEM NAME:

File folders, microfilm, magnetic tape,
punched cards, machine lists, discs, and
other computerized or machine readable
media.

PO 00000

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

Part of this system may be exempt
under 5 U.S.C. 552a(k)(2) and (5).

STORAGE:

Jkt 190000

SYSTEM MANAGER(S) AND ADDRESS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

DOT/CG 631

Records will be maintained at a
decentralized location until the case is
closed or the sponsor is separated. Upon
case closure or separation of the
sponsor, the record will be transferred
to Commandant, G–WPW. The record
will be retained for 5 years from case
closure or date of last action. At the end
of 5 years the record will be destroyed,
except for information concerning
certain minor Coast Guard dependents
who were victims or suspected victims
of child abuse, neglect or sexual abuse
will be retained until the dependent
attains majority.

NOTIFICATION PROCEDURE:

PURPOSE(S):

NOTIFICATION PROCEDURE:

Maintained in various kinds of locked
filing equipment in specified monitored
or controlled access rooms or areas.
Records are accessible only to
authorized personnel. Computer
terminals are located in supervised
areas, with access controlled by
password or other user code system.
RETENTION AND DISPOSAL:

Active duty, reserve and retired
personnel and dependents entitled to
care at Coast Guard or any other military
medical and dental facility whose abuse
or neglect is brought to the attention of
appropriate authorities, and persons
suspected of abusing or neglecting such
beneficiaries.

STORAGE:

SAFEGUARDS:

Uniformed Services Identification and
Privilege Card Record System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

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SYSTEM LOCATION:

NOTIFICATION PROCEDURE:

SAFEGUARDS:

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

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

Kept in locked cabinets and safes.
Individual identification is required for
users of records.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORD ACCESS PROCEDURES:

Upon termination of employment
investigative files for civilians, which
serve as a basis for security clearances,
are returned to the Office of Personnel
Management. A name record of type of
investigation is kept for 5 years and then
destroyed by burning.

Dependents of United States Coast
Guard personnel (active, retired, reserve
and deceased). Former Coast Guard
personnel who have been rated by the
Veterans Administration as onehundred percent disabled and their
eligible dependents.

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:

Sponsor and/or dependents.

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

None.

Applications for Uniformed Service
Identification and Privilege Card, DD–
1172. Verification for eligibility to
possess the Identification and Privilege
Card, DD–1173. Pertinent miscellaneous
correspondence.

DOT/CG 633
SYSTEM NAME:

Coast Guard Civilian Personnel
Security Program.

5 U.S.C. 301; 14 U.S.C. 632, 49 CFR
1.45, 1.46; E.O. 9397; COMDTINST
5512.1.
PURPOSE(S):

Verify that an applicant is entitled to
be issued an Identification and Privilege
Card.

SYSTEM LOCATION:

Same as ‘‘Notification procedure’’ or
the local office or unit.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Verification provided to other Armed
Forces authorized personnel as
required. See Prefatory Statement of
General Routine Uses.

CATEGORIES OF RECORDS IN THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Commandant, G–WP, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Each District Office and
Headquarters Unit.

Coast Guard Civilian Personnel.
Applicants for civilian positions.

None.

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

Unclassified—sensitive.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

NOTIFICATION PROCEDURE:

SECURITY CLASSIFICATION:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RECORD SOURCE CATEGORIES:

Civil Service Investigative Reports,
Personnel Security Clearance requests
and forms SF–85, SF–86 and SF–171.

Records of civilian security clearance
granted. Correspondence and requests
concerning civilian personnel security
actions.

DOT/CG 634
SYSTEM NAME:

Child Care Program Record System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RETRIEVABILITY:

Alphabetical by name.
SAFEGUARDS:

Maintained in file cabinets. During
working hours access to records is
controlled by office personnel. During
non-working hours building is patrolled
by roving security guards.
RETENTION AND DISPOSAL:

Retained for 10 years, then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Suitability for sensitive positions. See
Prefatory Statement of General Routine
Uses; 3 through 5 do not apply.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

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

Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C. 552a(k)(5) and (7).

5 U.S.C. 301, 5102, 14 U.S.C. 632; 49
CFR 1.45, 1.46.
Determine eligibility for access to
classified information under Executive
Order 11652.

Maintained in file folders.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PURPOSE(S):

STORAGE:

19:33 Apr 10, 2000

SYSTEM MANAGER(S) AND ADDRESS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

VerDate 202000

RETENTION AND DISPOSAL:

File folder—3x5 Index cards.
RETRIEVABILITY:

Jkt 190000

By name of individual.

PO 00000

Frm 00037

Fmt 4701

Sfmt 4703

At the facility where the care was
provided or is being provided.
CATEGORIES OF INDIVIDUALS COVERED BY
SYSTEM:

Children enrolled in a U.S. Coast
Guard child care program. Children
being cared for in U.S. Coast Guard
family quarters. Eligible children of
active duty members of the Uniformed
Services and children of Federal
employees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information about the family; medical
history of child; authorization for
emergency medical care; permission for
field trips; authorization to release child
to someone other than parent;

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establishment of eligibility for
participation in State or Federally
sponsored programs; communication
between the care provider and parents
about child; and other necessary records
to protect health and safety of children.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 515, 632; 49
CFR 1.45, 1.46; COMDTINST 1754.15.
PURPOSE(S):

Administer the Coast Guard’s Child
Care Program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Provided to Federal, State, or local
governments and agencies to report
medical conditions and other data
required by law; to aid in preventive
health and communicable disease
control problems. Provided to
Department of Agriculture for use in
determining eligibility to participate in
the Child Care Food Program. See
Prefatory Statement of General Routine
Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

Street, SW., Washington, DC 20593–
0001. Child care facility that provided
care.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD ACCESS PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

None.

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

STORAGE:

Same as ‘‘Notification procedure.’’

Case file and card index file.

RECORD SOURCE CATEGORIES:

Parents or medical personnel familiar
with the child’s medical history.

STORAGE:

Maintained on forms in file folders or
in computer file.
RETRIEVABILITY:

DOT/CG 636

Kept in locked filing cabinet.
Personnel are screened prior to granting
access.

SYSTEM NAME:

RETENTION AND DISPOSAL:

Personal Affairs Record System Coast
Guard Military Personnel.

Maintained for 5 years after action
completed and then destroyed.

SECURITY CLASSIFICATION:

SYSTEM MANAGER(S) AND ADDRESS:

None.

Unclassified—sensitive.

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

SYSTEM LOCATION:

Commandant, G–WK, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Each District and Headquarters
Unit. See Appendix I for locations.

NOTIFICATION PROCEDURE:

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

Active duty and retired Coast Guard
military personnel who have been
subject to damage arising out of
domestic relations disputes, alleged
personal indebtedness, and claims of
alleged paternity.

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’ or
the local Coast Guard District Office or
unit for the area in which an
individual’s duty station is located.
CONTESTING RECORD PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Name of child.
SAFEGUARDS:

Files are maintained in a secured
filing cabinet. Access is regularly
limited to authorized center staff. Files
for child care in U.S. Coast Guard family
quarters are maintained in a cabinet or
drawer in the quarters.
RETENTION AND DISPOSAL:

Child’s record file is destroyed 3 years
after date of last action. Registration/
medical forms may be sent to another
facility if child transfers. CCFP
eligibility records are transferred to an
audit file at the end of each year where
they are not retrieved by child’s name.
Audit records are destroyed after 3 years
or after audited, whichever is sooner.

Alphabetical listing.
SAFEGUARDS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

Same as ‘‘Record access procedures.’’

Case files containing complaint
concerning alleged personal
indebtedness, complaints arising out of
domestic relations disputes, claims of
alleged paternity. Files contain
correspondence including investigative
steps, response to complaints and
follow up correspondence on recurring
complaints. Index card files contain
summary of material contained in case
file for each reference.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 10 U.S.C. 1058; 14
U.S.C. 632; 42 U.S.C. 666; 49 CFR 1.45,
1.46.

RECORD SOURCE CATEGORIES:

Complainants, their legal
representatives, and Coast Guard
officials.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/CG 637
SYSTEM NAME:

Appointment of Trustee or Guardian
for Mentally Incompetent Personnel.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

PURPOSE(S):

SYSTEM LOCATION:

SYSTEM MANAGER(S) AND ADDRESS:

Resolve complaints in an expeditious
manner.

Director, Personnel Management
Directorate, G–WP, United States Coast
Guard Headquarters, Washington, DC
20593–0001.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Commandant, G–WP, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Each District and Headquarters
Unit.

NOTIFICATION PROCEDURE:

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd

VerDate 202000

19:33 Apr 10, 2000

For reference in development of
future policy. See Prefatory Statement of
General Routine Uses; 3 through 5 do
not apply.

Jkt 190000

PO 00000

Frm 00038

Fmt 4701

Sfmt 4703

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Active duty and retired Coast Guard
military personnel.

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CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD SOURCE CATEGORIES:

Information relating to the mental
incompetency of certain Coast Guard
personnel. Records used to assist Coast
Guard Officials in appointing trustees
for mentally incompetent Coast Guard
persons.

Coast Guard officials, legal
representatives of individuals and/or
individuals concerned and
complainants.

PURPOSE(S):

Maintain information to determine
eligibility for VA benefits.

RETENTION AND DISPOSAL:

Destroyed three years after last
activity.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

None.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 10 U.S.C. 1443, 1448,
1449; 14 U.S.C. 632; 37 U.S.C. 601–604;
33 CFR 49.05; 49 CFR 1.45, 1.46.

password access limited to Alcohol
Program Managers.

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

DOT/CG 638
SYSTEM NAME:

U.S.C.G Alcohol Abuse Prevention
Program Record System.

NOTIFICATION PROCEDURE:

Same as ‘‘System location’’.

SECURITY CLASSIFICATION:

RECORD ACCESS PROCEDURES:

Unclassified—sensitive.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Information to prospective
appointees, including but not limited to
relatives, lawyers, physicians or other
designated representatives; and
Department of Veterans Affairs upon
request for the determination of
eligibility for benefits administered by
that agency. See Prefatory Statement of
General Routine Uses; 3 through 5 do
not apply.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Same as ‘‘System location’’.

SYSTEM LOCATION:

Commander, Atlantic Area, United
States Coast Guard, 431 Crawford Street,
Portsmouth, VA 23704. Commander,
Pacific Area, United States Coast Guard,
Coast Guard Island, Alameda, CA
94501–5100.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Locked file cabinet.

None.
DOT/CG 639

CATEGORIES OF RECORDS IN THE SYSTEM:

Request for Remission of
Indebtedness.

SYSTEM NAME:

5 U.S.C. 301; 5 U.S.C. 7901; 14 U.S.C.
632; 42 U.S.C. 4541; 49 CFR 1.45, 1.46;
COMDTINST M6330.1.

Alphabetical listing.

Personnel records. Medical records.
Security records. Treatment facility
reports. Post treatment aftercare reports.

Active duty Coast Guard personnel
receiving alcohol rehabilitation
treatment.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETRIEVABILITY:

Same as ‘‘System location’’.
RECORD SOURCE CATEGORIES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Name, Social Security Number, Prior
Service, Rate/Rank, Date of Birth,
History of Alcohol Abuse, Treatment
Center, Dates of Treatment, Notes on
Aftercare, and Final Disposition and
Type.

None.

CONTESTING RECORD PROCEDURES:

SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Commandant, G–WP, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Each District and Headquarters
Unit.

Stored in locked file cabinets. Access
restricted to representatives of
incompetent.

PURPOSE(S):

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Administer the Coast Guard Alcohol
Abuse Prevention program.

Active Duty Enlisted Coast Guard
Personnel.

RETENTION AND DISPOSAL:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

CATEGORIES OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

Maintained for 5 years after action is
complete then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

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

See Prefatory Statement of General
Routine Uses; 3 through 5 do not apply.

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

PURPOSE(S):

Aid in making determinations based
on the best interests of the individual
and the Government.

Maintained on file cards (3″ × 5″) and/
or a computer data base.

Same as ‘‘Notification procedure’’ or
the local Coast Guard District office or
unit having custody of the records.

RETRIEVABILITY:

CONTESTING RECORD PROCEDURES:

Maintained in locked filing cabinets.
The computer database is protected by

Same as ‘‘Record access procedures.’’

19:33 Apr 10, 2000

5 U.S.C. 301; 14 U.S.C. 461, 632; 49
CFR 1.45, 1.46.

None.

STORAGE:

RECORD ACCESS PROCEDURES:

VerDate 202000

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

NOTIFICATION PROCEDURE:

By the name of the individual.
SAFEGUARDS:

Jkt 190000

PO 00000

Frm 00039

Fmt 4701

Sfmt 4703

Correspondence, requests with
endorsements, research material,
paneling action, Commandant’s
decisions.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses: 3 through 5 do not apply.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PURPOSE(S):

Determine suitability for off duty
employment for Coast Guard members.

STORAGE:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Locked filing cabinets.
RETRIEVABILITY:

See Prefatory Statement of General
Routine Uses; 3 through 5 do not apply.

Alphabetical listing.
SAFEGUARDS:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Locked filing cabinets.

None.

RETENTION AND DISPOSAL:

Retained for 5 years after decision is
made, then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

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

Locked filing cabinets.
RETRIEVABILITY:

Alphabetical listing.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

Kept in locked filing cabinet. Access
restricted to individuals who request
outside employment, and authorized
Coast Guard officials. Proper
identification required.

CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures.’’
RECORD SOURCE CATEGORIES:

Individual, and Coast Guard Officials.

Provide for Federal Government
agency coordination of special needs
programs, medical care, mental health
treatment, and monitoring and tracking
special needs families.

SYSTEM MANAGER(S) AND ADDRESS:

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

CONTESTING RECORD PROCEDURES:

Outside Employment of Active Duty
Coast Guard Personnel.

RECORD SOURCE CATEGORIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Individual, and Coast Guard officials.

Unclassified—sensitive.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SYSTEM LOCATION:

Commandant (G–WP), United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Each District Office and
Headquarters Unit.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Active Duty and Reserve Coast Guard
Personnel.
CATEGORIES OF RECORDS IN THE SYSTEM:

Correspondence relating to
individual’s request for part time
employment.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 14 U.S.C. 92(I), 632; 49
CFR 1.45, 1.46; COMDTINST 1000.6A

19:33 Apr 10, 2000

SYSTEM NAME:

Coast Guard Special Needs Program.
Unclassified—sensitive.
SYSTEM LOCATION:

Commandant, G–WP, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. District, Maintenance and
Logistics Command (MLC), or
Headquarters Unit Social Worker’s
Office, Headquarters Unit Family
Advocacy Representative, FAR, at the
duty station of the sponsor, and at
selected medical facilities.

Frm 00040

Fmt 4701

Name, social security number and the
diagnosis or International Classification
of Diseases, ICD, code of the special
needs condition.
SAFEGUARDS:

SECURITY CLASSIFICATION:

PO 00000

File folder, microfilm, magnetic tape,
punched cards, machine lists, discs, and
other computerized or machine readable
media.
RETRIEVABILITY:

DOT/CG 641

Jkt 190000

See Prefatory Statement of General
Routine Uses.

None.

Same as ‘‘Record access procedures.

SECURITY CLASSIFICATION:

ROUTINE USE OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD ACCESS PROCEDURES:

SYSTEM NAME:

VerDate 202000

PURPOSE(S):

Retained indefinitely.

DOT/CG 640

None.

5 U.S.C. 301; 14 U.S.C. 335, 632; 49
CFR 1.45, 1.46; COMDTINST 1754.7A.

RETENTION AND DISPOSAL:

Same as ‘‘Notification procedure’’ or
the local Coast Guard District Office or
unit for the area in which an
individual’s duty station is located.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Extracts or copies of medical,
educational and psychological records
of member and/or dependents with
special needs, follow-up and evaluation
reports, and any other data relevant to
individual special needs program files
or overseas screening.

STORAGE:

SAFEGUARDS:

Same as ‘‘Notification procedure’’, or
the local Coast Guard District or unit for
the area in which an individual’s duty
station is located.

Active duty and retired Coast Guard
personnel and their dependents who
have diagnosed medical, physical,
psychological, or educational need
which constitutes a developmental
disability or handicapped condition.
Active duty Coast Guard personnel and
their dependents considered for
overseas assignment.
CATEGORIES OF RECORDS IN THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Sfmt 4703

Various kinds of locked filing
equipment in specified monitored or
controlled access rooms or areas.
Records are accessible only to
authorized personnel. Computer
terminals are located in supervised
areas, with access controlled by
password or other user code system.
RETENTION AND DISPOSAL:

Maintained at a decentralized location
until the sponsor is separated or the
dependent is no longer diagnosed as

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having special needs. Upon separation
of the sponsor or when the dependent
is no longer diagnosed as having special
needs, the record will be transferred to
Commandant, G–WPW. After a 3-year
retention, the record is destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Office of Personnel and
Training, G–WP, United States Coast
Guard, Washington, DC 20593–0001.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

NOTIFICATION PROCEDURE:

Commandant, G–SII, United States
Coast Guard, Washington, DC 20593–
0001. MLC, district, or unit where the
individual is assigned.
RECORD ACCESS PROCEDURES:

United States Coast Guard, 14 U.S.C.
89. United States Customs Service, 19
U.S.C. 1589A(2). Drug Enforcement
Administration, 21 U.S.C. 800—900.
Immigration and Naturalization Service,
8 U.S.C. 1551.
PURPOSE(S):

Same as ‘‘Notification procedure’’.

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

CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure’’.
RECORD SOURCE CATEGORIES:

Medical personnel, mental health and
educational institutions, public and
private health and welfare agencies and
Coast Guard personnel and private
individuals.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/CG 642
SYSTEM NAME:

Joint Maritime Information Element,
JMIE, Support System, JSS.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Ship location and associated
information such as declared cargo,
ownership, crew members, passengers,
reported historical profiles relating to
travel, cargo and ports of call may be
reported to federal, state, and/or local
law enforcement officials for purposes
of intercepting ships and inspecting
cargo and ship structures. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SECURITY CLASSIFICATION:

Classified.

None.

SYSTEM LOCATION:

United States Coast Guard, Operations
Systems Center, Martinsburg, WV
25401.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals with established
relationship(s)/association(s) to
maritime vessels that are included in
the Joint Maritime Information Element,
JMIE, Support System, JSS: Ship
owners, passengers and crew.
CATEGORIES OF RECORDS IN THE SYSTEM:

Maritime vessels and vessel
characteristics including: Performance
data, vessel identification data,
registration data, movements, reported
locations, activity and associate
information (data pertaining to people
or organizations associated with vessels)
for owners, passengers, and crew
members. Reports submitted by Coast
Guard crews relating to boardings and/
or overflights, as well as any violations
of United States law, along with
enforcement actions taken during

VerDate 202000

boarding. Such reports could contain
names of passengers on vessels, as well
as owners and crew members. Vessels
and associates known, suspected or
alleged to be involved in contraband
trafficking. Within the JMIE Support
System, contraband is meant to refer to
any item that is illegally imported/
exported to/from the United States via
maritime activity.

19:33 Apr 10, 2000

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Storage of all records is in an ADP
database operated and maintained by
the United States Coast Guard. Privacy
Act data are stored and controlled
separately from other information in the
database. Classified and non-classified
information from consortium members
and other sources is merged into a
classified database. Dynamic
information on vessel location and
movements is obtained daily and stored
on-line (disk resident) for a period of
two (2) years. Other information such as
characteristics, identification status and
associate records is updated at
prescribed intervals of three (3) months
to one year to remain current and is
retained indefinitely. Classified
information, downloaded from the host
and then extracted from the PC
workstations and recorded on paper (or
magnetic media), may be stored at user
sites in classified storage containers or

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on secured magnetic media.
Unclassified information is stored in
accordance with each user sites’
handling procedures. All records
provided to a JSS subscriber in response
to a ‘‘specific name’’ query, will be kept
in an audit record and retained for a
minimum of five (5) years or the life of
the system, whichever is longer.
RETRIEVABILITY:

Matching individual name, Social
Security Number, passport number, or
the individual’s relationship to the
vessel (e.g., owner, shipper, consignee,
crew member, passenger, etc.). Controls
have been installed to ensure
information on individuals is not
retrievable or accessed by members of
the intelligence community.
SAFEGUARDS:

JMIE has its own approved System
Security Plan.
RETENTION AND DISPOSAL:

Records relating to ship
characteristics are retained indefinitely.
Records of a transitory nature (relative
to ship locations, and individuals
identified as passengers or crew, etc.)
are maintained on line for a minimum
of two (2) years, then purged per
General Records Schedule 23. Audit
records, maintained to document JSS
user access to information relating to
specific individuals, are maintained for
five (5) years, or the life of the system,
whichever is longer. Access to audit
records will only be granted to
authorized personnel approved by the
Executive Agent. Information retrieved
from the host and stored at user sites
will be disposed of in accordance with
the requirements for classified and
sensitive information.
SYSTEM MANAGER AND ADDRESS:

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

Commanding Officer, United States
Coast Guard Operations Systems Center,
Martinsburg, WV 25401.
RECORD ACCESS PROCEDURE:

Same as ‘‘Notification procedure’’.
CONTESTING RECORD PROCEDURES:

Same as record access procedure.
RECORD SOURCE CATEGORIES:

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

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

NOTIFICATION PROCEDURE:

Under subsections (j)(2) and (k)(1) and
(2) of the Privacy Act (5 U.S.C. 552a),
portions of this system of records are
exempt.

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

DOT/CG 671

RECORD ACCESS PROCEDURES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Screening of service records for
advancement, promotion, or retention of
individual Reservists by various
Reserve. Furnishing of information
(authorized and specified by the
individual concerned) to other agencies
or individuals (specified by the
individual concerned) normally
concerned with employment,
educational or Veteran’s benefits,
claims, or applications. Furnishing
specified material in a Reservist’s
service record pursuant to the order of
a court of competent jurisdiction. See
Prefatory Statement of General Routine
Uses.

Same as ‘‘Notification procedure.’’

SYSTEM NAME:

Biographical Statement.

CONTESTING RECORD PROCEDURES:

SECURITY CLASSIFICATION:

Same as ‘‘Notification procedure.’’

Unclassified—sensitive.

RECORD SOURCE CATEGORIES:

SYSTEM LOCATION:

Individual named in file.

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/CG 676

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Key DOT officials, USCG flag officers.
CATEGORIES OF RECORDS IN THE SYSTEM:

Individual biographical data.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM NAME:

Official Coast Guard Reserve Service
Record.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 302; 14 U.S.C. 632; 49
CFR 1.45, 1.46.

SYSTEM LOCATION:

Personnel Office—uses records for
promotion. See Prefatory Statement of
General Routine Uses.

United States Coast Guard, CG,
Commandant, G–WT, 2100 2nd Street,
SW., Washington, DC 20593–0001. Each
Coast Guard District Reserve office (for
District records). For official records on
discharged, retired, and separated
former members: General Services
Administration (GSA), National
Personnel Records Center (Military
Personnel Records), 9700 Page
Boulevard, St. Louis, MO 63132.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

PURPOSE(S):

For Public Affairs Staff to use as
records for publicity.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper forms and correspondence are
stored in filing cabinets.
RETRIEVABILITY:

By name.
SAFEGUARDS:

Stored in building having roving
security guards during non-working
hours. Personnel are screened prior to
granting access.
RETENTION AND DISPOSAL:

Transferred to historical file upon
termination of active duty.
SYSTEM MANAGER(S) AND ADDRESS:

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

VerDate 202000

19:33 Apr 10, 2000

Official career history of each
Reservist.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 10 U.S.C. 1209, 10147,
12102, 12735, 14 U.S.C. 251–295, 632;
49 CFR 1.45, 1.46.
PURPOSE(S):

Ensure fulfillment of normal
administrative personnel procedures,
including examining and screening for
completeness and accuracy of records
correspondence.

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records maintained on paper
assembled and filed in one official
service record per member.
RETRIEVABILITY:

Name and/or triple terminal digit of
member’s service number.

Reserve officer and enlisted personnel
(not on extended active duty) in an
active, inactive, retired, discharged,
separated or former member status;
including those Reservists released from
extended active duty to fulfill a
specified term of obligated inactive
reserve service. Enrolled and
disenrolled members of the Temporary
Coast Guard Reserve.
CATEGORIES OF RECORDS IN THE SYSTEM:

Disclosures may be made from this
systems to ‘‘consumer reporting
agencies’’ (collecting on behalf of the
United States govt.) as defined in the
Fair Credit Reporting Act (15 (U.S.C.
1681a(f)) or the Federal Claims
Collecting Act of 1982 (31 U.S.C.
3701(a)(3)).

SAFEGUARDS:

Service records are maintained in a
central storage area locked behind two
separate doors. During non-working
hours the building security consists of
roving and static security patrols.
During working hours physical access to
records is controlled by Records control
Branch personnel.
RETENTION AND DISPOSAL:

Individual records are maintained at
CG Headquarters until six months after
an enlisted member’s separation from
the service (three months for officers),
after which it is transmitted for
permanent storage to the Military
Personnel Record Center, MPRC,
National Personnel Records Center,
NPRC, 9700 Page Boulevard, St. Louis,
MO 63132. For retired members, the
service record is shipped to NPRC upon
retirement.
SYSTEM MANAGER(S) AND ADDRESS:

Commandant, G–WT, Director,
Reserve and Training Directorate,

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

United States Coast Guard
Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593–0001.

special active duty for training or
extended active duty and mobilization
billets.

NOTIFICATION PROCEDURE:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

DOT/CG 678

See Prefatory Statement of General
Routine Uses.

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure’’, or
the District Office in which an
individual’s duty station is located.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record Access Procedures.’’
RECORD SOURCE CATEGORIES:

The individual concerned, CG
Headquarters, District offices, and other
CG units.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Portions of this system of records may
be exempt from disclosure under the
provisions of 5 U.S.C 552a(k)(5), and (6).
DOT/CG 677
SYSTEM NAME:

Coast Guard Reserve Personnel
Mobilization System
SECURITY CLASSIFICATION:

Unclassified—sensitive.
Commandant, G–WT, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001. Commander, Reserve in each
Coast Guard District Office (except
17th). Each District and Headquarters
Unit.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Reserve officer and enlisted personnel
(not on extended active duty) in an
Active or Retired status, including those
Reservists released from extended active
duty to fulfill a specified term of
obligated inactive Reserve service.
CATEGORIES OF RECORDS IN THE SYSTEM:

Mobilization and qualification cards
and orders. Initial, Annual, and Retired
Screening and Qualification
Questionnaires.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

SYSTEM LOCATION:

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

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records maintained on paper,
punched cards and magnetic tape.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RETRIEVABILITY:

Name and/or social security account
number.
SAFEGUARDS:

Safeguards and controls afforded this
system of records are similar to those
normally employed ‘‘For Official Use
Only’’ material, both at Headquarters
and District Offices. Records are
maintained in locked secure areas when
not in use and personnel screening is
employed prior to granting access.
The majority of records in this system
(in any form) are generally destroyed
immediately after the expiration of their
useful life, except those retained in the
aforementioned ‘‘dead files’’ (which are
subsequently destroyed one year after
placement in the file). The major
exceptions to this policy are the
Screening and Qualification
Questionnaires, which are filed in the
Reservists District Service Record.
Records are destroyed by mutilating,
shredding or burning.
SYSTEM MANAGER(S) AND ADDRESS:

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

Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
RECORDS ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’

Fulfillment of normal administrative
procedures including the examining and
screening for completeness and
accuracy of records, correspondence
pertaining thereto as a basis for
assignment to active duty for training,

19:33 Apr 10, 2000

Reserve Personnel Management
Information System, Automated.
Unclassified—sensitive.

None.

PURPOSE(S):

SYSTEM NAME:

SECURITY CLASSIFICATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

VerDate 202000

None.

CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’

Reserve officers and enlisted
personnel in an active or inactive status,
including retired reservist, and those
reservists released from extended active
duty to fulfill a specific term of inactive
obligated service.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name, social security number, present
and last five grades or rates, educational
background, civilian and military,
foreign language and proficiency,
history of unit assignments and dates
assigned, duty status, date of birth, date
of enlistment, appointment or
extension, AFQT scores, source of entry,
date of commission, prior service, date
of expiration of obligation, anniversary
data on pay base date, aviation pay and
administrative pay, training rate, reserve
category and class, training/pay
category, data on ADT for last five years,
number of dependents, Federal
withholding exemptions, Selective
Service induction certification, date of
completion of Ready obligation, officer
experience indicator, last screening date
and result, civilian occupation, date of
last National Agency Check,
Background Investigation and security
clearance, domestic emergency
volunteer, date of last physical and
immunization, data on special active
duty for training and extended active
duty, annual training date, total
retirement points and satisfactory years
of service for retirement purpose,
current year retirement point accounting
data, including inactive duty training
participation, correspondence course
activity, taxable wages paid and
withholdings, uniform allowances,
Servicemen’s Group Life Insurance,
SGLI information, mailing address, and
work and home phone number.

RECORD SOURCE CATEGORIES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The individual, CG Headquarters and
CG District Offices.

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

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PURPOSE(S):

CONTESTING RECORD PROCEDURES:

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

Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

To the Treasury Department to
complete payroll checks. See Prefatory
Statement of General Routine Uses.

The individual, Coast Guard
Headquarters and district offices, and
the various operating units of the Coast
Guard.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DOT/FAA 801

Disclosures may be made from this
system to ‘‘consumer reporting
agencies’’ collecting on behalf of the
United States Govt. as defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

SYSTEM NAME:

Aircraft Registration System.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

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

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The storage is on computer disks with
magnetic tape backups. The file is
updated weekly.
By Social Security Number.
SAFEGUARDS:

Magnetic tapes are stored in locked
storage areas when not in use and are
accounted for at all times during actual
use. Personnel screening prior to
granting access.
RETENTION AND DISPOSAL:

Magnetic tapes are used, corrected
and updated until the tapes become
physically deteriorated after which they
are destroyed. A reservist’s address is
maintained on file for approximately
one year after discharge, to allow for
processing of annual point statements
and W–2 forms. Audit trails are
maintained indefinitely and the Master
Personnel file and Pay and Points file
are continually updated.
SYSTEM MANAGER(S) AND ADDRESS:

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

Requests to determine if this system
contains information on any individual
should be made in person or in writing
to: Commandant, G–SII, United States
Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593–
0001.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’

VerDate 202000

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

Aircraft owners, lien holders, and
lessees.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

19:33 Apr 10, 2000

legal documents used by individuals
and title search companies to determine
the legal ownership of an aircraft. (c)
Provide aircraft owners and operators
information about potential mechanical
defects or unsafe conditions of their
aircraft in the form of airworthiness
directives. (d) Provide supporting
information in court cases concerning
liability of individuals in lawsuits. (e)
Locate specific individuals or specific
aircraft for accident investigation,
violation, or other safety related
requirements. (f) Prepare an Aircraft
Registry in magnetic tape and
microfiche form as required by ICAO
agreement, containing information on
aircraft owners by name, address,
United States Registration Number, and
type of aircraft. Make aircraft
registration data available to the public,
(g) See Prefatory Statement of General
Routine Uses.

Aircraft types. Current registration
status and ownership of aircraft. Aircraft
to be registered, or aircraft that have
been registered and are now temporarily
de-registered. United States Registration
Number assignment. Airworthiness of
aircraft. Aircraft Registration. Major
repair and alteration maintenance
inspection forms. Revalidation and use
forms. Lien and collateral documents.

STORAGE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

PURPOSE(S):

Provide a register of United States
civil aircraft to aid in the national
defense and to support a safe and
economically strong civil aviation
system. To determine that aircraft are
registered in accordance with the
provisions of 49 U.S.C. 44103. To serve
as a data source for management
information for production of summary
descriptive statistics and analytical
studies in support of agency functions
for which the records are collected and
maintained. To provide data for internal
FAA safety program purposes. To
provide data for development of the
aircraft registration statistical system.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

(a) Support investigative efforts of
investigation and law enforcement
agencies of Federal, State, and foreign
governments. (b) Serve as a repository of

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RETRIEVABILITY:

Records are filed by registration
number, but may be retrieved by name
of the current registered owner.
Records are stored in areas open only
to authorized employees and by special
permission.

49 U.S.C. 40101, 44103, 44107.

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Records are maintained in file folders,
and on digital read-write disks,
magnetic tape, microfilm, and
microfiche.

RETENTION AND DISPOSAL:

If records are microfiched: (1) Original
Records. Destroy original records after
microfiche is determined to be an
adequate substitute for paper records;
(2) Microfiche of Original Records.
Destroy when it is determined that the
aircraft is no longer in existence. If
records are not microfiched: Destroy
when it is determined that the aircraft
is no longer in existence.
SYSTEM MANAGER(S) AND ADDRESS:

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

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’

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CONTESTING RECORD PROCEDURES:

duty guard or by Office of Facility
Management personnel.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RECORD SOURCE CATEGORIES:

RETENTION AND DISPOSAL:

Individuals, manufacturers of aircraft,
maintenance inspectors, mechanics, and
FAA officials.

Identification credentials including
parking permits: Destroy credentials
three months after return to issuing
office. Related identification credential
papers such as vehicle registrations:
Destroy after all listed credentials are
accounted for. Reports, statements of
witnesses, warning notices, and other
papers relating to arrests and traffic
violations: Destroy when 2 years old.

See Prefatory Statement of General
Routine Uses.

Same as ‘‘System manager.’’

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/FAA 807
SYSTEM NAME:

Traffic Control at the Mike Monroney
Aeronautical Center (formerly named
Law Enforcement Records and Central
Files).
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Office of Facility Management, AMP–
1, Mike Monroney Aeronautical Center
(MMAC), Oklahoma City, OK 73125.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

SYSTEM MANAGER(S) AND ADDRESS:

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

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’

DOT/FAA 811
SYSTEM NAME:

PURPOSE:

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

Employee Health Record System.
SECURITY CLASSIFICATION:

See Prefatory Statement of General
Routine Uses.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF RECORDS IN THE SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Pub. L. 79–658, Title 5 U.S.C. Section
7901.
Document employee health unit visits
and nature of complaint or physical
examination findings, treatment
rendered and case disposition. Prepare
analytical and statistical studies and
reports.

19:33 Apr 10, 2000

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DOT/FAA 813
SYSTEM NAME:

Civil Aviation Security.

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

VerDate 202000

Same as ‘‘System manager.’’

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

PURPOSE(S):

Files are retained in a secured work
area accessible only by consent of an on

RECORD ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

SAFEGUARDS:

Access to and use of these records in
manual or automated form is protected
by being physically located behind
locked doors and computer access is
password protected. Adding or deleting
information to the file is limited to the
medical staff, physician, nurse, or
occupational health specialists.

Same as ‘‘System manager.’’

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

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

SAFEGUARDS:

CONTESTING RECORD PROCEDURES:

FAA employees.

STORAGE:

By name and social security number.

Same as ‘‘System manager.’’

SYSTEM LOCATION:

FAA Washington, regional, and center
medical facilities.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

NOTIFICATION PROCEDURE:

Unclassified, sensitive.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None.

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

Regional Flight Surgeon within region
where the clinic is located. Manager,
Clinical Specialties Division, AAM–200,
Federal Aviation Administration, 800
Independence Avenue, SW.,
Washington, DC 20591.

None.

44 U.S.C. 3101.

STORAGE:

SYSTEM MANAGER(S) AND ADDRESS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

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

Individuals registering/operating
vehicles.

Vehicle registration and traffic
violations files.

None.

RETENTION AND DISPOSAL:

RECORD SOURCE CATEGORIES:

CATEGORIES OF RECORDS IN THE SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Office of Associate Administrator for
Civil Aviation Security, in Washington,

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DC; the FAA Regional Civil Aviation
Security Divisions; the Civil Aviation
Security Division at the Mike Monroney
Aeronautical Center in Oklahoma City,
Oklahoma; and the Civil Aviation
Security Staff at the FAA Technical
Center, Atlantic City, New Jersey; and
various Federal records Centers located
throughout the country.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons who have been involved or
might be involved in crimes against
civil aviation or air piracy/sabotage
threats, data regarding K–9 handlers,
and information regarding Federal Air
Marshals, FAM.
CATEGORIES OF RECORDS IN THE SYSTEM:

Hijacking or attempted hijacking
incidents at airports or aboard civil
aviation aircraft; other civil aviation
criminal acts; information of K–9
assignments to airports, K–9 handler
evaluations; and information necessary
to manage the FAM program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title 49 U.S.C., Chapter 449, Air
Transportation Security, enacted as Pub.
L. 103–272 on July 5, 1994; authority for
funding FAA K–9 program is the
Omnibus Consolidated Appropriations
Act of 1997, Pub. L. 104–208.
PURPOSE(S):

Prepare alerts, bulletins, summaries,
reports, and policy statements of
incidents affecting civil aviation
security.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Inform airport and air carrier security
officials and officers regarding air
piracy/civil aviation sabotage threats.
Preparation of alerts, bulletins, and
summaries of incidents regarding
threats to civil aviation for distribution
to authorized government and aviation
recipients for use in affecting
appropriate changes/modifications to
civil aviation security. Prepare
summaries, reports, and policy
statements for development and change
of security procedures in civil aviation,
which will be distributed to appropriate
government, and aviation-oriented
organizations, which have direct civil
aviation security responsibilities. See
Prefatory Statement of General Routine
Uses.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

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

Portions of this system are exempt
under 5 U.S.C. 552a(k)(1) and (k)(2).
DOT/FAA 815

By name or other personal identifying
symbols.
Access to and use of these records are
limited to those persons whose official
duties require such access and use.
Appropriate physical, technical, and
administrative safeguards as prescribed
by FAA security directives applicable to
both manual and automated record
systems reinforce this record
management principle.
RETENTION AND DISPOSAL:

These records are destroyed or retired
to the area Federal Records Center, FRC,
and then destroyed in accordance with
current version of FAA Order 1350.15,
Records Organization, Transfer and
Destruction Standards. The retention
and destruction period for each record
varies depending on the type of record,
category of investigation, or significance
of the information contained in the
record. All records are destroyed by
approved methods.
SYSTEM MANAGER(S) AND ADDRESS:

For the Washington Metropolitan
area, excluding Eastern Region
jurisdiction:
Office of the Associate Administrator
for Civil Aviation Security, 800
Independence Avenue, SW.,
Washington, DC 20591. Manager, Civil
Aviation Security Division, of the
appropriate region. For the jurisdiction
of the FAA Technical Center:
Manager, Civil Aviation Security
Staff, FAA technical Center, Atlantic
City International Airport, Atlantic City,
NJ 08405. For the jurisdiction of the
Mike Monroney Aeronautical Center:
Manager, Civil Aviation Security
Division, Mike Monroney Aeronautical
Center, PO Box 25082, Oklahoma City,
OK, 73125.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

CONTESTING RECORD PROCEDURES:

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SYSTEM NAME:

Investigative Record System.
SECURITY CLASSIFICATION:

SAFEGUARDS:

Same as ‘‘System manager.’’

19:33 Apr 10, 2000

EXEMPTIONS CLAIMED FOR THE SYSTEM:

RETRIEVABILITY:

Not applicable.

VerDate 202000

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

STORAGE:

Same as ‘‘System manager.’’
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD SOURCE CATEGORIES:

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Unclassified, sensitive.
SYSTEM LOCATION:

Office of the Associate Administrator
for Civil Aviation Security in
Washington, DC; the FAA regional Civil
Aviation Security Divisions; the Civil
Aviation Security Division at the Mike
Monroney Aeronautical Center in
Oklahoma City, Oklahoma; the Civil
Aviation Security Staff at the FAA
Technical Center, Atlantic City, New
Jersey; and the various Federal Records
Centers located throughout the country.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former applicants for
FAA employment. Current and former
FAA employees. Individuals considered
for access to classified information or
restricted areas and/or security
determinations such as current and
former contractors, employees of
contractors, experts, instructors, and
consultants to federal programs. Aircraft
owners. Flight instructors. Airport
operators. Pilots, mechanics, designated
FAA representatives. Other individuals
certified by the FAA. Individuals
involved in tort claims against the FAA.
Employees, grantees, subgrantees,
contractors, subcontractors, and
applicants for FAA-funded programs.
Other individuals who are of
investigative interest to the FAA, law
enforcement, or investigative agencies.
CATEGORIES OF RECORDS IN THE SYSTEM:

Results of investigations and inquiries
conducted by the Office of the Associate
Administrator for Civil Aviation
Security, the FAA regional Civil
Aviation Security Divisions, the Mike
Monroney Aeronautical Center Civil
Aviation Security Division, and the
FAA Technical Center, Civil Aviation
Security Staff; information received in
various formats as the result of
investigations conducted by federal,
state, local, and foreign investigative or
law enforcement agencies, which relate
to the mission and function of the
Associate Administrator for the Office of
Civil Aviation Security and field

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elements; and information received in
various formats as the result of
investigations conducted by authorized
personnel of the FAA, other federal
agencies, state and local drug
enforcement agencies regarding the
actual or probable violation by pilots,
aircraft owners, or aircraft mechanics of
civil and criminal laws regulating
controlled substances.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Title 49 U.S.C., chapter 449, Air
Transportation Security, enacted as Pub.
L. 103–272 on July 5, 1994;
Transportation Safety Act of 1974; FAA
Drug Enforcement Assistance Act of
1988; Executive Order, E.O., 10450,
Security Requirements for government
Employment; E.O. 12968, Access to
Classified Information; and E.O. 12829,
National Industrial Security Program.
PURPOSE(S):

To maintain in an orderly fashion the
categories of records listed above, in
order that the FAA may conduct its
investigations and personnel security
programs in an efficient manner and
document official actions taken on the
basis of information contained in these
records.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

(1) To the Department of Justice
when: (a) The agency, or any component
thereof; or (b) any employee of the
agency in his or her official capacity; or
(c) any employee of the agency in his or
her individual capacity where the
Department of Justice has agreed to
represent the employee; or, (d) the
United States, where the agency
determines that litigation is likely to
affect the agency or any of its
components, is a party to litigation or
has an interest in such litigation, and
the use of such records by the
Department of Justice is deemed by the
agency to be relevant and necessary to
the litigation, provided, however, that in
each case, the agency determines that
disclosure of the records to the
Department of Justice is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected. (2) To
disclose the records in a proceeding
before a court or adjudicative body,
including an administrative tribunal or
hearing, before which the agency is
authorized to appear, when:
(a) The agency, or any component
thereof; or (b) any employee of the
agency in his or her official capacity; or
(c) any employee of the agency in his or
her individual capacity where the

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19:33 Apr 10, 2000

agency has agreed to represent the
employee; or, (d) the United States,
where the agency determines the
litigation is likely to affect the agency or
any of its components, is a party to
litigation or has an interest in such
litigation, and the agency determines
that use of such records to be relevant
and necessary to the litigation,
provided, however, that in each case,
the agency determines that disclosure of
the records to the Department of Justice
is a use of the information contained in
the records that is compatible with the
purpose for which the records were
collected. (3) To authorized
representatives of United States air
carriers where air safety might be
affected. (4) To authorized
representatives of federal, state, local
agencies and departments, including the
District of Columbia, and foreign
governments, who require access to the
file pursuant to an investigation or
inquiry conducted for use in law
enforcement activities, either civil or
criminal, or to expose fraudulent claims.
(5) See Prefatory Statement of General
Routine Uses.

record. All records are destroyed by
approved methods.
SYSTEM MANAGER(S) AND ADDRESS:

For the Washington Metropolitan
area, excluding Eastern Region
jurisdiction: Office of the Associate
Administrator for Civil Aviation
Security, Federal Aviation
Administration, 800 Independence
Avenue, SW., Washington, DC 20591.
For the geographical area under the
jurisdiction of the various regions:
Manager, Civil Aviation Security
Division, of the appropriate region. (See
the FAA Directory for addresses). For
the jurisdiction of the FAA Technical
Center: Manager, Civil Aviation Security
Staff, FAA Technical Center, Atlantic
City International Airport, Atlantic City,
NJ 08405.
For the jurisdiction of the Mike
Monroney Aeronautical Center:
Manager, Civil Aviation Security
Division, FAA Aeronautical Center, P.O.
Box 25082, Oklahoma City, OK 73125.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CONTESTING RECORD PROCEDURES:

None.

Same as ‘‘System manager.’’

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD SOURCE CATEGORIES:

STORAGE:

These records are stored in approved
security file cabinets and containers, in
file folders, on lists and forms, and in
computer processable storage media.

Subject individual, interviews, review
of records, and other authorized
applicable investigative techniques.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

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

RETRIEVABILITY:

DOT/FAA 816

These records are retrieved by name
or other identifying symbols.

SYSTEM NAME:

SAFEGUARDS:

Access to and use of these records are
limited to those persons whose official
duties require such access and use.
Computer processing of information is
conducted within established FAA
computer security regulations. A risk
assessment of the FAA computer facility
used to process this system of records
has been accomplished.
RETENTION AND DISPOSAL:

These records are destroyed or retired
to the area Federal Records Center and
then destroyed in accordance with the
current version of FAA Order 1350.15,
Records Organization, Transfer and
Destruction Standards. The retention
and destruction period for each record
varies depending on the type of record,
category of investigation, or significance
of the information contained in the

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Tort Claims and Personal Property
Claims Record System.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Office of the Chief Counsel, Litigation
Division, AGC–400, Federal Aviation
Administration, 400 7th Street, SW.,
Washington, DC 20590, and in the
Office of the Assistant Chief Counsels
and the Logistics Divisions in the
regions and centers.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Tort and property claimants who have
filed claims against the Government/
FAA.
CATEGORIES OF RECORDS IN THE SYSTEM:

Reports, vouchers, witness
statements, legal decisions, and related

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material pertaining to claims by or
against the Government resulting from
FAA transactions, other than litigation
cases.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Federal Tort Claims Act, 28 U.S.C.
2671, et seq.; Military Personnel and
Civilian Employees Claims Act of 1964,
31 U.S.C. 3701, 3721.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

SAFEGUARDS:

None.

Litigation Information Management
Systems.

Data from these files are retrievable
only by persons within the Office of the
Assistant Chief Counsel for Litigation or
Regional Counsels. Access to offices is
limited to agency employees and those
accompanied by agency employees.

SECURITY CLASSIFICATION:

RETENTION AND DISPOSAL:

DOT/FAA 821
SYSTEM NAME:

Unclassified, sensitive.

PURPOSE(S):

SYSTEM LOCATION:

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

This system of records is maintained
within the Office of the Assistant Chief
Counsel for Litigation, FAA, 400
Seventh Street, SW., Washington, DC
20590, and at the Office of Assistant
Chief Counsel for each Region and
Center.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Investigation. Reference. Court action.
Doubtful claims are sent by Accounting
Division to GAO for adjudication. Some
larger claims go to Department of Justice
for approval or disapproval. See
Prefatory Statement of General Routine
Uses.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

These records are stored in approved
file cabinets and containers.
RETRIEVABILITY:

These records are indexed by name.
SAFEGUARDS:

Access to and use of these records are
limited to those persons whose official
duties require such access. Records are
maintained on a computer system. The
computer system is password protected.
RETENTION AND DISPOSAL:

RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’

Litigation and claim pleadings,
discovery material, related documents
(including background data on
individual, or decedent involved),
memoranda, correspondence, and other
material necessary to respond to claims
or prepare for litigation or hearings.
Types of claims or litigation:
Aircraft accidents, auto accidents,
personnel and general litigation.

Same as ‘‘System manager.’’

PURPOSE(S):

SECURITY CLASSIFICATION:

Case management/record
management.

Unclassified, sensitive.
SYSTEM LOCATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

Claimant, investigation reports, and
courts.

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

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

Aviation Medical Examiner System.

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Aeromedical Education Division,
AAM–400, FAA Civil Aeromedical
Institute, Federal Aviation
Administration, Mike Monroney
Aeronautical Center, 6500 S. MacArthur
Blvd. P.O. Box 25082, Oklahoma City,
OK 73125. Regional Flight Surgeons in
all regional headquarters.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

On computer database and password
protected. Also, data are stored in
lockable and unlockable file cabinets,
individuals’ attorneys’ offices, binders,
index files and in computers.

CONTESTING RECORD PROCEDURES:

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

SYSTEM NAME:

STORAGE:

Same as ‘‘System manager.’’

RECORD SOURCE CATEGORIES:

DOT/FAA 822

See Prefatory Statement of General
Routine Uses.

RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’

Federal Tort Claims Act, 28 U.S.C.
2671, et seq.; Military Personnel and
civilian Employees claims Act of 1964,
31 U.S.C. 3701, 3721.

SYSTEM MANAGER(S) AND ADDRESS:

Same as ‘‘System manager.’’

CONTESTING RECORD PROCEDURES:

None.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

NOTIFICATION PROCEDURE:

Assistant Chief Counsel, Litigation
Division, AGC–400, Office of Chief
Counsel, Federal Aviation
Administration, 400 Seventh Street,
SW., Washington, DC 20590.
Same as ‘‘System manager.’’

These records are destroyed 3 years
after the final decision is rendered.
Office of the Assistant Chief Counsel,
Litigation Division, Federal Aviation
Administration, 400 Seventh Street,
SW., Washington, DC, 20590. Regional
and center counsels and regional and
center Logistics Division Managers.

SYSTEM MANAGER(S) AND ADDRESS:

NOTIFICATION PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Litigation files are kept for 2 years
after case is closed, then sent to the
Federal Records Center. All other
records in this system are retained
indefinitely.

Private civilian physicians (United
States and foreign) designated as AMEs.
Selected United States military flight
surgeons designated as AMEs. Selected
United States Federal medical officers
designated as AMEs.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system includes records
necessary to: Determine professional
qualifications of physicians designated

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(initially and subsequently) as AMEs;
identify the type and location of AMEs
within the AME program; monitor
AMEs performance in support of the
Medical Certification Program; and
monitor AMEs compliance with
mandatory training (initial and periodic)
and other AME designation
requirements.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 U.S.C 44702.
PURPOSE(S):

Determine professional qualifications
and designation authorization (initial
and subsequent) of AMEs.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Document the necessary information
on AMEs whose designation has been
revoked or retired. Support effective and
efficient communications between the
FAA and its designated AMEs. Maintain
a database to support the management
of the AME program. Provide the public
with the names and addresses of AMEs
who provide FAA medical certification
services. Policy determination regarding
the AME program. Locating and
obtaining support of qualified AMEs.
See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Records Center. Computerized AME
records are updated continuously for all
active AMEs. Computerized records of
AMEs who have been inactive for less
than 25 years are maintained in the
system; and those AMEs inactive for 25
or more years are deleted. Hard copy
files of United States civilian AMEs
(excluding foreign civilian, military, and
Federal AMEs) are also retained by the
Regional Flight Surgeon Offices. When
these regional AME files become
inactive, they are immediately
transferred to the Aeromedical
Education Division.
SYSTEM MANAGER(S) AND ADDRESS:

Manager, Aeromedical Education
Division, AAM–400, FAA Civil
Aeromedical Institute, Federal Aviation
Administration Mike Monroney
Aeronautical Center, P.O. Box 25082,
Oklahoma City, OK 73125. Regional
Flight Surgeons within Region where
the AME is designated.
NOTIFICATION PROCEDURE:

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

Same as ‘‘System manager.’’

Hard copy files are retained by the
Aeromedical Education Division on all
active AMEs (civilian, military, and
Federal), and on AMEs who have been
inactive for less than 10 years. Hard
copy files of AMEs who have been
inactive for 10 years or more, but less
than 25 years, are stored by the Federal
Records Center. Hard copy files of
AMEs who have been inactive for 25 or
more years are destroyed by the Federal

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DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Unlocked file cabinets.
RETRIEVABILITY:

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

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

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

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

SYSTEM MANAGER(S) AND ADDRESS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURES:

SYSTEM NAME:

Same as ‘‘System manager.’’

Petitions for Rulemaking—Public
Dockets.

CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’

SECURITY CLASSIFICATION:

RECORD SOURCE CATEGORIES:

Petitions for rulemaking.

SYSTEM LOCATION:

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

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/FAA 826

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons petitioning for a change in the
Federal Aviation Regulations.
CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM LOCATION:

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

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Petitions for Exemption, Other than
Medical Exemption—Public Dockets.
Unclassified, sensitive.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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SYSTEM NAME:

SECURITY CLASSIFICATION:

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

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Docket and Regulations Technician,
Office of the Chief Counsel, AGC–200,
FAA, 800 Independence Avenue, SW.,
Washington, DC 20591.
Same as ‘‘System manager.’’

DOT/FAA 825

Unclassified, sensitive.

RETENTION AND DISPOSAL:

See Prefatory Statement of General
Routine Uses.

RETENTION AND DISPOSAL:

CONTESTING RECORD PROCEDURES:

SAFEGUARDS:

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

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Access through request to Dockets
Specialist.

RECORD ACCESS PROCEDURES:

STORAGE:

RETRIEVABILITY:

Make available for public review
documents concerning petitions for
rulemaking.

SAFEGUARDS:

Same as ‘‘System manager.’’

None.

Computer processable storage media
and hard copy files.

PURPOSE(S):

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

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

DOT/FAA 827

SYSTEM MANAGER(S) AND ADDRESS:

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

SYSTEM NAME:

Environmental Litigation Files.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

CATEGORIES OF RECORDS IN THE SYSTEM:

Petitions for exemptions,
supplementary information,
correspondence and the grant or denial
of the exemption.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

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

NOTIFICATION PROCEDURE:

SYSTEM LOCATION:

Same as ‘‘System manager.’’

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

See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Same as ‘‘System manager.’’

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

RECORD SOURCE CATEGORIES:

Information on litigation, pleadings,
discovery material, related documents,
(including background data on
individual involved), memoranda,
correspondence, and other material
necessary to respond to claim or prepare
for litigation or hearings.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Original and copies of records stored
in unlocked file cabinets.

National Environmental Policy Act of
1969, 42 U.S.C. 4321, Airport
Environmental requirements, 49 U.S.C.
47106(c), Section 4(f) of the Department
of Transportation Act, 49 U.S.C. 303,
and other applicable environmental
laws, regulations, and Executive Orders.
PURPOSES(S):

Litigation.

RETRIEVABILITY:

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

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SAFEGUARDS:

See Prefatory Statement of General
Routine Uses.

Access through request to Dockets
Specialist.
RETENTION AND DISPOSAL:

Transferred to Federal Records Center
when inactive; destruction not
authorized.
SYSTEM MANAGER(S) AND ADDRESS:

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

Same as System manager.
RECORD ACCESS PROCEDURES:

Same as System manager.
CONTESTING RECORD PROCEDURES:

Same as System manager.
RECORD SOURCE CATEGORIES:

Petitions for exemptions.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

VerDate 202000

19:33 Apr 10, 2000

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RECORD ACCESS PROCEDURES:

Federal courts, individuals and their
attorneys, FAA records, litigation files,
etc.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/FAA 828
SYSTEM NAME:

Physiological Training System.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Aeromedical Education Division,
AAM–400, FAA Civil Aeromedical
Institute, Mike Monroney Aeronautical
Center, 6500 S. MacArthur Blvd., P.O.
Box 25082, Oklahoma City, OK 73125.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Certificated Airmen.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records necessary to establish
qualifications of eligibility to receive
physiological training, maintain
accountability of funds required for
training and transfer of funds to
involved agencies, and to provide
proper evidence of training.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

RETRIEVABILITY:

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

Access regularly by Office of Chief
Counsel personnel only; material is
accessible only in facilities with
building access controls and in storage
retrieval regularly only by Office of the
Chief Counsel personnel.
Files are kept for 2 years after case has
been closed and then sent to Records
Center.

PO 00000

Frm 00050

Fmt 4701

Sfmt 4703

Maintain appropriate documentation
on individuals who apply for and
complete physiological training
conducted by, or coordinated through
the FAA Aeromedical Education
Division.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RETENTION AND DISPOSAL:

Jkt 190000

PURPOSE(S):

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

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Operator Examiners. International Field
Offices, IFO.

STORAGE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Hard copy files and computer
processable storage media.
RETRIEVABILITY:

By name and location of training.
SAFEGUARDS:

File access is regularly restricted to
Aeromedical Education Division
personnel. The information is password
protected. Passwords are changed every
30 days. The screen automatically closes
if the computer is not used within 15
minutes, and would require a password
to reopen the file.

Designated Pilot Examiners, DPE.
Designated Mechanic Examiners, DME.
Designated Parachute Rigger Examiners,
DPRE. Applicants for the technical
personnel examiners for DPEs, DMEs,
DPREs. Designated Engineering
Representatives. Designated
Manufacturing Inspection
Representatives. Designated
Airworthiness Representatives.
Organizational Designated
Airworthiness Representatives.
CATEGORIES OF RECORDS IN THE SYSTEM:

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

Name, date of birth, place of
residence, company name (when
delegated as an organization), mailing
address, social security number (if
applicable), certificate number, and
work and/or home telephone number.
Applications for designee. Records of
qualification. Certification.
Appointment authorization. Training.
Dates of renewal and termination.
Employment history. Reasons for
termination (if applicable).

NOTIFICATION PROCEDURE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETENTION AND DISPOSAL:

Records are destroyed when 5 years
old. (Applications, Hold Harmless
Statements, Chamber Flight Records)
SYSTEM MANAGER(S) AND ADDRESS:

RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

Covered individuals.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/FAA 830
SYSTEM NAME:

Representatives of the Administrator.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Federal Aviation Administration.
Mike Monroney Aeronautical Center,
Regulatory Support Division, AFS–600,
and Civil Aviation Registry, AFS–700,
Oklahoma City, Oklahoma 73125.
Federal Aviation Administration, 800
Independence Avenue, SW.,
Washington, DC 20591. Flight Standards
District Offices, FSDO. Manufacturing
Inspection District Offices, MIDO.
Aircraft Certification Divisions. Flight
Standards Divisions. Aircraft
Certification Offices, ACO. Air Traffic
Headquarters. Regional or field offices
that designate Air Traffic control Tower

VerDate 202000

19:33 Apr 10, 2000

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Provide the public with the names
and addresses of certain categories of
representatives who may provide
service to them. See Prefatory Statement
of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Sfmt 4703

RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

Individual to whom it applies.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/FAA 833
SYSTEM NAME:

Quarters Management Information
System.

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

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

Fmt 4701

Same as ‘‘System manager.’’

SYSTEM LOCATION:

STORAGE:

Frm 00051

NOTIFICATION PROCEDURE:

Unclassified, sensitive.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PO 00000

Federal Aviation Administration,
Manager, Designee Standardization
Branch, AFS–640, Mike Monroney
Aeronautical Center, P.O. Box 25082,
Oklahoma City, Oklahoma 73125.
Aircraft Certification Divisions. Aircraft
Certification Offices. Manufacturing
Inspection District Offices. Flight
Standards District Offices. Air Traffic
Control Offices.

SECURITY CLASSIFICATION:

None.

Jkt 190000

Manual records: Strict information
handling procedures have been
developed to cover the use,
transmission, storage, and destruction of
personal data in hard copy form. These
procedures are periodically reviewed for
compliance. Automated processing
Computer processing of personal
information is conducted within the
guidelines of established FAA computer
security regulations. A risk assessment
of the FAA computer facility used to
process this system of records has been
accomplished.

SYSTEM MANAGER(S) AND ADDRESS:

Required in connection with
applications for and issuance of
authorizations to be Representatives of
the Administrator. Used to identify and
maintain a list of applicants for future
appointment, as necessary. Used to
record validation and approval of new
designees. To promote the
standardization of designees by tracking
training, accomplishments, and the
limitations of current designees.

CONTESTING RECORD PROCEDURES:

SAFEGUARDS:

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

PURPOSE(S):

Same as ‘‘System manager.’’

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

RETENTION AND DISPOSAL:

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

Same as ‘‘System manager.’’

RETRIEVABILITY:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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

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CATEGORIES OF RECORDS IN THE SYSTEM:

DOT/FAA 837

Housing records, leases.

RETENTION AND DISPOSAL:

Retained as long as individual or
event is newsworthy, following which
they are destroyed. In certain cases,
material is transferred to the Office of
the Historian.

SYSTEM NAME:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 5911(f), OMB Circular A–45.

Newsletter Photographs and
Biographical Information.
SECURITY CLASSIFICATION:

PURPOSE(S):

Unclassified, sensitive.

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

SYSTEM MANAGER(S) AND ADDRESS:

Same as ‘‘System Location.’’

SYSTEM LOCATION:

Office of Public Affairs, FAA, 800
Independence Avenue, SW.,
Washington, DC, 20591. Public Affairs
Offices at: Aeronautical Center, P.O. Box
25082, Oklahoma City, OK 73125.
Eastern Region, Federal Bldg., JFK
International Airport, Jamaica, NY
11430. Great Lakes Region, 2300 E.
Devon Avenue, Des Plaines, IL 60018.
Northwest Mountain Region, 1601 Lind
Ave., SW., Renton, WA 98055. Southern
Region, P.O. Box 20636, Atlanta, GA
30320. Biographies of key FAA officials
are on the FAA web page at HTTP://
WWW.FAA.GOV/APA/BIOS.HTM

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DOT/FAA 845

FAA employees and other individuals
who may appear with them in candid
photographs.

SYSTEM NAME:

Filing cabinet, Real Estate and
Utilities Branch AAL–54.
RETRIEVABILITY:

CATEGORIES OF RECORDS IN THE SYSTEM:

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

Biographical data; portrait and candid
photographs.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Establish and terminate payroll
deductions for collection of housing
rent through request to the appropriate
payroll office. See Prefatory Statement
of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

49 U.S.C. 106(f).

Retrieved only by agency personnel
and used only in the conduct of official
business. Paper copy kept in a locked
file cabinet with two people having
access to the key. Quarters Management
Information System, QMIS, is on only
one person’s computer and it requires a
password to access this computer.
RETENTION AND DISPOSAL:

End of year reports are retained for 5
years.
SYSTEM MANAGER(S) AND ADDRESS:

Federal Aviation Administration,
Housing Manager, AAL–50, 222 W. 7th
Ave., #14, Anchorage, AK 99513–7587.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’
FAA Employees. Employees of other
agencies that lease housing from FAA.

19:33 Apr 10, 2000

Same as ‘‘System Manager.’’
RECORD SOURCE CATEGORIES:

FAA employees and other individuals
who may appear with them in candid
photographs.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Administrators Correspondence
Control and Hotline Information
System, ACCIS, Administrator’s Hotline
Information System, AHIS, and
Consumer Hotline Information System,
CHIS, Formerly Administrators
Correspondence Control and Hotline
Information System.’’

These records are stored in filing
drawers that remain locked at all times.
There are two keyholders in the office;
therefore, access to these drawers is
limited to these employees only on an
as-needed basis.

Frm 00052

Fmt 4701

Sfmt 4703

Correspondence files are located in
the Office of the Executive Secretariat,
AOA–3, and Hotline files are located in
the Hotline Operations Program Office,
AOA–20. Both categories of records in
the Washington headquarters offices of
the Federal Aviation Administration,
800 Independence Ave., SW.,
Washington, DC 20591.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PO 00000

CONTESTING RECORD PROCEDURES:

Unclassified, sensitive.

None.

Jkt 190000

Same as ‘‘System Manager.’’

SECURITY CLASSIFICATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SAFEGUARDS:

RECORD SOURCE CATEGORIES:

VerDate 202000

See Prefatory Statement of General
Routine Uses.

Alphabetically by name, or
publication date.

CONTESTING RECORD PROCEDURES:

None.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RETRIEVABILITY:

Same as ‘‘System manager.’’

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Provide information to the public—
particularly the news media—and for
use in employee publications.

Stored in file cabinets.

RECORD ACCESS PROCEDURES:

RECORD ACCESS PROCEDURES:

SYSTEM LOCATION:

PURPOSE(S):

STORAGE:

Same as ‘‘System manager.’’

Same as ‘‘System Manager.’’

Individuals who write, call (including
HOTLINE calls), or are referred in
writing by a second party, to the
Administrator, to the Deputy
Administrator, and their immediate
offices; individuals who write, call, or
are referred in writing by a second party
to the Secretary, to the Deputy
Secretary, and their immediate offices
and the correspondence which has been
referred to the Federal Aviation
Administration; individuals who are the
subject of an action requiring approval
or action by one of the forenamed, such
as appeals, actions, training, awards,
foreign travel, promotions, selections,

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grievances, delegations, application of
waivers from the Federal Aviation
Administration, etc.

subject matter, last name and location of
originator and addressee, constituent’s
name, action office, and type.

CATEGORIES OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

Correspondence files contain
correspondence submitted by, or on
behalf of, an individual including
resumes, letters of reference, etc;
responses to such correspondence and
calls, staff recommendations on actions
requiring approval or action by the
Administrator, the Deputy
Administrator, the Secretary, and the
Deputy Secretary. Hotlines files contain
call records, correspondence, reports,
and related documents accumulated by
the staff in the course of operation.

Terminal access through the system’s
software for ACCIS is limited to the
Office of the Administrator. Access to
the records of the AHIS and CHIS is
limited to the staff of the Hotline
Operations Program Office. Information
is retrieved by means of a user ID and
password known only to each user.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

44 U.S.C. 3101.
PURPOSE(S):

Correspondence files: Documentation
of the organization, functions, policies,
decisions, procedures, and essential
transactions of the agency and designed
to furnish the information necessary to
protect the legal and financial rights of
the Government and of persons directly
affected by the agency’s activities.
Hotlines files: Documentation of calls
made by agency employees and
consumers.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Referral to the appropriate action
office within or outside the Department
or agency for preparation of a response.
Referral, to the appropriate agency for
actions involving matters or law, of
regulations beyond the responsibility of
the agency or Department, such as the
Department of Justice in matters of law
enforcement. As a data source for
management information, such as
briefing material on hearings, trend
analysis, responsiveness, etc. See
Prefatory Statement of General Routine
Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

RETENTION AND DISPOSAL:

The Administrators Correspondence
Control and Information System hard
copies are destroyed after the material is
microfilmed. Microfilm is retained
permanently. The Administrator’s
Hotline hard copies and magnetic
records are destroyed after 5 years. The
Consumer Hotline hard copies and
magnetic records are destroyed after 2
years.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator’s Correspondence
control and Information System:
Director, Executive Secretariat, Office of
the Administrator, AOA–3,
Administrator’s and Consumer Hotline
Systems: Manager, Hotline Operations
Program Office, AOA–20, Federal
Aviation Administration, 800
Independence Avenue, SW.,
Washington, DC 20591.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

Correspondence, records of calls from
individuals, including HOTLINE calls,
their representatives, or sponsors.
Responses to incoming correspondence
and records of calls. Related material for
background as appropriate.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

DOT/FAA 847

STORAGE:

SYSTEM NAME:

Computer processable media,
microfilm, and hardcopy access to the
records will be by means of
identification numbers and passwords
known only to the user and the system
managers.

Aviation Records on Individuals
(Formerly, General Air Transportation
Records on Individuals).

RETRIEVABILITY:

SYSTEM LOCATION:

Retrieved by control number,
suspense date, correspondence date,

Federal Aviation Administration,
FAA, Mike Monroney Aeronautical

VerDate 202000

19:33 Apr 10, 2000

SECURITY CLASSIFICATION:

Unclassified, sensitive.

Jkt 190000

PO 00000

Frm 00053

Fmt 4701

Sfmt 4703

Center, MMAC, Oklahoma City,
Oklahoma 73125: Civil Aeromedical
Institute, Aeromedical Certification
Division, AAM–300; Regulatory Support
Division, AFS–600; Civil Aviation
Registry, Airmen Certification Branch,
AFS–760. Federal Aviation
Administration, 800 Independence
Avenue, SW., Washington, DC 20591.
Flight Standards District Offices,
FSDOs. Certificate Management Offices,
CMOs. Certificate Management Field
Offices, CMFOs. International Field
Offices. Civil Aviation Security Field
Offices, CASFO’s. FAA regional offices.
Electronic enforcement litigation
tracking system records are located in
the offices of the Regional Counsel,
Directorate Counsel and Chief Counsel.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current certificated airmen, airmen
whose certificates have expired, airmen
who are deceased, airmen rejected for
medical certification, airmen with
special certification, and others
requiring medical certification. Air
traffic controllers in air route traffic
control centers, terminals, and flight
service stations and applicants for these
positions. Holders of and applicants for
airmen certificates, airmen seeking
additional certifications or additional
ratings, individuals denied certification,
airmen holding inactive certificates,
airmen who have had certificates
revoked. Persons who are involved in
aircraft accidents or incidents; pilots,
crewmembers, passengers, persons on
the ground, and witnesses. Individuals
against whom the Federal Aviation
Administration has initiated
administrative action or legal
enforcement action for violation of
certain Federal Aviation Regulations,
FAR, or Department of Transportation
Hazardous Materials Regulations, HMR.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name(s), date of birth, place of
residence, mailing address, social
security number, and airman certificate
number Records that are required to
determine the physical condition of an
individual with respect to the medical
standards established by FAA. Records
concerning applications for
certification, applications for written
examinations, results of written tests,
applications for inspection authority,
certificates held, ratings, stop orders,
and requests for duplicate certificates.
Reports of fatal accidents, autopsies,
toxicological studies, aviation medical
examiner reports, medical record
printouts, nonfatal reports, injury
reports, accident name cards, magnetic
tape records of fatal accidents,

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physiological autopsy, and consulting
pathologist’s summary of findings.
Records of accident investigations,
preliminary notices of accident injury
reports, engineering analyses, witness
statements, investigators’ analyses,
pictures of accident scenes. Records
concerning safety compliance notices,
letters of warning, letters of correction,
letters of investigation, letters of
proposed legal enforcement action, final
action legal documents in enforcement
actions, correspondence of Regional
Counsels, Office of Chief Counsel, and
others in enforcement cases. Also
included are electronic enforcement
litigation tracking system records
located in the Offices of the Regional
Counsel, Directorate Counsel and Chief
Counsel.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 U.S.C. 40101, 40113, 44701, 44703.
PURPOSE(S):

Issuance of airmen certificates by the
Federal Aviation Administration.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

(a) Provide basic airmen certification
and qualification information to the
public upon request. (b) Disclose
information to the National
Transportation Safety Board, NTSB, in
connection with its investigation
responsibilities. (c) Provide information
about airmen to Federal, state, and local
law enforcement agencies when engaged
in the investigation and apprehension of
drug-law violators. (d) Provide
information about enforcement actions
arising out of violations of the Federal
Aviation Regulations to government
agencies, the aviation industry, and the
public upon request. (e) Disclose
information to another Federal agency,
or to a court or an administrative
tribunal, when the Government or one
of its agencies is a party to a judicial
proceeding before the court or involved
in administrative proceedings before the
tribunal. (f) See Prefatory Statement of
General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12): Disclosures may be made
from these systems to ‘‘consumer
reporting agencies’’ (collecting on behalf
of the United States Government) as
defined in the Fair Credit Reporting Act
(15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1982 (31 U.S.C.
3701(a)(3)) and to debt collection
agencies as defined by inference in the
Federal Collection Act of 1966 (31
U.S.C. 3711(f)(1)) as amended.

VerDate 202000

19:33 Apr 10, 2000

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Maintained in file folders, on lists and
forms, and in computer processable
storage media. Records are also stored
on microfiche and roll microfilm.
RETRIEVABILITY:

Name, birth date, social security
account number, airman certificate
number, or other identification number
of the individual on whom the records
are maintained. Sex. Accident number
and/or incident number, and
administrative action or legal
enforcement numbers.
SAFEGUARDS:

Manual records: Strict information
handling procedures have been
developed to cover the use,
transmission, storage, and destination of
personal data in hard copy form. These
are periodically reviewed for
compliance. Automated Processing
(FAA Systems): Computer processing of
personal information is conducted
within established FAA computer
security regulations. A risk assessment
of the FAA computer facility used to
process this system of records has been
accomplished. Automated Processing
(Commercial Computer Contractor):
Computer programs operated on
commercial security levels and record
element restrictions to prevent release of
data to unauthorized parties.
RETENTION AND DISPOSAL:

These records are destroyed or retired
to the area Federal Records Center and
then destroyed in accordance with
current version of FAA Order 1350.15,
Records Organization, Transfer and
Destruction Standards. The retention
and destruction period for each record
varies depending on the type of record.
SYSTEM MANAGER(S) AND ADDRESS:

The address for the system managers
listed below is: Federal Aviation
Administration, Mike Monroney
Aeronautical Center, PO Box 25082,
6500 South MacArthur Blvd., Oklahoma
City, Oklahoma 73125.
RECORDS CONCERNING AVIATION MEDICAL
CERTIFICATION:

Manager, Aeromedical Certification
Division, AAM–300, FAA certification
records and general airman records:
Manager, Airmen Certification Branch,
AFS–760, Records concerning aircraft
accidents and incidents, Manager,
Operational Systems Branch, AFS–620,
Records concerning administrative and
legal enforcement action: FAA

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enforcement information system data
bases for administrative and legal
enforcement actions: Manager,
Operational Systems Branch, AFS–620,
Official FAA enforcement files: The
Office of Chief Counsel, the Office of
Regional Counsel, or the investigating
FAA field office, as appropriate. The
address of the appropriate FAA legal or
field office maintaining the official
agency enforcement file may be
obtained from AFS–620.
ELECTRONIC ENFORCEMENT LITIGATION TRACKING
SYSTEM RECORDS:

Offices of the Regional Flight Counsel,
Directorate counsel, and Chief Counsel.
Aviation medical certification records
from regional files: Regional Flight
Surgeon within the region where
examination was conducted. Visit or
call the local FAA office in the area in
which you reside for any proper
regional address.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

Medical Information: Information is
obtained from Aviation Medical
Examiners, individuals themselves,
consultants, hospitals, treating or
examining physicians, and other
Government agencies. Airmen
Certification Records: Information is
obtained from the individual to whom
the records pertain, FAA aviation safety
inspectors, and FAA designated
representatives. Written test scores are
derived from answers given by
individuals. Actions filed by FAA
personnel. General Aviation Accident/
Incident Records and Air Carrier
Incident Records: Information is
obtained from Aviation Medical
Examiners, pathologists, accident
investigations, medical laboratories, law
enforcement officials, and FAA
employees. Data are also collected from
manufacturers of aircraft, and involved
passengers. Administrative Action and
Legal Enforcement Records: Information
is obtained from witnesses, Regional
Counsels, the National Transportation
Safety Board, Civil Aviation Security
personnel, Flight Standards personnel,
Aeronautical Center personnel, and the
Office of Chief Counsel.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

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

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DOT/FAA 851

SAFEGUARDS:

Computer processing of information
would be conducted within established
FAA computer security regulations. A
risk assessment of the FAA computer
facility used to process this system of
records has been accomplished.

SYSTEM NAME:

Administration and Compliance
Tracking in an Integrated Office
Network.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

Federal Aviation Administration,
FAA, Office of Aviation Medicine, Drug
Abatement Division, 800 Independence
Avenue, SW., Washington, DC 20591.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Medical review officers, company
anti-drug program managers, other
contact names, and individuals who call
the FAA to self-disclose, who are
directly involved in the implementation
and maintenance of drug and alcohol
testing programs in conjunction with
the aviation industry.
CATEGORIES OF RECORDS IN THE SYSTEM:

Names, company and office telephone
numbers of program managers who are
in charge of the everyday operation of
drug and alcohol testing programs for
aviation companies, other persons who
are contacts for facilities directly
involved in drug and alcohol testing for
the aviation industry, medical review
officers (physicians) who review test
results for the aviation companies, and
individuals with company name and
telephone numbers who call the FAA to
self-disclose non-compliance.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

File folders in the Field Legal
Services’ offices.

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

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’

RECORD SOURCE CATEGORIES:

FAA records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

DOT/FHWA 204
SYSTEM NAME:

Federal Highway Administration,
FHWA, Motor Carrier Safety Proposed
Civil and Criminal Enforcement Cases,
DOT/FHWA.

VerDate 202000

19:33 Apr 10, 2000

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’

Unclassified—sensitive.

CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

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

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

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

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Only Office of Chief Counsel or Field
Legal Services employees and Office of
Motor Carrier and Highway Safety,
OMCHS, employees have regular access
to the files.

NOTIFICATION PROCEDURE:

SECURITY CLASSIFICATION:

Motor Carrier safety regulation
violations and identifying features.

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

SAFEGUARDS:

FHWA, Office of Chief Counsel, 400
Seventh Street, SW., Room 4224,
Washington, DC 20590; FHWA Resource
Centers, Field Legal Services.

CATEGORIES OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

Names of individuals.

SYSTEM MANAGER(S) AND ADDRESS:

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Maintained in an automated
information system.

RETRIEVABILITY:

The records are retained for one year
and then are generally sent to the local
Federal Records Centers for an
additional three-year period.

Same as ‘‘System manager.’’

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

STORAGE:

STORAGE:

RETENTION AND DISPOSAL:

CONTESTING RECORD PROCEDURES:

Office of Motor Carrier Enforcement,
HMCE, 400 7th Street, SW., Room
4432A, Washington, DC 20590.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

None.

SYSTEM MANAGER(S) AND ADDRESS:

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

None.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM LOCATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

See Prefatory Statement of General
Routine Uses. Routine use number 5
does not apply to this system of records.

The FAA has requested a retention
and disposal schedule to destroy 5 years
from creation date. That request is
pending approval from the National
Archives and Records Administration,
NARA.

PURPOSE(S):

See Prefatory Statement of General
Routine Uses.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

5 U.S.C. 552 (c)(3), (d), (e)(4)(G), (H),
and (I), (f) to the extent they contain
investigative material compiled for law
enforcement purposes in accordance
with 5 U.S.C. 552a(k)(2).
DOT/FHWA 213
SYSTEM NAME:

Driver Waiver/Exemption File.
SECURITY CLASSIFICATION:

Unclassified—sensitive.
SYSTEM LOCATION:

Department of Transportation, Federal
Highway Administration, FHWA, Office

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of Motor Carrier Research and
Standards, HMCS, 400 7th Street, SW.,
Washington, DC 20590; FHWA Resource
Centers.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Operators of interstate commercial
motor vehicles that transport certain
commodities.

RECORD ACCESS PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

STORAGE:

Same as ‘‘System manager.’’

Open advances are maintained on a 5
x 8 inch form. In an automated travel
management system, no advance is
required (i.e., paperless).

RECORD SOURCE CATEGORIES:

Application for Waiver or Waiver
Renewal.

RETRIEVABILITY:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

Applications for waiver (usually
involving physical disability); final
disposition of request for waiver; and
waiver renewal.

Indexed by name.

None.

SAFEGUARDS:

Locked file cabinet.

DOT/FHWA 215

RETENTION AND DISPOSAL:

SYSTEM NAME:

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

Travel Advance File.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

SECURITY CLASSIFICATION:

SYSTEM LOCATION:

SYSTEM MANAGER(S) AND ADDRESS:

PURPOSE(S):

Department of Transportation, Federal
Highway Administration, FHWA, Office
of Budget and Finance, 400 Seventh
Street, SW., Washington, DC 20590;
Federal Aviation Administration,
Southern Region, Travel and
Transportation Section, ASO–22A,
Campus Building, Room C–210E, 1701
Columbia Avenue, College Park, GA
30337; and the FHWA Federal Lands
Division Offices (Eastern, Central, and
Western).

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

Monitor drivers of commercial motor
vehicles who operate in interstate
commerce and have been identified as
physically impaired.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses. Routine use number 5 is
not applicable to this system of records.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Unclassified—sensitive.

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

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

RETRIEVABILITY:

The records are filed by driver’s
name.

Controlling the repayments of travel
advances to FHWA personnel.

NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’

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19:33 Apr 10, 2000

Individuals on whom the records are
maintained.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Travel Authorization and Voucher—
Relocation Allowances (First Duty or
Permanent Change of Station).

PURPOSE(S):

Department of Transportation, Federal
Highway Administration, Office of
Motor Carrier Research and Standards,
HMCS, 400 Seventh Street, SW.,
Washington, DC 20590.

RECORD SOURCE CATEGORIES:

AUTHORITY FOR MAINTENANCE OF SYSTEM:

Files are classified as sensitive and
are regularly accessible only by
designated employees within the
Resource Centers and Office of Motor
Carrier and Highway Safety.

SYSTEM MANAGER(S) AND ADDRESS:

CONTESTING RECORD PROCEDURES:

DOT/FHWA 216

SAFEGUARDS:

The files are retained while the driver
waivers are active. The inactive driver
waiver files are purged every 3 years.

Same as ‘‘System manager.’’

Record of travel advances and
repayments.

SYSTEM NAME:

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

RETENTION AND DISPOSAL:

RECORD ACCESS PROCEDURES:

None.

CATEGORIES OF RECORDS IN THE SYSTEM:

The records are maintained in file
folders in file cabinets.

Same as ‘‘System manager.’’

Same as ‘‘System manager.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

NOTIFICATION PROCEDURE:

SECURITY CLASSIFICATION:

Unclassified—sensitive.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12): Disclosures may be made
from this system to ‘‘consumer reporting
agencies’’ (collecting on behalf of the
United States Govt.) as defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

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SYSTEM LOCATION:

Department of Transportation, Federal
Highway Administration, FHWA, Office
of Budget and Finance, HABF, 400
Seventh Street, SW., Washington, DC
20590; Federal Aviation Administration,
MMAC Travel and Transportation
Branch, AMZ–130, 6500 So. MacArthur
Blvd., Oklahoma City, OK 73169.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

First duty and permanent change of
station employees within the FHWA.
CATEGORIES OF RECORDS IN THE SYSTEM:

Travel voucher(s), copies of third
party payments (i.e., Government Bill of

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Lading, GBL, carrier bills, contractor
invoice(s) for services, Administrative
Notices (i.e., adjustment(s) to vouchered
claim, taxable and non-taxable income,
withholding tax allowance(s), if
applicable, taxes withheld), and IRS
4782’s (Summary of Calendar Year of
All Reimbursements, including taxes
withheld).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

CONTESTING RECORD PROCEDURES:

RETENTION AND DISPOSAL:

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

Individuals on whom the records are
maintained.

SYSTEM MANAGER(S) AND ADDRESS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

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

None.
DOT/FHWA 217
SYSTEM NAME:

Accounts Receivable.

PURPOSE(S):

NOTIFICATION PROCEDURE:

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

SECURITY CLASSIFICATION:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12): Disclosures may be made
from this systems to ‘‘ consumer
reporting agencies’’ (collecting on behalf
of the United States Govt.) as defined in
the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

STORAGE:

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

RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’

SYSTEM LOCATION:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SAFEGUARDS:

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

Destroy after 6 years, pursuant to
General Records Schedule 9.
SYSTEM MANAGER(S) AND ADDRESS:

Department of Transportation, Federal
Highway Administration, Office of
Budget and Finance, HABF, Team
Leader, Travel Policy and Operations,
400 Seventh Street, SW., Washington,
DC 20590; and Division Manager,
MMAC Travel and Transportation
Branch, AMZ–130, 6500 MacArthur
Blvd., Oklahoma City, OK 73169.

Same as ‘‘System manager.’’

19:33 Apr 10, 2000

RECORD SOURCE CATEGORIES:

Employer.
None.
DOT/FRA 106

CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM NAME:

Occupational Safety and Health
Reporting System.

Amount of indebtedness.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SECURITY CLASSIFICATION:

5 U.S.C. 301.

Unclassified, Sensitive.

PURPOSE(S):

SYSTEM LOCATION:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12): Disclosures may be made
from this systems to ‘‘consumer
reporting agencies’’ (collecting on behalf
of the United States Govt.) as defined in
the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Maintained in file folders and looseleaf binders.
RETRIEVABILITY:

Department of Transportation, DOT,
Federal Railroad Administration, FRA,
Office of Administration, Office of
Safety, Office of Safety Assurance and
Compliance, RRS–12, 1120 Vermont
Avenue, NW., Stop 25 Washington DC
20590–0001
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Filed by name.

RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’

Individuals indebted to the Federal
Highway Administration.

NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’

CONTESTING RECORD PROCEDURES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

See Prefatory Statement of General
Routine Uses.

The files are indexed by name.

VerDate 202000

Same as ‘‘System manager.’’

Unclassified—sensitive.

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

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

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

FRA employees (injuries and
illnesses) FRA employees involved in
government property accidents.
CATEGORIES OF RECORDS IN THE SYSTEM:

Federal Occupation Injuries and
Illnesses Survey (Standard Form
OSHA–102) Departmental Accident/
Injury Reports DOT Forms 3902 1.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
Employees, (Executive Order 12196);
Basic Program Elements for Federal
Employee Occupational Safety and
Health Programs and Related Matters,
(Title 29 CFR part 1960); Management of
Building and Grounds, (Title 41 CFR
parts 101–20); and Occupational Safety
and Management Program (DOT Order
3902.7A).

SAFEGUARDS:

PURPOSE(S):

Supervised by Chief, Accounting
Team.

To track employees injuries, illnesses,
and accidents involved in government

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices
SYSTEM LOCATION:

property to develop causative trends,
accident prevention policies, and
correct safety items.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

Maintain accident records per
departmental orders. Provide data to
Office of the Secretary. Develop
causative trends Use for corrective
accident prevention. See Prefatory
Statement of General Routine Uses.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12): Disclosures may be made
from this System to Aconsumer
reporting agencies (collecting on behalf
of the United States Government) as
defined in the Fair Credit Reporting Act
(15 U.S.C. 1681a(f) or the Federal
Claims Collection Act of 1982(31 U.S.C.
3701(a)(3).

STORAGE:

Maintained on copies of basic
documents.
RETRIEVABILITY:

By name.
SAFEGUARDS:

Physical security consists of file
drawer with data; records provide to
authorized individuals by FRA Safety
Manager after physical Screening.
RETENTION AND DISPOSAL:

FRA Safety Manager, Department of
Transportation Federal Railroad
Administration, Office of
Administration, Office of Safety
Assurance and Compliance, RRS–12,
1120 Vermont Avenue, NW., Stop 25,
Washington DC 20590–0001.
Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’
RECORD SOURCES CATEGORIES:

Documents provided by the
individual.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/FRA 130
SYSTEM NAME:

Enforcement Case System.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

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19:33 Apr 10, 2000

Individuals that have allegedly failed
to comply with certain railroad safety
statutes and regulations.
CATEGORIES OF RECORDS IN THE SYSTEM:

Facts and circumstances surrounding
alleged rail safety violations by
individuals; recommendations for
enforcement actions; and enforcement
cases.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

NOTIFICATION PROCEDURE:

Department of Transportation, DOT,
Federal Railroad Administration, Office
of the Chief Counsel, Safety Law
Division, RCC–10, 1120 Vermont
Avenue, NW., Stop 10, Washington, DC
20590–0001. Each Regional Office and
Department of Transportation, DOT,
Federal Railroad Administration, Office
of Safety Assurance and Compliance,
RRS–10, 1120 Vermont Avenue, NW.,
Stop 25, Washington, DC 20590–0001.

Hazardous Materials Transportation
Act (49 App. U.S.C. 1801 et seq.); Safety
Appliance Acts, (45 U.S.C. 1–16);
Locomotive Inspection Act, (45 U.S.C.
22–34); Accident Reports Act, (45 U.S.C.
38–43); Hours of Service Act, (45 U.S.C.
61–64a); Signal Inspection Act, (49 App.
U.S.C. 26); Federal Railroad Safety Act
of 1970 (45 U.S.C. 421 et seq.); 18 U.S.C.
1001; and Rail Safety Improvement Act
of 1988 (Pub. L. 100–342).
PURPOSE(S):

To provide information concerning
enforcement actions for violations of
safety statutes and regulations to
government agencies and the regulated
industry in order to provide them with
information necessary to carry out their
responsibilities, and to the public in
order to increase the deterrent effect of
the actions and keep the public apprised
of how the laws are being enforced.
Determine whether cases should be
forwarded to the Office of Chief Counsel
for prosecution and to otherwise
accomplish the mission of the Office of
Safety.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclose pertinent information to any
source from which additional
information is requested in the course of
conducting an investigation to the
extent necessary to identify the
purpose(s) of the request and identify
the information requested. Provide
notice of the investigation and its
outcome to the individual’s employing
railroad or shipper, or other railroad
related to the case through joint

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facilities or trackage rights in order to
give those entities information they may
need to assist in preventing a recurrence
of noncompliance. To be reviewed by
the Safety Division and to form the
basis, or support for, civil and/or
criminal enforcement actions against the
individuals involved. The general
routine uses in the prefatory statement
apply to all of these files.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12): Disclosures may be made
from this systems to A consumer
reporting agencies (collecting on behalf
of the United States Government) as
defined in the Fair Credit Reporting Act
(15 U.S.C. 1681a(f)) or the Federal
Claims Collection Act of 1982 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

File folders, file cabinets and an
automated tracking system.
RETRIEVABILITY:

Records are retrievable by name of
individual and/or his or her employer.
SAFEGUARDS:

Access limited to authorized officials.
Manual records are maintained in file
cabinets that are locked after working
hours. Automated records are password
protected.
RETENTION AND DISPOSAL:

Appropriate records retention
schedules will be applied and disposal
will be by shredding. Certain automated
records will be retained indefinitely to
provide complete compliance histories.
SYSTEM MANAGER(S) AND ADDRESS:

Enforcement Case System Manager,
Department of Transportation, Federal
Railroad Administration, Office of the
Chief Counsel, Safety Law Division,
RCC–10, 1120 Vermont Avenue, NW.,
Stop 10, Washington, DC 20590–0001.
NOTIFICATION PROCEDURE:

Inquiries should be directed to:
Federal Railroad Administration,
Assistant Chief Counsel, Safety Law
Division, Office of the Chief Counsel,
1120 Vermont Avenue, NW., Stop 10,
Washington, DC 20590–0001.
RECORD ACCESS PROCEDURES:

Contact (202) 493–6053 or write to the
System Manager for information on
procedures for gaining access to records.
CONTESTING RECORD PROCEDURES:

Same as ‘‘record access procedure.’’

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RECORD SOURCE CATEGORIES:

Information is obtained directly from
the individual or from other persons
with personal knowledge of the facts
and circumstances involved.
EXEMPTIONS:

None.
DOT/MARAD 1
SYSTEM NAME:

Attendance, Leave and Payroll
Records of Employees and Certain Other
Persons.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Maritime Administration, Division of
Accounting Operations, MAR–330, 400
7th Street, SW., Room 7325,
Washington, DC 20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All Maritime Administration
employees and certain other employees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name, date of birth, social security
number and employee number, service
computation date, grade, step, and
salary; organization (code), retirement or
FICA data, as applicable; federal, state,
and local tax deductions, as appropriate;
optional Government life insurance
deduction(s), health insurance
deduction and plan or code; cash award
data; jury duty data; military leave data;
pay differentials; union dues
deductions; allotments, by type and
amount; financial institution code and
employee account number; leave status
and leave data of all types (including
annual, compensatory, jury duty,
maternity, military retirement
advisability, sick, transferred, absence
without leave, and without pay); time
and attendance records including
number of regular, overtime, holiday,
Sunday, and other hours worked; pay
period number and ending date; cost of
living allowances; mailing address; coowner and/or beneficiary of bonds,
marital status and number of
dependents; and ‘‘Notification of
Personnel Action.’’ The individual
records listed herein are included only
as pertinent or applicable to the
individual employee.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 5101–5115, 31 U.S.C. 3512.
PURPOSE(S):

Transmittal of data to United States
Treasury and employee-designated
financial institutions to effect issuance
of paycheck to employees and

VerDate 202000

19:33 Apr 10, 2000

distribution of pay according to
employee directions for saving bonds,
allotments, and other authorized
purposes.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Reporting: Tax withholding to
Internal Revenue Service and
appropriate state and local taxing
authorities; FICA deductions to the
Social Security Administration; dues
deduction to labor unions; withholding
for health and life insurance to the
insurance carriers and the United States
Office of Personnel Management;
charity contribution deductions to
agents of charitable institutions; annual
W–2 statements to taxing authorities
and the individual; wage, employment,
and separation information to state
unemployment compensation agencies,
to the Department of Labor to determine
eligibility for unemployment
compensation, and to housing
authorities for low-cost housing
applications; injury compensation
claims to Office of Workers
Compensation Program at the
Department of Labor. See Prefatory
Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Manual and automated.

Division of General and International
Law, Office of the Chief Counsel, MAR–
221, Maritime Administration, 400 7th
Street, SW., Washington, DC 20590.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:

The individual. Those authorized by
individual to furnish information.
Supervisors. Timekeepers. Personnel
Offices. IRS.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/MARAD 2

SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Maritime Administration, Division of
Accounting Operations, MAR–330, 400
7th Street, SW., Washington, DC 20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

By name or social security number.
SAFEGUARDS:

Physical, technical, and
administrative security is maintained,
with all storage equipment and/or
rooms locked when not in use.
Admittance, when open, is restricted to
authorized personnel only. All payroll
personnel and computer operators and
programmers are instructed and
cautioned on the confidentiality of the
records.
RETENTION AND DISPOSAL:

Retained on site until after GAO
audit, then disposed of, or transferred to
Federal Records Storage Center in

Fmt 4701

NOTIFICATION PROCEDURE:

Debtors owing money to MARAD,
including employees, former employees,
business firms, general public and
institutions.

STORAGE:

Frm 00059

Chief, Division of Accounting
Operations, MAR–330, Maritime
Administration, 400 7th Street, SW.,
Washington, DC 20590.

Accounts Receivable.

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)).

PO 00000

SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM NAME:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Jkt 190000

accordance with the fiscal record
programs approved by GAO, as
appropriate, or General Record
Schedules of GSA. Dispose of when 3
years old

Sfmt 4703

Name and address; amount owed, and
service, overpayment or other
accounting therefore; invoice number, if
any.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 5701–09, Federal Property
Management Regulation 101–7,
Treasury Fiscal Requirements Manual
31 U.S.C. 3711.
PURPOSE(S):

Billing debtors, reporting delinquent
debts to credit bureaus, referrals to the
General Accounting Office and the
Department of Justice, reporting to
Office of Personnel Management for
liquidating debts from retirement and
other benefits.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SECURITY CLASSIFICATION:

See Prefatory Statement of General
Routine Uses.

SYSTEM LOCATION:

SYSTEM MANAGER(S) AND ADDRESS:

Division of General Law and
International Law, Office of the Chief
Counsel; and Office of the Secretary;
Maritime Administration, 400 7th
Street, SW., Washington, DC 20590.

Chief, Division of General and
International Law, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW., Washington, DC 20590.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12): Disclosures may be made
from this systems to ‘consumer
reporting agencies’ (collecting on behalf
of the United States Govt.) as defined in
the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual.
RETRIEVABILITY:

By name, and invoice number as
appropriate.

authorization approved by the Archivist
of the United States.

Unclassified, sensitive.

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Individuals who have requested
records under the Freedom of
Information and/or Privacy Acts.

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

Same as ‘‘System Manager.’’

Incoming requests; correspondence
developed during processing of
requests; initial and final determination
letters; records summarizing pertinent
facts about requests and action taken;
copy or description of records released;
description of records denied. Copies of
records denied are often kept with these
files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Physical security; handling by
authorized personnel only.
Retained until payment is received
and account is audited, and then
disposed of in accordance with Records
Control Schedule. Disposed of when 3
years old.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Accounting
Operations, Maritime Administration,
400 7th Street, SW., Washington, DC
20590.
NOTIFICATION PROCEDURE:

Division of General Law and
International Law, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW., Washington, DC 20590.

Used by DOT and MARAD
management and legal personnel to
assure that each request receives an
appropriate reply and to compile data
for the required annual reports on
activities under the Acts.

SYSTEM LOCATION:

See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Non-Federal visitors, Federal
personnel entering facilities after duty
hours, and employees seeking parking
and firearm permits.
CATEGORIES OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

Chronologically by date of initial
determination. By name of requester
and date.

Same as Notification procedure.
RECORD SOURCE CATEGORIES:

The individual. Those authorized by
the individual to furnish information.
Contracting officer as appropriate.
Accounting records.

SAFEGUARDS:

DOT/MARAD 3

Privacy Act request records are stored
in file cabinets in secured premises with
access limited to those whose official
duties require access. Freedom of
Information Act request records are
generally available to the public with
the exception of records denied.

SYSTEM NAME:

RETENTION AND DISPOSAL:

Freedom of Information and Privacy
Request Records.

Records are disposed of in accordance
with the appropriate record disposition

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

VerDate 202000

19:33 Apr 10, 2000

Jkt 190000

PO 00000

Department of Administrative Service
and Procurement, United States
Merchant Marine Academy, Kings
Point, NY 11024. James River Reserve
Fleet, Drawer ‘‘C’’, Fort Eustis Virginia
23604; Beaumont Reserve Fleet, PO Box
6355, Beaumont, Texas 77705; Suisun
Bay Reserve Fleet, PO Box 318, Benicia,
California 94510.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

Paper records in file folders.

CONTESTING RECORD PROCEDURES:

DOT/MARAD 4

Unclassified, sensitive.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Same as Notification procedure.

None.

SECURITY CLASSIFICATION:

STORAGE:

RECORD ACCESS PROCEDURES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Visitor Logs and Permits for Facilities
Under MARAD Control.

PURPOSE(S):

RETENTION AND DISPOSAL:

The individual. Records derived from
processing Freedom of Information and
Privacy Act requests.

SYSTEM NAME:

5 U.S.C. 552, 552a.

SAFEGUARDS:

RECORD SOURCE CATEGORIES:

Frm 00060

Fmt 4701

Sfmt 4703

Name, address, place of birth,
citizenship, physical characteristics,
type and number of firearms and
amount of ammunition, purpose of visit,
affiliation, time in and time out, license
numbers, and records of violations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

50 App U.S.C. 1744, 46 App U.S.C.
1111, and 46 App U.S.C. 1114.
PURPOSE(S):

To keep records of non-Federal
visitors, Federal personnel entering
facilities after duty hours, and
employees seeking parking and firearm
permits.

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices
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.

SYSTEM LOCATION:

Paper records in file folders.

NOTIFICATION PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

Filed alphabetically by name, or date
and time.
SAFEGUARDS:

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or secured premises with
access limited to those whose official
duties require access.

Name, address, social security
number, destination, itinerary, mode
and purpose of travel; dates; expenses
including amounts advanced (if any),
amounts claimed, and amounts
reimbursed; travel orders, travel
vouchers, receipts, and passport record
card.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Retained on site for five years, then
disposed of in accordance with unit’s
Record Control Schedule. Destroy 5
years after final entry or 5 years after
date of document, as appropriate.
SYSTEM MANAGER(S) AND ADDRESS:

Superintendent of respective Reserve
Fleets and Chief, Fire and Security,
United States Merchant Marine
Academy, Kings Point, New York
11024–1699.
NOTIFICATION PROCEDURE:

Division of General and International
Law, Office of the Chief Counsel,
Maritime Administration, MARB221,
400 7th Street, SW., Washington, DC
20590.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’

PURPOSE(S):

Transmittal to United States Treasury
for payment, to State Department for
passports.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Same as ‘‘Notification procedure.’’
The individual. Those authorized by
the individual to furnish information.
Employees.

SYSTEM NAME:

Travel Records (Domestic and
Foreign) of Employees and Certain
Other Persons.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

19:33 Apr 10, 2000

Same as Notification Procedure.
The individual. Those authorized by
the individual to furnish information.
Supervisors. Finance (or accounting)
office standard references.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/MARAD 6

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SECURITY CLASSIFICATION:

Executive Correspondence Files.

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)).

Manual.
Filed by name, social security
number, or travel order number.
Records are located in lockable metal
file cabinets or in secured rooms or
secured premises with access limited to
those whose official duties require
access.
RETENTION AND DISPOSAL:

Retained according to GSA Federal
Travel Regulations, and then disposed

Jkt 190000

PO 00000

Frm 00061

Unclassified—Sensitive.
SYSTEM LOCATION:

Office of Maritime Administrator,
MAR–100, Maritime Administration,
400 7th Street, SW., Washington, DC
20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who correspond with toplevel officials in MARAD and express
views or seek information or assistance.
Freedom of Information Act or Privacy
Act requests is not indexed in this
system.
CATEGORIES OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

SAFEGUARDS:

DOT/MARAD 5

Same as Notification Procedure.
CONTESTING RECORD PROCEDURES:

SYSTEM NAME:

STORAGE:

RECORD SOURCE CATEGORIES:

RECORD ACCESS PROCEDURES:

See Prefatory Statement of General
Routine Uses.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CONTESTING RECORD PROCEDURES:

Division of General and International
Law, Office of the Chief Counsel,
Maritime Administration, 400 7th
Street, SW., Washington, DC 20590.

RECORD SOURCE CATEGORIES:

13 U.S.C. 3701(a)(3).

RETENTION AND DISPOSAL:

VerDate 202000

Chief, Division of Accounting
Operations, MAR–330, Maritime
Administration, 400 7th Street, SW.,
Washington, DC 20590; United States
Merchant Marine Academy Travel
Clerk, United States Merchant Marine
Academy, Kings Point, NY 11024.

Employees, Consultants, Advisory
Committee Members, and official
requests of the Department.

STORAGE:

None.

SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

of according to unit’s Records Control
Schedule. Destroy when 3 years old or
upon separation of the bearer,
whichever is sooner.

Division of Accounting Operations,
Maritime Administration, MAR–330,
400 7th Street, SW., Washington, DC
20590; United States Merchant Marine
Academy Travel Clerk, United States
Merchant Marine Academy, Kings
Point, New York 11024.

Fmt 4701

Sfmt 4703

The system may include the name
and address of correspondent, summary
of subject matter, original
correspondence, official response,
referral letters, memoranda or notes
concerning subject of the
correspondence, or copies of any
enclosures. The records in the system
are arranged chronologically by date of
official Agency action, numerically by
control number assigned to each items
of correspondence and by name of
correspondent.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

processing the correspondence, and
other individuals, as required to prepare
an appropriate response.

secured rooms or secured premises with
access limited to those whose official
duties require access.

To prepare statistical reports for
management on correspondence volume
or topics of public interest.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

RETENTION AND DISPOSAL:

DOT/MARAD 7

Destroyed 5 years after date of
document.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SYSTEM NAME:

SYSTEM MANAGER(S) AND ADDRESS:

Litigation, Claims and Administrative
Proceeding Records.

Chief Counsel, Maritime
Administration, MAR–220, 400 Seventh
Street, SW., Washington, DC 20590.

5 U.S.C. 301; 49 U.S.C. 322.
PURPOSE(S):

Used by personnel in the Office of the
Maritime Administrator and
administrative offices to assure that
each request receives an appropriate
and timely reply. Information from or
copies of the records may be provided
to the original addresses of the original
correspondence. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

SECURITY CLASSIFICATION:

Unclassified, sensitive.

NOTIFICATION PROCEDURE:

Division of General and International
Law, Office of the Chief Counsel,
Maritime Administration, MAR–226,
400 Seventh Street, SW., Washington,
DC 20590.

SYSTEM LOCATION:

Office of Chief Counsel, MAR–220,
Maritime Administration, 400 Seventh
Street, SW., Washington, DC 20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORD ACCESS PROCEDURES:

Individuals the subject of any
litigation which MARAD is involved;
individuals who make administrative
claims or appeals against MARAD;
individuals who are the subjects of
claims and administrative actions
brought by MARAD; individuals who
may have provided statements or other
evidence with respect to any of the
above.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Maintained in paper form.
RETRIEVABILITY:

By control number, by
correspondent’s name, by subject, and
by date.
SAFEGUARDS:

Paper records are stored in file
cabinets on secured premises with
access limited to personnel whose
official duties require access.
RETENTION AND DISPOSAL:

Records are disposed in accordance
with the appropriate record disposition
schedule approved by the Archivist of
the United States. Transfer closed files
to Records Center when 5 years old.
Offer to archivist when the latest
records are 20 years old.
SYSTEM MANAGER(S) AND ADDRESS:

Maritime Administrator, MAR–100,
400 7th Street, SW., Washington, DC
20590.
NOTIFICATION PROCEDURE:

Division of General and International
Law, Office of the Chief Counsel, MAR–
221, Maritime Administration, 400 7th
Street, SW., Washington, DC 20590.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification Procedure.’’
RECORD SOURCE CATEGORIES:

Subject claimant or plaintiff. Those
authorized by the foregoing to furnish
information. Whatever other sources are
pertinent to the nature of the case.

CATEGORIES OF RECORDS IN THE SYSTEM:

Names, addresses, social security
account numbers, statements of claims
and analysis thereof, investigatory
reports, opinion of law, and pleadings,
motions, depositions, rulings, opinions
citation particulars (description of
vehicle, date of birth, physical
characteristics, driving permit or license
data, vehicle license data, etc.) and
other litigation and claims
documentation.
46 app U.S.C. 1114 and 1241a, and 50
app U.S.C. 1291a.
PURPOSE:

Records of individuals subject of any
litigation and claims proceedings.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper records in file folders.

CONTESTING RECORD PROCEDURES:

RETRIEVABILITY:

Same as Notification Procedure.

Filed alphabetically by name.

RECORD SOURCE CATEGORIES:

SAFEGUARDS:

The correspondent, referral source,
Department employees involved in

Records are located in lockable metal
file cabinets or in metal file cabinets in

VerDate 202000

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Jkt 190000

PO 00000

Frm 00062

Fmt 4701

Sfmt 4703

Pursuant to 5 U.S.C. 552a(k)(1), (k)(2)
and (k)(5), this system is exempt from
portions of the act.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/MARAD 8
SYSTEM NAME:

Property Accountability Files.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Same as Notification Procedure.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

SECURITY CLASSIFICATION:

Unclassified, sensitive
SYSTEM LOCATION:

Office of Management Services and
Procurement Maritime Administration,
400 7th Street, SW., Washington, DC
20590. Department of Administrative
Service and Procurement, United States
Merchant Marine Academy, Kings
Point, NY 11024. Office of Ship
Operations, Division of Reserve Fleet,
Maritime Administration, MAR–612,
400 7th Street, SW., Washington, DC
20590. James River Reserve Fleet,
Drawer ‘‘C’’, Fort Eustis Virginia 23604;
Beaumont Reserve Fleet, P.O. Box 6355,
Beaumont, Texas 77705; Suisun Bay
Reserve Fleet, P.O. Box 318, Benicia,
California 94510; National Maritime
Research Center, United States
Merchant Marine Academy, Kings
Point, NY 11024.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employees, general public,
institutions, and anyone who charges
out or signs for property or other
materials.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name; telephone number;
identification of property or equipment;
home and business address; employee
I.D. number; position; job title; grade;
organization; explanation for items not
accounted for, correspondence;
clearances; and key number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

40 U.S.C. 483(b).

Center, United States Merchant Marine
Academy, Kings Point, NY 11024. Chief,
Division of Reserve Fleet, MAR–612,
Maritime Administration, 400 7th St,
SW., Washington, DC 20590.
Superintendent, James River Reserve
Fleet, Drawer ‘‘C’’, Fort Eustis, Virginia
23604; Superintendent, Beaumont
Reserve Fleet, PO Box 6355, Beaumont,
Texas 77705; Superintendent, Suisun
Bay Reserve Fleet, PO Box 318, Benicia,
California 94510.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

NOTIFICATION PROCEDURE:

STORAGE:

Division of General and International
Law, Office of the Chief Counsel, MAR–
220, Maritime Administration, 400 7th
Street, SW., Washington, DC 20590.

PURPOSE(S):

CONTESTING RECORD PROCEDURES:

See Prefatory Statement of General
Routine Uses.

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:

RETRIEVABILITY:

Filed alphabetically by name.
Records are located in lockable metal
file cabinets, or lockable desks, or in
metal file cabinets in secured rooms or
secured premises with access limited to
those whose official duties require
access.
RETENTION AND DISPOSAL:

Retained 2 years after property is
accounted for.
Chief, Supply Operations Division,
MAR–313, Maritime Administration,
400 7th Street, SW., Washington, DC
20590. Administrative Services Office,
United States Merchant Marine
Academy, Kings Point, NY 11024.
Director, National Maritime Research

19:33 Apr 10, 2000

Name and/or account or case number.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Accounting, MAR–
330, MARAD, 400 7th St., SW.,
Washington, DC 20590.
NOTIFICATION PROCEDURE:

None.

Division of General and International
Law, MAR–221, Office of Chief Counsel,
Maritime Administration, 400 7th
Street, SW., Washington, DC 20590.

DOT/MARAD 9
SYSTEM NAME:

Records of Cash Receipts.

RECORD ACCESS PROCEDURES:

SECURITY CLASSIFICATION:

Same as Notification Procedure.
CONTESTING RECORD PROCEDURES:

Same as Notification Procedure.

Director, Office of Accounting, MAR–
330, Maritime Administration, 400 7th
Street, SW., Washington, DC 20590.

CATEGORIES OF RECORDS IN THE SYSTEM:

Individual’s name, the goods or
services purchased, amount, date, check
number, division or office, bank deposit,
treasury deposit number.

PURPOSE(S):

System for individuals paying for
goods and or services, reimbursement of
overpayments, delivery of cash to the
Department.

PO 00000

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Subject individual. Those authorized
by the individual to furnish
information.
None.
DOT/MARAD 10
SYSTEM NAME:

Employee’s Personnel Files Not
Covered by Notices of Other Agencies.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

46 app U.S.C. 1114.

Jkt 190000

RECORD SOURCE CATEGORIES:

EXEMPTIONS CLAIMED FOR SYSTEM:

Individuals paying for goods or
services, reimbursing overpayments, or
otherwise delivering cash to the
Department.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

RETRIEVABILITY:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SAFEGUARDS:

Manual and machine-readable.

Permanently maintained.

SYSTEM LOCATION:

Paper copy of file folders and trays.

None.

RETENTION AND DISPOSAL:
RECORD SOURCE CATEGORIES:

Unclassified, sensitive.

STORAGE:

VerDate 202000

Same as ‘‘Notification procedure.’’
Subject individual. Those authorized
by the individual to furnish
information. Book cards. Supply person
providing the equipment.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records are located in lockable metal
file cabinets or in secured premises with
access limited to those whose official
duties require access.

Same as ‘‘Notification procedure.’’

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.

SAFEGUARDS:

RECORD ACCESS PROCEDURES:

Tracking system for anyone who
charges out or signs for property or
other materials.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Director, Office of Personnel,
Maritime Administration, MAR–360,
400 7th Street, SW., Washington, DC
20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current and former employees.

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CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

All personnel records in MARAD
which are subject to the Privacy Act but
are not covered in the notices of systems
of records published by the Office of
Personnel Management, Merit Systems
Protection Board, or Equal Employment
Opportunity Commission. The records
of this system may include, but are not
limited to: Employee Development;
Incentive Awards; Employee Relations;
Grievance Records; Medical; Career
Management Program; Ship Personnel;
Employee Overseas Assignments;
Minority Group Statistics Program;
Work Performance and Appraisal
Records; including supervisory records
which have been disclosed; ReEmployment and Priority Placement
Programs; Within-Grade Denials
(Reconsideration File); and, Automated
Employee Information System.

Director, Office of Personnel,
Maritime Administration, MAR–360,
400 7th Street, SW, Washington, DC
20590.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

46 App U.S.C. 1111.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Distributed to the press, other
government agencies, and the general
public. See Prefatory Statement of
General Routine Uses.

NOTIFICATION PROCEDURE:

Division of General and International
Law, MAR–221, Office of Chief Counsel,
Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.
Same as ‘‘Notification procedure.’’

STORAGE:

CONTESTING RECORD PROCEDURES:

Paper records in file folders or
notebooks.

Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:

Subject individual and those
authorized by the individual to furnish
information. Others involved in
references of the individual. Physicians.
Employee’s supervisor.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

To provide information to officials or
labor organizations reorganized under
the Civil Service Reform Act when
relevant and necessary to their duties of
exclusive representation concerning
personnel policies, practices, and
matters affecting work conditions.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None.

Biographical Files.
SECURITY CLASSIFICATION:

NOTIFICATION PROCEDURE:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Key present and former Maritime
Administration personnel, and members
of Advisory Board to the United States
Merchant Marine Academy.

STORAGE:

CATEGORIES OF RECORDS IN THE SYSTEM:

Records are located in lockable metal
file cabinets or in secured rooms or
secured premises with access limited to
those whose official duties require
access.
RETENTION AND DISPOSAL:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Retained according to Unit’s Records
Control Schedule. Records are kept until
employee retires and then 90 days after
retirement records are sent to OPM and/
or records center. If employees transfer
to another government agency, the
records are transferred to that
government agency.

VerDate 202000

19:33 Apr 10, 2000

46 App U.S.C. 1114.
Use in connection with written
articles, oral interviews, speaking
engagements, retirement and obituary
notices, and other purposes of public
information.

PO 00000

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification Procedure.’’
Same as ‘‘Notification Procedure.’’
RECORD SOURCE CATEGORIES:

The individual. Other sources such as
news releases, articles and publications
relating to the subject individuals.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/MARAD 12
SYSTEM NAME:

Applications to United States
Merchant Marine Academy (USMMA).
SYSTEM CLASSIFICATION:

PURPOSE(S):

Jkt 190000

Division of General and International
Law, MAR–221, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

CONTESTING RECORD PROCEDURES:

Biographical information, which may
include date and place of birth;
education; military service; present
position; employment history; field of
research; publications; inventions and
patents; awards and honors;
memberships and affiliations; present
and past residences; telephone numbers;
names, ages, and addresses of family
members; hobbies and outside interests;
and photograph of individual.

SAFEGUARDS:

Records are located in locked metal
file cabinets or locked rooms during
non-business hours.

Public Affairs Officer, MAR–240,
Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.

SYSTEM LOCATION:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Filed by name and/or social security
number.

SAFEGUARDS:

SYSTEM MANAGER(S) AND ADDRESS:

Unclassified, sensitive.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RETRIEVABILITY:

By name alphabetically or by position
or work unit.

Record retention and disposal is in
accord with operating unit’s Records
Control Schedule. Dispose of 2 years
after separation of the subject official.

SYSTEM NAME:

Office of Public Affairs, Maritime
Administration, MAR–240, 400 7th
Street, SW, Washington, DC 20590.

Manual and machine-readable.

RETRIEVABILITY:

RETENTION AND DISPOSAL:

DOT/MARAD 11

See Prefatory Statement of General
Routine Uses.

None.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

PURPOSE(S):

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Frm 00064

Fmt 4701

Sfmt 4703

Unclassified, sensitive.
SYSTEM LOCATION:

Office of Admissions, United States
Merchant Marine Academy, Kings
Point, NY 11204.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Applicants for admission to the
Academy.

CONTESTING RECORD PROCEDURES:

Records are located in lockable file
cabinets or in metal file cabinets in
secured rooms or secured premises with
access limited to those whose official
duties require access.

RECORD SOURCE CATEGORIES:

CATEGORIES OF RECORDS IN THE SYSTEM:

Name; address; name of nominating
Congressman and congressional district;
social security number; citizenship; sex;
marital status; scholastic background;
names of relatives who attended the
Academy; high school record;
personality record (compiled by high
school authorities); seaman’s
experience; military service data; and
biographical sketch. (Form: KP 2–65).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

46 App U.S.C. 1295b.

Subject individual, the individual’s
high school officials, references, and
those authorized by the individual to
furnish information.

RETENTION AND DISPOSAL:

The records are retained until six
years after graduation and then
destroyed.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Pursuant to 5 U.S.C. 552a(k)(5), this
system is exempt from portions of the
act.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Labor and Training,
Maritime Administration, MAR–250,
400 7th Street, SW, Washington, DC
20590.

DOT/MARAD 13
SYSTEM NAME:

Cadet Files, State Maritime
Academies, ‘‘SIPSAM’’.

NOTIFICATION PROCEDURE:

SECURITY CLASSIFICATION:

PURPOSE(S):

SYSTEM LOCATION:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Advise Member of Congress or other
nominating authority of the outcome of
an individual’s candidacy. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Office of Maritime Labor and
Training, Maritime Administration,
MAR–240, 400 7th Street, SW,
Washington, DC 20590.

Manual and automated.
RETRIEVABILITY:

Filed alphabetically by last name.

Same as ‘‘Notification Procedure.’’
CONTESTING RECORD PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Same as ‘‘Notification Procedure.’’

Current and former cadets enrolled in
the Student Incentive Payments, SIP,
Program at the State Maritime
Academies.

RECORD SOURCE CATEGORIES:

CATEGORIES OF RECORDS IN THE SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

Access to and use of these records is
limited to those persons whose official
duties require such access. Personnel
screening is employed to prevent
unauthorized disclosure.
RETENTION AND DISPOSAL:

If admitted, the application becomes
part of the Midshipman’s Personnel
Record for permanent retention. The file
is transferred to the Federal Records
Center after 5 years. If not admitted, it
is retained for one year and destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Admissions, United
States Merchant Marine Academy,
Kings Point, NY 11204.
NOTIFICATION PROCEDURE:

Division of General and International
Law, MAR–221. Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

Merchant Marine Act, 1936 (as
amended) Title XIII B Maritime
Education and Training (46 App. U.S.C.
1295c).
PURPOSE(S):

Monitor the service, employment and
academic obligations of the SIP
recipients.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper records in file folders.
RETRIEVABILITY:

Same as ‘‘Notification procedure.’’

19:33 Apr 10, 2000

RECORD ACCESS PROCEDURES:

Name; service number; date of change
in pay; re-enrollment or reinstatement;
dis-enrollment; date of graduation; and
service obligation. (Forms: MA–1005,
MA–850 and MA–890).

STORAGE:

RECORD ACCESS PROCEDURES:

Division of General and International
Law, Office of the Chief Counsel, MAR–
221, Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.

Unclassified, sensitive.

Determine admissions to the
Academy.

VerDate 202000

SAFEGUARDS:

Same as ‘‘Notification procedure.’’

Filed alphabetically by last name.

Jkt 190000

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The subject student. State Merchant
Marine Academies. Those authorized by
the student to furnish information.
None.
DOT/MARAD 14
SYSTEM NAME:

Citizenship Statements and
Affidavits.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

For bidders on surplus vessels:
Division of Ship Disposals and Foreign
Transfers, MAR–630, Maritime
Administration, 400 7th Street, SW,
Washington, DC 20590. For all other
purposes: Office of Chief Counsel,
MAR–220, Maritime Administration,
400 7th Street, SW, Washington, DC
20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Officers and shareholders of nonpersonal applicants and individual
applicants.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name; date and place of birth;
nationality, and naturalization data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

46 App U.S.C. 802, 803, 808, 1114
and 50 app U.S.C. 1744.

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PURPOSE(S):

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Keep track of officers and
shareholders of non-personal applicants
and individual applicants.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.

RETRIEVABILITY:

Filed alphabetically by seaman’s
name and vessel’s name.

None.
DOT/MARAD 15

SAFEGUARDS:

SYSTEM NAME:

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or secured premises with
access limited to those whose official
duties require access.

General Agent’s Protection and
Indemnity and Second Seaman’s
Insurance: WSA and NSA.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

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:

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

Office of Marine Insurance, Maritime
Administration, MAR–575, 400 7th
Street, SW, Washington, DC 20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals (e.g., seamen, passengers,
stevedores) filing claims against general
agents for death, disability, loss of
personal effects, detention and
repatriation and property damage.
CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

The records are transferred to the
Federal Records Center after one year
where they are retained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Marine Insurance,
Maritime Administration, MAR–575,
400 7th Street, SW, Washington, DC
20590.
NOTIFICATION PROCEDURE:

Division of General and International
Law, MAR–221, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or secured premises with
access limited to those whose official
duties require access.

Claimant’s name; address; mariner’s
document number; sea service record;
disciplinary records; selective service
classification; names of parents;
marriage and divorce data; social
security number; alien registration and
citizenship data; medical information;
next-of-kin; wages per month; birth
date; witness statements; investigator’s
report; names of counsel; and executors
and administrators of estates (Forms:
MA–574, MA–570, MA–269, MA–26
and 270).

RETENTION AND DISPOSAL:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The records are transferred to the
Federal Records Center after five years
where they are retained for twenty years
or the time period of the ship mortgage,
whichever is longer.

46 app U.S.C. 1101, 1114, 191–1205
and 50 app U.S.C. 1744.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

PURPOSE(S):

DOT/MARAD 16

Evaluate filed claims, negotiate
settlements, award money, contest or
initiate lawsuits; and arrange for proper
medical treatment by establishing
seaman’s eligibility for acceptance
under regulations of Public Health
Service, United States Department of
Health and Human Services, or other
appropriate medical facilities.

SYSTEM NAME:

Paper records in file folders.
RETRIEVABILITY:

Filed alphabetically by applicant’s
name, name of individual, or vessel
name.
SAFEGUARDS:

SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Ship Disposals and
Foreign Transfers, MAR–630, and Office
of the Chief Counsel, MAR–220,
Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.
NOTIFICATION PROCEDURE:

Division of General and International
Law, Office of the Chief Counsel, MAR–
221, Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification Procedure.’’

RECORD SOURCE CATEGORIES:

Subject applicant and individual.
Those authorized by the foregoing to
furnish information.

VerDate 202000

19:33 Apr 10, 2000

Same as Notification Procedure.
CONTESTING RECORD PROCEDURES:

Same as Notification Procedure.
RECORD SOURCE CATEGORIES:

Subject individual. The individual’s
attorney. Adjusters, investigators.
Attorneys. Office of Marine Insurance.
Witnesses. The Marine Index Bureau.
Those authorized by the individual to
furnish information.
None.

Marine Training School Registrants.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

See Prefatory Statement of General
Routine Uses.

Maritime Administration regional
offices: Eastern—26 Federal Plaza, New
York, N.Y. 10007; Central—No. 2 Canal
Street, New Orleans, LA 70130;
Western—211 Main Street, RM 1112,
San Francisco, CA 94105; and Great
Lakes—2300 E. Devon Avenue, Des
Plaines, IL 60018.

DISCLOSURE FOR CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None.

CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification Procedure.’’

RECORD ACCESS PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper records in file folders.

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Each seafarer enrolling in an agency
training course.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name; address; position title; owner’s
document number; social security
number; certificate number; sponsoring

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organization; course completed; date of
course completion; course grade; date of
birth; and telephone number (Forms:
MA–1005 and 1006).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

46 app U.S.C. 1114, 1295b, 1295c,
1295d, and 1295g.

DOT/MARAD 17

Marine Academy, Kings Point, New
York 11024.

SYSTEM NAME:

Waivers of Liability to Board Reserve
Fleet Vessels and Other Craft Located at
United States Merchant Marine
Academy.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

PURPOSE(S):

Verification of attendance and
performance.

NOTIFICATION PROCEDURE:

Division of General and International
Law, Office of the Chief Counsel, MAR–
221, Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.
RECORD ACCESS PROCEDURES:

Same as Notification Procedure.

SYSTEM LOCATION:

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.

Beaumont Reserve Fleet, PO Box
6355, Beaumont, Texas 77705; James
River Reserve Fleet, Drawer ‘‘C’’, Fort
Eustis, Virginia 23604; and Suisun Bay
Reserve Fleet, PO Box 318, Benicia,
California 94510; United States
Merchant Marine Academy, Kings
Point, Long Island, New York 11024–
1699.

CONTESTING RECORD PROCEDURES:

Same as Notification Procedure.
RECORD SOURCE CATEGORIES:

Subject individual. Those authorized
by the individual to furnish
information.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

DOT/MARAD 18

All individuals boarding Reserve
Fleet vessels.

SYSTEM NAME:

National Defense Executive Reserve.

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

Name, affiliation, date, and signature
(Form: MA–118).

Paper records in file folders.
RETRIEVABILITY:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Filed alphabetically by student’s
name.
Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or secured premises with
access limited to those whose duties
require access.
RETENTION AND DISPOSAL:

The records are transferred to the
Federal Records Center one year after
graduation or termination and disposed
of 60 years after date of enrollment.

Division of National Security Plans,
MAR–620, Maritime Administration,
400 7th Street, SW, Washington, DC
20590.

PURPOSE(S):

Limit Governments liability for any
damage suffered by certain persons
aboard RRF/NDRF ships.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Nominees and members of the
National Defense Executive Reserve.

See Prefatory Statement of General
Routine Uses.

CATEGORIES OF RECORDS IN THE SYSTEM:

Name; home address; photograph;
brief career history; names of close
relatives; marital status; previous
Government experience; previous
residences; current and recent
employment; citizenship; social security
number; business and residence
telephone numbers; security clearance;
statement of understanding; request for
appointment; appointment affidavits;
secrecy agreement; sex; date and place
of birth; education; and professional and
other memberships.

DISCLOSURE OF CONSUMER REPORTING
AGENCIES:

None.

SYSTEM MANAGER(S) AND ADDRESS:

Training Facility Registrar in region
where the training was taken; see
System Location.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

NOTIFICATION PROCEDURE:

STORAGE:

Division of General and International
Law, MAR–221, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

Paper records in file folders.
RETRIEVABILITY:

Filed alphabetically by name.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

RECORD ACCESS PROCEDURES:

Records are located in lockable metal
file cabinets or metal file cabinets in
secured rooms or in secured premises
with access limited to those whose
official duties require access.

Same as ‘‘Notification Procedure.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification Procedure.’’

Unclassified, sensitive.
SYSTEM LOCATION:

46 app U.S.C. 1295b, 1295g, and 50
app U.S.C. 1744.

SAFEGUARDS:

SECURITY CLASSIFICATION:

46 app U.S.C. 1295e, 1295g and 1126–
1.
PURPOSE(S):

Transferring data to the Federal
Preparedness Agency pursuant to E.O.
11179.

RECORD SOURCE CATEGORIES:

RETENTION AND DISPOSAL:

The student. The training instructors.
Those authorized by the individual to
furnish information.

Records are maintained for three years
and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Superintendent of Respective Reserve
Fleets; and United States Merchant

See Prefatory Statement of General
Routine Uses.

None.

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CATEGORIES OF RECORDS IN THE SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Name; address; mariner’s document
number; social security number; and
names of ships.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

DOT/MARAD 21
SYSTEM NAME:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Seaman’s Employment Analysis
Records.

46 App. U.S.C. 2001–2007.

STORAGE:

PURPOSE(S):

Paper records in file folders.

SECURITY CLASSIFICATION:

Provide information to the seamen
and family members upon request.

RETRIEVABILITY:

Alphabetically by last name.
SAFEGUARDS:

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or secured premises with
access limited to those whose official
duties require access.

Unclassified, sensitive.
SYSTEM LOCATION:

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.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Merchant seamen who sailed the
previous calendar year.

None.

RETENTION AND DISPOSAL:

Retained until one year after
individual’s appointment is terminated
or until death and then discarded.

CATEGORIES OF RECORDS IN THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Social security number; date of birth;
records of United States Coast Guard
issued documents; voyage employment
information (e.g., ship and date signed
on); and maritime schools attended.

STORAGE:

SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of National Security
Plans, MAR–620, Maritime
Administration, same as above address.
NOTIFICATION PROCEDURE:

Division of General and International
Law, Office of the Chief Counsel, MAR–
221, Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification Procedure.’’
CONTESTING RECORD PROCEDURES:

Records are stored in paper copy in
file folders and on magnetic tape.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

46 app U.S.C. 1295g.

RETRIEVABILITY:

Files are maintained alphabetically by
name of seaman.
SAFEGUARDS:

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or secured premises with
access limited to those whose official
duties require access.
RETENTION AND DISPOSAL:

Same as ‘‘Notification Procedure.’’
RECORD SOURCE CATEGORIES:

The individual. Those authorized by
the individual to furnish information.
The investigator performing personal
and security investigation. Sources
contacted by the investigator.

Paper records containing letters of
commendation, name of seamen,
address, name of vessel and mariner’s
document number are transferred to the
Federal Records Center immediately,
where they are retained for 75 years.

DOT/MARAD 20
SYSTEM NAME:

NOTIFICATION PROCEDURE:

Seamen’s Awards for Service, Valor,
etc.

Division of General and International
Law, Office of the Chief Counsel, MAR–
221, Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.

None.

SECURITY CLASSIFICATION:

Unclassified, sensitive.

RECORD ACCESS PROCEDURES:

SYSTEM LOCATION:

Same as Notification procedure.

Office of Maritime Labor and
Training, MAR–250, Maritime
Administration, 400 7th Street, SW,
Washington, DC 20590.

VerDate 202000

19:33 Apr 10, 2000

To ensure an adequate supply of
American mariners.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

RETRIEVABILITY:

Filed by social security number.
SAFEGUARDS:

In addition to technical securities, the
records are located in secured rooms or
premises with access limited to those
whose official duties require access.
RETENTION AND DISPOSAL:

Refreshed and maintained only for
current available calendar year.
SYSTEM MANAGER(S) AND ADDRESS:

CONTESTING RECORD PROCEDURES:

Same as Notification procedure.
RECORD SOURCE CATEGORIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Seamen given awards for service,
valor, etc.

PURPOSE(S):

Records are stored on computer disks.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Maritime Labor and
Training, MAR–250, Maritime
Administration, 400 7th Street, SW,
Washington, DC 20590.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Department of Transportation
Computer Center, SVC–172, 400 7th
Street, SW, Washington, DC 20590.

Subject individual. The individual’s
co-workers. Witnesses to incidents.
Those authorized by the individual to
furnish information.

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Director, Office of Maritime Labor and
Training, Maritime Administration,
MAR–250, 400 7th Street, SW,
Washington, DC 20590.
NOTIFICATION PROCEDURE:

Division of General and International
Law, MAR–221, Office of the Chief

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Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

those whose official duties require
access.

RECORD ACCESS PROCEDURES:

RETENTION AND DISPOSAL:

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.

Retained until such time as claim is
resolved or wages are disbursed.

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM MANAGER(S) AND ADDRESS:

Same as ‘‘Notification procedure.’’

Chief, Division of Accounting
Operations, MAR–330, Maritime
Administration, 400 7th Street, SW,
Washington, DC 20590.

RECORD SOURCE CATEGORIES:

United States Coast Guard.
EXEMPTION CLAIMED FOR THE SYSTEM:

NOTIFICATION PROCEDURE:

None.
DOT/MARAD 22
SYSTEM NAME:

Seaman’s Unclaimed Wages (Vietnam
Conflict).

Division of General and International
Law, Office of the Chief Counsel, MAR–
221, Maritime Administration, 400 7th
Street, SW, Washington, DC 20590.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’

SECURITY CLASSIFICATION:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CONTESTING RECORD PROCEDURES:

Unclassified, sensitive.

Same as ‘‘Notification procedure.’’

SYSTEM LOCATION:

Division of Accounting Operations,
MAR–330, Maritime Administration,
400 7th Street, SW, Washington, DC
20590.

Disclosures pursuant to 5 U.S.C.
552a(b)(12):
Disclosures may be made from this
systems to ‘‘consumer reporting
agencies’’ (collecting on behalf of the
United States Govt.) as defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

STORAGE:

RECORD SOURCE CATEGORIES:

Paper records in file folders.

The general agents.

RETRIEVABILITY:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Alphabetically by employee’s name.

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DOT/MARAD 24

SAFEGUARDS:

Seamen owed wages for service
aboard Government vessels operated by
general agents.

SYSTEM NAME:

Records are located in lockable metal
file cabinets in secured rooms or
secured premises with access limited to
those whose official duties require
access.

USMMA Non-Appropriated Fund
Employees.
SECURITY CLASSIFICATION:

CATEGORIES OF RECORDS IN THE SYSTEM:

Name; social security number;
employing general agent; and wages due
and owing.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

46 app U.S.C. 1114(B), 1241a, and 50
app U.S.C. 1291(a).
PURPOSE(S):

Reporting wages owed.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.

Unclassified, sensitive.
Office of the Commandant of
Midshipmen; Office of the Director of
Athletics; Office of the General
Manager, Ship’s Service; Officer’s Club;
Junior Officer’s Mess; Petty Officers
Club; Fiscal Control Office; and
Department of Administrative Services
and Procurement, all at United States
Merchant Marine Academy, Kings
Point, N.Y. 11024.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All current and former employees of
non-appropriated fund activities since
1970.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

STORAGE:

Paper records in file folders.
RETRIEVABILITY:

Paper records are filed alphabetically
by name and by social security number.

Name; telephone number; social
security number; address; date of birth;
height; weight; birthplace; employment
history; special qualifications; education
summary; references; personnel actions
showing positions held and salary paid;
insurance coverage; and letters of
commendation or reprimand.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

46 app U.S.C. 1295g.

SAFEGUARDS:

Paper records are secured in lockable
metal file cabinets. Records are located
in secured areas with access limited to

19:33 Apr 10, 2000

Track information on nonappropriated fund employees.

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SYSTEM MANAGER(S) AND ADDRESS:

Commandant of Midshipmen;
Director of Athletics; General Manager,
Ship’s Service; President, Officer’s Club;
Manager, Junior Officers Mess;
President, Petty Officers Club; Head,
Department of Budget and Accounts;
and Head, Department of
Administrative Services and
Procurement, all at United States
Merchant Marine Academy, Kings
Point, N.Y. 11024.
Division of General and International
Law, MAR–221, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.
RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification Procedure.’’
RECORD SOURCE CATEGORIES:

Subject employee. Those authorized
by the employee to furnish information.
Past employers and references. The
employee’s supervisor.

PURPOSE(S):

Jkt 190000

Records are retained indefinitely.

NOTIFICATION PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

VerDate 202000

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

Pursuant to 5 U.S.C. 552a(k)(5), this
system is exempt from portions of the
act.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Name, social security number, and all
midshipmen activity fee deposits to the
Academy.

STORAGE:

Paper records in file folders and basic
information are on magnetic tape.

DOT/MARAD 25
SYSTEM NAME:

RETRIEVABILITY:

USMMA Graduates.

Alphabetically by name, and by social
security number.

SECURITY CLASSIFICATION:

Unclassified, sensitive.

SAFEGUARDS:

SYSTEM LOCATION:

Office of External Affairs, United
States Merchant Marine Academy,
Kings Point, NY 11024.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All graduates of USMMA, since 1942,
and some parents of graduates.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name; address (home and business);
vocation; class year; social security
number; employee’s name and address;
years of maritime service, at sea and
ashore; military service; maritime
licenses; post-graduate education;
honors and awards; and union
affiliation. Graduate registration for jobplacement also contains graduate’s
preferred salary and job location.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or secured premises with
access limited to those whose official
duties require access. Records on tape
also are subject to physical securities,
including those maintained by contract.
RETENTION AND DISPOSAL:

Make employment referrals, to
compile statistical reports for Congress
on the professional progress of the
graduates, and to mail alumni
publications, notices, and
announcements. The users are the
Director, Office of External Affairs and
his immediate administrative staff,
prospective employers, Congress and its
Members, the United States Merchant
Marine Academy Alumni Association,
Inc., the United States Merchant Marine
Academy Foundation, Inc. and the
commercial contractor providing
automated services for the United States
Merchant Marine Academy Foundation,
Inc.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Director, Office of External Affairs,
United States Merchant Marine
Academy, Kings Point, N.Y. 10024.

PURPOSE(S):

Track activity fee deposits to the
Academy.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

STORAGE:

Paper records in file folders.

NOTIFICATION PROCEDURE:

Division of General and International
Law, MAR–221, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

RETRIEVABILITY:

Filed by class year and then
alphabetically by name.
SAFEGUARDS:

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or in secured premises
with access limited to those whose
official duties require access.

RECORD ACCESS PROCEDURES:

Same as ‘‘Notification procedure.’’
Same as ‘‘Notification procedure.’’
RECORD SOURCE CATEGORIES:

RETENTION AND DISPOSAL:

A questionnaire voluntarily returned
by graduates every few years. Graduates
asking to be registered for jobplacement. Families of graduates. Public
and private employment of graduates.
Persons nominating graduates for
alumni awards. United States Merchant
Marine Academy Alumni Association,
Inc. Published articles naming
graduates.

Maintained for one year after
graduation or separation, and then
destroyed.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Division of General and International
Law, MAR–221, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

None.
DOT/MARAD 26
SYSTEM NAME:

SYSTEM MANAGER(S) AND ADDRESS:

Assistant Head, Department of
Budgets and Accounts, United States
Merchant Marine Academy, Kings
Point, NY 11024.
NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURES:

USMMA Midshipmen Deposit
Account Records.

Same as ‘‘Notification Procedure.’’
CONTESTING RECORD PROCEDURES:

The database is used for
communication with alumni (e.g.,
magazine, homecoming, etc), placement
opportunities for alumni, fundraising
records, and congressional districts. See
Prefatory Statement of General Routine
Uses.

SECURITY CLASSIFICATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Same as ‘‘Notification Procedure.’’

Unclassified, sensitive.
SYSTEM LOCATION:

RECORD SOURCE CATEGORIES:

Department of Budgets and Accounts,
United States Merchant Marine
Academy, Kings Point, NY 11024.

Midshipmen. Those authorized by
midshipman to furnish information.
Department of Budgets and Accounts
personnel.

None.

All current midshipmen.

19:33 Apr 10, 2000

46 app U.S.C. 1295g.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

CONTESTING RECORD PROCEDURES:

PURPOSE(S):

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

None.

The records are kept indefinitely.

46 app U.S.C. 1295g.

VerDate 202000

CATEGORIES OF RECORDS IN THE SYSTEM:

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

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DOT/MARAD 27

Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

SYSTEM NAME:

USMMA Midshipman Grade
Transcripts.

RECORD ACCESS PROCEDURES:

SECURITY CLASSIFICATION:

CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification Procedure.’’

Unclassified, sensitive.

SYSTEM MANAGER(S) AND ADDRESS:

Same as ‘‘Notification Procedure.’’

SYSTEM LOCATION:

RECORD SOURCE CATEGORIES:

Registrar’s Office, United States
Merchant Marine Academy, Kings
Point, NY 11024.

The midshipman. Those authorized
by the midshipman to furnish
information. Faculty. Registrar’s staff.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Medical Officer, United States
Merchant Marine Academy, Kings
Point, N.Y. 11024.
NOTIFICATION PROCEDURE:

Division of General and International
Law, MAR–221, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

None.

All present and past midshipmen.

DOT/MARAD 28

CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Name; social security numbers;
courses taken; grades received; and
cumulative average.

SYSTEM NAME:

USMMA Midshipman Medical Files.

46 app U.S.C. 1295g.

Same as Notification procedure.

Unclassified, sensitive.

RECORD SOURCE CATEGORIES:

SYSTEM LOCATION:

PURPOSE(S):

Record academic status of past and
present midshipmen.

Medical Department, United States
Merchant Marine Academy, Kings
Point, NY 11024.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Sent to other schools or employers
when requested by the midshipman. See
Prefatory Statement of General Routine
Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Subject applicant or midshipman.
Those authorized by foregoing to
furnish information. Individual’s
physician. Academy medical officers.
Contract medical personnel. Private and
other medical personnel.

All midshipmen.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

Complete medical history prior to and
during enrollment at the Academy.

Pursuant to 5 U.S.C. 552a(k)(5), this
system is exempt from portions of the
act.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DOT/MARAD 29

46 app U.S.C. 1295g.

None.

SYSTEM NAME:

PURPOSE(S):

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

USMMA Midshipman Personnel
Records.

Maintain health of midshipmen.

STORAGE:

Paper records in file folders, paper
records in file drawers, microfilm
records, and magnetic tape.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SECURITY CLASSIFICATION:

See Prefatory Statement of General
Routine Uses.

SYSTEM LOCATION:

Alphabetically by midshipman’s
name.

None.

SAFEGUARDS:

Records are located in lockable metal
file cabinets in secured rooms or
secured premises with access limited to
those whose official duties require
access.
RETENTION AND DISPOSAL:

Transfer to Federal Records Center
five years after graduation. Destroy sixty
years after graduation.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

All current and former midshipmen
since inception of the Academy in 1942.
Also, all cadet corps personnel from
1938 to 1942.

STORAGE:

Paper records in file folders.
RETRIEVABILITY:

Filed alphabetically by midshipman’s
name.
SAFEGUARDS:

Registrar, United States Merchant
Marine Academy, Kings Point, N.Y.
10024.

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or in secured premises
with access limited to those whose
official duties require access.

NOTIFICATION PROCEDURE:

RETENTION AND DISPOSAL:

Division of General and International
Law, MAR–221, Office of the Chief

Radiographic file salvage five years
after graduation. All other documents

SYSTEM MANAGER(S) AND ADDRESS:

19:33 Apr 10, 2000

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Unclassified, sensitive.
Office of the Commandant of
Midshipman, United States Merchant
Marine Academy, Kings Point, NY
11024.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RETRIEVABILITY:

Same as Notification procedure.
CONTESTING RECORD PROCEDURES:

SECURITY CLASSIFICATION:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

VerDate 202000

combine within MA–18 Midshipmen
Personnel Records after graduation. If
not appointed as Midshipman, the
record is retained for one year and
destroyed.

CATEGORIES OF RECORDS IN THE SYSTEM:

Nominations to United States
Merchant Marine Academy; College
Board Scores; high school transcript;
name; address; social security number;
parent’s name and address and
occupation; relatives who attended
USMMA; number of brothers and
sisters; medical report; height; weight;
color of hair; color of eyes; complexion;
commendations; record of disciplinary
cases; resignation notice; graduation
certification; and report of deficiencies.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

46 app U.S.C. 1295g.
PURPOSE(S):

Record personnel matters on USMMA
midshipmen.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine Uses.

references. Government or private
physicians. United States Navy Security
Officers. Those authorized by the
midshipman to furnish the information.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Pursuant to 5 U.S.C. 552a(k)(5), this
system is exempt from portions of the
act.

RETENTION AND DISPOSAL:

Files held until completion of eightyear service obligation period or as
determined by the Maritime
Administration.

DOT/MARAD 30

SYSTEM MANAGER(S) AND ADDRESS:

Commitment Agreements.

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)).

SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Maritime Administration, Academies
Program Officer, Office of Maritime
Labor, Training & Safety, MAR–250, 400
Seventh Street, SW, Washington, DC
20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Paper records in file folders.
Alphabetically by midshipman’s
name.
SAFEGUARDS:

Records are located in lockable metal
file cabinets or in metal file cabinets in
secured rooms or in secured premises
with access limited to those whose
official duties require access.
RETENTION AND DISPOSAL:

Retained on site for five years after
graduation, then disposed of in
accordance with the unit’s record
control schedule.
SYSTEM MANAGER(S) AND ADDRESS:

Commandant of Midshipman, United
States Merchant Marine Academy,
Kings Point, NY 11024.
NOTIFICATION PROCEDURE:

Division of General and International
Law, MAR–221, Office of the Chief
Counsel, Maritime Administration, 400
7th Street, SW, Washington, DC 20590.

Same as ‘‘Notification procedure.’’

None.
DOT/NHTSA 401
SYSTEM NAME:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Docket System.

46 App. U.S.C. 1295b(e).

SECURITY CLASSIFICATION:

PURPOSES(S):

Unclassified, sensitive.

Determine if a student or graduate of
the United States Merchant Marine
Academy, USMMA, or subsidized
student or graduate of a State maritime
academy has a waivable/deferrable
situation that prevents him/her from
fulfilling the requirements for their
service obligation contract.

SYSTEM LOCATION:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Notice of General
Routine Uses.

The subject midshipman. Faculty
administrators and midshipman corps
officers who provide copies to the
midshipman. Former employers,
teachers, and school authorities, and

Department of Transportation,
National Highway Traffic Safety
Administration, NHTSA, Office of
Information Resource Management,
Technical Information Services, NAD–
40, 400 7th Street, SW, Room 5111,
Washington, DC 20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who have commented on
notices of NHTSA appearing in the
Federal Register. Authors of reports that
are added to the docket as background
information.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF RECORDS IN THE SYSTEM:

Summary of the nature of the
comment or the report, date written and
filed, author affiliation.

STORAGE:
RECORD SOURCE CATEGORIES:

Same as ‘‘System manager.’’

EXEMPTIONS CLAIMED FOR THE SYSTEM:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CONTESTING RECORD PROCEDURES:

RECORD ACCESS PROCEDURES:

Students, graduates of the United
States Merchant Marine Academy and
State maritime academies.

None.

Same as ‘‘Notification procedure.’’

Same as ‘‘System manager.’’

RECORD SOURCE CATEGORIES:

Files containing information of
students, graduates of United States
Merchant Marine Academy and State
maritime academies. Information may
contain addresses, social security
numbers, and medical information.

RECORD ACCESS PROCEDURES:

NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’

CATEGORIES OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

Maritime Administration, Academies
Program Officer, Office of Maritime
Labor, Training & Safety, 400 Seventh
Street, SW, Rm. 7302, Washington, DC
20590.

CONTESTING RECORD PROCEDURES:

Students, graduates of United States
Merchant Marine Academy and State
maritime academies.

STORAGE:

19:33 Apr 10, 2000

Files are retrievable only through
information known to the Academy
Program Officer or other persons
authorized to perform data input tasks.

SYSTEM NAME:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

VerDate 202000

SAFEGUARDS:

File information is on computer with
hard copy back up material in metal
cabinets in a secured room.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETRIEVABILITY:

Gather information for use in the
NHTSA Reference Docket

Jkt 190000

Name.

PO 00000

Frm 00072

Fmt 4701

Sfmt 4703

49 CFR Part 7 7.45, and Part 7, App.F.
PURPOSE(S):

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Research Board, 2101 Constitution Ave.,
NW., Washington, DC 20418.

To gather information on responses to
rules promulgated by NHTSA. Users are
both NHTSA staff members and public.
Other uses include searching for
background data on standards,
determining areas for further research,
and preparation for litigation. See
Prefatory Statement of General Routine
Uses.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

DOT/NHTSA 411

CATEGORIES OF RECORDS IN THE SYSTEM:

General Public Correspondence
System.

Bibliographic information giving title
of article, book, or paper written; journal
or other publication in which it appears;
date of publication; abstract. The file is
similar in nature to the card catalog of
a library.

PURPOSE(S):

Gather technical articles and reports
for inclusion in NHTSA’s Highway
Safety Literature catalog.

RETRIEVABILITY:

By individual name.
SAFEGUARDS:

Records are maintained in a Technical
Reference Library.
RETENTION AND DISPOSAL:

Indefinitely held.
SYSTEM MANAGER(S) AND ADDRESS:

Office of Information Resource
Management, Technical Information
Services, Department of Transportation,
National Highway Traffic Safety
Administration, NAD–40, Room 5111,
400 7th Street, SW., Washington, DC
20590.
NOTIFICATION PROCEDURE:

Users are principally NHTSA staff
members and their contractors who
require literature searches prior to
performing research. See Prefatory
Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

None.
DOT/NHTSA 402
SYSTEM NAME:

Highway Safety Literature Personal
Author File.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Office of Information Resource
Management, Technical Information
Services, Department of Transportation,
National Highway Traffic Safety
Administration, NAD–40, 400 7th
Street, SW., Room 5111, Washington,
DC 20590.
NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURES:

SYSTEM LOCATION:

Department of Transportation,
National Highway Traffic Safety
Administration, NHTSA, Transportation

None.

Records are maintained indefinitely.

Same as ‘‘System manager.’’

Unclassified, sensitive.

19:33 Apr 10, 2000

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RETENTION AND DISPOSAL:

SECURITY CLASSIFICATION:

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

Jkt 190000

Same as ‘‘System manager.’’

PO 00000

CATEGORIES OF RECORDS IN THE SYSTEM:

Reference purposes. See Prefatory
Statement of General Routine Uses.

Records are stored in file cabinets.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Individuals who have requested
information or advice from the Agency.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SAFEGUARDS:

From letters freely sent to NHTSA by
the public; publications used by
engineers in writing standards.

Department of Transportation,
National Highway Traffic Safety
Administration, NHTSA, Office of the
Executive Secretariat, NOA–10, 400 7th
Street, SW., Room 5221, Washington,
DC 20590.

Provide agency with background
information on number of issues,
reports, etc., and/or who seek guidance
from NHTSA.

By individual name.

RECORD SOURCE CATEGORIES:

SYSTEM LOCATION:

PURPOSE (S):

None.

RETRIEVABILITY:

Same as ‘‘System manager.’’

Unclassified, sensitive.

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

Magnetic tape.

CONTESTING RECORD PROCEDURES:

SECURITY CLASSIFICATION:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Same as ‘‘System manager.’’

SYSTEM NAME:

Correspondence with individuals who
have requested information or advice on
promoting devices.

STORAGE:

RECORD ACCESS PROCEDURES:

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Same as ‘‘System manager.’’

VerDate 202000

EXEMPTIONS CLAIMED FOR SYSTEM:

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

Manual file.

Publications related to highway
safety.

Writers of technical articles and
reports who have authored publications
selected for inclusion in the Highway
Safety Literature database.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

STORAGE:

RECORD SOURCE CATEGORIES:

Frm 00073

Fmt 4701

Sfmt 4703

STORAGE:

In file folders.
RETRIEVABILITY:

By individual name.
SAFEGUARDS:

Conserva-Files; locked when not in
use.
RETENTION AND DISPOSAL:

Records are retained for one year and
are then discarded.
SYSTEM MANAGER(S) AND ADDRESS:

Department of Transportation,
National Highway Traffic Safety

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Administration, Office of the Executive
Secretary, NOA–10, 400 7th Street, SW.,
Washington, DC 20590.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PURPOSE(S):

To gather information/evidence in the
conduct of alleged defective vehicles or
vehicle equipment.

STORAGE:

NOTIFICATION PROCEDURE:

File folder storage and in an
electronic database.

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RETRIEVABILITY:

Same as ‘‘System manager.’’

By individual name, dealer name,
complainant name, case number and
vehicle identification number.

CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

SAFEGUARDS:

Individuals.

Locked files and restricted electronic
access. Files are regularly used only by
members of the Odometer Fraud Staff.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Retained for five years after case is
closed, then destroyed.

SYSTEM NAME:

Odometer Fraud Data Base Files.
Unclassified, sensitive.
SYSTEM LOCATION:

Department of Transportation,
National Highway Traffic Safety Adm.,
NHTSA, Safety Assurance (NSA–01),
Odometer Fraud Staff (NSA–20), 400
Seventh Street, SW., Room 5321,
Washington, DC 20590
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Suspects, defendants, witnesses,
informants, automobile dealers, and
victims of odometer fraud.

PURPOSES(S):

Identification number for each vehicle
owner.
SAFEGUARDS:

Same as ‘‘System manager.’’

Coded entry numbers.
RETENTION AND DISPOSAL:

RECORD ACCESS PROCEDURES:

Eight years or indefinite.

Same as ‘‘System manager.’’

SYSTEM MANAGER(S) AND ADDRESS:

CONTESTING RECORD PROCEDURES:

Chief, Special Projects Staff,
Department of Transportation, National
Highway Traffic Safety Administration,
NHTSA, Office of Defects Investigation,
NSA–10, 400 7th Street, SW., Room
5326, Washington, DC 20590.

Victims, automobile dealers, banks,
State motor vehicle departments, State
and Federal law enforcement agencies,
and other sources used during the
course of criminal investigations.
None.
DOT/NHTSA 415
SYSTEM NAME:

Office of Defects Investigation/Defects
Information System, ODI/DIMS.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SYSTEM LOCATION:

Files are maintained for use in
criminal investigations and to support
criminal prosecutions by the United
States Department of Justice. Data are
released also to authorized State and
Federal law enforcement agencies and
personnel and to victims under 42
U.S.C. 10606(b)(7). See Prefatory
Statement of General Routine Uses.

NOTIFICATION PROCEDURE:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

SECURITY CLASSIFICATION:

19:33 Apr 10, 2000

RETRIEVABILITY:

NOTIFICATION PROCEDURE:

To gather information to be used in
allegations of odometer fraud.

None.

Disc pack and paper file.

RECORD SOURCE CATEGORIES:

Information on suspects, defendants,
witnesses, informants, motor vehicles,
automobile dealers, victims and other
related data obtained through Federal
grand jury subpoenas. Information may
contain addresses, dates of birth,
financial data, criminal history records,
business records, and numerous other
data obtained through Federal grand
jury subpoenas.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

STORAGE:

Department of Transportation,
National Highway Traffic Safety
Administration, Attn: Chief, Odometer
Fraud Staff, 400 Seventh Street, SW.,
Room 6208, Washington, DC 20590.

Same as ‘‘System manager.’’

CATEGORIES OF RECORDS IN THE SYSTEM:

Same as ‘‘Notification procedure’’.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Vehicle owners.

RECORD SOURCE CATEGORIES:

General public, State highway offices,
insurance companies, vehicle
manufacturers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/NHTSA 417
SYSTEM NAME:

CATEGORIES OF RECORDS IN THE SYSTEM:

Vehicle identification, vehicle
problem.

Frm 00074

RECORD ACCESS PROCEDURES:

CONTESTING RECORD PROCEDURES:

Department of Transportation,
National Highway Traffic Safety
Administration, NHTSA, Office of
Defects Investigation, NSA–01, 400 7th
Street, SW., Room 2403, Washington,
DC 20590.

PO 00000

Department of Transportation,
National Highway Traffic Safety
Administration, NHTSA, Director,
Office of Information Resource
Management, Technical Information
Services, NAD–40, 400 7th St., SW.,
Room 5111, Washington, DC 20590.
Same as ‘‘Notification procedure’’.

Unclassified, sensitive.

Jkt 190000

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

SECURITY CLASSIFICATION:

Check complaints about vehicle
defects to spot trends, resulting in
investigations of the vehicle model. See
Prefatory Statement of General Routine
Uses.

None.

RETENTION AND DISPOSAL:

DOT/NHTSA 413

VerDate 202000

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Fmt 4701

Sfmt 4703

National Driver Register, NDR.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

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SYSTEM LOCATION:

RETRIEVABILITY:

SYSTEM LOCATION:

Department of Transportation,
National Highway Traffic Safety
Administration, NHTSA, Office of
Research and Traffic Records, Driver
and Traffic Records Division, NTS–24,
400 7th Street, SW., Room 6124,
Washington, DC 20590.

The master file is indexed by surname
and refined by program application
using screening criteria such as given
names, date of birth and physical
characteristics.

Department of Transportation,
National Highway Traffic Safety
Administration, NHTSA, Office of Chief
Counsel, NCC–01, 400 7th Street, SW.,
Room 5219, Washington, DC 20590.

SAFEGUARDS:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons who have had their driver’s
license denied, withdrawn, revoked or
suspended for cause, or who have been
convicted of certain services traffic
violations as reported by State/
Territorial driver licensing authorities.
CATEGORIES OF RECORDS IN THE SYSTEM:

NDR records include: The reporting
jurisdiction, the subject’s full name,
other names used, date of birth, driver
license number and/or social security
number (if used by the reporting
jurisdiction), sex, height, weight, eye
color, the reason for withdrawal, the
date of the withdrawal, and the date
eligible for restoration of driving
privilege or the date license was
actually restored. Frequently the
physical data are not provided by the
reporting agency.
PURPOSE(S):

To provide information regarding
individuals who have had their driver
licenses revoked, suspended or
otherwise denied for cause, or who have
been convicted of certain traffic
violations, etc.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Provide identification of drivers who
have had their licenses withdrawn,
suspended, revoked or otherwise denied
for cause, or who have been convicted
of certain traffic violations, in response
to inquiries from State or Federal driver
licensing officials. See Prefatory
Statement of General routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The data files are maintained in a
building under surveillance by a 24hour guard force. In addition, the spaces
in which the files are maintained are
equipped with lockable doors, which
are locked when vacated. All NDR
employees are briefed on NDR security
requirements and their responsibilities.
Records of actions that have been
canceled or rescinded are purged from
the file upon receipt of notification from
the reporting jurisdiction. Other records
are retained for seven or five years
depending on the reason for withdrawal
of the individual’s license. Withdrawals
for drunk driving, hit and run, fatal
accident, felony and misrepresentation
are retained for seven years. Records of
‘‘habitual offenders’’ as stipulated by
certain states are retained indefinitely,
unless otherwise requested by the
reporting state. All other master file
records are retained for five years.
Magnetic tape records are erased by
degaussing, using 86db degaussing
equipment, prior to disposing of the
tapes. Shredding destroys paper source
data reports of withdrawal.
SYSTEM MANAGER(S) AND ADDRESS:

NOTIFICATION PROCEDURE: SAME AS
MANAGER.’’

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

For consultation by attorneys while
file is active; copies in public docket.
See Prefatory Statement of General
Routine Uses.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

RETRIEVABILITY:

Temporary exemptions; filed by
corporation’s names.
SAFEGUARDS:

Permanent retention.

Same as ‘‘System manager.’’

SYSTEM MANAGER(S) AND ADDRESS:

CONTESTING RECORD PROCEDURES;

Same as ‘‘System manager.’’

Senior Staff Attorney, Department of
Transportation, National Highway
Traffic Safety Administration, Office of
Chief Counsel, NCC–01, 400 7th Street,
SW., Washington, DC 20590.
NOTIFICATION PROCEDURE:

DOT/NHTSA 422

Department of Transportation,
National Highway Traffic Safety
Administration, Office of Chief Counsel,
NCC–01, 400 7th Street, SW., Room
5219, Washington, DC 20590.

SYSTEM NAME:

RECORD ACCESS PROCEDURES:

None.

19:33 Apr 10, 2000

Gather information regarding
exemptions and possible penalties on
Federal motor vehicle safety standards.

RETENTION AND DISPOSAL:

RECORD ACCESS PROCEDURES:

STORAGE:

VerDate 202000

49 U.S.C. 30113.
PURPOSE(S):

Available only to the System manager
and his secretary.

‘‘SYSTEM

EXEMPTIONS CLAIMED FOR THE SYSTEM:

The NDR master file is maintained on
disk storage. Source data received as
manual input (i.e. forms, letters) are
converted to disk storage. Source data
received on magnetic tape are converted
into printed listings. All source data are
batch filed.

Income statement and balance sheets,
production information.

Office files.

Chief, National Driver Register,
National Highway Traffic Safety
Administration, NTS–24, Department of
Transportation, Room 6124,
Washington, DC 20590.

Driver licensing administrators of the
States, and the District of Columbia, or
the agencies within the jurisdictions
responsible for such records.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETENTION AND DISPOSAL:

RECORD SOURCE CATEGORIES:

None.

Petitioners (commercial entities)
seeking exemption from Federal motor
vehicle safety standards.

Temporary Exemption Petitions.
SECURITY CLASSIFICATION:

Jkt 190000

Unclassified, sensitive.

PO 00000

Frm 00075

Fmt 4701

Same as ‘‘Notification procedure.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘Notification procedure.’’

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RECORD SOURCE CATEGORIES:

Petitioners.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/NHTSA 431
SYSTEM NAME:

NOTIFICATION PROCEDURE:

SAFEGUARDS:

Department of Transportation,
National Highway Traffic Safety
Administration, Office of Chief Counsel,
NCC–01, 400 7th Street, SW., Room
5219, Washington, DC 20590.

Access limited to those with official
‘‘need to know.’’ Personnel screening is
employed to prevent unauthorized
disclosure.

RECORD ACCESS PROCEDURES:

The records are maintained up to 3
years and then retired to the
Washington National Records Center.

Same as ‘‘Notification procedure.’’

Civil Penalty Enforcement Files.

CONTESTING RECORD PROCEDURES:

SECURITY CLASSIFICATION:

Director, Office of Human Resources,
Department of Transportation, National
Highway Traffic Safety Administration,
NAD–20, 400 7th Street, SW., Room
5306, Washington, DC 20590.

RECORD SOURCE CATEGORIES:

SYSTEM LOCATION:

Department of Transportation,
National Highway Traffic Safety
Administration, Office of the Chief
Counsel, NCC–01, 400 7th Street, SW.,
Room 5219, Washington, DC 20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons against whom civil penalties
are sought or contemplated for
violations of NHTSA-administered
statutes.
CATEGORIES OF RECORDS IN THE SYSTEM:

Investigatory records of alleged
violations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 U.S.C. 30165.
PURPOSE(S):

Gather information for use by agency
in possible civil suits for penalty
violations.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See Prefatory Statement of General
Routine uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

NOTIFICATION PROCEDURE:

DOT/NHTSA 436

Same as ‘‘System manager.’’

SYSTEM NAME:

RECORD ACCESS PROCEDURES:

Contract Grievance Records.

Same as ‘‘System manager.’’

SECURITY CLASSIFICATION:

CONTESTING RECORD PROCEDURES:

Unclassified, sensitive.

Same as ‘‘System manager.’’

SYSTEM LOCATION:

RECORD SOURCE CATEGORIES:

Department of Transportation,
National Highway Traffic Safety
Administration, NHTSA, Office of
Human Resources, NAD–20, 400 7th
Street, SW., Room 5306, Washington,
DC 20590.

Individual to who record pertains
and/or representative; agency officials;
employees; witnesses; official
documents; etc.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DOT/NHTSA 463

Employees in the non-professional
exclusive unit covered by the NHTSA/
AFGE contract of March 5, 1974.

SYSTEM NAME:

Motor Vehicle Importation
Information, MVII.

CATEGORIES OF RECORDS IN THE SYSTEM:

Information or documents relating to
a decision by the Administration or an
arbitrator affecting an individual.

SECURITY CLASSIFICATION:

PURPOSE(S):

Department of Transportation,
National Highway Traffic Safety
Administration, Office of Vehicle Safety
Compliance, NSA–32, 400 7th Street,
SW., Washington, DC 20590.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

To respond to the Federal Labor
Relation Authority in connection with
an Unfair Labor Practice Procedure or to
respond to the appeal of an arbitration
award. See Prefatory Statement of
General Routine Uses.

STORAGE:

Office files.
RETRIEVABILITY:

Files in CIR numerical order.
SAFEGUARDS:

Available only to the System Manager
and his secretary.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RETENTION AND DISPOSAL:

Records are retained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:

STORAGE:

Senior Staff Attorney, Department of
Transportation, National Highway
Traffic Safety Administration, Office of
Chief Counsel, NCC–01, 400 7th Street,
SW., Washington, DC 20590.

19:33 Apr 10, 2000

NHTSA investigations and tests.

To substantiate or deny allegations
relating to employee grievances.

None.

VerDate 202000

SYSTEM MANAGER(S) AND ADDRESS:

Same as ‘‘Notification procedure.’’

Unclassified, sensitive.

RETENTION AND DISPOSAL:

Maintained in file folders and index
cards.
RETRIEVABILITY:

Jkt 190000

Retrieved by names of grievant(s).

PO 00000

Frm 00076

Fmt 4701

Sfmt 4703

Unclassified, sensitive.
SYSTEM LOCATION:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Importers or declarants of imported
motor vehicles and motor vehicles
equipment, both private and
commercial.
CATEGORIES OF RECORDS IN THE SYSTEM:

Forms HS–7, declaration on motor
vehicles and motor vehicle equipment
subject to Federal Motor Vehicle Safety
Standards. Customs reports of
declarations and inspections. Records
relating to refusal of entry or penalties,
and in some instances law enforcement
and court records in alleged fraud cases.
PURPOSE(S):

Gather information on importation
compliance of motor vehicle and motor
vehicle equipment.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

DOT/OST 003

Records may be released to the
Environmental Protection Agency for
compliance with the Clean Air Act and
to the United States Customs Service for
import requirements. Released to State
divisions of motor vehicles for state
purposes and to law enforcement
agencies in alleged fraud cases. See
Prefatory Statement of General Routine
Uses.

Allegations of Infringement of United
States Patents.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper forms and computer disc tapes.
RETRIEVABILITY:

By name of importer or declarant,
addressee(s) vehicle or vehicle
identification, customs district and
entry number, and port of entry.
SAFEGUARDS:

Disc or tape may be accessed only by
discrete identification code known to
the System Manager and staff. Hard
paper copies are maintained in locked
cabinets.
RETENTION AND DISPOSAL:

Hard paper copy is retained one year
if no official claims are lodged against
importer or declarant. Disc and tapes
retained for period of United States
Customs Service statute of limitations
before erasure.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Verification Division, Office of
Vehicle Safety Compliance, National
Highway Traffic Safety Administration,
NSA–32, Department of Transportation,
400 7th Street, SW., Washington, DC
20590.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

SYSTEM NAME:

Unclassified, sensitive.
SYSTEM LOCATION:

Office of the Secretary of
Transportation, Office of the General
Counsel, 400 7th Street, SW., Room
10102, Washington, DC 20590.

Forms executed by importers or
declarants for the NHTSA, United States
Customs Service, and the
Environmental Protection Agency.

19:33 Apr 10, 2000

File folders stored in file cabinets.
RETRIEVABILITY:

Indexed individually by name in
alphabetical sequence.

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.

SAFEGUARDS:

CATEGORIES OF RECORDS IN THE SYSTEM:

CONTESTING RECORD PROCEDURES:

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.

PURPOSE(S):

RECORD SOURCE CATEGORIES:

VerDate 202000

STORAGE:

28 U.S.C. 1498.

Same as ‘‘System manager.’’

None.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

CONTESTING RECORD PROCEDURES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

SECURITY CLASSIFICATION:

Same as ‘‘System manager.’’

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Prefatory Statement of General Routine
Uses.

Document allegations that agencies of
the Department of Transportation have
infringed, or are infringing, United
States patents.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Used as a record of allegations and
Patent Counsel’s actions thereon. See

Jkt 190000

PO 00000

Frm 00077

Fmt 4701

Sfmt 4703

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.’’
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

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authority approving or disapproving
BCMR cases.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

10 U.S.C. 1552.

RECORD ACCESS PROCEDURES:

the General Counsel, 400 7th Street,
SW., Room 10102, Washington, DC
20590.

Apply to System manager.
CONTESTING RECORD PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

PURPOSE(S):

Same as ‘‘Record access procedure.’’

Certain employees of the Office of the
Secretary who have availed themselves
of the opportunity for a hearing in
certain personnel matters.

RECORD SOURCE CATEGORIES:

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:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

See Prefatory Statement of General
Routine Uses.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PURPOSE(S):

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.’’

DOT employees and contractors.

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.

CONTESTING RECORD PROCEDURES:

RECORD SOURCE CATEGORIES:

PURPOSE(S):
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

To maintain computerized records
covering the security of DOT personnel
and headquarters buildings. To develop
proper responses to patterns of
incidents.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

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.

Indexed individually by name in
alphabetical sequence.

Official agency records; hearings,
documentary material from outside the
agency.

SAFEGUARDS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

RETENTION AND DISPOSAL:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Files are kept in the office of the
Assistant General Counsel.

None.

Retire in 3 years; destroy in 6 years.

DOT/OST 012

SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM NAME:

Files Relating to Personnel Hearings.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Department of Transportation, DOT,
Office of the Secretary, OST, Office of

19:33 Apr 10, 2000

Incident reports covering occurrences
relating to the security of DOT
personnel and headquarters buildings.
5 U.S.C. 301; 49 U.S.C. 322.

RETRIEVABILITY:

Same as ‘‘Record access procedure.’’

CATEGORIES OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

File folders stored in file cabinets
(Conserv-a-File).

Contact ‘‘System manager.’’

TASC Security Operations, SVC–150,
Department of Transportation, DOT, 400
7th Street, SW., Washington, DC 20590.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

A record of the legal services
performed and reference material for
future cases.

STORAGE:

RECORD ACCESS PROCEDURES:

General Investigations Record System.

SYSTEM LOCATION:

5 U.S.C. 1215, 1216, 7503(c), 7513(e),
7521, and 7543(e).

Indexed individually by name in
alphabetical sequence.

SYSTEM NAME:

Unclassified (law enforcement
sensitive).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETRIEVABILITY:

DOT/OST 016

SECURITY CLASSIFICATION:

Notices of proposed adverse actions,
answers of employees, notices of
decisions, and supporting material.

File folders stored in file cabinets
(Conserv-a-File).

VerDate 202000

None.

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:

STORAGE:

Official agency records; hearings;
documentary material from outside the
agency.

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:

Jkt 190000

Apply to System manager.

PO 00000

Frm 00078

Fmt 4701

Sfmt 4703

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.

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RETRIEVABILITY:

PURPOSE(S):

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.

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.

RETENTION AND DISPOSAL:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Records older than 5 years are
deleted.

See Prefatory Statement of General
Routine Uses.

SYSTEM MANAGER(S) AND ADDRESS:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Principal, TASC Security Operations,
SVC–150, 400 7th Street, SW.,
Washington, DC 20590.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

File folders stored in file cabinets.

Same as ‘‘System manager.’’
Same as ‘‘Record access procedure.’’

Indexed individually by name in
alphabetical sequence.

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:

RETENTION AND DISPOSAL:

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.

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.’’

SECURITY CLASSIFICATION:

Unclassified, sensitive.

RECORD ACCESS PROCEDURES:

Apply to ‘‘System manager.’’

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.
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.

19:33 Apr 10, 2000

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:

DOT/OST 035

Personnel Security Record System.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Department of Transportation,
Transportation Administrative Service

Jkt 190000

PO 00000

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:

None.

SYSTEM NAME:

CATEGORIES OF RECORDS IN THE SYSTEM:

VerDate 202000

PURPOSE(S):

Records are disclosed only to
individuals who have legal interest in
the records or legal ‘‘need to know.’’

These records contain information
obtained from interviews; review of
records and other authorized
techniques.

CATEGORIES OF RECORDS IN THE SYSTEM:

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

SAFEGUARDS:

RECORD SOURCE CATEGORIES:

DOT applicants, employees, former
employees, contractors, and detailees to
DOT from other Federal agencies.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETRIEVABILITY:

CONTESTING RECORD PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY 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.

None.

RECORD ACCESS PROCEDURES:

Center, Security Operations, SVC–150,
400 7th Street, SW., Washington, DC
20590.

Frm 00079

Fmt 4701

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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)).

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

of Transportation, and Washington, DC
20590. Office Location: 400 7th Street,
SW., Room 10428.

Executive Appointments to the
Department of Transportation.
SECURITY CLASSIFICATION:

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.’’

NOTIFICATION PROCEDURE:

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:

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).

CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD SOURCE CATEGORIES:

Financial data and biographical data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DOT/OST 041
SYSTEM NAME:

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:

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:

None.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Legal sized documents located in
locked safe.
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.

49 CFR 1.23(j).
PURPOSE(S):

SYSTEM NAME:

SYSTEM MANAGER(S) AND ADDRESS:

Records relating to Applications for
Senate Confirmation of Proposed

Mailing Address: Deputy General
Counsel, C–2, United States Department

Fmt 4701

Sfmt 4703

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:

RETENTION AND DISPOSAL:

Frm 00080

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:

RETRIEVABILITY:

PO 00000

Subject individual provides
Documents.
None.

PURPOSE(S):

Jkt 190000

Contest of a record is also through the
Deputy General Counsel.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

5 U.S.C. App. 101, Executive Order
12731, and regulations of the Office of
Government Ethics.

DOT/OST 037

19:33 Apr 10, 2000

Access to records requires the
individual to contact in person or write
the Deputy General Counsel.
CONTESTING RECORD PROCEDURES:

Records are retained for 6 years then
destroyed.

VerDate 202000

RECORD ACCESS PROCEDURES:

Individuals nominated for top
executive positions of the Department of
Transportation.

See Prefatory Statement of General
Routine Uses.

RECORD SOURCE CATEGORIES:

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.

The purpose of the system is to
provide history of correspondence
addressed to and signed by the
Secretary and Deputy Secretary of
Transportation.

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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.

RECORD ACCESS PROCEDURES:

STORAGE:

File folders stored in file cabinets
(Conserv-a-File).

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.

RETRIEVABILITY:

Indexed individually by name and
subject in alphabetical sequence.
SAFEGUARDS:

RECORD SOURCE CATEGORIES:

Correspondence from individual, his
representative or sponsor. Responses to
incoming correspondence. Related
material provided for background as
appropriate.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

None.

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 spaceneeded 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).

19:33 Apr 10, 2000

DOT/OST 045
SYSTEM NAME:

Unsolicited Contract or Research and
Development Proposals Embodying
Claims of Proprietary Rights.

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.’’

CONTESTING RECORD PROCEDURES:

SYSTEM LOCATION:

Same as ‘‘Record access procedure.’’

Department of Transportation, DOT,
Office of the Secretary, OST, Office of
the General Counsel, 400 7th Street,
SW., Room 10102, Washington, DC
20590.

RECORD SOURCE CATEGORIES:

Forwarded by individual or by the
DOT office to whom unsolicited
proposal was addressed.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

Individuals who believe they have
original and innovative ideas in the
field of transportation.

DOT/OST 046
SYSTEM NAME:

Visit Control Records System.

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.

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:

PURPOSE(S):

DOT employees, Industrial Security
contractor employees, non-employee
visitors to DOT facilities during security
hours.

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.

Frm 00081

Transfer to storage when three years
old; Destroy after six years.

Apply to ‘‘System manager.’’

Unclassified, sensitive.

PO 00000

RETENTION AND DISPOSAL:

RECORD ACCESS PROCEDURES:

SECURITY CLASSIFICATION:

Jkt 190000

Records are disclosed only in
accordance with the terms of restrictive
markings agreed upon between
submitter and DOT.

SYSTEM MANAGER(S) AND ADDRESS:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

STORAGE:

VerDate 202000

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Contact System Manager for
information on procedures for gaining
access to records.

Fmt 4701

Sfmt 4703

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

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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.

DOT/OST 056

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.

SYSTEM NAME:

Garnishment Files.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

NOTIFICATION PROCEDURE:

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:

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.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Correspondence and court orders, and
copies thereof, concerning attachment of
employees’ pay.

SECURITY CLASSIFICATION:

STORAGE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Department of Transportation, DOT,
Office of the Secretary, OST, Office of
the General Counsel, 400 7th Street,
SW., Room 10428, Washington, DC
20590.

Stored in an alarm-secured area in a
locked Lek-Triever file.
RETRIEVABILITY:

42 U.S.C. 659; 5 U.S.C. 5520a.
PURPOSE(S):

Used as record of garnishments and
Garnishment Attorney’s action thereon.

By name.
SAFEGUARDS:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Stored in locked room with
proprietary lock, available only to
authorized staff members.

See Prefatory Statement of General
Routine Uses.

RETENTION AND DISPOSAL:

Maintained until expiration of visit,
then destroyed.

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.

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Third-year law students and recent
law school graduates.

PURPOSES:

STORAGE:

File folders stored in the Garnishment
Attorney’s office.

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Resumes, transcripts, copies of
Personnel Form 171. Authority for
maintenance of the system: 49 U.S.C.
323.

None.

Principal, TASC Security Operations,
SVC–150, Department of
Transportation, 400 7th Street, SW.,
Washington, DC 20590.

SYSTEM LOCATION:

CATEGORIES OF RECORDS IN THE SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM MANAGER(S) AND ADDRESS:

Unclassified, sensitive.

Used by General Counsel, Chief
Counsels, and their staffs in filling job
vacancies for attorneys.

RETRIEVABILITY:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Indexed individually by name in
alphabetical order.

See Prefatory Statement of General
Routine Uses.

SAFEGUARDS:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Records are disclosed only to
individuals with established legal
interest or legal ‘‘need to know.’’

STORAGE:

File folders in file cabinets.

RETENTION AND DISPOSAL:

Retained for as long as the attachment
of pay continues and thereafter as
needed for precedential value.

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RETRIEVABILITY:

Indexed individually by name in
alphabetical order.

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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.

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.

NOTIFICATION PROCEDURE:

Contact the ‘‘System manager.’’

RETRIEVABILITY:

RECORD ACCESS PROCEDURES:

Contact the ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedure.’’

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.

RECORD SOURCE CATEGORIES:

SAFEGUARDS:

Law students, recent law school
graduates, General Counsel, Chief
Counsels and their staffs.

Records are disclosed only to the
applicant, his representative, interested
members of Congress, and the Coast
Guard.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

RETENTION AND DISPOSAL:

None.
DOT/OST 059
SYSTEM NAME:

Files of the Board for Correction of
Military Records, BCMR, for the Coast
Guard.
SECURITY CLASSIFICATION:

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.

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:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

10 U.S.C. 1552.

DOT/OST 100

PURPOSE:

Used by the Chairman, the Board, the
Executive Secretary, and Staff in
determining whether to grant relief to
applicants.

VerDate 202000

None.

19:33 Apr 10, 2000

Investigative Record System.
SECURITY CLASSIFICATION:

Unclassified—sensitive.

PO 00000

Frm 00083

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.

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:

SYSTEM NAME:

Jkt 190000

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Inspector General Act of 1978, 5
U.S.C. App.

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:

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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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:

Unclassified, sensitive.

SYSTEM LOCATION:

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None.
Policies and practices for storing,
retrieving, accessing, retaining, and
disposing of records in the system:

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STORAGE:

records and other authorized
investigative techniques.

Paper records in case folders in
manual filing system and on index
cards.

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).

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.

DOT/OST 101
SYSTEM NAME:

Transportation Inspector General
Reporting System, TIGR.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

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 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.

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:

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.

RECORD SOURCE CATEGORIES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

These records contain information
obtained from interviews, review of

(1) Security clearance notification
alerts may be provided to an examined

Same as ‘‘System manager.’’

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19:33 Apr 10, 2000

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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

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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 2year period. Hard copy records will be
retained until the records are replaced
or become obsolete.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Information Resource
Management, JM–10, Office of Inspector
General, Department of Transportation,
400 7th Street, SW., Room 7117,
Washington, DC 20590.
NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’
RECORD ACCESS PROCEDURES:

Same as ‘‘System manager.’’
CONTESTING RECORD PROCEDURES:

Same as ‘‘System manager.’’
RECORD SOURCE CATEGORIES:

(1) Official personnel folder; (2) other
personnel documents; (3) activity
supervisors; (4) individual applications
and forms; and (5) information obtained
from interviews, review of records and
other authorized investigative
techniques.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

Investigative data compiled for law
enforcement purposes may be exempt
from the access provisions pursuant to
5 U.S.C. 552a(j)(2), (k)(l), or (k)(2).
DOT/RSPA 02
SYSTEM NAME:

National Defense Executive Reserve,
NDER, File.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Some records are held only in the
Office of Emergency Transportation
while others are held at various
locations in the custody of officials in

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the several regions, as indicated in the
paragraph labeled ‘‘Categories of
records’’ below. Holdings of the
Regional Directors-designate and
Deputy Directors-designate are partial
duplications of the Regional Emergency
Transportation Coordinator, RETCO,
files and may be accessed through the
applicable RETCO. The RETCO and the
Regional Emergency Transportation
Representative, RETREP, for each region
may be contacted directly at the
addresses shown below. The Regional
Director-designate and Deputy Directordesignate for each region may be
contacted by addressing mail in care of
the RETCO for that region at the address
shown in the following list: Regions 1
and 2, First Coast Guard District, 408
Atlantic Avenue, Boston, MA 02110.
Region 3, Federal Highway
Administration, 10 South Harvard
Street, Suite 4000, Baltimore, MD
21201. Region 4, Federal Aviation
Administration Southern Region, PO
Box 20636, Atlanta, GA 30320. Region
5, Federal Highway Administration,
19900 Governors Drive, Suite 301
Olympia fields, IL 60461 Region 6,
Federal Aviation Administration
Southwest Region, 2601 Meacham
Blvd., Ft. Worth, TX 76137–4298.
Region 7, Federal Highway
Administration, P.O. Box 419715,
Kansas City, MO 64141. Region 8,
Federal Highway Administration, 555
Zang Street, Room 400, Denver, CO
80225. Region 9, Pacific Area United
States Coast Guard, Coast Guard Island,
Alameda, CA 94501. Region 10, 13th
Coast Guard District, Federal Bldg., Rm.
3590, 915 Second Ave., Seattle, WA
98174Alaska Region, Federal Aviation
Administration Alaskan Region, 222 W
7th Ave., #14, Anchorage, AK 99513.
Emergency Facilities Liaison Officer,
FAA Records Center, West King Street
and South Maple Avenue, Martinsburg,
WV 25401.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

individuals, certificates of appointment
and reappointment and a personal data
sheet for each Reservist which presents
a summary of pertinent data including
a photograph.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Defense Production Act of 1950 and
Executive Order 11179.
PURPOSE(S):

This is a government-wide program to
recruit and train a cadre of volunteer
executives from the private sector to
serve in key Federal management
positions during periods of national
defense emergencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Internal personnel management of the
NDER for the Department of
Transportation, which includes staff
action and exchange of data with the
Office of the Director, Federal
Emergency Management Agency, who is
responsible for the entire National
Defense Executive Reserve Program.
These records are available to the
Secretary, any Secretarial Officer, Head
of an Operating Administration, or their
designated subordinates who require
access in the pursuit of their duties, to
the Director and staff of OET, and the
RETCOs and their staff.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Individual records are maintained in
a manual system in a locked file room
consisting of a filing jacket with the
individual’s name tabbed and
containing all papers pertaining to him
or her, except the following, which are
maintained as stated. Mailing lists are
maintained using a personal computer.

Upper, middle, and lower
management members of the
transportation industry, university
professors, lawyers, labor leaders, and
businessmen who are candidates for
membership in NDER, active members
of NDER, or who are former members
whose membership has been terminated
by death, resignation or involuntary
release, and emeritus members.

RETRIEVABILITY:

CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Personnel and security forms
completed by individuals consisting of
applications, statements of
understanding by employers, security
and identification data from

Research and Special Programs
Administration (DPB–30), Director of
Emergency Transportation, Department
of Transportation (Room 8330),
Washington, DC 20590.

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Indexed alphabetically by name.
Retrieved manually.
SAFEGUARDS:

Maintained in metal file containers or
other standard office equipment.
RETENTION AND DISPOSAL:

Held for five years from date of
separation and then destroyed.

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NOTIFICATION PROCEDURE:

PURPOSE(S):

SYSTEM LOCATION:

Inquiries may be addressed to any of
the offices and officials listed under
‘‘System locations’’. Individuals
requesting such information must sign
the request personally and include in
the text of the request suitable
identification. Alternatively, personal
visits to the above locations with
presentation of suitable identification
will enable individual to learn of and
have access to his or her record.

To maintain information concerning
on-going and completed research and
development accomplishments.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Department of Transportation, DOT,
Office of the Secretary, OST, System
physically located at the: Battelle
Laboratories, Columbus, OH.

RECORD ACCESS PROCEDURES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Individual may secure or obtain
information on procedures for gaining
access to records by (1) referral to the
information sheet issued to him or (2)
addressing a written query to the offices
cited under ‘System location’ above
(except the Emergency Facilities Liaison
Officer, FAA Records Center, West King
Street and South Maple Avenue,
Martinsburg, WV 25401, which
maintains duplicate files in storage
only) or (3) presenting himself or herself
in person to those offices.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures.’’
RECORD SOURCE CATEGORIES:

Personal data submitted by the
individual; data from his or her
employer; recommendations for the
system: Investigative data compiled for
law enforcement purposes may be
exempt from access pursuant to 5 U.S.C.
552a (j)(2), (k)(1), or (k)(2). From
colleagues; mailing data from existing
distribution system.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/RSPA 04
SYSTEM NAME:

Information on on-going and
completed research and development
accomplishments. See Prefatory
Statement of General Routine Uses.

Program/Project Managers and
authors of reports.
CATEGORIES OF RECORDS IN THE SYSTEM:

Notification of technical research and
technical reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

None.

49 U.S.C. 112(d)(3).

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PURPOSE(S):

To maintain information concerning
on-going and completed research and
development accomplishments.

STORAGE:

Computer disc storage and magnetic
tape.
RETRIEVABILITY:

Retrievable by keywords and unique
accession number assigned by Data Base
Administrator; batch process or on-line
interaction.
SAFEGUARDS:

Physical security—user identification
and passwords.
RETENTION AND DISPOSAL:

Retrievable by keywords and
accession number assigned by Data Base
Administrator, batch or on-line
interaction.
SAFEGUARDS:

Physical security—User identification
keywords and passwords.

Same as ‘‘System manager.’’

RETENTION AND DISPOSAL:

Up to five-year accessibility, tape goes
to archival storage.

CONTESTING RECORD PROCEDURES:

Department of Transportation, DOT,
Research & Special Programs
Administration, RSPA, Transportation
Systems Center, TSC, Kendall Square,
Cambridge, MA 02142.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

RETRIEVABILITY:

RECORD ACCESS PROCEDURES:

SYSTEM LOCATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Computer disc storage and magnetic
tape.

Chief, Transportation Research
Activity Information Services Branch,
TST–25.1, Department of
Transportation, Office of the Secretary,
400 7th Street, SW., Washington, DC
20590.

Unclassified, Sensitive

Information on on-going and
completed research and development
accomplishments. See Prefatory
Statement of General Routine Uses.

STORAGE:

SYSTEM MANAGER(S) AND ADDRESS:

Same as ‘‘System manager.’’

SECURITY CLASSIFICATION:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Up to three-year retention and then
tape is reused which destroys previous
data.

NOTIFICATION PROCEDURE:

Transportation Research Activities
Information Service, TRAIS.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Same as ‘‘System manager.’’

SYSTEM MANAGER(S) AND ADDRESS:

RECORD SOURCE CATEGORIES:

Contract Awards from Contracting
Offices, Publication of Technical Report.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Chief, Transportation Research
Information Services Branch, TST–25.1,
Department of Transportation, Office of
the Secretary, 400 7th Street, SW.,
Washington, DC 20590.

Program/Project Managers and
research investigators.

DOT/RSPA 05

CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM NAME:

Notification of Technical Research
and Development.

Transportation Research Information
Service On Line, TRIS-On-Line.

RECORD ACCESS PROCEDURES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SECURITY CLASSIFICATION:

CONTESTING RECORD PROCEDURES:

49 U.S.C. 112(d)(3).

VerDate 202000

NOTIFICATION PROCEDURE:

Same as ‘‘System manager.’’

Unclassified, Sensitive.

19:33 Apr 10, 2000

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PO 00000

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Same as ‘‘System manager.’’
Same as ‘‘System manager.’’

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RECORD SOURCE CATEGORIES:

subordinates (national and regional) and
to individuals listed. See Prefatory
Statement of General Routine Uses.

Contract awards received from
Contracting Offices, Publication of
Technical Reports.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

SYSTEM NAME:

Emergency Alerting Schedules.

Publication is maintained in stock, in
listings in each office of record, and in
standard filing equipment in locked file
rooms.

Unclassified, sensitive.
SYSTEM LOCATION:

These records are located in the
national headquarters of the Offices of
the Secretary; the heads of operating
administrations, regional offices of the
Regional Emergency Transportation
Coordinators, the Regional
Administrators, Directors and
Commanders of the operating
administrations and in headquarters of
operating administrations divisions,
district commands, and other field
offices of the Department.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Professional and clerical employees
and military members of the United
States Government, Directors—
designate and Deputy Directors—
designate and members of the National
Defense Executive Reserve who have
been given emergency billet
assignments within the Department of
Transportation Emergency Structure.
CATEGORIES OF RECORDS IN THE SYSTEM:

The Alerting Charts and Schedules
show names and office and home
telephone numbers of individuals in
calling sequence and are listed by
national headquarters and by regional
offices; also contain similar listings
designed for management convenience
within DOT and the operating elements.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DOT Order 1910.2C, dated May 1980.
PURPOSE(S):

A team of individuals who can carry
out the essential functions of the
Department of Transportation if the
need arises.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

For identification of individuals
required to ensure viability of DOT in
the immediate preattack—transattack—
postattack period of a national defense
emergency. Available to the Secretarial
Officers, heads of operating
administrations or designated

VerDate 202000

19:33 Apr 10, 2000

SYSTEM LOCATION:

STORAGE:

SECURITY CLASSIFICATION:

RETRIEVABILITY:

Manually by position listing.
SAFEGUARDS:

Metal file containers or other standard
office equipment secured in a locked
file room during office duty hours.
RETENTION AND DISPOSAL:

Retained until republished then
destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Emergency Transportation,
DET–1, Department of Transportation,
Research and Special Programs
Administration, 400 7th Street, SW.,
Washington, DC 20590.
NOTIFICATION PROCEDURE:

Inquiries may be addressed to any of
the offices listed under ‘‘System
Locations.’’ Individuals requesting such
information must sign the request and
include suitable identification.
Alternatively, personal visits to the
above locations with presentation of the
above credentials will enable individual
to learn of and have access to his or her
record.
Individual may secure or obtain
information on procedures for gaining
access to records by (1) referral to the
information sheet issued to him or (2)
addressing a written query to the offices
cited under System Location, (except
the Facility Manager, FAA Records
Center, West King Street and South
Maple Avenue, Martinsburg, WV 25401,
who maintains duplicate files in storage
only) or (3) presenting himself to those
offices.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures.’’
Office or Agency of employment.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Frm 00087

Fmt 4701

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Members of Technical Pipeline Safety
Standards Committee. Members of
Technical Hazardous Liquid Pipeline
Safety Standards Committee.
Intermittent consultants.
CATEGORIES OF RECORDS IN THE SYSTEM:

Biographical data in support of
member’s nomination.
Letters announcing member’s
appointment/reappointment. Personnel
Actions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 CFR Parts 190 through 195
PURPOSE(S):

To provide a guiding group to ensure
that the interests of all pipeline
stakeholders are represented, for
providing a forum for discussing
program plans and activities of the
Office of Pipeline Safety.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

General reference purposes for
support functions.
See Prefatory Statement of General
Routine Uses.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

In file folders.
RETRIEVABILITY:

Alphabetically by name within
subject area.
SAFEGUARDS:

Room locked after hours, most
information is public knowledge.
RETENTION AND DISPOSAL:

RECORD SOURCE CATEGORIES:

PO 00000

Department of Transportation, DOT,
Research and Special Programs
Administration, Office of Pipeline
Safety, 400 7th Street, SW., Room 2335,
Washington, DC 20590.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD ACCESS PROCEDURES:

Jkt 190000

Technical Pipeline Safety Committees
for Natural Gas and Hazardous Liquid.
Unclassfied, sensitive.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

DOT/RSPA 06

SYSTEM NAME:

SECURITY CLASSIFICATION:

None.

None.

DOT/RSPA 08

Sfmt 4703

Kept indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:

Advisory Committee Executive
Director, Department of Transportation,

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Office of Pipeline Safety, 400 7th Street,
SW., Washington, DC 20590.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

NOTIFICATION PROCEDURE:

To disclose pertinent information to
Federal, state, and local governmental
agencies responsible for responding to
incidents involving the release of
hazardous materials to assist in efforts
to protect life, health, safety, and
environmental conditions; to enforce
related Federal, state, and local
regulations; or to evaluate or develop
regulatory programs. To disseminate
information on the transportation of
hazardous materials to industrial,
commercial, educational, scientific,
research, or private entities to assess
trends, risks, consequences, or other
potentialities associated with the release
of hazardous materials during
transportation, or to analyze factors
affecting hazardous materials incidents.
To disseminate information to the
public media for use in informing the
public of issues related to the
transportation of hazardous materials.
The general routine uses in the prefatory
statement apply to these records.

Address inquiries to System manager
including individual’s name.
RECORD ACCESS PROCEDURES:

Information may be obtained from the
System manager.
CONTESTING RECORD PROCEDURES:

Same as for Access above.
RECORD SOURCE CATEGORIES:

Biographical Information (DOT Form
F 1120.1) Travel Vouchers (SF 1012).
Certificate of Consultant’s Services.
Press Releases. Administrative
Correspondence/Memorandums.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/RSPA 09
SYSTEM NAME:

Hazardous Materials Incident
Telephonic Report System.
SECURITY CLASSIFICATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Sensitive.
United States Department of
Transportation, The John A. Volpe
National Transportation Systems Center
Kendall Square, Cambridge, MA 02142
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Records are retained permanently on
magnetic disk or tape.

19:33 Apr 10, 2000

SAFEGUARDS:

Access to all computer files is
controlled through user-name/password
access procedures. The computer on
which data is recorded is maintained in
an access-controlled room in an accesscontrolled building.

SYSTEM MANAGER(S) AND ADDRESS:

For records collected by the Office of
Hazardous Materials Transportation,
RSPA, pursuant to 49 CFR 171.15:
Information Systems Manager, Office of
Hazardous Materials Transportation,
DHM–63, Research and Special
Programs Administration, United States
Department of Transportation,
Washington, DC 20590.
For records collected by the Office of
Pipeline Safety, RSPA, pursuant to 49
CFR 191.5, 49 CFR 195.52, 49 CFR

PO 00000

RECORD SOURCE CATEGORIES:

Information in this system of records
is provided by the individuals covered
by this system; companies; Federal,
state, and local governmental agencies;
and other entities reporting releases of
hazardous materials that occurred
during transportation or that affect the
environment.

Unclassified, Sensitive.

Records are retrievable by all entered
fields including the names of
individuals included in the record.

Jkt 190000

Same as record access procedures.

SECURITY CLASSIFICATION:

Records of telephonic reports of
incidents involving the release of
hazardous materials or environmental
pollutants received by the NRC acting
on behalf of the Research and Special
Programs Administration, RSPA, the
USCG, and/or the EPA, or made by or
to the EPA or the OMSSEP USCG.

VerDate 202000

CONTESTING RECORD PROCEDURES:

Hazardous Materials Incident Written
Report System.

These records are maintained on
magnetic media.

RETENTION AND DISPOSAL:

To provide early notification of
hazardous liquid and natural gas
pipeline releases.

Contact the appropriate system
manager at the given address for
information on procedures for gaining
access to records.

SYSTEM NAME:

STORAGE:

CATEGORIES OF RECORDS IN THE SYSTEM:

PURPOSE(S):

RECORD ACCESS PROCEDURES:

DOT/RSPA 10

RETRIEVABILITY:

49 CFR 191.5 and 195.52.

Inquiries should be directed to the
appropriate system manager at the given
address.

None.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Individuals included in the system
are those making telephonic reports,
either as a private citizen or as a
representative of the company involved,
to the National Response Center, NRC,
operated by the USCG or to the EPA or
to the USCG Office of Marine Safety,
Security & Environmental Protection,
OMSSEP, of certain releases of
hazardous materials. The system may
also contain information on individuals
affected by reported incidents.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

NOTIFICATION PROCEDURE:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SYSTEM LOCATION:

192.612, and 49 CFR 195.413:
Information Resources Manager, Office
of Pipeline Safety, DPS–21, Research
and Special Programs Administration,
United States Department of
Transportation, Washington, DC 20590.

Frm 00088

Fmt 4701

Sfmt 4703

SYSTEM LOCATION:

United States Department of
Transportation, Research and Special
Programs Administration, 400 Seventh
Street, SW., Washington, DC, 20590,
United States Department of
Transportation, The John A. Volpe
National Transportation Systems Center,
Kendall Square, Cambridge, MA 02142.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals included in the system
are those affected by releases of
hazardous materials during
transportation (including transportation
by pipeline) whose names and other
personal information may have been
included in narrative descriptions of the
incident.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records of incidents involving the
release of hazardous materials during
transportation (including transportation
by pipeline) submitted by the carrier
pursuant to 49 CFR 171.16, 191.9,
191.15, 195.54, and 195.58.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 CFR 191.9 through 191.27 and
195.54, 195.55.

RETENTION AND DISPOSAL:

PURPOSE(S):

To provide written reports for
hazardous liquid and natural gas
pipeline releases, and annual reports for
natural gas pipeline operator total
mileage and description of operator’s
system.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

To disclose pertinent information to
Federal, state, and local governmental
agencies responsible for oversight of
incidents involving the release of
hazardous materials to assist in efforts
to protect life, health, and safety; to
enforce related Federal, state, and local
regulations; or to evaluate or develop
regulatory programs. To disseminate
information on the transportation of
hazardous materials to industrial,
commercial, educational, scientific,
research, or private entities to assess
trends, risks, consequences, or other
potentialities associated with the release
of hazardous materials during
transportation, or to analyze factors
affecting hazardous materials incidents.
To disseminate information to the
public media for use in informing the
public of issues related to the
transportation of hazardous materials.
The general routine uses in the prefatory
statement apply to these records.

Records are retained permanently on
magnetic disk or tape. Paper or
microfilm copies are also retained
permanently.
SYSTEM MANAGER(S) AND ADDRESS:

For records collected by the Office of
Hazardous Materials Transportation,
RSPA, pursuant to 49 CFR 171.16:
Information Systems Manager, Office of
Hazardous Materials Transportation,
DHM–63, Research and Special
Programs Administration, United States
Department of Transportation,
Washington, DC 20590. For records
collected by the Office of Pipeline
Safety, RSPA, pursuant to 49 CFR 191.9,
191.15, 195.54, or 195.58: Information
Resources Manager, Office of Pipeline
Safety, DPS–21, Research and Special
Programs Administration, United States
Department of Transportation,
Washington, DC 20590.
NOTIFICATION PROCEDURE:

Inquiries should be directed to the
appropriate system manager at the given
address.
RECORD ACCESS PROCEDURES:

Contact the appropriate system
manager at the given address for
information on procedures for gaining
access to records.
CONTESTING RECORD PROCEDURES:

Same as ‘‘Record access procedures.’’

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD SOURCE CATEGORIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

These records are maintained on
magnetic disk. Duplicate paper,
microfilm or electronic image copies are
also retained by RSPA in file cabinets.

Information in this system of records
is provided by individuals acting on
behalf of the carriers that experience
releases of hazardous materials during
transportation (including transportation
by pipeline).
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Computer records are retrievable by
all entered fields including the name of
individuals included in the record.
Paper, microfilm, and electronic image
copies are not retrievable by individual
name or other personal identifier except
through use of the search capabilities of
the computer records.
SAFEGUARDS:

Access to all computer and electronic
images are controlled through username/password access procedures. The
computer on which data is recorded is
maintained in an access-controlled
room in an access-controlled building.

19:33 Apr 10, 2000

SYSTEM NAME:

Hazardous Materials Information
Requests System.
Unclassified, Sensitive.
SYSTEM LOCATION:

United States Department of
Transportation, Research and Special
Programs Administration, 400 Seventh
Street, SW., Washington, DC 20590;
United States Department of
Transportation, The John A. Volpe
National Transportation Systems Center,
Kendall Square, Cambridge, MA 02142.

PO 00000

Frm 00089

Fmt 4701

Sfmt 4703

Individuals included in the system
are those requesting information from
the Hazardous Materials Information
Systems, HMIS, or requesting the
Research and Special Programs
Administration, RSPA, publication,
North American Emergency Response
Guidebook.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records of requests for information
from governmental, commercial, or
public media entities, or from private
citizens.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 CFR Parts 191.9 through 191.27
and 195.54, 195.55.
PURPOSE(S):

To provide written reports for
hazardous liquid and natural gas
pipeline releases, and annual reports for
natural gas pipeline operator total
mileage and description of operator’s
system.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

To respond to requests for
information maintained on the
hazardous Materials Information
System; to control the handling of such
responses; and to provide statistical
information on the offices’
responsibility for responding to such
requests. To disseminate information
concerning the availability of the North
American Emergency Response
Guidebook or revisions to it to
interested parties in order to ensure that
users of the Guidebook have the most
current available guidance information.
The general routine uses in the prefatory
statement apply to these records.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

RETRIEVABILITY:

SECURITY CLASSIFICATION:

Jkt 190000

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

These records are maintained on
magnetic disk. Duplicate paper copies of
recent reports are retained by RSPA
offices in file folders.

DOT/RSPA 11

RETRIEVABILITY:

VerDate 202000

Paper and microfilm copies are stored in
a room locked during non-duty hours.

Computer records are retrievable by
all entered fields including the names of
individuals included in the record.
Paper copies are not retrievable by
individual name or other personal
identifier except through use of the
search capabilities of the computer
records.
SAFEGUARDS:

Access to all computer files is
controlled through user-name/password

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access procedures, which limit access to
the files to authorized agency personnel
and to contract personnel whose duties
directly involve the creation and use of
these files. The computer on which data
is recorded is maintained in an accesscontrolled room in an access-controlled
building. Paper copies are stored in a
room locked during non-duty hours.
RETENTION AND DISPOSAL:

Records are retained permanently on
magnetic disk or tape. Paper copies are
retained according to need in a room
locked during non-duty hours, and
disposed of as appropriate.
SYSTEM MANAGER(S) AND ADDRESS:

For records maintained by the Office
of Hazardous Materials Transportation,
RSPA: Information Systems Manager,
Office of Hazardous Materials
Transportation, DHM–63, Research and
Special Programs Administration,
United States Department of
Transportation, Washington, DC 20590.
For records maintained by the Office
of Pipeline Safety, RSPA: Information
Resources Manager, Office of Pipeline
Safety, DPS–21, Research and Special
Programs Administration, United States
Department of Transportation,
Washington, DC 20590.
NOTIFICATION PROCEDURE:

Inquiries should be directed to the
appropriate system manager at the given
address.

All individuals presenting claims for
damages to personal property, or
personal injuries, or death resulting in
connection with Corporation activities,
other than claims by Federal
Government employees under Federal
Employees’ Compensation Act (5 U.S.C.
8102).
CATEGORIES OF RECORDS IN THE SYSTEM:

Claim documents on which are
recorded name, address, age and marital
status of claimants and details of claims,
documented evidence relevant to the
claims provided by claimants, and
relevant, internal Corporation
investigation documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; 28 U.S.C. 2675 and 33
U.S.C. 5984(a)(4).

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

File folders.
RETRIEVABILITY:

RECORD SOURCE CATEGORIES:

Information in this system of records
is provided by individuals, companies,
and other entities requesting
information from the HMIS or copies of
the Emergency Response Guidebook.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.
DOT/SLS 151
SYSTEM NAME:

Claimants Under Federal Tort Claims
Act.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of the Chief Counsel, Saint
Lawrence Seaway Development
Corporation, 400 Seventh Street, SW.,
Room 5424, Washington, DC 20590.

VerDate 202000

19:33 Apr 10, 2000

RECORD SOURCE CATEGORIES:

Information is obtained directly from
claimants on Standard Form 95 and
supporting documentation provided by
claimants and relevant, internal
Corporation investigation documents.

DOT/SLS 152
SYSTEM NAME:

Data Automation Program Records.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Saint Lawrence Seaway Development
Corporation, Office of Finance, PO Box
520, 180 Andrews Street, Massena, N.Y.
13662–0520.

Employees and consultants.
CATEGORIES OF RECORDS IN THE SYSTEM:

Payroll and leave records, work
measurement records, and travel
vouchers.

STORAGE:

Same as record access procedures.

Contest of these records will be
directed to the following: Director,
Office of Finance, Saint Lawrence
Seaway Development Corporation, PO
Box 520, Massena, NY 13662–0520.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

CONTESTING RECORD PROCEDURES:

CONTESTING RECORD PROCEDURES:

None.

Information will be used in evaluating
claims. Routine uses of records
maintained in the system, including
categories of users and the purposes of
such uses:
Used by Chief Counsel and other
Federal government officials to
determine allowability of claims. See
Prefatory Statement of General Routine
Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

An individual may gain access to his/
her records by written request to:
Chief Counsel, Saint Lawrence
Seaway Development Corporation, PO
Box 44090, Washington, DC 20026–
4090.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

PURPOSE(S):

RECORD ACCESS PROCEDURES:

Contact the appropriate system
manager at the given address for
information on procedures for gaining
access to records.

RECORD ACCESS PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Records are retrieved by name.
SAFEGUARDS:

5 U.S.C. 301, 44 U.S.C. 3101, 33
U.S.C. 984(a)(4).

Records are kept in locked file
cabinets and are accessible only to the
Chief Counsel and persons authorized
by him.

PURPOSE(S):

RETENTION AND DISPOSAL:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

Records are retained indefinitely
since they are not extensive and are
used for reference.
SYSTEM MANAGER(S) AND ADDRESS:

Chief Counsel, Saint Lawrence
Seaway Development Corporation, 400
Seventh Street, SW., Room 5424,
Washington, DC 20590.
NOTIFICATION PROCEDURES:

An individual may inquire, in
writing, to the system manager.

Jkt 190000

PO 00000

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Fmt 4701

Sfmt 4703

This system integrates leave, payroll,
work measurement, and travel Voucher
records.

1. Payroll and voucher disbursement:
GAO audits. 2. To the Office of Child
Support Enforcement, Administration
for Children and Families, Department
of Health and Human Services Federal
Parent Locator System, FPLS, and
Federal Tax Offset System for use in
locating individuals and identifying
their income sources to establish
paternity, Establish and modify orders
of support and for enforcement action.

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3. To the Office of Child Support
Enforcement for release to the Social
Security Administration for verifying
social security Numbers in connection
with the operation of the FPLS by the
Office of Child Support Enforcement. 4.
To Office of Child Support Enforcement
for release to the Department of the
Treasury for purposes of administering
the Earned Income Tax Credit Program
(Section 32, Internal Revenue Code of
1986) and verifying a claim with respect
to employment in a tax return. 5. See
Prefatory Statement of General Routine
Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Disclosures pursuant to 5 U.S.C.
552a(b)(12). Disclosures may be made
from this system to ‘consumer reporting
agencies’ (collecting on Behalf of the
United States Government) as defined in
the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 U.S.C.
3701(a)(3)).

RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

Information contained in this system
would come from Saint Lawrence
Seaway Development Corporation
records.

Indexed by employees name, project
number, procurement number, contract
number, travel number, work plan
budget number.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

SAFEGUARDS:

None.
DOT/TSC 700
SYSTEM NAME:

Automated Management Information
System.
SYSTEM LOCATION:

Department of Transportation, DOT,
Volpe National Transportation Systems
Center, Volpe, Computer Center, DTS–
23, 55 Broadway, Cambridge, MA
02142–1093.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RETENTION AND DISPOSAL:

All Volpe employees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains job related information
associated with the following
applications: ADP services, property
management, rocurement requests,
contract information, travel information,
program and related job plans, space
utilization, and other pertinent
management information.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Magnetic tape reels, diskettes,
microfilm cassettes and supporting
documents.
RETRIEVABILITY:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Records are retrieved by name and
social security number.

49 U.S.C 328, Volpe Center Working
Capital Fund; 5 U.S.C 301.

SAFEGUARDS:

PURPOSE(S):

Records are kept in locked file
cabinets or locked rooms accessible to
Appropriate supervisor, his/her
immediate assistants and secretary.

For computer facility planning;
budget analysis; procurement tracking;
contract administration; property
control.

RETENTION AND DISPOSAL:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Records are retained in accordance
with General Accounting Office and
National Archives and Records
Administration requirements. System
manager(s) and address: Director of
Finance, Saint Lawrence Seaway
Development Corporation, PO Box 520,
180 Andrews Street, Massena, N.Y.
13662–0520.
NOTIFICATION PROCEDURE:

Individuals may inquire, in writing, to
the System manager.
Individuals may gain access to his/her
records by submitting a written request
to the system manager.
CONTESTING RECORD PROCEDURES:

Contest of these records should be
directed to the system manager.

VerDate 202000

19:33 Apr 10, 2000

The general purposes of this system
are intended for internal management
and control, including: Computer
facility planning. ADP cost distribution.
Budget and planning analysis.
Procurement tracking. Procurement
statistics and analysis. Information of
travel incurred. Contract administration.
Control of property. Control of building
space. See Prefatory Statement of
General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD ACCESS PROCEDURES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Magnetic tape and disk.

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Access to the systems and their
associated data bank is available
through the utilization of the unique
project and programmer numbers, and
the passwords known only by the
authorized custodians. Access to reports
is controlled by the Reports Distribution
function of the Administrative
Directorate on a need-to-know basis. For
normal working requirements, the
reports are distributed to the functional
areas responsible for the data
generation. Access to the computer
room and its associated areas where
data and reports are stored is delineated
in the Volpe ADP Facility Document on
Safeguards and Controls.

Sfmt 4703

The systems are permanent unless
replaced. The data banks, for the most
part, are related to fiscal year activity.
Subsequent to the fiscal year, the data
banks become either part of the history
file of the system or are maintained by
themselves for historical reasons.
Data records are deleted from the data
banks on an as-required basis, and
subsequently are eliminated from
associated reports.
Reports used as daily working papers
are retained only until updated reports
are produced and then the old reports
are discarded. Official closing reports
corresponding to month-end and fiscalyear-end periods are retained for longer
periods and are not subject to any
disposal procedure.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Computer Center, DTS–23,
Department of Transportation, Volpe
National Transportation Systems Center,
55 Broadway, Cambridge, MA 02142–
1093.
NOTIFICATION PROCEDURES:

Information may be obtained from the
System manager.
RECORD ACCESS PROCEDURES:

Requests from individuals should be
addressed to the System manager. An
individual may gain access to his/her
data by written request.
CONTESTING RECORD PROCEDURES:

Contest of this data will be made to
the System Manager. If administrative
resolvement is not satisfactory to the
individual, appeals may be filed in
writing with the Secretary of
Transportation addressed to the General

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Counsel as follows: Department of
Transportation, Office of the Secretary,
Office of the General Counsel, 400 7th
Street, SW., Washington, DC 20590.
RECORD SOURCE CATEGORIES:

Employee, Personnel Office,
Communications Office, Security Office.

Center, Volpe, Human Resources
Management Division, DTS–84, 55
Broadway, Cambridge, MA 02142–1093.

STORAGE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Records are maintained in paper
record folders.

Volpe employees, in-house contractor
personnel and visitors who have
suffered work-related occupational
illnesses, injuries or are involved in
Government property accidents.

RETRIEVABILITY:

Indexed by employee’s name and/or
by subject matter.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

SAFEGUARDS:

DOT/TSC 702

Records are maintained in locked file
cabinets and secure safe.

SYSTEM NAME:

RETENTION AND DISPOSAL:

Legal Counsel Information Files.

As prescribed in applicable record
retention schedules.

SECURITY CLASSIFICATION:

Unclassified, sensitive.

SYSTEM MANAGER AND ADDRESS:

SYSTEM LOCATION:

Department of Transportation, DOT,
Volpe National Transportation Systems
Center, Volpe, Office of Chief Counsel,
DTS–14, 55 Broadway, Cambridge, MA
02142–1093.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Present and former Volpe employees.
Counseling records relating to
Standards of Conduct, post-employment
restrictions, or other legal matters
involving individual employee(s);
individual claims; grievances, personnel
actions and related litigation; and
employee confidential financial
disclosure reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 U.S.C. 328, Volpe Center Working
Capital Fund; 28 U.S.C. 1346; 28 U.S.C.
ch. 171; 5 U.S.C. ch. 77, 5 U.S.C. ch. 71;
42 U.S.C. 2000e–16; 29 CFR part 1614;
5 U.S.C. App. 4.
PURPOSE(S):

To promote compliance with
Standards of Conduct, conflict of
interest, and other laws, and to enable
legal counsel render consistent legal
advice.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The records and the information they
contain may be used for internal
management and control, to promote
compliance with Standards of Conduct,
conflict of interest, and other laws, and
to enable legal counsel to render
consistent advice in legal matters.
See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

19:33 Apr 10, 2000

Chief Counsel, DTS–14, Volpe
National Transportation Systems Center,
Research and Special Programs
Administration, United States
Department of Transportation, 55
Broadway, Cambridge, MA 02142–1093.
NOTIFICATION PROCEDURES:

Information may be obtained from the
System manager.

CATEGORIES OF RECORDS IN THE SYSTEM:

Federal Occupational Injuries and
Illnesses Survey form. DOT Accident/
Injury Reports, DOT forms 3902.1
through 8. Department of Labor, Office
of Workers Compensation Programs,
OWCP, for payment of medical bills and
worker compensation, as applicable.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 U.S.C. 328, Volpe Center Working
Capital Fund; Executive Order 12196,
Occupational Safety and Health
Program for Federal Employees, dated
2/27/80; 5 U.S.C. 7902.
PURPOSE(S):

For accident prevention.

RECORD ACCESS PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

VerDate 202000

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Requests from individuals should be
addressed to the System manager.
An individual may gain access to his/
her records by written request.
CONTESTING RECORD PROCEDURES:

An individual may seek to contest
information contained in his/her
records by written request made to the
System Manager. If administrative
resolution is not satisfactory to the
individual, appeals may be filed in
writing with the Secretary of
Transportation addressed to the General
Counsel as follows: Department of
Transportation, Office of the Secretary,
Office of the General Counsel, 400 7th
Street, SW., Washington, DC 20590.
RECORD SOURCE CATEGORIES:

Information contained in this system
of records is provided by employees,
Supervisors, Legal Office, Personnel
Office and various Federal
administrative agencies.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The general purposes of these records
are intended for internal management
and control, and also for accident
prevention.
The routine uses of the Department of
Labor forms are for (1) submission to
doctors and medical institutions
rendering services to individuals and (2)
to the Office of Workers Compensation
Programs, Department of Labor, for
payment of medical bills and worker
compensation, applicable. See Prefatory
Statement of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Forms, computerized database, and
other paper records.

None.
DOT/TSC 703

RETRIEVABILITY:

Indexed by individual’s name.

SYSTEM NAME:

Occupational Safety and Health
Reporting System.

SAFEGUARDS:

Records are maintained in locked file
cabinets and folders are stamped For
Official Accident Prevention Use Only.

SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

RETENTION AND DISPOSAL:

Department of Transportation, DOT,
Volpe National Transportation Systems

Records are retained for five years and
then destroyed by shredding.

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Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices
SYSTEM MANAGER AND ADDRESS:

Chief, Engineering and Operations
Branch, DTS–874, Department of
Transportation, Volpe National
Transportation Systems Center, 55
Broadway, Cambridge, MA 02142–1093.
NOTIFICATION PROCEDURES:

Information may be obtained from the
System manager.
RECORD ACCESS PROCEDURES:

Requests from individuals should be
addressed to the System manager. An
individual may gain access to his/her
records by written request.
CONTESTING RECORD PROCEDURES:

Contest of this data will be made to
the System Manager. If administrative
resolution is not satisfactory to the
individual, appeals may be filed in
writing with the Secretary of
Transportation addressed to the General
Counsel as follows: Department of
Transportation, Office of the Secretary,
Office of the General Counsel, 400 7th
Street, SW., Washington, DC 20590.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The general purposes of these files are
intended for internal management and
control, including administrative
reference and scheduling of work
projects, budgeting and overhead
classification. See Prefatory Statement
of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

DOT/TSC 707
SYSTEM NAME:

Labor Distribution System.
SECURITY CLASSIFICATION:

Unclassified, sensitive.
SYSTEM LOCATION:

Department of Transportation, DOT,
Volpe National Transportation Systems
Center (Volpe), Financial Management
Division, Accounting Branch, DTS–823,
55 Broadway, Cambridge, MA 02142–
1093.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All Volpe employees.

STORAGE:

CATEGORIES OF RECORDS IN THE SYSTEM:

Electronic Files in Excel format.

Contains information delineating the
time and charges, including fringe and
project overhead, that Volpe employees
worked. The main association of the
time and charges is with employee job
assignment.

RETRIEVABILITY:

Stored as spreadsheet identified by
pay period ending date.
SAFEGUARDS:

Records are maintained in password
protected files with access limited to
Budget Branch PCs.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 U.S.C. 328, Volpe Center Working
Capital Fund; 5 U.S.C. 301.

RECORD SOURCE CATEGORIES:

RETENTION AND DISPOSAL:

Documents provided by the
individual concerned and immediate
supervisor.

Files are maintained for one (1)
additional year following completion of
current fiscal year. Files are then
deleted.

PURPOSE(S):

SYSTEM MANAGER(S) AND ADDRESS:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

Chief, Budget Branch, DTS–821,
Department of Transportation, Volpe
National Transportation Systems Center,
55 Broadway, Cambridge, MA 02142–
1093.

DOT/TSC 704
SYSTEM NAME:

Stand-By Personnel Information.
SECURITY CLASSIFICATION:

NOTIFICATION PROCEDURES:

Unclassified, sensitive.

Information may be obtained from the
System manager.

SYSTEM LOCATION:

Department of Transportation, DOT,
Volpe National Transportation Systems
Center, Volpe, Financial Management
Division, Budget Branch, DTS–821, 55
Broadway, Cambridge, MA 02142–1093.

RECORD ACCESS PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CONTESTING RECORD PROCEDURES:

Volpe technical directorate personnel
currently not fully assigned to
authorized projects.
CATEGORIES OF RECORDS IN THE SYSTEM:

Employee work project status.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 U.S.C. 328, Volpe Center Working
Capital Fund; 5 U.S.C. 301.

Requests from individuals should be
addressed to the System manager. An
individual may gain access to his/her
records by written request.

PURPOSE(S):

For administrative reference and
scheduling of projects, budgeting, and
overhead classification.

VerDate 202000

19:33 Apr 10, 2000

Supervisor.
None.

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Frm 00093

Disclosures pursuant to 5 U.S.C.
552a(b) (12): Disclosures may be made
from this system to consumer reporting
agencies (collecting on behalf of the
United States Govt.) as defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or the Federal Claims
Collection Act of 1982 (31 USC 3701 (a)
(3)).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

EXEMPTIONS CLAIMED FOR THE SYSTEM:

Jkt 190000

The general purposes of this system
are intended for internal management
and control, including:
Administrative reference.
Cost management.
Labor assignments and expenditures
as they relate to both the project and the
employee.
Reconciliation of Payroll and Labor
system data.
See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Contest of this data will be made to
the System manager. If administrative
resolution is not satisfactory to the
individual, appeals may be filed in
writing with the Secretary of
Transportation addressed to the General
Counsel as follows: Department of
Transportation, Office of the Secretary,
Office of the General Counsel, 400 7th
Street, SW., Washington, DC 20590.
RECORD SOURCE CATEGORIES:

For administrative reference, cost
management, and labor assignments and
expenditures.

Fmt 4701

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disk.

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RETRIEVABILITY:

CONTESTING RECORD PROCEDURES:

PURPOSE(S):

System data is indexed by employee’s
number (Social Security Number) and
Work Plan Budget, WPB, number within
Project Plan Agreement, PPA, number.
Labor Distribution Forms (Excel
spreadsheets) are indexed by Volpe
Center organization code (DTS #) and
SSN.

An individual may gain access to his/
her data by written request. Contest of
this data will be made to the System
manager. If administrative resolution is
not satisfactory to the individual,
appeals may be filed in writing with the
Secretary of Transportation addressed to
the General Counsel as follows:
Department of Transportation, Office
of the Secretary, Office of the General
Counsel, 400 7th Street, SW.,
Washington, DC 20590.

For administrative reference, and as a
source for management information for
producing summary statistics and
registers in support of personnel,
communications, and security
functions.

SAFEGUARDS:

Access to the system and its
associated database is available through
the utilization of the unique project and
programmer numbers, and the
passwords known only by the
authorized custodians. Access to reports
is controlled by the Reports Distribution
function of the Administrative
Directorate on a need-to-know basis. For
normal working requirements, the
reports are distributed to the functional
areas responsible for the data
generation. Month-end management
reports do not contain SSN data.
Access to the computer room and its
associated areas where data and reports
are stored is delineated in the Volpe
ADP Facility Document on Safeguards
and Controls.
RETENTION AND DISPOSAL:

The system is permanent unless
replaced. The database is related to
fiscal year activity. Subsequent to the
fiscal year, the database becomes part of
the system’s history file. Data records
are deleted from the database on an as
required basis, and subsequently are
eliminated from associated reports. Any
record deleted from database must have
zero dollars associated with it and must
be authorized by System Manager, with
the reason documented in writing.
Reports used as daily working papers
are retained only until updated reports
are produced and then the old reports
are discarded. All reports containing
SSN data are shredded. Official record
copy reports are subject to retirement in
accordance with General Records
Schedules, GRS.

RECORD SOURCE CATEGORIES:

Volpe form entitled Labor
Distribution Form.
EXEMPTIONS CLAIMED FOR THIS SYSTEM:

None.
DOT/TSC 712
SYSTEM NAME:

Automated Personnel/
Communications/Security System.
SECURITY CLASSIFICATION:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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)).

All Volpe employees and tenants from
other government agencies and on-site
contractors.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

SYSTEM LOCATION:

Department of Transportation, DOT,
Volpe National Transportation Systems
Center (Volpe), Computer Center, DTS–
23, 55 Broadway, Cambridge, MA
02142–1093

Information may be obtained through
the Chief, Accounting Branch, DTS–823
at the address under System Location.
RECORD ACCESS PROCEDURES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Requests from individuals should be
addressed to the System manager.

49 U.S.C. 328, Volpe Center Working
Capital Fund; 5 U.S.C. 301.

Chief, Accounting Branch, DTS–823,
Department of Transportation, Volpe
National Transportation Systems Center,
55 Broadway, Cambridge, MA 02142–
1093.
NOTIFICATION PROCEDURES:

VerDate 202000

19:33 Apr 10, 2000

The general purposes of this system
are intended for internal management
and control, including:
Administrative reference.
Source for management information
for producing summary statistics and
registers in support of the Personnel,
Communications and Security
functions.
Source for Volpe Center Intranet
information.
See Prefatory Statement of General
Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Unclassified, sensitive.

Contains the pertinent information for
activities involved with Personnel,
Communications, and Security.
Contains photographs of Volpe Center
employees.
Contains information about an
individual relating to:
Social security number.
Salary.
Birth date.
Veteran preference.
Tenure.
Handicap.
Grade.
Marital status.
Service computation date.
Home address and telephone number.
Volpe location including building and
telephone number.
Security clearance level and date
granted.
CSC title and classification code.
Competitive level.
Parking info—vehicle registration and
description.

SYSTEM MANAGER(S) AND ADDRESS:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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Magnetic tape and disk.
Hard copy files (letter size and 5 x 8
cards).
Volpe Center Intranet.
RETRIEVABILITY:

Indexed by employee’s number,
employee’s name.
SAFEGUARDS:

Access to the systems and their
associated databases and files is
available through the utilization of the
unique project and programmer
numbers, and the passwords known
only by the authorized custodians.
Access to reports is controlled by the
Reports Distribution function of the
Administrative Directorate on a need-toknow basis. For normal working
requirements, the reports are distributed
to the functional areas responsible for
the data generation. Access to the
computer room and its associated areas
where data and reports are stored is
delineated in the Volpe ADP Facility
Document on Safeguards and Controls.

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RETENTION AND DISPOSAL:

SYSTEM LOCATION:

SAFEGUARDS:

The systems are permanent unless
replaced. The databases are related to
both fiscal year and calendar year
activity. Subsequent to the appropriate
period, the databases become either part
of the history file of the system or are
maintained by themselves for historical
reasons. Data records are deleted from
the databases on an as-required basis,
and subsequently are eliminated from
associated reports. Reports used as daily
working papers are retained only until
updated reports are produced and then
the old reports are discarded. Official
closing reports corresponding to monthend, fiscal-year-end and calendar yearend periods are retained for longer
periods and are not subject to any rigid
disposal procedure.

Department of Transportation, DOT,
Volpe National Transportation Systems
Center, Volpe, Human Resources
Management Division, DTS–84, Health
Unit/Building 1, 9th Floor, 55
Broadway, Cambridge, MA 02142–1093.

Records are maintained in locked file
cabinets and room secured when no one
is there. Information from records is
provided only with consent of
employee.

SYSTEM MANAGER(S) AND ADDRESS:

Chief, Administrative Services
Branch, DTS–872, Department of
Transportation, Volpe National
Transportation Systems Center, 55
Broadway, Cambridge, MA 02142–1093.
NOTIFICATION PROCEDURES:

RECORD ACCESS PROCEDURES:

Requests from individuals should be
addressed to the System manager.
CONTESTING RECORD PROCEDURES:

An individual may gain access to his/
her records by written request. Contest
of this data will be made to the System
Manager. If administrative resolution is
not satisfactory to the individual,
appeals may be filed in writing with the
Secretary of Transportation addressed to
the General Counsel as follows:
Department of Transportation, Office of
the Secretary, Office of the General
Counsel, 400 7th Street, SW.,
Washington, DC 20590.
RECORD SOURCE CATEGORIES:

Employee, Personnel Office,
Communications Office, Security Office.
None.
DOT/TSC 714

CATEGORIES OF RECORDS IN THE SYSTEM:

Individual Health Record Cards.
Individual Health Record Case Files.
Register of Visits.
Laser Eye Tests.
Pre-employment Physical
Examinations, Health Justification
Placement Records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 U.S.C. 328, Volpe Center Working
Capital Fund; Executive Order 12196,
Occupational Safety and Health
Program for Federal Employees, dated
2/27/80; 5 U.S.C. 7901.
To maintain a medical history of any
person who receives services from the
Health Unit.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

The general purposes of these Federal
and tenant records are to maintain a
medical history of any Volpe employee,
including contractor personnel, who
receives services from the Health Unit;
ensure applicants for licenses to drive
Government vehicles meet physical
requirements; and lasers are not
adversely affecting employee’s eyes. The
routine uses of these records are to
respond to requests from other Doctors,
Universities and Insurance Companies,
and to submit medical reports to the
Department of Labor, Office of
Employees Compensation, to meet
requirements of the Occupational Safety
and Health Act of 1970 and DOT/Volpe
Safety Program. See Prefatory Statement
of General Routine Uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

SYSTEM NAME:

Health Unit Employee Medical
Records.
SECURITY CLASSIFICATION:

Unclassified, sensitive.

VerDate 202000

Volpe employees, tenant organization
employees, and support service
contractor personnel.

PURPOSE(S):

Information may be obtained through
the Chief, Administrative Services
Branch from the: Department of
Transportation, Volpe National
Transportation Systems Center, Chief,
Computer Center, DTS–23, 55
Broadway, Cambridge, MA 02142–1093.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

19:33 Apr 10, 2000

RETENTION AND DISPOSAL:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Cards, forms, logs and other paper
records.

In accordance with GRS No.1:
Individual Health Record Cards are
maintained until separation and sent to
St. Louis. Individual Health Record Case
Files are maintained until separation.
They are then sent to St. Louis. Registers
of visits maintained until 2 years after
last date in log or register. Upon
termination of employment with Volpe,
latest Laser Eye Tests and Government
Driver’s Tests records are combined
with Health Record Case Files and
disposed of as part of these files. Preemployment Physical Examinations,
Health Justification Placement Records,
and Disability Retirement Examination
become part of the official personnel
folder, OPF, upon separation, and are
transferred to the NPRS, St. Louis, MO,
30 days after separation, where they are
disposed of in accordance with GRS.
No. 1, Item 1.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Human Resources Management
Division, DTS–84, Department of
Transportation, Volpe National
Transportation Systems Center, 55
Broadway, Cambridge, MA 02142–1093.
NOTIFICATION PROCEDURES:

Information may be obtained through
the Chief, Human Resources
Management Division, from the resident
physician or nurse, Volpe Health Unit.
RECORD ACCESS PROCEDURES:

Requests from individuals should be
addressed to the System Manager.
CONTESTING RECORD PROCEDURES:

An individual may gain access to his/
her records by written request. Contest
of this data will be made to the System
Manager. If administrative resolution is
not satisfactory to the individual,
appeals may be filed in writing with the
Secretary of Transportation addressed to
the General Counsel as follows:
Department of Transportation, Office of
the Secretary, Office of the General
Counsel, 400 7th Street, SW.,
Washington, DC 20590.
RECORD SOURCE CATEGORIES:

Employee; Health Unit Doctor/Nurse;
Volpe Safety Officer.

RETRIEVABILITY:

Indexed by employee’s name and
social security number.

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EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

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19570

Federal Register / Vol. 65, No. 70 / Tuesday, April 11, 2000 / Notices
Deletions—system number/name

DOT/OST
DOT/OST
DOT/OST
DOT/OST

006
008
011
013

Reason for deleting

(Confidential Statement of Employment and Financial Interests) .....................
(Departmental Advisory Committee Files, DOT/OST) .......................................
(Discrimination Complaint Investigative Files) ...................................................
(Employee Management Convenience Files) ....................................................

DOT/OST 014 (Employment Applications Files) ........................................................................
DOT/OST 028 (Personnel Convenience Files) ..........................................................................
DOT/OST 043 (Telephone Directory and Locator System) .......................................................
DOT/OST 063 (Civil Rights Case Tracking System) .................................................................
DOT/OST 032 (Management Operating Records System) .......................................................
DOT/ALL 002 (Safety Management Information System) .........................................................
DOT/ALL 004 (Station Message Detail Recording) ...................................................................
DOT/FAA 810 (Discrimination Complaint Files) .........................................................................
DOT/FAA 814 (Equal Employment Opportunity Minority/Female Statistical Reporting System).
DOT/FAA 820 (Pending Legislation (Employee’s) Private Relief & Public/Private Laws (Employee’s) Private Relief.
DOT/FAA 843 (World Home Address System) ..........................................................................
DOT/FAA 839 (Printing Branch Distribution System) ................................................................
DOT/CG 561 (Port Safety Reporting System Individual Violation Histories) .............................
DOT/CG 587 (Investigation of Marine Safety Laws or Regulations) .........................................
DOT/CG 516 (Coast Guard Military Discrimination Complaints System ...................................
DOT/CG 517 (Complaints of Discrimination System) ................................................................
DOT/MARAD 007 (Litigation, Claims and Administrative Proceeding Records) .......................
DOT/MARAD 019 (Non-Attorney Practitioner Applications and Section 807 Reports) .............
DOT/NHTSA 403 (Active Contract Run) ....................................................................................
DOT/NHTSA 423 (Vendor Edit Table Listing (employees)) .......................................................
DOT/NHTSA 424 (Offerors Mailing List) ....................................................................................
DOT/NHTSA 432 (EEO Counseling Program and Discrimination Complaint File) ...................
DOT/NHTSA 435 (Investigations and Security) .........................................................................
DOT/NHTSA 451 (Medical Records and Research Data) .........................................................
DOT/NHTSA 455 (Debt Complaint File) ....................................................................................
DOT/NHTSA 457 (Reference Files B Medical Records) ...........................................................
DOT/NHTSA 458 (Investigations of Alleged Misconduct or Conflict of Interest) .......................
DOT/NHTSA 466 (NHTSA Employee Travel Advance and Expense File) ...............................
DOT/NHTSA 471 (National Driver Advisory Committee B Membership/Nominee File) ............
DOT/FTA 175 (Personnel Convenience Files) ...........................................................................
DOT/FTA 178 (Minority Recruitment File) ..................................................................................
DOT/FTA 180 (Occupational Safety and Health Accident Reporting System) ..........................
DOT/FTA 190 (Employee Travel Records) ................................................................................
DOT/FTA 191 (Travel Advance File) ..........................................................................................
DOT/FTA 195 (Confidential Statements of Employment and Financial Interests) ....................
DOT/FTA 196 (Office of Technical Assistance and Safety (TTS) Mailing List ..........................
DOT/FRA 104 (Statement of Employment and Financial Interest) ............................................
DOT/FRA 105 (Employee Travel Records) ................................................................................
DOT/FRA 112 (Personnel & Pay Management Information System) ........................................
DOT/FRA 113 (Regional Personnel Convenience Files) ...........................................................
DOT/FRA
DOT/FRA
DOT/FRA
DOT/TSC
DOT/TSC
DOT/TSC

114
115
132
701
708
709

(Transportation Test Center Employee Service Record File) ............................
(Travel Advance Records) ..................................................................................
(Office of Safety Individual Enforcement Case File) ..........................................
(Employee Travel Records) ................................................................................
(Combined Federal Campaign Information) .......................................................
(Minority Information Files) .................................................................................

DOT/TSC 715 (Bi-Weekly Personnel Status Report) ................................................................
DOT/RSPA–003 (Security Management Records) ....................................................................
Routine Use (DOT General Routine Use #8) ............................................................................

Covered under OGE/GOVT–2.
Not retrievable by name or personal identifier.
Covered under EEOC/GOVT–1.
Covered under OPM/GOVT–1 and OPM/GOVT–
2.
Covered under OPM/GOVT–5.
Covered under OPM/GOVT–1.
Covered under DOT/ALL 11.
Covered under EEOC/GOVT–1.
Covered under OPM/GOVT–1 and GSA/GOVT–3.
No longer maintained.
Covered under DOT/ALL 011.
Covered under EEOC/GOVT–1.
Covered under OPM/GOVT–7.
No longer maintained.
No longer maintained.
FAA no longer maintains.
No longer maintained.
No longer maintained.
No longer maintained.
No longer maintained.
No longer maintained.
No longer maintained.
No longer maintained.
Covered under GSA/GOVT–4.
No longer maintained.
Covered by EEOC/GOVT–1.
No longer maintained.
Covered under OPM/GOVT–10.
No longer maintained.
Covered under OPM/GOVT 10.
Covered under DOT/OST 100.
Covered under GSA/GOVT–3.
No longer maintained.
Covered under OPM/GOVT–1 and OPM/GOVT–
2.
Covered under OPM/GOVT–5.
Covered under DOL/GOVT–1.
Covered under GSA/GOVT–4.
Covered under GSA/GOVT–3.
Covered under OGE/GOVT–2.
No longer maintained.
Covered under OGE/GOVT–2.
Covered under GSA/GOVT–4.
Covered under DOT/ALL–7, DOT/ALL-11, and
OPM/GOVT–1.
Covered under OPM/GOVT–1 and OPM/GOVT–
2.
No longer maintained.
Covered under GSA/GOVT–4.
Covered under DOT/FRA–130.
Covered under GSA/GOVT–4.
Covered under DOT/ALL–11.
Covered under OPM/GOVT–1, OPM/GOVT–2
and OPM/GOVT–5.
Covered under OPM/GOVT–1.
Covered under DOT/OST 035.
Covered under Exemption (b)(1) of the Privacy
Act.

Dated: March 31, 2000.
Vanester M. Williams,
Privacy Act Coordinator, Department of
Transportation.
[FR Doc. 00–8505 Filed 4–10–00; 8:45 am]
BILLING CODE 4910–62–P

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