Privacy Act of 1974: Systems of Records

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Privacy Act of 1974: Systems of Records

AGENCY: Operating Administrations, DOT.

ACTION: Notice.

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SUMMARY: Notice to amend and delete systems of records.

EFFECTIVE DATE: March 28, 1997.

ADDRESSES: Send comments to the Privacy Act Officer, U.S. Department of

Transportation, 400 7th St., SW., Washington, DC 20590

FOR FURTHER INFORMATION CONTACT: Crystal Bush at (202) 366-9713

SUPPLEMENTARY INFORMATION: The Department of Transportation systems of

records notices subject to the Privacy Act of 1974 (5 U.S.C. 552a), as

amended, have been published in the Federal Register and are available

from the above mentioned address.

The specific changes to the records systems being amended are set

forth below followed by the notices, as amended, and is published in

their entirety. The proposed amendments are not within the purview of

subsection (r) of the Privacy Act of 1974, (5 U.S.C. 552a), as amended,

which requires the submission of a new or altered systems report.

DOT/OST 003

SYSTEM NAME:

Allegations of Infringement of United States Patents.

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATION:

Office of the Secretary of Transportation, Office of the General

Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals who believe that an agency of the Department of

Transportation is infringing a United States patent owned by the

individual.

CATEGORIES OF RECORDS IN THE SYSTEM:

Copies of correspondence alleging that agencies of the Department

of Transportation have infringed, or are infringing, United States

patents owned by the originators of the correspondence. Copies of

replies by the Department Patent Counsel to the originator of the

allegation. Copies of correspondence forwarding the allegation to the

particular Department agency accused for their comment; their replies

to Patent Counsel. Copies of correspondence between the Department of

Transportation and the Department of Justice concerning the

allegations.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 CFR 1.57.

PURPOSE(S):

The purpose of the system is document allegations that agencies of

the Department of Transportation have infringed, or are infringing,

United States patents.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Used as a record of allegations and Patent Counsel's actions

thereon.

See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

File folders stored in file cabinets.

RETRIEVABILITY:

Indexed individually by name in alphabetical sequence.

SAFEGUARDS:

Records are disclosed only to individuals with established legal

interest or legal ``need to know.''

[[Page 14961]]

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, U.S. Department of

Transportation, Washington, DC 20590.

Office Location: 400 7th Street, SW., Room 10102.

NOTIFICATION PROCEDURE:

Apply to System Manager.

RECORD ACCESS PROCEDURES:

Apply to System Manager.

CONTESTING RECORD PROCEDURES:

Apply to System Manager.

Record source categories:

Patent owners.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

DOT/OST 008

SYSTEM NAME:

Departmental Advisory Committee Files, DOT/OST.

Security classification:

Unclassified.

SYSTEM LOCATION:

U.S. Department of Transportation, Office of the Secretary,

Executive Secretariat, 400 7th Street, SW., Room 10205, Washington, DC

20590.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Present and former members of Departmental advisory committees and

candidates applying for a position on an advisory committee.

CATEGORIES OF RECORDS IN THE SYSTEM:

Membership file listing name, address, occupation, committee name,

and term of appointment. Biographical information on committee members

and applicants.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Federal Advisory Committee Act.

PURPOSE(S):

The purpose of this system is to maintain membership lists of

present, former, and potential members of Department of Transportation

advisory committees.

Routine uses of records maintained in the system, including categories

of users and the purposes of such uses:

To maintain records in accordance with the requirements of the

Federal Advisory Committee Act and GSA's Interim Rule on Advisory

Committee Management. To prepare required reports to GSA and to the

Congress. To answer membership inquiries from Departmental elements,

from the Congress, from public and private organizations and

individuals. To provide a current list of qualified applicants for

vacancies which occur on the advisory committees.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

All data is stored on a disk which is located inside the processor,

with magnetic tape backup. The hard copies will be stored in the

Executive Secretariat and will be secured at all times. Access to the

records will be by means of identification number and password known

only to the user and the system manager.

RETRIEVABILITY:

Records will be retrievable by name or by any of the categories

listed under ``Categories of Records.''

SAFEGUARDS:

The records are safeguarded by (1) user identification and

password; (2) establishment of permission to view the file by the

system or owner of the record; and (3) encryption of documents, records

and data elements. All hard copies are stored in a locked storage area

and are only accessible by permission of the Committee Management

Coordinator.

RETENTION AND DISPOSAL:

Records are retained and disposed of in accordance with the

National Archives and Records Administration (NARA) General Records

Schedule 18, Item No. 8(c).

SYSTEM MANAGER(S) AND ADDRESS:

U.S. Department of Transportation, Office of the Secretary,

Executive Secretariat, Committee Management Officer, 400 7th Street,

SW., Room 10205, Washington, DC 20590.

NOTIFICATION PROCEDURE:

Any individual who wishes to be notified if the system of records

contains a record pertaining to him may apply in writing to the System

Manager at the above address.

RECORD ACCESS PROCEDURES:

Any individual who wishes to review the contents of a record

pertaining to him may apply in writing to the System Manager.

CONTESTING RECORD PROCEDURES:

Same as ``Record Access Procedures.'' Appeals should be directed to

the Secretary of Transportation, if request for modification or

deletion is denied.

RECORD SOURCE CATEGORIES:

Information contained in the system is obtained from (1) committee

sponsor; (2) individuals who apply for advisory committee appointments;

and (3) persons who recommend them for appointment. Each applicant must

complete a Candidate Biographical Information Request form which

contains all of the data to be stored in the ``Categories of Records,''

and the individual signs a permission statement authorizing the

Department of Transportation to retain such records.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

DOT/OST 013

SYSTEM NAME:

Employee Management Convenience Files--Office of Inspector General.

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATION:

Office of Inspector General, DOT/OST, 400 Seventh Street, SW.,

Washington, DC 20590.

Office of Inspector General, DOT/OST, Kendall Square, 55 Broadway, Room

1055, Cambridge, MA 02142

Office of Inspector General, DOT/OST, 26 Federal Plaza, Room 3134, New

York, NY 10278

Office of Inspector General, DOT/OST, 10 South Howard Street, Suite

4500, Baltimore, MD 21201

Office of Inspector General, DOT/OST, 61 Forsyth Street, SW., Suite

17T60, Atlanta, GA 30303-3104

Office of Inspector General, DOT/OST, 111 N. Canal Street, Room 677,

Chicago, IL 60606

Office of Inspector General, DOT/OST, Federal Office Building, Room

9A27, 819 Taylor Street, Fort Worth, TX 76102

Office of Inspector General, DOT/OST, 601 East 12th Street, Room 113,

Kansas City, MO 64106

Office of Inspector General, DOT/OST, 201 Mission Street, Suite 2310,

San Francisco, CA 94105

Office of Inspector General, DOT/OST, Federal Office Building, Room

644, 915 Second Avenue, Seattle, WA 98174.

Office of Inspector General, DOT/OST, 15000 Aviation Boulevard, Room

1027, Lawndale, CA 90261

[[Page 14962]]

Office of Inspector General, DOT/OST, Linpro Center, 900 East 8th

Avenue, Suite 201, King of Prussia, PA 19406

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Present employees.

Categories of records in the system:

Performance Evaluation Records, Position Descriptions, SF-171s, and

Employee Relations Documents.

Authority for maintenance of the system:

49 CFR 1.23(I).

PURPOSE(S):

The records are maintained to ensure that all appropriate records

on an individual's employment, pay, performance, and conduct are

retained and are available to agency officials having a need for the

information.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Employment, pay, performance evaluations, and employee conduct.

Used by supervisor and administrative personnel in preparation of

personnel documents. See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Safe and file cabinets.

RETRIEVABILITY:

By name.

SAFEGUARDS:

Locked safe and files.

RETENTION AND DISPOSAL:

Records disposition schedules developed by the National Archives

and Records Administration are applied to these records.

SYSTEM MANAGER(S) AND ADDRESS:

Director of Administration (JM-1), Office of Inspector General,

Department of Transportation, 400 7th Street SW., Suite 9210,

Washington, DC 20590.

NOTIFICATION PROCEDURE:

Same as ``System Manager.''

RECORD ACCESS PROCEDURES:

Current employees may have access to contents through the System

Manager.

CONTESTING RECORD PROCEDURES:

Current employees may contest contents through the System Manager.

RECORD SOURCE CATEGORIES:

Subject, supervisor, responsible official, personnel and payroll

offices.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

DOT/OST 041

SYSTEM NAME:

DOMUS.

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATION:

Department of Transportation (DOT), Office of the Secretary (OST),

Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals who write, or are referred in writing by a second

party, to the Secretary, Deputy Secretary, Deputy Under Secretary, and

their immediate offices.

Individuals who are the subject of an action requiring approval or

action by one of the forenamed, such as appeal actions, training,

awards, foreign travel, promotions, selections, grievances, and

discipline.

CATEGORIES OF RECORDS IN THE SYSTEM:

Correspondence submitted by, or on behalf of, an individual,

including resumes, letters of reference, etc.

Responses to such correspondence.

Staff recommendations on actions requiring approval or action by

one of the forenamed.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

49 CFR 1.23(j).

PURPOSE(S):

The purpose of the system is provide history of correspondence

addressed to and signed by the Secretary and Deputy Secretary of

Transportation.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

Referral to the appropriate action office within or outside the

Department for preparation of a response.

Referral to the appropriate agency for actions involving matters of

law or regulation beyond the responsibility of the Department, such as

the Civil Service Commission for employee appeals, the Department of

Justice in matters of law enforcement, etc.

See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Computer disc and--selectively--on microfilm for all records since

January 1, 1974.

In hard copy for all records prior to January 1, 1974.

RETRIEVABILITY:

Indexed by name of correspondent, referring individual, and subject

category (e.g., ``employment'' for applicants) from January 1, 1974 on.

Indexed by name of correspondent prior to January 1, 1974.

SAFEGUARDS:

Computer microfilm records, and remote reader terminals, which

permit random access to the system records, are locked after office

hours.

During office hours computer is accessible only through terminals

operated by, and under the surveillance of, authorized employees of the

Executive Secretary.

RETENTION AND DISPOSAL:

Hard-copy records for 1967-1969 and duplicate microfilms for 1974-

1989 are in the custody of National Archives and Records Administration

(NARA).

Microfilm Records from 1990 and following are retained in the

Departmental headquarters building.

Records are retired to NARA on a space-needed basis.

SYSTEM MANAGER(S) AND ADDRESS:

Department of Transportation (DOT), Office of the Secretary (OST),

Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.

NOTIFICATION PROCEDURE:

Inquiries should be directed to the System Manager. Helpful

information, in addition to the individual's name, includes date(s),

subject matter, and addressee(s) of the incoming correspondence, and

date(s) and author(s) of the response(s).

RECORD ACCESS PROCEDURES:

Contact System Manager for information on procedures for gaining

access to records.

CONTESTING RECORD PROCEDURES:

Contact System Manager for information on procedures for contesting

records. Appeals should be directed to the Secretary of Transportation,

if request for modification or deletion is denied.

RECORD SOURCE CATEGORIES:

Correspondence from individual, his representative or sponsor.

Responses to incoming correspondence.

Related material provided for background as appropriate.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

[[Page 14963]]

DOT/OST 101

SYSTEM NAME:

Office of Inspector General, Management Information System (OIG/

MIS).

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATION:

Office of Inspector General, DOT/OST, 400 Seventh Street, SW.,

Washington, DC 20590.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

All active employees of the OIG, with history data on previous

employees maintained for 2 years. Present and former DOT employees, DOT

contractors and employees as well as grantees, subgrantees,

contractors, subcontractors and their employees and recipients of DOT

monies, and other individuals or incidents subject to investigation

within the purview of the Inspector General Act.

CATEGORIES OF RECORDS IN THE SYSTEM:

Individual's current position and employment status, assignments,

travel, experience, training, with the following personal data: Name,

social security account number, date of birth, service computation

date, career status, address, assigned station, job series, education,

grade, minority status, and personnel transaction date. Investigative

information consists of investigation targets' name and social security

account number, organization name, type of investigation, offense data,

source of referral data and action taken.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inspector General Act of 1978.

PURPOSE(S):

The purpose of the system is to provide individuals with a need to

know with specific information related to (1) time and attendance of

employees; (2) workload status reports; (3) security clearance alerts;

(4) travel information, etc.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES

OF USERS AND THE PURPOSES OF SUCH USES:

There will be no external uses. Internally, information will be

used as follows: (1) Security clearance notification alerts may be

provided to an examined activity in advance of visits by OIG personnel

if information to be examined requires a secret clearance or above; (2)

time and attendance reports will be used to track temporary duty travel

frequency and duration, to categorize indirect time for periodic

reports, and to accrue staff hour data on assigned projects; (3)

planned annual leave reporting will be used by various managers for

workload planning and travel scheduling; (4) assignments information

and workload status information will be used by managers to control

audits and investigations, and to maximize effectiveness of staff

resources; (5) miscellaneous personnel information will be used by

staff managers to determine training needs, promotional eligibility,

education and background, and professional organization participation;

(6) information will be used to produce resource management reports;

(7) travel information will be used by managers to control temporary

duty travel, travel costs and issuances of travel orders; and (8)

investigative information is collected and maintained in the

administration of the Inspector General Act of 1978 (Pub. L. 95-452) to

investigate, prevent, and detect fraud and abuse in departmental

programs and operations. Material gathered is used for investigative

case management.

Used by DOT Officials in the administration of their

responsibilities. See also Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,

AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Active reports on magnetic disk, with backup active records and

inactive records maintained on magnetic tape.

RETRIEVABILITY:

Records will be retrievable through employee social security

number, by name, or incident title, with selected records having

certain secondary keys consisting of certain other data elements,

listed in the ``Categories of Records in the System.''

SAFEGUARDS:

(1) Records will be maintained in a private library not accessible

by any unauthorized user; (2) authorized user identification codes will

be tied to multiple password system to afford additional protection;

(3) any attempt to bypass the password protection system will result in

``Log-Off'' from the system or denial of access to data if access to

system is authorized; (4) physical access to system documentation,

hardcopy printouts, personal data files, and terminals will be

restricted to authorized personnel by maintaining a secure environment

in the headquarters office; (5) access to data will be restricted to

those who require it in the performance of their official duties and

the individual who is the subject of the record (or authorized

representative); and (6) tape files will be maintained in an

environmentally secure vault area when not in use.

RETENTION AND DISPOSAL:

Records will be maintained for 2 years after they become inactive.

All inactive records will be maintained on magnetic tape within the

computer center and will be afforded the same safeguards as active

records. Machine-resident records will be destroyed at the end of the

2-year period. Hard copy records will be retained until the records are

replaced or become obsolete.

SYSTEM MANAGER(S) AND ADDRESS:

Director of Administration (JM-1), Office of Inspector General,

Department of Transportation, 400 7th Street, SW., Suite 9210,

Washington, DC 20590.

Notification procedure:

Same as ``System Manager.''

RECORD ACCESS PROCEDURES:

Same as ``System Manager.'' 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, (k)(2). The identity of an employee or

other personal source who makes a complaint or provides information to

the OIG via the OIG ``Hotline'' complaint center may be exempt from

disclosure pursuant to Section 7(b) of the Inspector General Act of

1978 (Pub. L. 95-452).

CONTESTING RECORD PROCEDURES:

Same as ``Record Access Procedures.''

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)(1), or (k)(2).

Deletions

System Number:

DOT/OST 064

System Name:

Mobility Assignment Candidate File.

[[Page 14964]]

Dated: March 20, 1997.

Crystal M. Bush,

Privacy Act Coordinator,

Department of Transportation.

[FR Doc. 97-7960 Filed 3-27-97; 8:45 am]

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