Federal Register, Volume 65 Issue 70 (Tuesday, April 11, 2000)

[Federal Register Volume 65, Number 70 (Tuesday, April 11, 2000)]
[Notices]
[Pages 19476-19570]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-8505]

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Part III

Department of Transportation

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Office of the Secretary

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Privacy Act of 1974: Systems of Records; Notice

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

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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.

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

Categories of individuals covered by the system:
Current and former DOT employees who have submitted grievances with
their respective administrations under OPM Letter 771-1, or grievances
pertaining to members of DOT Collective Bargaining Units which were
submitted in accordance with negotiated grievance procedures.

Categories of records in the system:
The system contains records relating to grievances filed by or on
behalf of DOT: statements of employees, witnesses, reports of
interviews and hearings, fact-finders and/or arbitrator's findings and
recommendations, copies of decisions and correspondence and exhibits.

Authority for maintenance of the system:
5 U.S.C. 7121; 5 CFR part 771.

Purpose(s):
Determine validity of grievance.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclose information to officials of the Merit Systems Protection
Board, including the Office of the Special Counsel; the Federal Labor
Relations Authority and its General Counsel; or the Equal Employment
Opportunity Commission when requested in performance of their
authorized duties. Provide information to officials of labor
organizations recognized under the Civil Service Reform Act when
relevant and necessary to their duties of exclusive representation
concerning personnel policies, practices, and matters affecting work
conditions.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.

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

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

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

System manager(s) and address:
Director of Human Resource Management, M-10, United States
Department of Transportation, 400 7th Street, SW., Room 7411,
Washington, DC 20590

Notification procedure:
Same as ``System Manager.''

Record access procedures:
Same as ``System Manager.''

Contesting record procedures:
Same as ``System Manager.''

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

Exemptions claimed for the system:
None.
DOT/ALL 5

System name:
Employee Counseling Services Program Records.

Security classification:
Unclassified, sensitive.

System location:
Employee Counseling Service, which provides counseling to the
employee.

[[Page 19480]]

Other Federal, state, or local government, or private sector agency or
institution providing counseling services.

Categories of individuals covered by the system:
Current and former DOT employees who have been counseled or
otherwise treated regarding alcohol or drug abuse or for personal or
emotional health problems.

Categories of records in the system:
Documentation of visits to employee counselors (Federal, state,
local government, or private) and the diagnosis, recommended treatment,
results of treatment, and other notes or records of discussions held
with the employee made by the counselor. Documentation of treatment by
a private therapist or a therapist at a Federal, state, local
government, or private institution.

Authority for maintenance of the system:
5 U.S.C. 3301 and 7901, 21 U.S.C. 1101, 42 U.S.C. 4541 and 4561,
and 44 U.S.C. 3101.

Purpose(s):
Document the nature of the individual's problem and progress made
and to record an individual's participation in and the results of
community or private sector treatment or rehabilitation programs.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclose information to qualified personnel for the purpose of
conducting scientific research, management audits, financial audits, or
program evaluation, but such personnel may not identify, directly or
indirectly, any individual patient in any report or otherwise disclose
patient identities in any manner (when such records are provided to
qualified researchers employed by DOT, all patient identifying
information shall be removed). Disclose information, when an individual
to whom a record pertains is mentally incompetent or under legal
disability, to any person who is responsible for the care of the
individual. DOT's General Routine Uses do not apply to this system.
Whenever possible, a partial disclosure will be made or a summary of
the contents of the record will be disclosed.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders.

Retrievability:
These records are retrieved by the name or social security number
of the individual on whom they are maintained or by a unique case file
identifier.

Safeguards:
These records are maintained in locked file cabinets with regular
access strictly limited to employees directly involved in the DOT's
Employee Counseling Services Program.

Retention and disposal:
Records are maintained for three to six years after the employee's
last contact with DOT's Employee Counseling Services Program.

System manager(s) and address:
Director of Personnel, Office of the Secretary, M-10, Department of
Transportation, Room 7411, 400 7th Street, SW., Washington, DC 20590.

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

Record access procedures:
Same as ``Notification Procedure.''

Contesting record procedures:
Same as ``Notification Procedure.''

Record source categories:
Individual to whom it applies, the supervisor of the individual if
the individual was referred by the Supervisor, the Employee Counseling
Service Program staff member who records the counseling session, and
therapists or institutions providing treatment.

Exemptions claimed for the system:
None.
DOT/ALL 6

System name:
Workers' Compensation Information System.

Security classification:
Sensitive, unclassified.

System location:
These records are maintained at the Departmental Office of Human
Resource Management, Office of the Secretary, in Washington, DC; at the
operating administration human resource management offices in
Washington, DC, and in their in regional offices and centers; and at
the Departmental Personnel and Policy Division at the Mike Monroney
Aeronautical Center in Oklahoma City, Oklahoma.

Categories of individuals covered by the system:
All current and former DOT employees who file (d) claims for
Federal Employees' Compensation, FEC, or report work-related injuries
or occupational health-related illnesses.

Categories of records in the system:
The system consists of information that is derived from DOT
personnel and payroll records, and from Federal Employees' Compensation
claims records maintained by the Department of Labor/Office of Workers'
Compensation Programs, OWCP. OWCP records include information regarding
claims filed by DOT employees, members of the US Coast Guard Auxiliary,
and students at the US Merchant Marine Academy.

Authority for maintenance of the system:
5 U.S.C. Chapter 8101 et seq., 20 CFR 1.1 et seq., 5 U.S.C. 552a,
and Department of Labor and DOT implementing regulations.

Purpose(s):
The purpose of this system of records is to establish and maintain
an automated data/information base that is used to improve claims
management of the Federal Employees Compensation program within the
Department; develop policy guidance; and promote training programs.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records are maintained in accordance with law and regulation
in order to ensure proper and efficient management of the Federal
Employees Compensation program within DOT. These records are required
to assure compliance with the law and regulations and for maintaining
program cost analysis and comparison information. These records provide
occupation-related data including personnel data for the purpose of
determining patterns of injury or illness and determining case
disposition information. They are a source of information for purposes
of controverting claims when appropriate, monitoring recovery of
injured employees and offering of light duty assignments. Records in
this system

[[Page 19481]]

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.

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

Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Direct access to the
automated database must be authorized by the Departmental Manager,
Department of Transportation Workers' Compensation Program.

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

System manager(s) and address:
Departmental Manager, Department of Transportation Workers'
Compensation Program, Office of the Secretary, Departmental Office of
Human Resource Management, 400 Seventh Street SW., Washington, DC
20590.
Office of Labor and Employee Relations, Federal Aviation
Administration, 800 Independence Avenue SW., Washington, DC 20591.
Chief, Office of Civilian Personnel, United States Coast Guard, 200
Second Street SW., Washington, DC 20593.
Director, Office of Human Resources, Federal Highway
Administration, 400 Seventh Street SW., Washington, DC 20590.
Director, Office of Personnel, Federal Railroad Administration,
1120 Vermont Avenue NW, Washington, DC 20005.
Director, Office of Human Resources, National Highway Traffic
Safety Administration, 400 Seventh Street SW., Washington, DC 20590.
Director, Office of Human Resources, Federal Transit
Administration, 400 Seventh Street SW., Washington, DC 20590.
Director, Office of Personnel, Maritime Administration, 400 Seventh
Street SW., Washington, DC 20590.
Director, Office of Human Resource Management, Research and Special
Programs Administration, 400 Seventh Street SW., Washington, DC 20590.
Principal, Human Resource Services, Transportation Administrative
Service Center, 400 Seventh Street SW., Washington, DC 20590.
Director, Office of Human Resources, Office of Inspector General,
400 Seventh Street SW., Washington, DC 20590.
Director, Office of Administration, Saint Lawrence Seaway
Development Corporation, 180 Andrews Street, Massena, NY 13662-1763.
Department of Transportation, Regional Human Resource Management
Officers.

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

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

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

Record source categories:
Information contained in this system is received from DOT records
or OWCP records received from and maintained on DOT and its employees,
members of the US Coast Guard Auxiliary, and students at the US
Merchant Marine Academy.

Exemptions claimed for the system:
None.
DOT/ALL 7

System name:
Departmental Accounting and Financial Information System, DAFIS.

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:
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.

Categories of records in the system:
Categories include payment records for non-payroll related
expenses, payment records for payroll made off-line, collection records
for payroll offsets, and labor cost records.

Authority for maintenance of the system:
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.

[[Page 19482]]

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Accounting office personnel use these records to: Provide employees
with off-line paychecks, travel advances, travel reimbursements, and
other official reimbursements; Facilitate the distribution of labor
charges for costing purposes; Track outstanding travel advances,
receivables, and other non-payroll amounts paid to employees, etc; and,
Clear advances that were made through the system in the form of off-
line paychecks, payments for excess household goods made on behalf of
the employee, garnishments, overdue travel advances, etc. See Prefatory
Statement of General Routine Uses.

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

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on magnetic tape, magnetic disk, microforms, and
in file folders. Storage of file folders and microforms is at the
geographic 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.

Safeguards:
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.

System manager(s) and address:
DAFIS Accounting Manager (B-30), Office of the Secretary, Office
of Financial Management, 400 Seventh Street SW., Washington, DC 20590.

Notification procedure:
Inquiries should be directed to the 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.

Record access procedures:
Same as ``Notification procedure.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
Information is provided by the employee directly or through the
DOT Consolidated Uniform Payroll System.

Exemption claimed for the system:
None.
DOT/ALL 8

System name:
Employee Transportation Facilitation.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, Transportation Administrative Service
Center, TASC, Facilities Service Center, Parking Management Office, 400
Seventh Street, SW., Room P2-0327, Washington, DC 20590. Field
installations.

Categories of individuals covered by the system:
Holders of parking permits and members of carpools and vanpools.
Applicants for ridesharing information. Recipients of match letters for
carpooling. Applicants and recipients of fare subsidies issued by DOT.

Categories of records in the system:
Records of holders of parking permits and records of carpool and
vanpool members. Records and reports of status of rideshare
applications. Copies of applications and match letters received by
rideshare applicants. Applications and certifications of fare subsidy
recipients. Records and reports of disbursements to fare subsidy
recipients. Information on local public mass transit facilities and
fare subsidy programs.

Authority for maintenance of the system:
5 U.S.C. 301; 49 U.S.C. 322.

Purpose(s):
Parking management and fare subsidy management.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Carpool listing produced for use in creating or enlarging carpools
or vanpools. Used for production of listings and reports. Used for
periodic review or revalidation. Used as part of a program designed to
ensure eligibility for, and receipt of, fare subsidy. See Prefatory
Statement of General Routine Uses.

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

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in hard copy or electronically, depending on the
number of entries at each installation. Storage is at the geographic
location of the servicing office.

Retrievability:
Records can be retrieved by name or by ZIP code of residence.

Safeguards:
Except for carpool listings, access is accorded only to parking and
fare subsidy management offices. Printout of carpool listing used in
matching program has name, agency, DOT permit number, and work
telephone number only and is available upon request.

Retention and disposal:
Data are deleted and not retained on ADP once the individual leaves
the system for any reason (i.e., is no longer on the ridesharing
listing, is no longer a member of a carpool or vanpool, or no longer
receives a fare subsidy). Record copies of monthly reports and listings
are retained at each installation, headquarters and field, for three
years, forwarded to the Federal Records Center for two more years, and
then destroyed. Consolidated reports of all installations are retained
at headquarters for three years, forwarded to the Federal Records
Center for two more years, and then destroyed.

[[Page 19483]]

System manager(s) and address:
Chief, Transportation Services Section, TASC Facilities Services
Center, Department of Transportation, 400 Seventh Street, SW., Room P2-
0327, Washington, DC 20590. Field installations.

Notification procedures:
Same as System manager.

Record access procedures:
Same as System manager.

Contesting record procedures:
Same as System manager.

Record source categories:
Applications submitted by individuals for parking permits, carpool
and vanpool membership, ridesharing information, and fare subsidies;
from notifications from other Federal agencies in the program; and from
periodic certifications and reports regarding fare subsidies.

Exemptions claimed for the system:
None.
DOT/ALL 9

System name:
Identification Media Record Systems.

Security classification:
Unclassified.

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

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.

Authority for maintenance of the system:
5 U.S.C. 301; 49 U.S.C. 322.

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.

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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The storage is on computer disks, magnetic tape, and paper forms in
file folders.

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.

Retention and disposal:
Information including applications, photographs and identification
media, will be destroyed within one year of termination of employment.

System manager(s) and address:
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.

Notification procedure:
Same as System Manager, except that for USCG, notification should
be given to Commandant, G-TIS.

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.

Records source categories:
Individuals on whom the record is maintained.

Exemptions claimed for the system:
None.
DOT/ALL 10

System name:
Debt Collection File.

Security classification:
Sensitive, unclassified.

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

Categories of individuals covered by the system:
Persons currently or formerly associated with the Department of
Transportation, DOT who are financially indebted to the United States
Government under some particular service or program of the DOT other
than under a contract. Individuals may include current, retired, or
formerly employed DOT personnel or personnel from other Federal
agencies.

[[Page 19484]]

Categories of records in the system:
Information varies depending on the individual debtor, and includes
the history of debt collection activity on the individual. Normally,
the name, Social Security Number, SSN, address, amount of debt or
delinquent amount, basis of the debt, date debt arose, office referring
debt, collection efforts, credit reports, debt collection letters and
correspondence to or from the debtor relating to the debt.
Correspondence with employing agencies of debtors or Office of
Personnel Management or Department of Defense, as appropriate,
requesting that action begin to collect the delinquent debt through
voluntary or involuntary offset procedures against the employee's
salary or compensation due a retiree.

Authority for maintenance of the system:
Federal Claims Collection Act of 1966 (Pub.L. 89-508), 31 U.S.C.
Chapter 37, Subchapter I, General, and Subchapter II, Claims of the
United States Government; Debt Collection Act of 1982, Pub.L. 97-365; 5
U.S.C. 5514, Installment Deduction for Indebtedness (salary offset);
section 206 of Executive Order 11222; Executive Order 9397; and 49 CFR
part 92, Salary Offset, DOT.

Purpose(s):
For the administrative management and collection of all delinquent
debts, including past due loan payments, overpayments, fines,
penalties, fees, damages, interest, leases, sales of real or personal
property, etc., due to the DOT and debts due to other Federal
departments and agencies that may be referred to the DOT for collection
to the extent DOT controls funds due the debtor. This system provides
for the implementation of the salary-offset provisions of 5 U.S.C.
5514, the administrative offset provisions of 31 U.S.C. 3716 and the
provisions of the Federal Claims Collection Standards, FCCS. It applies
to personal rather than contract debts. Guidance regarding contract
debts is contained in the Federal Acquisition Regulation. Records in
this record system are subject to use in authorized and approved
computer matching programs regulated under the Privacy Act of 1974 (5
U.S.C. 552a), as amended, for debt collection purposes.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To the United States General Accounting Office, GAO, Department of
Justice, United States Attorney, or other Federal agencies for further
collection action on any delinquent account when circumstances warrant.
To a debt collection agency for the purpose of collection administered
by the DOT. Debtor's name, Social Security Number, the amount of debt,
and the history of the debt may be disclosed to any Federal agency
where the individual debtor is employed or receiving some form of
remuneration for the purpose of enabling that agency to collect a debt
owed the United States Government on DOT's behalf by counseling the
debtor for voluntary repayment or by initiating administrative or
salary offset procedures under the provisions services to recover
monies owed to the United States Government under certain programs or
services of the Debt Collection Act of 1982 (Pub.L. 97-365). To the
Internal Revenue Service, IRS, by computer matching to obtain the
mailing address of a taxpayer for the purpose of locating such taxpayer
to collect or to compromise a Federal claim by DOT against the taxpayer
pursuant to 26 U.S.C. 6103(m)(2) and in accordance with 31 U.S.C. 3711,
3217, and 3718. Note: Redisclosure of a mailing address from the IRS
may be made only for the purpose of debt collection, including to a
debt collection agency in order to facilitate the collection or
compromise of a Federal claim under the Debt Collection Act of 1982,
except that a mailing address to a consumer reporting agency is for the
limited purpose of obtaining a commercial credit report on the
particular taxpayer. Any such address information obtained from the IRS
will not be used or shared for any other DOT purpose or disclosed to
another Federal, state, or local agency which seeks to locate the same
individual for its own debt collection purpose. Data base information
consisting of debtor's name, Social Security Number, and amount owed
may be disclosed to the Defense Manpower Data Center, DMDC, Department
of Defense, the United States Postal Service or to any other Federal,
state, or local agency for the purpose of conducting an authorized
computer matching program in compliance with the Privacy Act of 1974 (5
U.S.C. 552a), as amended, so as to identify and locate delinquent
debtors in order to start a recoupment process on an individual basis
of any debt owed DOT by the debtor arising out of any administrative or
program activities or services administered by DOT. Disclosure of
personal and financial information from this system on current,
retired, or former employees of DOT or United States Coast Guard
members may be made to any creditor Federal agency seeking assistance
for the purpose of that agency requesting voluntary repayment or
implementing administrative or salary offset procedures in the
collection of unpaid financial obligations owed the United States
Government from an individual affiliated with the DOT. An exception to
this routine use is an individual's mailing address obtained from the
IRS pursuant to 26 U.S.C. 6103(m)(2).

Disclosure to consumer reporting agencies:
Disclosure pursuant to 5 U.S.C. 552a(b)(12) may be made from this
record system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)). The disclosure, once
determined to be valid and overdue, is limited to information necessary
to establish the identity of the individual, including name, address,
and taxpayer identification number, (Social Security Number; the
amount, status, and history of the claim; and the agency or program
under which the claim arose for the sole purpose of allowing the
consumer reporting agency to prepare a commercial credit report.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The storage for records on personal computers is kept on floppy
disks. Storage on microcomputers is first downloaded onto a floppy disk
and then locked in a file cabinet. Data kept in paper file folders are
locked in file cabinets.

Retrievability:
Records are retrieved by name or Social Security Number.

Safeguards:
Computers provide privacy and access limitation by requiring a user
name and password match. These records are available only to those
persons whose official duties require such access. Records are kept in
limited access areas during duty hours and in locked cabinets at all
other times.

Retention and disposal:
Records are disposed of when ten years old except documents needed
for an ongoing investigation in which case the record will be retained
until no longer needed for the investigation. Data tracks on floppy
disks are overwritten a minimum of three times.

System manager(s) and address:
Department of Transportation, Director, Office of Financial

[[Page 19485]]

Management, B-30, 400 Seventh Street, SW., Washington, DC 20590.

Notification procedure:
Individuals seeking to determine whether information about
themselves is contained in this system should address written inquiries
to the particular DOT operating administration or component in care of
the System location above. Individual should furnish full name, Social
Security Number, current address and telephone number.

Record access procedures:
Same as above.

Contesting record procedures:
Same as above.

Record source categories:
Information in this system of records is obtained from the
individual, creditor agencies, Federal employing agency of debtor,
collection agencies, Federal, state or local agencies furnishing
identifying information and/or address of debtor, as well as other
internal DOT records such as payroll information.

Exemptions claimed for the system:
None.
DOT/ALL 11

System name:
Integrated Personnel and Payroll System, IPPS.

Security classification:
Unclassified, sensitive.

System location:
United States Department of Transportation, DOT, Office of the
Secretary, OST, 400 7th Street, SW., Washington, DC 20590. Working
copies of certain records are held by OST, all DOT Operating
Administrations, Office of the Inspector General, OIG, and the National
Transportation Safety Board, NTSB. DOT provides personnel and payroll
services to NTSB on a reimbursable basis, although NTSB is not a DOT
entity. This is done for economy and convenience since both
organizations' missions are transportation oriented and located in the
same geographic areas.).

Categories of individuals covered by the system:
Prospective, present, and former employees in the Office of the
Secretary of Transportation, OST, Bureau of Transportation Statistics,
BTS, Federal Aviation Administration, FAA, Federal Highway
Administration, FHWA, Federal Railroad Administration, FRA, Federal
Transit Administration, FTA, Maritime Administration, MARAD, National
Highway Traffic Safety Administration, NHTSA, Office of the Inspector
General, OIG, Research and Special Programs Administration, RSPA, St.
Lawrence Seaway Development Corporation, SLSDC, Transportation
Administrative Service Center, TASC, National Transportation Safety
Board, NTSB, and civilian employees of the United States Coast Guard,
USCG.

Categories of records in the system:
This system contains those records required to insure that an
employee receives his or her pay and personnel benefits as required by
law. It includes, as appropriate: Service Record, Employee Record,
Position Identification Strip, Claim for 10-Point Veteran Preference,
Request for Referral Eligibles, Request and Justification for Selective
Factors and Quality Ranking Factors, Certification of Insured
Employee's Retired Status, Federal Employees' Group Life Insurance,
FEGLI, Notification of Personnel Action, Notice of Short-Term
Employment, Request for Insurance, FEGLI, Designation of Beneficiary,
FEGLI, Notice of Conversion Privilege, Agency Certification of
Insurance Status, FEGLI, Request for Approval of Non-Competitive
Action, Appointment Affidavits, Declaration of Appointee, Agency
Request to Pass Over a Preference Eligible or Object to an Eligible,
Official Personnel Folder, Official Personnel Folder Tab Insert,
Incentive Awards Program Annual Report, Application for Leave, Monthly
Report of Federal Civilian Employment, Payroll Report of Federal
Civilian Employment, Semi-annual Report of Federal Participation in
Enrollee Programs, Request for Official Personnel Folder (Separated
Employee), Statement of Prior Federal Civilian and Military Service,
Personal Qualifications Statement, Continuation Sheet for Standard Form
171 ``Personal Qualifications Statement'', amendment to Personal
Qualifications Statement, Job Qualifications Statement, Statement of
Physical Ability for Light Duty Work, Request, Authorization, Agreement
and Certification for Training, United States Government Payroll
Savings Plan-Consolidated Quarterly Report, financial Disclosure
Report, Information Sheet Financial Disclosure-Report, Payroll for
Personal Services, Pay Receipt for Cash Payment to Transferable,
Payroll Change Slip, Payroll for Personal Service payroll Certification
and Summary--Memorandum, Record of Leave Data, Designation of
Beneficiary--Unpaid Compensation of Deceased Civilian Employee, United
States Savings Bond Issue File Action Request, Subscriber List for
Issuance of United States Savings Bonds, Request for Payroll Deductions
for Labor Organization Dues, Revocation of Voluntary Authorization for
Allotment of Compensation for Payment of Labor Organization dues,
Request by Employee for Payment of Salaries or Wages by Credit to
Account at a Financial Organization, Designation of Beneficiary--
Unpaid Compensation of Deceased Civilian Employee, United States
Savings Bond Issue File Action Request, Authorization for Purchase and
Request for Change: United States Series EE Savings Bond, Request by
Employee for Allotment of Pay for Credit to Savings Accounts with a
Financial Organization, Application for Death Benefits--Civil Service
Retirement System, Application for Retirement--Civil Service Retirement
System, Superior Officer's Statement in Connection with Disability
Retirement, Physician's Statement for Employee Disability Retirement
Purposes, Transmittal of Medical and Related Documents for Employee
Disability Retirement, Request for Medical Records (To Hospital or
Institution) in Connection with Disability Retirement, Application for
Refund of Retirement Deductions, Application to Make Deposit or
Redeposit, Application to Make Voluntary Contribution, Request for
Recovery of Debt Due the United States (Civil Service Retirement
System), Register of Separations and Transfers--Civil Service
Retirement System, Register of Adjustments--Civil Service Retirement
System, Annual Summary Retirement Fund Transactions, Designation of
Beneficiary Civil Service Retirement System, Health Benefits
Registration Form--Federal Employees Health Benefits Program, Notice of
Change in Health Benefits Enrollment, Transmittal and Summary Report to
Carrier Federal Employees Health Benefits Program, Report of
Withholding and Contributions for Health Benefits, Group Life
Insurance, and Civil Service Retirement, Report of Withholdings and
Contributions, Employee Service Statement, Election of Coverage and
Benefits, Designation of Beneficiary, Position Description, Inquiry for
United States Government Use Only, Application for Retirement--Foreign
Service Retire System, Designation of Beneficiary, Application for
Refund of Retirement Contributions (Foreign Service Retirement System),
Election to Receive Extra Service Credit Towards Retirement (or
Revocation Thereof), Application for Service Credit,

[[Page 19486]]

Employee Suggestion Form, Meritorious Service Increase Certificate,
Foreign Service Emergency Locator Information, Labor Distribution Data,
Leave Record, Leave Summary, Individual Pay Card, Time and Attendance
Report, Time and Attendance Report (For Use Abroad).

Authority for maintenance of the system:
49 U.S.C. 322.

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

Routine uses of records maintained in the system including categories
of users and the purposes of such uses:
1. Records are maintained for control and accountability of: Pay
and allowances; permanent and temporary pay changes; pay adjustments;
travel advances and allowances; leave balances for employees; earnings
and deductions by pay periods, and pay and earning statements for
employees; management information as required on an ad hoc basis;
payroll checks and bond history; union dues; withholdings to financial
institutions, charitable organizations and professional associations;
summary of earnings and deductions; claims for reimbursement sent to
the General Accounting Office, GAO; federal, state, and local taxes
withholdings; and list of FICA employees for management reporting. 2.
To the Office of Child Support Enforcement, Administration for Children
and Families, Department of Health and Human Services Federal Parent
Locator System, FPLS and Federal Tax Offset System for use in locating
individuals and identifying their income sources to establish
paternity, establish and modify orders of support and for enforcement
action. 3. To the Office of Child Support Enforcement for release to
the Social Security Administration for verifying social security
numbers in connection with the operation of the FPLS by the Office of
Child Support Enforcement. 4. To Office of Child Support Enforcement
for release to the Department of Treasury for purposes of administering
the Earned Income Tax Credit Program (Section 32, Internal Revenue Code
of 1986) and verifying a claim with respect to employment in a tax
return.

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

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage is on magnetic disks, magnetic tape, microforms, and paper
forms in file folders.

Retrievability:
Retrieval from the system is by social security number, employee
number, organization code, or home address; these can be accessed only
by individuals authorized such access.

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

Retention and disposal:
The IPPS records are retained and disposed in compliance with the
General Records Schedules, National Archives and Records
Administration, Washington, DC 20408. The following schedules apply:
General Records Schedule 1, Civilian Personnel Records, Pages 1 thru
22, Items 1 through 39; and General Records Schedule 2, Payrolling and
Pay Administration Records, Pages 1 thru 6, Items 1 thru 28.

System manager(s) and address:
Contact Chief, Financial Management IT Deployment Staff (B-35) at
the United States Department of Transportation, Office of the
Secretary, 400 Seventh Street SW., Washington, DC 20590.

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

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.'' Correspondence contesting records must
include the full name and social security number of the individual
concerned and documentation justifying the claims.

Record source categories:
Data are collected from the individual employees, time and
attendance clerks, supervisors, official personnel records, personal
financial statements, correspondence with the debtor, records relating
to hearings on the debt, and from the Departmental Accounting and
Financial Information system of records.

Exemptions claimed for the system:
None.
DOT/ALL 12

System name:
DOT Mentoring Records System.

Security Classification:
Sensitive.
System location:
Department of Transportation, DOT TASC Computer Center, 400 7th
Street, SW., Washington, DC 20590-0001

Categories of individuals covered by the system:
a. All DOT personnel registering to become mentors.
b. All DOT personnel registering to be mentees.

Categories of records in the system:
All categories of records are electronic and/or paper, and may
include identifying information, such as name, office routing symbol,
office phone and fax numbers, e-mail address, last four digits of the
social security number, grade, and employing administration. All
records reflect:
a. Name.
b. Operating Administration.
c. Last four digits of social security number.
d. Routing Symbol.
e. State employed.
f. Age range.
g. Pay plan.
h. Series.
i. Civilian or Military grade.
j Work phone.
k. Work Fax.
l. Work e-mail address.
m. Work skills (Optional narrative).
n. Interests (Optional narrative).
o. Hobbies (Optional narrative).
Records for employees of the United States Coast Guard, both
military and civilian may also include:
1. Collateral duties.
2. Coast Guard training Received.
3. Coast Guard qualification codes.
4. Commissioning source.
5. Education level/Type of degree.
6. Ethnicity.
7. Marital status.
8. Current OPFAC.
This information is optional for USCG employees only.

Authority for maintenance of system:
5 U.S.C. 4103.

[[Page 19487]]

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.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The storage is on a DOT server, with restricted access.

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

Safeguards:
Computers provide privacy and access limitations by requiring a
user name and password match. Access to decentralized segments is
similarly controlled. Only those personnel administering the DOT
Mentoring Program database are given user names and passwords.

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

System manager(s) and address:
Jan B. Karicher, Departmental Office of Human Resources Management,
M-13, Department of Transportation 400 Seventh Street, SW., Washington,
DC, 20590-0001.

Notification procedure:
Inquiries should be directed to: United States Department of
Transportation, Departmental Director of Human Resource Management (M-
10), 400 7th Street, SW., Washington, DC 20590-001.

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

Contesting record procedures:
NA.

Record source categories:
Individual registrants.

Exemptions claimed for the system:
None.
DOT/CG 501

System name:
Auxiliary Management Information System, AUXMIS.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
All present Coast Guard Auxiliarists. All Auxiliarists disenrolled
since 1996.

Categories of records in the system:
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.

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.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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 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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
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.

Retrievability:
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.

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:
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

[[Page 19488]]

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.

Record source categories:
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:
None.
DOT/CG 503

System name:
Motorboat Registration.

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.

Categories of Individuals covered by the system:
Boat owner registering for the issuance of boat identification
numbers for boats recorded in the State of Alaska.

Categories of records in the system:
Boat owner name, address, and boat information.

Authority for maintenance of the system:
5 U.S.C. 301; 14 U.S.C. 632, 46 U.S.C. 2301; 49 CFR 145, 146

Purpose(s):
Administer the Coast Guard's boating safety program.

Routine uses of records maintained 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:
All records are maintained in file cabinets.

Retrievability:
By name/number.

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:
Records are retained permanently.

System manager(s) and address:
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.

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

Record access procedures:
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''

Record Source Categories:
Individual applicant.

Exemptions claimed for the system:
None.
DOT/CG 505

System name:
Recreational Boating Law Enforcement Case Files.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
Owners/operators of vessels found in violation of Federal
recreational boating laws or regulations.

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.

Authority for maintenance of the system:
(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)

Purpose(s):
Determine enforcement action to be taken by the Coast Guard.

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. 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)).

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Index cards, logbooks, and file folders.

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

Safeguards:
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.

Retention and disposal:
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

[[Page 19489]]

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

System name:
Coast Guard Supplement to the Manual of Courts Martial
Investigations.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
Military and civilian employees of the Coast Guard and other
individuals who may be involved in any Coast Guard investigation.

Categories of records in the system:
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.

Authority for maintenance of the system:
(5 U.S.C. 301; 14 U.S.C. 93(e), 632; 49 CFR 1.45, 1.46).

Purpose(s):
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.

Disclosure to consumer reporting agencies:
None.

Policy and practices for storing, retrieving, accessing, retaining, and
disposing of records in the system:
Storage:
Storage cabinets.

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

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

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

Systems manager(s) and address:
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:
Same as ``Notification procedure''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
Coast Guard investigating officers, military and civilian
personnel.

Exemptions claimed for the system:
None.
DOT/CG 508

System name:
Claims and Litigation.

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:
Persons in litigation with the Coast Guard.

Categories of records in the system:
Suits and claims for and against the Coast Guard.
Authority for maintenance of the system:
(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)

Purpose(s):
Determination of claims.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File 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:
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

[[Page 19490]]

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

Record access procedures:
Same as ``Notification Procedure''.

Contesting record procedures:
Same as ``Notification Procedure''.

Record source categories:
Coast Guard military and civilian personnel, members of the public,
and Coast Guard investigating officers.

Exemptions claimed for the system:
None.
DOT/CG 509

System name:
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.

Categories of records in the system:
Records of Proceedings under Article 15, Uniform Code of Military
Justice.

Authority for maintenance of the system:
(5 U.S.C. 301, 10 U.S.C. 815; 14 U.S.C. 632; 49 CFR 1.45, 1.46.)

Purpose(s):
Military justice administration.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinets.

Retrievability:
By name.

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

Retention and disposal:
Disposal procedures not as yet established. Back-up material
disposed of after introduction into system.

System manager(s) and address:
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
Coast Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-
0001.

Record access procedures:
Same as ``Notification procedure''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
Individual service records and from proceedings conducted.

Exemptions claimed for the system:
None.
DOT/CG 510

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

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

Categories of records in the system:
Records of trial.

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).

Purpose(s):
Documentation of Coast Guard courts martial.

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:
Maintained in file cabinets.

Retrievability:
Alphabetically by name of individual.

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

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

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.

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

Record access procedures:
Same as ``Notification procedure''.

Contesting record procedures:
Same as ``Notification procedure''.

Record Source Categories:
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:
None.
DOT/CG 511

System name:
Legal Assistance Case File System.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, Commandant, G-L, United States Coast
Guard, CG, 2100 2nd Street, SW.,

[[Page 19491]]

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

Categories of individuals covered by the system:
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

Purpose(s):
Provide legal assistance.

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.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Normally, written records kept in file folders.

Retrievability:
Alphabetical indexes by name of member.

Safeguards:
Kept in office space or filing cabinets, which are normally locked
during non-working hours. Building patrolled by roving security guards
after duty hours.

Retention and disposal:
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.

System manager(s) and address:
Commandant, G-L, Office of the Chief Counsel, United States Coast
Guard Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.
District or unit legal offices:

Notification procedure:
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:
Same as ``Record access procedures''.

Record source categories:
Client involved and as a result of any subsequent investigation by
the legal officer on behalf of the client.

Exemptions claimed for the system:
None.
DOT/CG 526

System name:
Adjudication and Settlement of Claims System.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
Active, Reserve, and Retired military members; civilian employees.

Categories of records in the system:
Claims arising out of disputes concerning amounts of pay received.

Authority for maintenance of the system:
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.

Purpose(s):
Determine entitlement of claimants.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored manually in file folders.

Retrievability:
Claimant name.

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

Retention and disposal:
After adjudication and settlement, most submissions are retained
for precedent setting value, as required.

System manager(s) and address:
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
Street, SW., Washington, DC 20593-0001.

Record access procedures:
Same as ``Notification procedure''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
Individual, CG payroll offices, legal staff, investigators,
Director of Personnel and Management, Comptroller General, GAO, and
congressional correspondence.

Exemptions claimed for the system:
None.
DOT/CG 528

System name:
Centralized Reserve Pay and Retirement 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.

[[Page 19492]]

Categories of records in the system:
Master Pay and Retirement Point Credits Record. Master Personnel
Data Accounting Record.

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

Purpose(s):
Prepare monthly payroll and all associated listings.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Preparation of budgets. Accounting. Compute pay and points.
Compilation of data. Report earnings to state and city taxing
authorities. Used by authorized Coast Guard, IRS, GAO, and other Agency
Officials as required. See Prefatory Statement of General Routine Uses;
3 through 5 do not apply.

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

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Microfilm of payroll retained in Reserve Pay Branches and
Districts. Records are filed manually in filing cabinets.

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

Safeguards:
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.

System manager(s) and address:
Commandant, G-WT, Director, Reserve and Training Directorate,
United States Coast Guard, 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''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
District Commander and Office of Reserve, Individual Unit
Commanding Officers.

Exemptions claimed for the system:
None.
DOT/CG 533

System name:
Retired Pay and Personnel System.

Security classification:
Unclassified--sensitive.

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

Authority for maintenance of 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.

Purpose(s):
Make payments.

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

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

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are filed manually in file folders. Microfilm is stored in
the retired pay branch. Check tapes are filed in tape library.

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

Safeguards:
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:
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''.

[[Page 19493]]

Record source categories:
Individuals, Coast Guard personnel and payroll offices.

Exemptions claimed for the system:
None.
DOT/CG 534

System name:
Travel and Transportation of Household Effects.

Security classification:
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):
Payment of household and transportation claims.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.

Policy and practices for storing, retrieving, accessing, retaining, and
disposing of records in the system:
Storage:
Filed manually in file folders.

Retrievability:
Schedule numbers and/or individual name.

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

Retention and disposal:
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.

System manager(s) and address:
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
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 procedure''.

Record source categories:
Individual subject of the record. Ground freight and transportation
carriers and agents. Airline companies. Personnel offices. Other
responsible agencies.

Exemptions claimed for the system:
None.
DOT/CG 535

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

System classification:
Unclassified--sensitive.

System location:
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.

Categories of individuals covered by the system:
Civilian employees. Active duty and retired military members.
Military dependents.

Categories of records in the system:
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:
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.

Purpose(s):
Maintain financial and personnel records for Coast Guard non-
appropriated fund entities.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Payroll for CGES/MWR employees. Personnel actions. Accounting
purposes. Budget and inventory controls. 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:
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:
Indexed alphabetically.

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

Retention and disposal:
Records are retained until usefulness has expired and then
destroyed.

System manager(s) and address:
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

[[Page 19494]]

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.

Exemptions claimed for the system:
None.
DOT/CG 536

System name:
Contract and Real Property File System.

System classification:
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.

Authority for maintenance of the system:
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.

Purpose(s):
Determine compliance of contractors with minimum wages for certain
skills and trades on government contracts.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Recordkeeping of payments and collection. Determine potential for
contracting with the government. Record issuance of personal property
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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manually filed in file folders, maintained on tape/card three ring
binders, and in hard cover books.

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

Safeguards:
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.

System manager(s) and address:
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.

Record access procedures:
Same as ``Notification procedure''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
Individuals. Contractors. Contract employees. Bidders. Financial
institutions. Insurance Companies. Community associations. Other
agencies.

Exemptions claimed for the system:
None.
DOT/CG 537

System name:
FHA Mortgage Insurance for Servicemen.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
Coast Guard Military Personnel who have applied for Federal Housing
Administration Mortgage Insurance.

Categories of records in the system:
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.''

Authority for maintenance of the system:
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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manually in closed file cases.

Retrievability:
By named individual, alphabetically.

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

[[Page 19495]]

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''.

Record source categories:
Individual concerned and the Federal Housing Administration.

Exemptions claimed for the system:
None.
DOT/CG 571

System name:
Physical Disability Separation System.

Security classification:
Unclassified--sensitive.

System location:
Commander, U.S. Coast Guard Personnel Command, 2100 2nd St., SW.,
Rm. 1504, Washington, DC 20593-0001.

Categories of individuals covered by the system:
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:
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):
Physical disability separation and retirement proceedings.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Department of Veteran Affairs for assistance in determining the
eligibility 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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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.

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

System manager(s) and address:
Commander, U.S. Coast Guard, Personnel Command, 2100 2nd St., SW.,
Rm. 1504, Washington, DC 20593-0001.

Notification procedure:
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.

Record access procedures:
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.

Exemptions claimed for the system:
None.
DOT/CG 572

System name:
USCG Military Personnel Health Record System.

Security classification:
Unclassified--sensitive.

System location:
Member's unit or the Coast Guard health care facilities at which
the member or dependents receive treatment.

Categories of individuals covered by the system:
Active duty, reserve, and retired members of the uniformed services
and their dependents.

Categories of records in the system:
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.

Authority for maintenance of the system:
5 U.S.C. 301; 10 U.S.C. 1071-1107; 14 U.S.C. 632; 49 CFR 1.45, 1.46

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

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.

[[Page 19496]]

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:
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.

Retrievability:
Name or social security number of member or dependents.

Safeguards:
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 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

System manager(s) and address:
Commandant, G-WK, United States Coast Guard Headquarters, Director,
Health and Safety Directorate, 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.

Record access procedures:
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.''

Record source categories:
Medical facilities where beneficiaries treated or examined.
Investigations resulting from illness or injury. The individual.

Exemptions claimed for the system:
None.
DOT/CG 573

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

Security classification:
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:
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.

Purpose(s):
Assist administrators in assigning personnel to area requiring
their specific skills.

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.

Retention and disposal:
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.

Notification procedure:
Commandant, G-SII-2, United States Coast Guard Headquarters, 2100
2nd

[[Page 19497]]

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

Record access procedures:
Procedures may be obtained by writing to or visiting Commandant,
G-SII-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

Contesting record procedures:
See ``Record access procedures''.

Record source categories:
Previous employers, educational institutions, references, Coast
Guard Medical Administrators and the individual.

Exemptions claimed for the system:
None.
DOT/CG 576

System name:
USCG Non-Federal Invoice Processing System, NIPS.

Security classification:
Unclassified--sensitive.

System location:
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.

Categories of individuals covered by the system:
Active duty, reserve, and retired members of the uniformed
services and their eligible dependents, and non-Federal 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.

Authority for maintenance of the system:
5 U.S.C. 301; 10 U.S.C. 1091, 14 U.S.C. 93(r), 632; 49 CFR 1.45,
1.46.

Purpose(s):
Review of cost data and appropriateness of care.

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:
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 an ADP data base. ADP data is maintained in hard disk and
magnetic tape storage.

Retrievability:
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.

Safeguards:
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.

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

Notification procedure:
Send a written request with patient's name, sponsor's name and
social security number, to the System Location 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.

Record access procedures:
Write or visit the appropriate Commander, MLC at the address given
in ``Notification procedure.'' Responsible for where the care was
received.

Contesting record procedures:
Same as ``Record access procedures.''

Record source categories:
From the individual, individual's spouse, parent or guardian.
Medical facilities (United States Coast Guard, Department of Defense,
uniformed Services Treatment Facility, or non-Federal, 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:
None.
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.

Categories of individuals covered by the system:
Active duty, reserve, and retired members of the uniformed services
and their eligible dependents.

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

[[Page 19498]]

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.

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

Safeguards:
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.

Retention and disposal:
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.

System manager(s) and address:
Health and Safety Directorate, United States Coast Guard,
Headquarters, 2100 2nd Street, SW., Washington, DC 20593-0001.

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.

Record access procedures:
Write or visit: Commandant, G-WK, U.S. Coast Guard, Attn: FMCRA
Section, 2100 Second Street, SW., Washington, DC 20593-0001.

Contesting record procedures:
Same as ``Record access procedures.''

Record source categories:
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.

Exemptions claimed for the system:
None.
DOT/CG 586

System name:
Chemical Transportation Industry Advisory Committee.

Security classification:
Unclassified-sensitive.

System location:
Commandant, G-M, United States Coast Guard, 2100 2nd Street, SW.,
Washington, DC 20593-0001.

Categories of individuals covered by the system:
Committee members.

Categories of records in the system:
Address, phone number. Biographical sketch. Committee information.
Minutes of meetings.

Authority for maintenance of the system:
5 U.S.C. 301; 14 U.S.C. 632; 49 CFR 1.45, 1.46.

Purpose(s):
Arranging meetings, keeping records of committee business,
determine committee membership.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.

Retrievability:
By committee name/individual name.

Safeguards:
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.

Record access procedures:
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.

Contesting record procedures:
Same as ``Record access procedures'.

Record source categories:
From the individual of record.

Exemptions claimed for the system:
None.
DOT/CG 588

System name:
Marine Safety Information System, MSIS.

Security classification:
Unclassified--sensitive.

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

[[Page 19499]]

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
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.

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

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:
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.,

[[Page 19500]]

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)).

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
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 Number, ``Z'' number, or Continuous Discharge Book
number).

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:
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.

Exemptions claimed for the system:
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
Guard-documented, 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 Guard-documented 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

[[Page 19501]]

Purpose(s):
Provide a nationwide pool of state-numbered 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:
Federal and state numbering and titling officials for the purposes
of tracking, registering and titling vessels. 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:
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.

Safeguards:
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.

Retention and disposal:
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.

Notification procedure:
Commandant, G-SII, USCG Headquarters, 2100 2nd Street, SW.,
Washington, DC 20593-0001.

Record access procedures:
Same as ``Notification procedure''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
Participating States and the National Crime Information Center,
NCIC.

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).
DOT/CG 591

System name:
Merchant Vessel Documentation System, Manual.

Security classification:
Unclassified--sensitive.

System location:
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.

Categories of individuals covered by the system:
Vessel owners. Mortgagees. Vessel buyers and sellers. Lien
claimants. Vessel builders.

Categories of records in the system:
Vessel owner information. Vessel information. Instruments of
record (bills of sale, mortgages, etc.).

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):
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.).

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Publication of the annual MERCHANT VESSELS OF THE UNITED STATES.
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:
Index of owners maintained by Commandant, G-MVD. All other records
maintained at home port of vessel by vessel name.

Retrievability:
Name of vessel owner.

Safeguards:
Personnel screening.

Retention and disposal:
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).

System manager(s) and address:
Commandant, G-M, Chief, Marine Safety and Environmental
Protection, 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:
Same as ``Record Access Procedures.''

Record source categories:
Vessel owners, Mortgagees, lien claimants, vessel sellers and
buyers, Coast Guard admeasures, and vessel builders.

Exemptions claimed for the system:
None.
DOT/CG 592

System name:
Registered/Applicant Pilot Eligibility Folder.

Security classification:
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

[[Page 19502]]

perform pilotage duties aboard foreign vessels on the Great Lakes.

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):
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.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored in file folders.

Retrievability:
Name and pilot registration number.

Safeguards:
Screened by office personnel prior to use. Locked in cabinets
during non-working 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 access procedures:
Same as ``System manager''.

Contesting record procedures:
Same as ``System manager''.

Record source categories:
Individual's original application for U.S. Pilot's registration and
individual's yearly report of medical examination.

Exemptions claimed for the system:
None.
DOT/CG 611

System name:
Investigative Case System.

Security classification:
Unclassified--sensitive.

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:
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:
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

Purpose(s):
Security clearances.

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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Investigative dossiers and 3x5 card retrieval system.

Retrievability:
By name and/or case number.

Safeguards:
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 States Coast Guard computer
center without use of proper administrative controls. Release of
dossiers to accredited personnel on ``need-to-know' basis only.

Retention and disposal:
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.

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:
Same as ``Record access procedures.''

Record source categories:
National Agency Checks, background investigations, criminal
investigations, interviews, records checks, observations, statements.

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).
DOT/CG 612

System name:
Port Security Card System.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
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.

[[Page 19503]]

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.

Disclosure to consumer reporting agencies:
None.

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.''

Record source categories:
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).
DOT/CG 622

System name:
Military Training and Education Records.

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).

Categories of records in the system:
General Service Correspondence Course. Off-Duty Education Records.
Professional Training Records. Non-traditional 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.

Authority for maintenance of the system:
5 U.S.C. 301; 14 U.S.C. 93(g), 632; 49 CFR 1.45, 1.46.

Purpose(s):
Evaluation and measurement of training performance.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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:
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.

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

Safeguards:
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.

Contesting record procedures:
Same as ``Record Access Procedures.''

Record source categories:
Official military personnel records, test results, instructors and
supervisors.

Exemptions claimed for the system:
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

[[Page 19504]]

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 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 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-in-charge of the unit handling the

[[Page 19505]]

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-in-charge 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.

Record access procedures:
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.

Exemptions claimed for the system:
None.
DOT/CG 624

System name:
Personnel Management Information System, PMIS.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
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:
5 U.S.C. 301; 14 U.S.C. 92(I), 632; 49 CFR 1.45, 1.46.

Purpose(s):
Produce a number of personnel reports used throughout the Coast
Guard.

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:
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:
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.

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

Safeguards:
The computer provides privacy and access limitations by requiring a
user name and password match. In addition each element of the file has
its own level of accessibility which must be held by the user. Only
those staff components at Headquarters with a need to have access to
the file are given user names and passwords. Access to the ``Time
Share'' extract is similarly controlled. The backup tapes and monthly
dumps also have limited access in that users must justify the need
before they are provided the tape numbers.

Retention and disposal:
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.

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.

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''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
Official service record entries prepared by field units.

Exemptions claimed for the system:
None.
DOT/CG 625

System name:
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.

[[Page 19506]]

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.

Disclosure to consumer reporting agencies:
N/A.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records are stored in file folders.

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

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

Retention and disposal:
Application files for non-selected officer candidate applicants are
destroyed after six months and non-selected 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:
Same as ``Record access procedures.''

Record source categories:
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.

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), 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 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.

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.

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.

Authority for maintenance of the system:
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.

Purpose(s):
Normal administrative procedures, including assignment, promotion,
training, special recognition, etc.

[[Page 19507]]

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:
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)).

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 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.

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.

Record access procedures:
Same as ``Notification procedure''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
Personal interview and voluntary submissions by individuals.
Training/Educational Reports. Fitness Reports. USCG District Offices
and other operating units of the Coast Guard.

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), 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 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.
DOT/CG 627

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 individuals covered by the system:
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.

Categories of records in the system:
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.

[[Page 19508]]

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.

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

Record access procedures:
Same as ``Notification procedure''.

Contesting record procedures:
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.

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), 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.
DOT/CG 628

System name:
Officer, Enlisted, and Recruiter Selection System File.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
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.

Authority for maintenance of the system:
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.

Retention and disposal:
Test answer sheets are destroyed after 2 years. Card file--
destroyed after 4 years.

System manager(s) and address:
Commander, U.S. Coast Guard, Personnel Command, 2100 2nd St., SW.,
Rm. 1422, Washington, DC 20593-0001.

[[Page 19509]]

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.''

Contesting record procedures:
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:
Portions of this system are exempt under the provisions of 5 U.S.C.
552a(k)(5), (6), and (7).
DOT/CG 629

System name:
Enlisted Personnel 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. 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 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.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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.

Retrievability:
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 off-duty
hours security. During working hours, access to records is controlled
by office personnel.

Retention and disposal:
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.

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.

Record access procedures:
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.

Contesting record procedures:
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).
DOT/CG 630

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.

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.

Categories of records in the system:
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.

Authority for maintenance of the system:
5 U.S.C. 301; 14 U.S.C. 475, 620, 632, 681, 687; 49 CFR 1.45, 1.46.

Purpose(s):
Placing the applicant in government owned or leased housing or
community housing.

[[Page 19510]]

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.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File Folder.

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

Safeguards:
Maintained in locked file cabinets and desk file drawers.

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

System manager(s) and address:
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
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.

Exemptions claimed for the system:
None.
DOT/CG 631

System name:
Family Advocacy Case Record System.

Security classification:
Unclassified--sensitive.

System location:
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.

Categories of individuals covered by the system:
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.

Categories of records in the system:
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.

Authority for maintenance of the system:
5 U.S.C. 301; 14 U.S.C. 632, 42 U.S.C. 5101, 5102; 49 CFR 1.45,
1.46.

Purpose(s):
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:
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:
None.

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

Safeguards:
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:
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.

System manager(s) and address:
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
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.

Exemptions claimed for the system:
Part of this system may be exempt under 5 U.S.C. 552a(k)(2) and
(5).
DOT/CG 632

System name:
Uniformed Services Identification and Privilege Card Record System.

Security classification:
Unclassified--sensitive.

[[Page 19511]]

System location:
Commandant, G-WP, United States Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593-0001.

Categories of individuals covered by the system:
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 one-hundred percent disabled and
their eligible dependents.

Categories of records in the system:
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.

Authority for maintenance of the system:
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.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Verification provided to other Armed Forces authorized personnel as
required. 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:
Maintained in file folders.

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:
Director, Personnel Management Directorate, G-WP, 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.''

Contesting record procedures:
Same as ``Notification procedure.''

Record Source Categories:
Sponsor and/or dependents.

Exemptions claimed for the system:
None.
DOT/CG 633

System name:
Coast Guard Civilian Personnel Security Program.

Security classification:
Unclassified--sensitive.

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:
Coast Guard Civilian Personnel. Applicants for civilian positions.

Categories of records in the system:
Records of civilian security clearance granted. Correspondence and
requests concerning civilian personnel security actions.

Authority for maintenance of the system:
5 U.S.C. 301, 5102, 14 U.S.C. 632; 49 CFR 1.45, 1.46.

Purpose(s):
Determine eligibility for access to classified information under
Executive Order 11652.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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:
File folder--3x5 Index cards.

Retrievability:
By name of individual.

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

Retention and disposal:
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.

System manager(s) and address:
Director, Personnel Management Directorate, G-WP, 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 office or unit.

Contesting record procedures:
Same as ``Record access procedures.''

Record source categories:
Civil Service Investigative Reports, Personnel Security Clearance
requests and forms SF-85, SF-86 and SF-171.

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 (7).
DOT/CG 634

System name:
Child Care Program Record System.

Security classification:
Unclassified--sensitive.

System location:
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;

[[Page 19512]]

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.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on forms in file folders or in computer file.

Retrievability:
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.

System manager(s) and address:
Director, Personnel Management Directorate, G-WP, United States
Coast Guard Headquarters, Washington, DC 20593-0001.

Notification procedure:
Commandant, G-SII, United States Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593-0001. Child care facility that
provided care.

Record access procedures:
Same as ``Notification procedure.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
Parents or medical personnel familiar with the child's medical
history.

Exemptions claimed for the system:
None.
DOT/CG 636

System name:
Personal Affairs Record System Coast Guard Military Personnel.

Security classification:
Unclassified--sensitive.

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.

Categories of individuals covered by the system:
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.

Categories of individuals covered by the system:
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.

Purpose(s):
Resolve complaints in an expeditious manner.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
For reference in development of future policy. 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:
Case file and card index file.

Retrievability:
Alphabetical listing.

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

Retention and disposal:
Maintained for 5 years after action completed and then destroyed.

System manager(s) and address:
Director, Personnel Management Directorate, G-WK, 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 or unit for the area in which an individual's duty
station is located.

Contesting record procedures:
Same as ``Record access procedures.''

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.

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

Categories of individuals covered by the system:
Active duty and retired Coast Guard military personnel.

[[Page 19513]]

Categories of records in the system:
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.

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.

Purpose(s):
Maintain information to determine eligibility for VA benefits.

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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Locked file cabinet.

Retrievability:
Alphabetical listing.

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

Retention and Disposal:
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.

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 or unit having custody of the records.

Contesting record procedures:
Same as ``Record access procedures.''

Record source categories:
Coast Guard officials, legal representatives of individuals and/or
individuals concerned and complainants.

Exemptions claimed for the system:
None.
DOT/CG 638

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

Security classification:
Unclassified--sensitive.

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.

Categories of individuals covered by the system:
Active duty Coast Guard personnel receiving alcohol rehabilitation
treatment.

Categories of records in 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.

Authority for maintenance of the system:
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.

Purpose(s):
Administer the Coast Guard Alcohol Abuse Prevention 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:
Maintained on file cards (3" x 5") and/or a computer data base.

Retrievability:
By the name of the individual.

Safeguards:
Maintained in locked filing cabinets. The computer database is
protected by password access limited to Alcohol Program Managers.

Retention and disposal:
Destroyed three years after last activity.

System manager(s) and address:
Commandant, G-WK, United States Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593-0001-0001.

Notification procedure:
Same as ``System location''.

Record access procedures:
Same as ``System location''.

Contesting record procedures:
Same as ``System location''.

Record source categories:
Personnel records. Medical records. Security records. Treatment
facility reports. Post treatment aftercare reports.

Exemptions claimed for the system:
None.
DOT/CG 639

System name:
Request for Remission of Indebtedness.

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.

Categories of individuals covered by the system:
Active Duty Enlisted Coast Guard Personnel.

Categories of records in the system:
Correspondence, requests with endorsements, research material,
paneling action, Commandant's decisions.

Authority for maintenance of the system:
5 U.S.C. 301; 14 U.S.C. 461, 632; 49 CFR 1.45, 1.46.

Purpose(s):
Aid in making determinations based on the best interests of the
individual and the Government.

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.

[[Page 19514]]

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Locked filing cabinets.

Retrievability:
Alphabetical listing.

Safeguards:
Locked filing cabinets.

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.

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 for the area in which an individual's duty station is
located.

Contesting record procedures:
Same as ``Record access procedures.''

Record source categories:
Individual, and Coast Guard Officials.

Exemptions claimed for the system:
None.
DOT/CG 640

System name:
Outside Employment of Active Duty Coast Guard Personnel.

Security classification:
Unclassified--sensitive.

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

Purpose(s):
Determine suitability for off duty employment for Coast Guard
members.

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:
Locked filing cabinets.

Retrievability:
Alphabetical listing.

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

Retention and disposal:
Retained indefinitely.

System manager(s) and address:
Director, Personnel Management Directorate (G-WP), 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 or unit for the area in which an individual's duty
station is located.

Contesting Record Procedures:
Same as ``Record access procedures.

Record source categories:
Individual, and Coast Guard officials.

Exemptions claimed for the system:
None.
DOT/CG 641

System name:
Coast Guard Special Needs Program.

Security classification:
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.

Categories of individuals covered by the system:
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:
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.

Authority for maintenance of the system:
5 U.S.C. 301; 14 U.S.C. 335, 632; 49 CFR 1.45, 1.46; COMDTINST
1754.7A.

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

Routine use of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folder, 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 of the special needs condition.

Safeguards:
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

[[Page 19515]]

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.

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:
Same as ``Notification procedure''.

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.

Security classification:
Classified.

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
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.

Authority for maintenance of the system:
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):
Maintaining suspect lists, enforcing United States laws dealing
with items such as counter narcotics, fisheries, and boating safety.

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:
None.

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 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.

[[Page 19516]]

Exemptions claimed for the system:
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.
DOT/CG 671

System name:
Biographical Statement.

Security classification:
Unclassified--sensitive.

System location:
Commandant, G-CP, United States Coast Guard Headquarters, 2100 2nd
Street, SW., Washington, DC 20593-0001.

Categories of individuals covered by the system:
Key DOT officials, USCG flag officers.

Categories of records in the system:
Individual biographical data.

Authority for maintenance of the system:
5 U.S.C. 301, 302; 14 U.S.C. 632; 49 CFR 1.45, 1.46.

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:
Personnel Office--uses records for promotion. 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 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.

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.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
Individual named in file.

Exemptions claimed for the system:
None.
DOT/CG 676

System name:
Official Coast Guard Reserve Service Record.

Security classification:
Unclassified--sensitive.

System location:
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.

Categories of individuals covered by the system:
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:
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.

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.

Disclosure to consumer reporting agencies:
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)).

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.

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,

[[Page 19517]]

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 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.

System location:
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.

Purpose(s):
Fulfillment of normal administrative procedures including the
examining and screening for completeness and accuracy of records,
correspondence pertaining thereto as a basis for assignment to active
duty for training, special active duty for training or extended active
duty and mobilization billets.

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:
Records maintained on paper, punched cards and magnetic tape.

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.

Retention and disposal:
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.''

Contesting record Procedures:
Same as ``Notification procedure.''

Record source categories:
The individual, CG Headquarters and CG District Offices.

Exemptions claimed for the system:
None.
DOT/CG 678

System name:
Reserve Personnel Management Information System, Automated.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
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.

Authority for maintenance of the system:
5 U.S.C. 301; 10 U.S.C. 12301-12321; 14 U.S.C. 632; 49 CFR 1.45,
1.46.

[[Page 19518]]

Purpose(s):
Personnel administration of individual reservists and the overall
management of the reserve program.

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.

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

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.

Retrievability:
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.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
The individual, Coast Guard Headquarters and district offices, and
the various operating units of the Coast Guard.

Exemptions claimed for the system:
None.
DOT/FAA 801

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.

Categories of individuals covered by the system:
Aircraft owners, lien holders, and lessees.

Categories of records in the system:
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.

Authority for maintenance of the system:
49 U.S.C. 40101, 44103, 44107.

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 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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, and on digital read-write
disks, magnetic tape, microfilm, and microfiche.

Retrievability:
Records are filed by registration number, but may be retrieved by
name of the current registered owner.

Safeguards:
Records are stored in areas open only to authorized employees and
by special permission.

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.''

[[Page 19519]]

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Individuals, manufacturers of aircraft, maintenance inspectors,
mechanics, and FAA officials.

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.

Categories of records in the system:
Vehicle registration and traffic violations files.

Authority for maintenance of the system:
44 U.S.C. 3101.

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.

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

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

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

Retention and disposal:
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.

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.''

Record source categories:
Individuals registering/operating vehicles.

Exemptions claimed for the system:
None.
DOT/FAA 811

System name:
Employee Health Record System.

Security classification:
Unclassified, sensitive.

System location:
FAA Washington, regional, and center medical facilities.

Categories of individuals covered by the system:
FAA employees.

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

Authority for maintenance of the system:
Pub. L. 79-658, Title 5 U.S.C. Section 7901.

Purpose(s):
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.

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

Retrievability:
By name and social security number.

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.

Retention and disposal:
These records are destroyed 6 years after the date of last entry.

System manager(s) and address:
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.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

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

Exemptions claimed for the system:
None.
DOT/FAA 813

System name:
Civil Aviation Security.

Security classification:
Unclassified, sensitive.

System location:
Office of Associate Administrator for Civil Aviation Security, in
Washington,

[[Page 19520]]

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.

Disclosure to consumer reporting agencies:
Not applicable.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Approved security files and containers, in file folders, on lists
and forms, and in computer processable storage media.

Retrievability:
By name or other personal identifying symbols.

Safeguards:
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:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

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

Exemptions claimed for the system:
Portions of this system are exempt under 5 U.S.C. 552a(k)(1) and
(k)(2).
DOT/FAA 815

System name:
Investigative Record System.

Security classification:
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

[[Page 19521]]

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 agency has agreed to
represent the employee; or, (d) the United States, where the agency
determines the litigation is likely to affect the agency or any of its
components, is a party to litigation or has an interest in such
litigation, and the agency determines that use of such records to be
relevant and necessary to the litigation, provided, however, that in
each case, the agency determines that disclosure of the records to the
Department of Justice is a use of the information contained in the
records that is compatible with the purpose for which the records were
collected. (3) To authorized representatives of United States air
carriers where air safety might be affected. (4) To authorized
representatives of federal, state, local agencies and departments,
including the District of Columbia, and foreign governments, who
require access to the file pursuant to an investigation or inquiry
conducted for use in law enforcement activities, either civil or
criminal, or to expose fraudulent claims. (5) See Prefatory Statement
of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
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.

Retrievability:
These records are retrieved by name or other identifying symbols.

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 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.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
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).
DOT/FAA 816

System name:
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

[[Page 19522]]

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.

Purpose(s):
Permit the administrative settlement of tort and Federal employees
personal property claims against the government.

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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are 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:
These records are destroyed 3 years after the final decision is
rendered.

System manager(s) and address:
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.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Claimant, investigation reports, and courts.

Exemptions claimed for the system:
None.
DOT/FAA 821

System name:
Litigation Information Management Systems.

Security classification:
Unclassified, sensitive.

System location:
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.

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.

Categories of records in the system:
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.

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.

Purpose(s):
Case management/record management.

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:
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.

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

Safeguards:
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.

Retention and disposal:
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.

System manager(s) and address:
Assistant Chief Counsel, Litigation Division, AGC-400, Office of
Chief Counsel, Federal Aviation Administration, 400 Seventh Street,
SW., Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

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

Exemptions claimed for the system:
None.
DOT/FAA 822

System name:
Aviation Medical Examiner System.

Security classification:
Unclassified, sensitive.

System location:
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:
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

[[Page 19523]]

(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:
Storage:
Computer processable storage media and hard copy files.

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

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

Retention and disposal:
Hard copy files are retained by the Aeromedical Education Division
on all active AMEs (civilian, military, and Federal), and on AMEs who
have been inactive for less than 10 years. Hard copy files of AMEs who
have been inactive for 10 years or more, but less than 25 years, are
stored by the Federal Records Center. Hard copy files of AMEs who have
been inactive for 25 or more years are destroyed by the Federal Records
Center. Computerized AME records are updated continuously for all
active AMEs. Computerized records of AMEs who have been inactive for
less than 25 years are maintained in the system; and those AMEs
inactive for 25 or more years are deleted. Hard copy files of United
States civilian AMEs (excluding foreign civilian, military, and Federal
AMEs) are also retained by the Regional Flight Surgeon Offices. When
these regional AME files become inactive, they are immediately
transferred to the Aeromedical Education Division.

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:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
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.

Exemptions claimed for the system:
None.
DOT/FAA 825

System name:
Petitions for Rulemaking--Public Dockets.

Security classification:
Unclassified, sensitive.

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

Categories of individuals covered by the system:
Persons petitioning for a change in the Federal Aviation
Regulations.

Categories of records in the system:
Petitions for rulemaking, correspondence, documents showing
disposition of the petition, and public comments on any resulting NPRM.

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
rulemaking.

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:
Unlocked file cabinets.

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

Safeguards:
Access through request to Dockets Specialist.

Retention and disposal:
Transferred to Federal Records Center when inactive; destruction
not authorized.

System manager(s) and address:
Docket and Regulations Technician, Office of the Chief Counsel,
AGC-200, FAA, 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:
Petitions for rulemaking.

Exemptions claimed for the system:
None.
DOT/FAA 826

System name:
Petitions for Exemption, Other than Medical Exemption--Public
Dockets.

Security classification:
Unclassified, sensitive.

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

[[Page 19524]]

Categories of individuals covered by the system:
Persons petitioning for an exemption (other than medical) under the
Federal Aviation Regulations.

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).

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:
Original and copies of records stored in unlocked file cabinets.

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

Safeguards:
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.
DOT/FAA 827

System name:
Environmental Litigation Files.

Security classification:
Unclassified, sensitive.

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

Categories of individuals covered by the system:
Litigants, witnesses, plaintiff's attorney, FAA attorney,
Department of Justice Attorney, etc.

Categories of records in the system:
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:
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.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders stored in locked and unlocked file cabinets and
individual attorney's offices.

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.

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

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.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
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.

Authority for maintenance of the system:
49 U.S.C. 44703, and 14 CFR 61.31.

Purpose(s):
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:
Determine individual training qualifications. Receipt and transfer
of training funds. Maintain individual records of training completion.
See Prefatory Statement of General Routine Uses.

[[Page 19525]]

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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.

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

System manager(s) and address:
Manager, Aeromedical Education Division, AAM-400, FAA Civil
Aeromedical Institute, Mike Monroney Aeronautical Center, PO Box 25082,
Oklahoma City, OK 73125.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record 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 Operator
Examiners. International Field Offices, IFO.

Categories of individuals covered by the system:
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:
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).

Authority for maintenance of the system:
49 U.S.C. 40101, 40113, 44701, 44702, and 44703.

Purpose(s):
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.

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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, on lists, on forms, and on computer-accessible
storage media. Records are also stored in microfiche, microfilm, and
electronic optical storage.

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

Safeguards:
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.

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

System manager(s) and address:
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.

Notification procedure:
Same as ``System manager.''

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.

Security classification:
Unclassified, sensitive.

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

Categories of individuals covered by the system:
Employees occupying FAA owned or leased housing. Employees and
agencies that lease FAA housing in Alaska.

[[Page 19526]]

Categories of records in the system:
Housing records, leases.

Authority for maintenance of the system:
5 U.S.C. 5911(f), OMB Circular A-45.

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

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

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

Safeguards:
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.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
FAA Employees. Employees of other agencies that lease housing from
FAA.

Exemptions claimed for the system:
None.
DOT/FAA 837

System name:
Newsletter Photographs and Biographical Information.

Security classification:
Unclassified, sensitive.

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

Categories of individuals covered by the system:
FAA employees and other individuals who may appear with them in
candid photographs.

Categories of records in the system:
Biographical data; portrait and candid photographs.

Authority for maintenance of the system:
49 U.S.C. 106(f).

Purpose(s):
Provide information to the public--particularly the news media--and
for use in employee publications.

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:
Stored in file cabinets.

Retrievability:
Alphabetically by name, or publication date.

Safeguards:
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.

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 manager(s) and address:
Same as ``System Location.''

Notification procedure:
Same as ``System Manager.''

Record access procedures:
Same as ``System Manager.''

Contesting record procedures:
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.
DOT/FAA 845

System name:
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.''

System location:
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.

Security classification:
Unclassified, sensitive.

Categories of individuals covered by the system:
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,

[[Page 19527]]

grievances, delegations, application of waivers from the Federal
Aviation Administration, etc.

Categories of records in the system:
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.

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.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer processable media, microfilm, and hardcopy access to the
records will be by means of identification numbers and passwords known
only to the user and the system managers.

Retrievability:
Retrieved by control number, suspense date, correspondence date,
subject matter, last name and location of originator and addressee,
constituent's name, action office, and type.

Safeguards:
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.

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.
DOT/FAA 847

System name:
Aviation Records on Individuals (Formerly, General Air
Transportation Records on Individuals).

Security classification:
Unclassified, sensitive.

System location:
Federal Aviation Administration, FAA, Mike Monroney Aeronautical
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,

[[Page 19528]]

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.

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 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).

[[Page 19529]]

DOT/FAA 851

System name:
Administration and Compliance Tracking in an Integrated Office
Network.

Security classification:
Unclassified, sensitive.

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.

Purpose(s):
Support the information resource, reporting and archival needs of
the Drug Abatement Division.

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:
Maintained in an automated information system.

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

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.

Retention and disposal:
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.

System manager(s) and address:
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.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
FAA records.

Exemptions claimed for the system:
None.
DOT/FHWA 204

System name:
Federal Highway Administration, FHWA, Motor Carrier Safety Proposed
Civil and Criminal Enforcement Cases, DOT/FHWA.

Security classification:
Unclassified--sensitive.

System location:
Office of Motor Carrier Enforcement, HMCE, 400 7th Street, SW.,
Room 4432A, Washington, DC 20590.

Categories of individuals covered by the system:
Officers, agents or employees of motor carriers, including drivers
who have been the subject of investigation for Motor Carrier Safety
regulation violations.

Categories of records in the system:
Motor Carrier safety regulation violations and identifying
features.

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.

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 does not apply to this system of records.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders in the Field Legal Services' offices.

Retrievability:
Names of individuals.

Safeguards:
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.

Retention and disposal:
The records are retained for one year and then are generally sent
to the local Federal Records Centers for an additional three-year
period.

System manager(s) and address:
FHWA, Office of Chief Counsel, 400 Seventh Street, SW., Room 4224,
Washington, DC 20590; FHWA Resource Centers, Field Legal Services.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Individuals, motor carrier files, OMCHS file information as
gathered by OMCHS investigators, etc.

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

[[Page 19530]]

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.

Categories of records in the system:
Applications for waiver (usually involving physical disability);
final disposition of request for waiver; and waiver renewal.

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).

Purpose(s):
Monitor drivers of commercial motor vehicles who operate in
interstate commerce and have been identified as physically impaired.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in file folders in file cabinets.

Retrievability:
The records are filed by driver's name.

Safeguards:
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.

Retention and disposal:
The files are retained while the driver waivers are active. The
inactive driver waiver files are purged every 3 years.

System manager(s) and address:
Department of Transportation, Federal Highway Administration,
Office of Motor Carrier Research and Standards, HMCS, 400 Seventh
Street, SW., Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Application for Waiver or Waiver Renewal.

Exemptions claimed for the system:
None.
DOT/FHWA 215

System name:
Travel Advance File.

Security classification:
Unclassified--sensitive.

System location:
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).

Categories of individuals covered by the system:
Employees who are not eligible for the contractor-issued credit
card and other groups of employees, and first-duty hires.

Categories of records in the system:
Record of travel advances and repayments.

Authority for maintenance of system:
5 U.S.C. 5707; 41 CFR part 301.

Purpose(s):
Controlling the repayments of travel advances to FHWA personnel.

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)).

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Open advances are maintained on a 5 x 8 inch form. In an automated
travel management system, no advance is required (i.e., paperless).

Retrievability:
Indexed by name.

Safeguards:
Locked file cabinet.

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

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Individuals on whom the records are maintained.

Exemptions claimed for the system:
None.
DOT/FHWA 216

System name:
Travel Authorization and Voucher--Relocation Allowances (First Duty
or Permanent Change of Station).

Security classification:
Unclassified--sensitive.

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

[[Page 19531]]

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.

Purpose(s):
Support the payments to employees and serves as support for updated
employee earnings records.

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 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 on an 8 x 10 inch form in file folders.

Retrievability:
The files are indexed by name.

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.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Individuals on whom the records are maintained.

Exemptions claimed for the system:
None.
DOT/FHWA 217

System name:
Accounts Receivable.

Security classification:
Unclassified--sensitive.

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

Categories of individuals covered by the system:
Individuals indebted to the Federal Highway Administration.

Categories of records in the system:
Amount of indebtedness.

Authority for maintenance of the system:
5 U.S.C. 301.

Purpose(s):
Monitor and control accounts receivable and support bills of
collection issued to debtors of the Federal Highway Administration.

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 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 loose-leaf binders.

Retrievability:
Filed by name.

Safeguards:
Supervised by Chief, Accounting Team.

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

System manager(s) and address:
Department of Transportation, Federal Highway Administration,
Office of Budget and Finance, HABF, Chief, Accounting Team, 400 Seventh
Street, SW., Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Employer.

Exemptions claimed for the system:
None.
DOT/FRA 106

System name:
Occupational Safety and Health Reporting System.

Security Classification:
Unclassified, Sensitive.

System Location:
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:
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).

Purpose(s):
To track employees injuries, illnesses, and accidents involved in
government

[[Page 19532]]

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.

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).

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
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.

Notification procedure:
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.

System location:
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.

Categories of individuals covered by the system:
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:
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 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.''

[[Page 19533]]

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; co-owner
and/or beneficiary of bonds, marital status and number of dependents;
and ``Notification of Personnel Action.'' The individual records listed
herein are included only as pertinent or applicable to the individual
employee.

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 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.

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 and automated.

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 accordance with the
fiscal record programs approved by GAO, as appropriate, or General
Record Schedules of GSA. Dispose of when 3 years old

System manager(s) and address:
Chief, Division of Accounting Operations, MAR-330, 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.''

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

System name:
Accounts Receivable.

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:
Debtors owing money to MARAD, including employees, former
employees, business firms, general public and institutions.

Categories of records in the system:
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.

[[Page 19534]]

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:
Manual.

Retrievability:
By name, and invoice number as appropriate.

Safeguards:
Physical security; handling by authorized personnel only.

Retention and disposal:
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.

Record access procedures:
Same as Notification procedure.

Contesting record procedures:
Same as Notification procedure.

Record source categories:
The individual. Those authorized by the individual to furnish
information. Contracting officer as appropriate. Accounting records.

Exemptions claimed for the system:
None.
DOT/MARAD 3

System name:
Freedom of Information and Privacy Request Records.

Security classification:
Unclassified, sensitive.

System location:
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.

Categories of individuals covered by the system:
Individuals who have requested records under the Freedom of
Information and/or Privacy Acts.

Categories of records in the system:
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:
5 U.S.C. 552, 552a.

Purpose(s):
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.

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:
Chronologically by date of initial determination. By name of
requester and date.

Safeguards:
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.

Retention and disposal:
Records are disposed of in accordance with the appropriate record
disposition authorization approved by the Archivist of the United
States.

System manager(s) and address:
Chief, Division of General and International Law, Office of the
Chief Counsel, Maritime Administration, 400 7th Street, SW.,
Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System Manager.''

Record source categories:
The individual. Records derived from processing Freedom of
Information and Privacy Act requests.

Exemptions claimed for the system:
None.
DOT/MARAD 4

System name:
Visitor Logs and Permits for Facilities Under MARAD Control.

Security classification:
Unclassified, sensitive.

System location:
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:
Non-Federal visitors, Federal personnel entering facilities after
duty hours, and employees seeking parking and firearm permits.

Categories of records in the system:
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.

[[Page 19535]]

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:
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.

Retention and disposal:
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.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
The individual. Those authorized by the individual to furnish
information. Employees.

Exemptions claimed for the system:
None.
DOT/MARAD 5

System name:
Travel Records (Domestic and Foreign) of Employees and Certain
Other Persons.

Security classification:
Unclassified, sensitive.

System location:
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.

Categories of individuals covered by the system:
Employees, Consultants, Advisory Committee Members, and official
requests of the Department.

Categories of records in the system:
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:
13 U.S.C. 3701(a)(3).

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:
See Prefatory Statement of General Routine Uses.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual.

Retrievability:
Filed by name, social security number, or travel order number.

Safeguards:
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 of according to unit's Records Control Schedule. Destroy when
3 years old or upon separation of the bearer, whichever is sooner.

System manager(s) and address:
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.

Notification procedure:
Division of General and International Law, 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:
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

System name:
Executive Correspondence Files.

Security classification:
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 top-level officials in MARAD and
express views or seek information or assistance. Freedom of Information
Act or Privacy Act requests is not indexed in this system.

Categories of records in the system:
The system may include the name and address of correspondent,
summary of subject matter, original correspondence, official response,
referral letters, memoranda or notes concerning subject of the
correspondence, or copies of any enclosures. The records in the system
are arranged chronologically by date of official Agency action,
numerically by control number assigned to each items of correspondence
and by name of correspondent.

[[Page 19536]]

Authority for maintenance of the system:
5 U.S.C. 301; 49 U.S.C. 322.

Purpose(s):
To prepare statistical reports for management on correspondence
volume or topics of public interest.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.

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:
The correspondent, referral source, Department employees involved
in processing the correspondence, and other individuals, as required to
prepare an appropriate response.

Exemptions claimed for the system:
None.
DOT/MARAD 7

System name:
Litigation, Claims and Administrative Proceeding Records.

Security classification:
Unclassified, sensitive.

System Location:
Office of Chief Counsel, MAR-220, Maritime Administration, 400
Seventh Street, SW., Washington, DC 20590.

Categories of individuals covered by the system:
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.

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.

Authority for maintenance of the system:
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.

Retrievability:
Filed alphabetically by 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.

Retention and disposal:
Destroyed 5 years after date of document.

System manager(s) and address:
Chief Counsel, Maritime Administration, MAR-220, 400 Seventh
Street, SW., Washington, DC 20590.

Notification procedure:
Division of General and International Law, Office of the Chief
Counsel, Maritime Administration, MAR-226, 400 Seventh 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.

Systems exempted from certain provisions of the act:
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.

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.

[[Page 19537]]

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).

Purpose(s):
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:
See Prefatory Statement of General Routine Uses.

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

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper copy of file folders and trays.

Retrievability:
Filed alphabetically by name.

Safeguards:
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.

System manager(s) and address:
Chief, Supply Operations Division, MAR-313, Maritime
Administration, 400 7th Street, SW., Washington, DC 20590.
Administrative Services Office, United States Merchant Marine Academy,
Kings Point, NY 11024. Director, National Maritime Research Center,
United States Merchant Marine Academy, Kings Point, NY 11024. Chief,
Division of Reserve Fleet, MAR-612, Maritime Administration, 400 7th
St, SW., Washington, DC 20590. Superintendent, James River Reserve
Fleet, Drawer ``C'', Fort Eustis, Virginia 23604; Superintendent,
Beaumont Reserve Fleet, PO Box 6355, Beaumont, Texas 77705;
Superintendent, Suisun Bay Reserve Fleet, PO Box 318, Benicia,
California 94510.

Notification procedure:
Division of General and International Law, Office of the Chief
Counsel, MAR-220, 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 individual. Those authorized by the individual to furnish
information. Book cards. Supply person providing the equipment.

Exemptions claimed for the system:
None.
DOT/MARAD 9

System name:
Records of Cash Receipts.

Security classification:
Unclassified, sensitive.

System location:
Director, Office of Accounting, MAR-330, Maritime Administration,
400 7th Street, SW., Washington, DC 20590.

Categories of individuals covered by the system:
Individuals paying for goods or services, reimbursing overpayments,
or otherwise delivering cash to the Department.

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.

Authority for maintenance of the system:
46 app U.S.C. 1114.

Purpose(s):
System for individuals paying for goods and or services,
reimbursement of overpayments, delivery of cash to the Department.

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:
Manual and machine-readable.

Retrievability:
Name and/or account or case number.

Safeguards:
Records are located in lockable metal file cabinets or in secured
premises with access limited to those whose official duties require
access.

Retention and disposal:
Permanently maintained.

System manager(s) and address:
Director, Office of Accounting, MAR-330, MARAD, 400 7th St., SW.,
Washington, DC 20590.

Notification procedure:
Division of General and International Law, MAR-221, Office of 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 individual. Those authorized by the individual to furnish
information.

Exemptions claimed for system:
None.
DOT/MARAD 10

System name:
Employee's Personnel Files Not Covered by Notices of Other
Agencies.

Security classification:
Unclassified, sensitive.

System location:
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.

[[Page 19538]]

Categories of records in the system:
All personnel records in MARAD which are subject to the Privacy Act
but are not covered in the notices of systems of records published by
the Office of Personnel Management, Merit Systems Protection Board, or
Equal Employment Opportunity Commission. The records of this system may
include, but are not limited to: Employee Development; Incentive
Awards; Employee Relations; Grievance Records; Medical; Career
Management Program; Ship Personnel; Employee Overseas Assignments;
Minority Group Statistics Program; Work Performance and Appraisal
Records; including supervisory records which have been disclosed; Re-
Employment and Priority Placement Programs; Within-Grade Denials
(Reconsideration File); and, Automated Employee Information System.

Authority for maintenance of the system:
46 App U.S.C. 1111.

Purpose(s):
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:
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:
Manual and machine-readable.

Retrievability:
Filed by name and/or social security number.

Safeguards:
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 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.

System manager(s) and address:
Director, Office of Personnel, Maritime Administration, MAR-360,
400 7th Street, SW, Washington, DC 20590.

Notification procedure:
Division of General and International Law, MAR-221, Office of 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 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:
None.
DOT/MARAD 11

System name:
Biographical Files.

Security classification:
Unclassified, sensitive.

System location:
Office of Public Affairs, Maritime Administration, MAR-240, 400 7th
Street, SW, Washington, DC 20590.

Categories of individuals covered by the system:
Key present and former Maritime Administration personnel, and
members of Advisory Board to the United States Merchant Marine Academy.

Categories of records in the system:
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.

Authority for maintenance of the system:
46 App U.S.C. 1114.

Purpose(s):
Use in connection with written articles, oral interviews, speaking
engagements, retirement and obituary notices, and other purposes of
public information.

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.

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 or notebooks.

Retrievability:
By name alphabetically or by position or work unit.

Safeguards:
Records are located in locked metal file cabinets or locked rooms
during non-business hours.

Retention and disposal:
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 manager(s) and address:
Public Affairs Officer, MAR-240, Maritime Administration, 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.

Record access procedures:
Same as ``Notification Procedure.''

Contesting record procedures:
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:
Unclassified, sensitive.

System location:
Office of Admissions, United States Merchant Marine Academy, Kings
Point, NY 11204.

[[Page 19539]]

Categories of individuals covered by the system:
Applicants for admission to the Academy.

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.

Purpose(s):
Determine admissions to the Academy.

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:
Storage:
Manual and automated.

Retrievability:
Filed alphabetically by last name.

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.

Record access procedures:
Same as ``Notification procedure.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
Subject individual, the individual's high school officials,
references, and those authorized by the individual to furnish
information.

Exemptions claimed for the system:
Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from
portions of the act.
DOT/MARAD 13

System name:
Cadet Files, State Maritime Academies, ``SIPSAM''.

Security classification:
Unclassified, sensitive.

System location:
Office of Maritime Labor and Training, Maritime Administration,
MAR-240, 400 7th Street, SW, Washington, DC 20590.

Categories of individuals covered by the system:
Current and former cadets enrolled in the Student Incentive
Payments, SIP, Program at the State Maritime Academies.

Categories of records in the system:
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).

Authority for maintenance of the system:
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:
Filed alphabetically by last name.

Safeguards:
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.

Retention and disposal:
The records are retained until six years after graduation and then
destroyed.

System manager(s) and address:
Director, Office of Labor and Training, Maritime Administration,
MAR-250, 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:
The subject student. State Merchant Marine Academies. Those
authorized by the student to furnish information.

Exemptions claimed for the system:
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 non-personal 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.

[[Page 19540]]

Purpose(s):
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.

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:
Paper records in file folders.

Retrievability:
Filed alphabetically by applicant's name, name of individual, or
vessel 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.

Retention and disposal:
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.

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.''

Contesting record procedures:
Same as ``Notification Procedure.''

Record source categories:
Subject applicant and individual. Those authorized by the foregoing
to furnish information.

Exemptions claimed for the system:
None.
DOT/MARAD 15

System name:
General Agent's Protection and Indemnity and Second Seaman's
Insurance: WSA and NSA.

Security classification:
Unclassified, sensitive.

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:
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).

Authority for maintenance of the system:
46 app U.S.C. 1101, 1114, 191-1205 and 50 app U.S.C. 1744.

Purpose(s):
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.

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 for 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:
Filed alphabetically by seaman's name and vessel's 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.

Retention and disposal:
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.

Record access procedures:
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.

Exemptions claimed for the system:
None.
DOT/MARAD 16

System name:
Marine Training School Registrants.

Security classification:
Unclassified, sensitive.

System location:
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.

Categories of individuals covered by the system:
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

[[Page 19541]]

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.

Purpose(s):
Verification of attendance and performance.

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:
Filed alphabetically by student's 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 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.

System manager(s) and address:
Training Facility Registrar in region where the training was taken;
see System Location.

Notification procedure:
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:
The student. The training instructors. Those authorized by the
individual to furnish information.

Exemptions claimed for the system:
None.
DOT/MARAD 17

System name:
Waivers of Liability to Board Reserve Fleet Vessels and Other Craft
Located at United States Merchant Marine Academy.

Security classification:
Unclassified, sensitive.

System location:
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.

Categories of individuals covered by the system:
All individuals boarding Reserve Fleet vessels.

Categories of records in the system:
Name, affiliation, date, and signature (Form: MA-118).

Authority for maintenance of the system:
46 app U.S.C. 1295b, 1295g, and 50 app U.S.C. 1744.

Purpose(s):
Limit Governments liability for any damage suffered by certain
persons aboard RRF/NDRF ships.

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 of 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:
Filed alphabetically by name.

Safeguards:
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.

Retention and disposal:
Records are maintained for three years and then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:
Superintendent of Respective Reserve Fleets; and United States
Merchant Marine Academy, Kings Point, New York 11024.

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 individual. Those authorized by the individual to furnish
information.

Exemptions claimed for the system:
None.
DOT/MARAD 18

System name:
National Defense Executive Reserve.

Security classification:
Unclassified, sensitive.

System location:
Division of National Security Plans, MAR-620, Maritime
Administration, 400 7th Street, SW, Washington, DC 20590.

Categories of individuals covered by the system:
Nominees and members of the National Defense Executive Reserve.

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.

Authority for maintenance of the system:
46 app U.S.C. 1295e, 1295g and 1126-1.

Purpose(s):
Transferring data to the Federal Preparedness Agency pursuant to
E.O. 11179.

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.

[[Page 19542]]

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:
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.

Retention and disposal:
Retained until one year after individual's appointment is
terminated or until death and then discarded.

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:
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.

Exemptions claimed for the system:
None.
DOT/MARAD 20

System name:
Seamen's Awards for Service, Valor, etc.

Security classification:
Unclassified, sensitive.

System location:
Office of Maritime Labor and Training, MAR-250, Maritime
Administration, 400 7th Street, SW, Washington, DC 20590.

Categories of individuals covered by the system:
Seamen given awards for service, valor, etc.

Categories of records in the system:
Name; address; mariner's document number; social security number;
and names of ships.

Authority for maintenance of the system:
46 App. U.S.C. 2001-2007.

Purpose(s):
Provide information to the seamen and family members upon request.

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:
Records are stored in paper copy in file folders and on magnetic
tape.

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:
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.

System manager(s) and address:
Director, Office of Maritime Labor and Training, MAR-250, 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.

Contesting record procedures:
Same as Notification procedure.

Record source categories:
Subject individual. The individual's co-workers. Witnesses to
incidents. Those authorized by the individual to furnish information.

Exemptions claimed for the system:
None.
DOT/MARAD 21

System name:
Seaman's Employment Analysis Records.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation Computer Center, SVC-172, 400 7th
Street, SW, Washington, DC 20590.

Categories of individuals covered by the system:
Merchant seamen who sailed the previous calendar year.

Categories 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.

Authority for maintenance of the system:
46 app U.S.C. 1295g.

Purpose(s):
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:
Records are stored on computer disks.

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:
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

[[Page 19543]]

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:
United States Coast Guard.

Exemption claimed for the system:
None.
DOT/MARAD 22

System name:
Seaman's Unclaimed Wages (Vietnam Conflict).

Security classification:
Unclassified, sensitive.

System location:
Division of Accounting Operations, MAR-330, Maritime
Administration, 400 7th Street, SW, Washington, DC 20590.

Categories of individuals covered by the system:
Seamen owed wages for service aboard Government vessels operated by
general agents.

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.

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:
Paper records are filed alphabetically by name and by social
security number.

Safeguards:
Paper records are secured in lockable metal file cabinets. Records
are located in secured areas with access limited to those whose
official duties require access.

Retention and disposal:
Retained until such time as claim is resolved or wages are
disbursed.

System manager(s) and address:
Chief, Division of Accounting Operations, MAR-330, 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.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
The general agents.

Exemptions claimed for the system:
None.
DOT/MARAD 24

System name:
USMMA Non-Appropriated Fund Employees.

Security classification:
Unclassified, sensitive.

System location:
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.

Categories of records in the system:
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.

Purpose(s):
Track information on non-appropriated fund employees.

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 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:
Paper records in file folders.

Retrievability:
Alphabetically by employee's name.

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:
Records are retained indefinitely.

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.

Notification procedure:
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.

[[Page 19544]]

Exemptions claimed for the system:
Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from
portions of the act.
DOT/MARAD 25

System name:
USMMA Graduates.

Security classification:
Unclassified, sensitive.

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 job-placement also contains graduate's preferred
salary and job location.

Authority for maintenance of the system:
46 app U.S.C. 1295g.

Purpose(s):
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:
The database is used for communication with alumni (e.g., magazine,
homecoming, etc), placement opportunities for alumni, fundraising
records, and congressional districts. See Prefatory Statement of
General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders and basic information are on magnetic
tape.

Retrievability:
Alphabetically by name, and by social security number.

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. Records on tape also are
subject to physical securities, including those maintained by contract.

Retention and disposal:
The records are kept indefinitely.

System manager(s) and address:
Director, Office of External Affairs, United States Merchant Marine
Academy, Kings Point, N.Y. 10024.

Notification procedure:
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:
A questionnaire voluntarily returned by graduates every few years.
Graduates asking to be registered for job-placement. Families of
graduates. Public and private employment of graduates. Persons
nominating graduates for alumni awards. United States Merchant Marine
Academy Alumni Association, Inc. Published articles naming graduates.

Exemptions claimed for the system:
None.
DOT/MARAD 26

System name:
USMMA Midshipmen Deposit Account Records.

Security classification:
Unclassified, sensitive.

System location:
Department of Budgets and Accounts, United States Merchant Marine
Academy, Kings Point, NY 11024.

Categories of individuals covered by the system:
All current midshipmen.

Categories of records in the system:
Name, social security number, and all midshipmen activity fee
deposits to the Academy.

Authority for maintenance of the system:
46 app U.S.C. 1295g.

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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.

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.

Retention and disposal:
Maintained for one year after graduation or separation, and then
destroyed.

System manager(s) and address:
Assistant Head, Department of Budgets and Accounts, 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.

Record access procedures:
Same as ``Notification Procedure.''

Contesting record procedures:
Same as ``Notification Procedure.''

Record source categories:
Midshipmen. Those authorized by midshipman to furnish information.
Department of Budgets and Accounts personnel.

Exemptions claimed for the system:
None.

[[Page 19545]]

DOT/MARAD 27

System name:
USMMA Midshipman Grade Transcripts.

Security classification:
Unclassified, sensitive.

System location:
Registrar's Office, United States Merchant Marine Academy, Kings
Point, NY 11024.

Categories of individuals covered by the system:
All present and past midshipmen.

Categories of records in the system:
Name; social security numbers; courses taken; grades received; and
cumulative average.

Authority for maintenance of the system:
46 app U.S.C. 1295g.

Purpose(s):
Record academic status of past and present midshipmen.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Sent to other schools or employers when requested by the
midshipman. 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, paper records in file drawers,
microfilm records, and magnetic tape.

Retrievability:
Alphabetically by midshipman's name.

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.

System manager(s) and address:
Registrar, United States Merchant Marine Academy, Kings Point, N.Y.
10024.

Notification procedure:
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:
The midshipman. Those authorized by the midshipman to furnish
information. Faculty. Registrar's staff.

Exemptions claimed for the system:
None.
DOT/MARAD 28

System name:
USMMA Midshipman Medical Files.

Security classification:
Unclassified, sensitive.

System location:
Medical Department, United States Merchant Marine Academy, Kings
Point, NY 11024.

Categories of individuals covered by the system:
All midshipmen.

Categories of records in the system:
Complete medical history prior to and during enrollment at the
Academy.

Authority for maintenance of the system:
46 app U.S.C. 1295g.

Purpose(s):
Maintain health of 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.

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:
Filed 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:
Radiographic file salvage five years after graduation. All other
documents combine within MA-18 Midshipmen Personnel Records after
graduation. If not appointed as Midshipman, the record is retained for
one year and destroyed.

System manager(s) and address:
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.

Record access procedures:
Same as Notification procedure.

Contesting record procedures:
Same as Notification procedure.

Record source categories:
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.

Exemptions claimed for the system:
Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from
portions of the act.
DOT/MARAD 29

System name:
USMMA Midshipman Personnel Records.

Security classification:
Unclassified, sensitive.

System location:
Office of the Commandant of Midshipman, United States Merchant
Marine Academy, Kings Point, NY 11024.

Categories of individuals covered by the system:
All current and former midshipmen since inception of the Academy in
1942. Also, all cadet corps personnel from 1938 to 1942.

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.

[[Page 19546]]

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.

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:
Paper records in file folders.

Retrievability:
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.

Record access procedures:
Same as ``Notification procedure.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
The subject midshipman. Faculty administrators and midshipman corps
officers who provide copies to the midshipman. Former employers,
teachers, and school authorities, and references. Government or private
physicians. United States Navy Security Officers. Those authorized by
the midshipman to furnish the information.

Exemptions claimed for the system:
Pursuant to 5 U.S.C. 552a(k)(5), this system is exempt from
portions of the act.

DOT/MARAD 30
System name:
Commitment Agreements.

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:
Students, graduates of United States Merchant Marine Academy and
State maritime academies.

Categories of records in the system:
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.

Authority for maintenance of the system:
46 App. U.S.C. 1295b(e).

Purposes(s):
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.

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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File information is on computer with hard copy back up material in
metal cabinets in a secured room.

Retrievability:
Name.

Safeguards:
Files are retrievable only through information known to the Academy
Program Officer or other persons authorized to perform data input
tasks.

Retention and disposal:
Files held until completion of eight-year service obligation period
or as determined by the Maritime Administration.

System manager(s) and address:
Maritime Administration, Academies Program Officer, Office of
Maritime Labor, Training & Safety, 400 Seventh Street, SW, Rm. 7302,
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:
Students, graduates of the United States Merchant Marine Academy
and State maritime academies.

Exemptions claimed for the system:
None.

DOT/NHTSA 401
System name:
Docket System.

Security classification:
Unclassified, sensitive.

System location:
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.

Categories of records in the system:
Summary of the nature of the comment or the report, date written
and filed, author affiliation.

Authority for maintenance of the system:
49 CFR Part 7 7.45, and Part 7, App.F.

Purpose(s):
Gather information for use in the NHTSA Reference Docket

[[Page 19547]]

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To gather information on responses to rules promulgated by NHTSA.
Users are both NHTSA staff members and public. Other uses include
searching for background data on standards, determining areas for
further research, and preparation for litigation. See Prefatory
Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual file.

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:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
From letters freely sent to NHTSA by the public; publications used
by engineers in writing standards.

Exemptions claimed for the system:
None.
DOT/NHTSA 402

System name:
Highway Safety Literature Personal Author File.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, National Highway Traffic Safety
Administration, NHTSA, Transportation Research Board, 2101 Constitution
Ave., NW., Washington, DC 20418.

Categories of individuals covered by the system:
Writers of technical articles and reports who have authored
publications selected for inclusion in the Highway Safety Literature
database.

Categories of records in the 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.

Authority for maintenance of the system:
5 U.S.C. 301, 49 U.S.C. 322.

Purpose(s):
Gather technical articles and reports for inclusion in NHTSA's
Highway Safety Literature catalog.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Users are principally NHTSA staff members and their contractors
who require literature searches prior to performing research. See
Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape.

Retrievability:
By individual name.

Safeguards:
Records are stored in file cabinets.

Retention and disposal:
Records are maintained indefinitely.

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:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Publications related to highway safety.

Exemptions claimed for system:
None.
DOT/NHTSA 411

System name:
General Public Correspondence System.

Security classification:
Unclassified, sensitive.

System location:
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.

Categories of individuals covered by the system:
Individuals who have requested information or advice from the
Agency.

Categories of records in the system:
Correspondence with individuals who have requested information or
advice on promoting devices.

Authority for maintenance of the system:
5 U.S.C. 301, 49 U.S.C. 322.

Purpose (s):
Provide agency with background information on number of issues,
reports, etc., and/or who seek guidance from NHTSA.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Reference purposes. 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:
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

[[Page 19548]]

Administration, Office of the Executive Secretary, NOA-10, 400 7th
Street, SW., Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Individuals.

Exemptions claimed for the system:
None.
DOT/NHTSA 413

System name:
Odometer Fraud Data Base Files.

Security classification:
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.

Categories of records in the system:
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.

Purposes(s):
To gather information to be used in allegations of odometer fraud.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Files are maintained for use in criminal investigations and to
support criminal prosecutions by the United States Department of
Justice. Data are released also to authorized State and Federal law
enforcement agencies and personnel and to victims under 42 U.S.C.
10606(b)(7). See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folder storage and in an electronic database.

Retrievability:
By individual name, dealer name, complainant name, case number and
vehicle identification number.

Safeguards:
Locked files and restricted electronic access. Files are regularly
used only by members of the Odometer Fraud Staff.

Retention and disposal:
Retained for five years after case is closed, then destroyed.

System manager(s) and address:
Department of Transportation, National Highway Traffic Safety
Administration, Attn: Chief, Odometer Fraud Staff, 400 Seventh Street,
SW., Room 6208, 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:
Victims, automobile dealers, banks, State motor vehicle
departments, State and Federal law enforcement agencies, and other
sources used during the course of criminal investigations.

Exemptions claimed for the system:
None.
DOT/NHTSA 415

System name:
Office of Defects Investigation/Defects Information System, ODI/
DIMS.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, National Highway Traffic Safety
Administration, NHTSA, Office of Defects Investigation, NSA-01, 400 7th
Street, SW., Room 2403, Washington, DC 20590.

Categories of individuals covered by the system:
Vehicle owners.

Categories of records in the system:
Vehicle identification, vehicle problem.

Authority for maintenance of the system:
Purpose(s):
To gather information/evidence in the conduct of alleged defective
vehicles or vehicle equipment.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Check complaints about vehicle defects to spot trends, resulting in
investigations of the vehicle model. See Prefatory Statement of General
Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Disc pack and paper file.

Retrievability:
Identification number for each vehicle owner.

Safeguards:
Coded entry numbers.

Retention and disposal:
Eight years or indefinite.

System manager(s) and address:
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.

Notification procedure:
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.

Record access procedures:
Same as ``Notification procedure''.

Contesting record procedures:
Same as ``Notification procedure''.

Record source categories:
General public, State highway offices, insurance companies, vehicle
manufacturers.

Exemptions claimed for the system:
None.
DOT/NHTSA 417

System name:
National Driver Register, NDR.

Security classification:
Unclassified, sensitive.

[[Page 19549]]

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.

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:
None.

Policies and Practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The NDR master file is maintained on disk storage. Source data
received as manual input (i.e. forms, letters) are converted to disk
storage. Source data received on magnetic tape are converted into
printed listings. All source data are batch filed.

Retrievability:
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.

Safeguards:
The data files are maintained in a building under surveillance by a
24-hour guard force. In addition, the spaces in which the files are
maintained are equipped with lockable doors, which are locked when
vacated. All NDR employees are briefed on NDR security requirements and
their responsibilities.

Retention and disposal:
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:
Chief, National Driver Register, National Highway Traffic Safety
Administration, NTS-24, Department of Transportation, Room 6124,
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:
Driver licensing administrators of the States, and the District of
Columbia, or the agencies within the jurisdictions responsible for such
records.

Exemptions claimed for the system:
None.
DOT/NHTSA 422

System name:
Temporary Exemption Petitions.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, National Highway Traffic Safety
Administration, NHTSA, Office of Chief Counsel, NCC-01, 400 7th Street,
SW., Room 5219, Washington, DC 20590.

Categories of individuals covered by the system:
Petitioners (commercial entities) seeking exemption from Federal
motor vehicle safety standards.

Categories of records in the system:
Income statement and balance sheets, production information.

Authority for maintenance of the system:
49 U.S.C. 30113.

Purpose(s):
Gather information regarding exemptions and possible penalties on
Federal motor vehicle safety standards.

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:
Office files.

Retrievability:
Temporary exemptions; filed by corporation's names.

Safeguards:
Available only to the System manager and his secretary.

Retention and disposal:
Permanent retention.

System manager(s) and address:
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:
Department of Transportation, National Highway Traffic Safety
Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW.,
Room 5219, Washington, DC 20590.

Record access procedures:
Same as ``Notification procedure.''

Contesting record procedures:
Same as ``Notification procedure.''

[[Page 19550]]

Record source categories:
Petitioners.

Exemptions claimed for the system:
None.
DOT/NHTSA 431

System name:
Civil Penalty Enforcement Files.

Security classification:
Unclassified, sensitive.

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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Office files.

Retrievability:
Files in CIR numerical order.

Safeguards:
Available only to the System Manager and his secretary.

Retention and disposal:
Records are retained indefinitely.

Notification procedure:
Department of Transportation, National Highway Traffic Safety
Administration, Office of Chief Counsel, NCC-01, 400 7th Street, SW.,
Room 5219, Washington, DC 20590.

Record access procedures:
Same as ``Notification procedure.''

Contesting record procedures:
Same as ``Notification procedure.''

Record source categories:
NHTSA investigations and tests.

Exemptions claimed for the system:
None.
DOT/NHTSA 436

System name:
Contract Grievance Records.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, National Highway Traffic Safety
Administration, NHTSA, Office of Human Resources, NAD-20, 400 7th
Street, SW., Room 5306, Washington, DC 20590.

Categories of individuals covered by the system:
Employees in the non-professional exclusive unit covered by the
NHTSA/AFGE contract of March 5, 1974.

Categories of records in the system:
Information or documents relating to a decision by the
Administration or an arbitrator affecting an individual.

Purpose(s):
To substantiate or deny allegations relating to employee
grievances.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to the Federal Labor Relation Authority in connection
with an Unfair Labor Practice Procedure or to respond to the appeal of
an arbitration award. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders and index cards.

Retrievability:
Retrieved by names of grievant(s).

Safeguards:
Access limited to those with official ``need to know.'' Personnel
screening is employed to prevent unauthorized disclosure.

Retention and disposal:
The records are maintained up to 3 years and then retired to the
Washington National Records Center.

System manager(s) and address:
Director, Office of Human Resources, Department of Transportation,
National Highway Traffic Safety Administration, NAD-20, 400 7th Street,
SW., Room 5306, Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Individual to who record pertains and/or representative; agency
officials; employees; witnesses; official documents; etc.

Exemptions claimed for the system:
None.
DOT/NHTSA 463

System name:
Motor Vehicle Importation Information, MVII.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, National Highway Traffic Safety
Administration, Office of Vehicle Safety Compliance, NSA-32, 400 7th
Street, SW., Washington, DC 20590.

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.

[[Page 19551]]

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be released to the Environmental Protection Agency for
compliance with the Clean Air Act and to the United States Customs
Service for import requirements. Released to State divisions of motor
vehicles for state purposes and to law enforcement agencies in alleged
fraud cases. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

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:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Forms executed by importers or declarants for the NHTSA, United
States Customs Service, and the Environmental Protection Agency.

Exemptions claimed for the system:
None.
DOT/OST 003

System name:
Allegations of Infringement of United States Patents.

Security classification:
Unclassified, sensitive.

System location:
Office of the Secretary of Transportation, Office of the General
Counsel, 400 7th Street, SW., Room 10102, Washington, DC 20590.

Categories of individuals covered by the system:
Individuals who believe that an agency of the Department of
Transportation is infringing a United States patent owned by the
individual. Categories of records in the system: Copies of
correspondence alleging that agencies of the Department of
Transportation have infringed, or are infringing, United States patents
owned by the originators of the correspondence. Copies of replies by
the Department Patent Counsel to the originator of the allegation.
Copies of correspondence forwarding the allegation to the particular
Department agency accused for their comment; their replies to Patent
Counsel. Copies of correspondence between the Department of
Transportation and the Department of Justice concerning the
allegations.

Categories of records in the system:
Copies of correspondence alleging that agencies of the Department
of Transportation have infringed, or are infringing, United States
patents owned by the originators of the correspondence. Copies of
replies by the Department Patent Counsel to the originator of the
allegation. Copies of correspondence forwarding the allegation to the
particular Department agency accused for their comment; their replies
to Patent Counsel. Copies of correspondence between the Department of
Transportation and the Department of Justice concerning the
allegations.

Authority for maintenance of the system:
28 U.S.C. 1498.

Purpose(s):
Document allegations that agencies of the Department of
Transportation have infringed, or are infringing, United States
patents.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used as a record of allegations and Patent Counsel's actions
thereon. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders stored in file cabinets.

Retrievability:
Indexed individually by name in alphabetical sequence.

Safeguards:
Records are disclosed only to individuals with established legal
interest or legal ``need to know.''

Retention and disposal:
Transfer to Federal Records Center two years after close of file;
destroy 25 years after close of file.

System manager(s) and address:
Mailing address: Patent Counsel, C-15, United States Department of
Transportation, and Washington, DC 20590. Office Location: 400 7th
Street, SW., Room 10102.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System Manager.''

Record source categories:
Patent owners.

Exemptions claimed for the system:
None.
DOT/OST 004

System name:
Board for Correction of Military Records, BCMR.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
Office of the General Counsel, 400 7th Street, SW., Room 4100,
Washington, DC 20590.

Categories of individuals covered by the system:
Military personnel requesting the Board for Correction of Military
Records to correct their military records.

Categories of records in the system:
Copies of actions of the General Counsel acting under delegated

[[Page 19552]]

authority approving or disapproving BCMR cases.

Authority for maintenance of the system:
10 U.S.C. 1552.

Purpose(s):
Used as a record of the General Counsel's action in individual BCMR
cases.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders stored in file cabinets (Conserv-a-File).

Retrievability:
Indexed individually by name in alphabetical sequence.

Safeguards:
Files are kept in the office of the Assistant General Counsel.
Requests are referred to the Executive Secretary, BCMR.

Retention and disposal:
Retained indefinitely for precedential purposes.

System manager(s) and address:
Mailing Address: Assistant General Counsel for Environmental, Civil
Rights and General Law, C-10, United States Department of
Transportation, Washington, DC 20590. Office Location: 400 7th Street,
SW., Room 10102.

Notification procedure:
Contact ``System manager.''

Record access procedures:
Contact ``System manager.''

Contesting record procedures:
Same as ``Record access procedure.''

Record source categories:
Official agency records; hearings, documentary material from
outside the agency.

Exemptions claimed for the system:
None.
DOT/OST 012

System name:
Files Relating to Personnel Hearings.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
Office of the General Counsel, 400 7th Street, SW., Room 10102,
Washington, DC 20590.

Categories of individuals covered by the system:
Certain employees of the Office of the Secretary who have availed
themselves of the opportunity for a hearing in certain personnel
matters.

Categories of records in the system:
Notices of proposed adverse actions, answers of employees, notices
of decisions, and supporting material.

Authority for maintenance of the system:
5 U.S.C. 1215, 1216, 7503(c), 7513(e), 7521, and 7543(e).

Purpose(s):
A record of the legal services performed and reference material for
future cases.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by agency management in the preparation and conduct of
administrative hearings. See Prefatory Statement of General Routine
Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders stored in file cabinets (Conserv-a-File).

Retrievability:
Indexed individually by name in alphabetical sequence.

Safeguards:
Files are kept in the office of the Assistant General Counsel.

Retention and disposal:
Retire in 3 years; destroy in 6 years.

Notification procedure:
Apply to System manager.

Record access procedures:
Apply to System manager.

Contesting record procedures:
Same as ``Record access procedure.''

Record source categories:
Official agency records; hearings; documentary material from
outside the agency.

Exemptions claimed for the system:
None.
DOT/OST 016

System name:
General Investigations Record System.

Security classification:
Unclassified (law enforcement sensitive).

System location:
TASC Security Operations, SVC-150, Department of Transportation,
DOT, 400 7th Street, SW., Washington, DC 20590.

Categories of individuals covered by the system:
DOT employees and contractors.

Categories of records in the system:
Incident reports covering occurrences relating to the security of
DOT personnel and headquarters buildings.

Authority for maintenance of the system:
5 U.S.C. 301; 49 U.S.C. 322.

Purpose(s):
To maintain computerized records covering the security of DOT
personnel and headquarters buildings. To develop proper responses to
patterns of incidents.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses; 5 and 9 do not
apply.

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

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in file folders. Paper records in case folders
in manual filing system.

[[Page 19553]]

Retrievability:
By name or incident title.

Safeguards:
Files are maintained in a locked room with appropriate access
controls. Access to the files is restricted to authorized personnel on
a ``need-to-know'' basis. With appropriate access controls.

Retention and disposal:
Records older than 5 years are deleted.

System manager(s) and address:
Principal, TASC Security Operations, SVC-150, 400 7th Street, SW.,
Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``Record access procedure.''

Record source categories:
These records contain information obtained from interviews; review
of records and other authorized techniques.

Exemptions claimed for the system:
Investigative data compiled for law enforcement purposes may be
exempt from the access provisions pursuant to 5 U.S.C. 552a (j)(2),
(k)(1) or (2).
DOT/OST 019

System name:
Individual Personal Interests in Intellectual Property.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
Office of the General Counsel, 400 7th Street, SW., Room 10102,
Washington, DC 20590.

Categories of individuals covered by the system:
Inventors employed by or having contractual relationships with the
Department of Transportation and other Government agencies.

Categories of records in the system:
Invention disclosures, Government Patents Branch cases, patent
applications, issued patents, and license agreement files.

Authority for maintenance of the system:
49 U.S.C. 322.

Purpose(s):
Used by Patent Counsel and staff as a record of determination of
rights in inventions, determination of novelty and patent ability,
determination of patent coverage, and allocation of rights in issued
patents.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders stored in file cabinets.

Retrievability:
Indexed individually by name in alphabetical sequence.

Safeguards:
Records are disclosed only to individuals who have legal interest
in the records or legal ``need to know.''

Retention and disposal:
Transfer to Federal Records Center two years after close of file;
destroy 25 years after close of file.

System manager(s) and address:
Mailing Address: Patent Counsel, C-15, United States Department of
Transportation, and Washington, DC 20590. Office Location: 400 7th
Street, SW., Room 10102.

Notification procedure:
Apply to ``System manager.''

Record access procedures:
Apply to ``System manager.''

Contesting record procedures:
Same as ``Record access procedures''

Record source categories:
Individual inventors, technical evaluators, and United States
Patent and Trademark Office.

Exemptions claimed for the system:
None.
DOT/OST 035

System name:
Personnel Security Record System.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, Transportation Administrative Service
Center, Security Operations, SVC-150, 400 7th Street, SW., Washington,
DC 20590.

Categories of individuals covered by the system:
DOT applicants, employees, former employees, contractors, and
detailees to DOT from other Federal agencies.

Categories of records in the system:
Records of personnel security processing, personal data on
investigative and employment forms completed by the individual, reports
of investigations, records of security and suitability determinations,
records of access authorizations granted, documentation of security
briefings/debriefings received, record of security violations by the
individual.

Authority for maintenance of the system:
5 U.S.C. 301; 49 U.S.C. 322.

Purpose(s):
To make suitability determinations for employment or retention in
government service, assignment to sensitive duty positions and access
to classified information.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by Departmental personnel security representatives, including
contractor personnel, for making security determinations and granting
access authorizations, by Departmental personnel management officials
for making suitability determinations, by representatives of other
Federal agencies with which the individual is seeking employment, and
by Federal agencies conducting official inquiries to the extent that
the information is relevant and necessary to the requesting agency's
inquiry, and by Departmental officials, to the extent necessary, to
identify the individual to sources from whom information is requested
for any of the foregoing purposes to inform the source of the nature
and purpose of the request and to indicate the type of information
requested. See Prefatory Statement of General Routine Uses.

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

[[Page 19554]]

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Completed forms and typed pages in individual folders in a manual
filing system, and on a manual system control cards.

Retrievability:
By name.

Safeguards:
Stored in locked room with proprietary lock or in approved security
safe. Access limited to authorized staff members.

Retention and disposal:
Retained in accordance with General Records Schedule 18. Authorized
destruction done by secure means used for classified materials.

System manager(s) and address:
Principal, TASC Security Operations, SVC-150, Department of
Transportation, 400 7th Street, SW., Washington, DC 20590.

Notification procedure:
Same as System manager.

Record access procedures:
Same as System manager. However, information compiled solely for
the purpose of determining suitability, eligibility, or qualification
for Federal civilian employment or access to classified information may
be exempted from the access provisions pursuant to 5 U.S.C. 552a(k)(5).

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Investigative sources contacted in personnel security
investigations, National Agency Check and Written Inquiry and similar
investigations; investigative reports reviewed at other Government
agencies; personal history statements, employment applications and
other data provided by the individual and/or other agencies.

Exemptions claimed for the system:
Information compiled solely for the purpose of determining
suitability, eligibility, or qualification for federal civilian
employment or access to classified information may be exempted from the
access provisions pursuant to 5 U.S.C. 552a(k)(1) and/or (5).
DOT/OST 037

System name:
Records relating to Applications for Senate Confirmation of
Proposed Executive Appointments to the Department of Transportation.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
Office of the Assistant General Counsel for Environmental, Civil Rights
and General Law, 400 7th Street, SW., Room 10102, Washington, DC 20590.

Categories of individuals covered by the system:
Individuals nominated for top executive positions of the Department
of Transportation.

Categories of records in the system:
Financial data and biographical data.

Authority for maintenance of the system:
5 U.S.C. App. 101, Executive Order 12731, and regulations of the
Office of Government Ethics.

Purpose(s):
Data submitted to the General Counsel as reviewing official by
subject individual for use by the Senate Commerce Committee to
determine if there would be a conflict of interest, or the appearance
of a conflict of interest, in subject's appointment to the Department
of Transportation.

Disclosure to consumer reporting agencies:
None.

Routine uses of records maintained in the system, including categories
of 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:
Legal sized documents located in locked safe.

Retrievability:
Individual names filed alphabetically.

Safeguards:
Physical security consists of filing records in safe; data released
to Senate Commerce Committee and authorized officials only of the
Department.

Retention and disposal:
Records are retained for 6 years then destroyed.

System manager(s) and address:
Mailing Address: Deputy General Counsel, C-2, United States
Department of Transportation, and Washington, DC 20590. Office
Location: 400 7th Street, SW., Room 10428.

Notification procedure:
Inquiries may be addressed to the Deputy General Counsel at the
address above, either in person or in writing. If written the
individual must provide a notarized signature.

Record access procedures:
Access to records requires the individual to contact in person or
write the Deputy General Counsel.

Contesting record procedures:
Contest of a record is also through the Deputy General Counsel.

Record source categories:
Subject individual provides Documents.

Exemptions claimed for the system:
None.
DOT/OST 041

System name:
Correspondence Control Mail, CCM.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, Office of the Secretary, OST,
Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.

Categories of individuals covered by the system:
Individuals who write, or are referred in writing by a second
party, to the Secretary, Deputy Secretary, Deputy Under Secretary, and
their immediate offices. Individuals who are the subject of an action
requiring approval or action by one of the forenamed, such as appeal
actions, training, awards, foreign travel, promotions, selections,
grievances, and discipline.

Categories of records in the system:
Correspondence submitted by, or on behalf of, an individual,
including resumes, letters of reference, etc. Responses to such
correspondence. Staff recommendations on actions requiring approval or
action by one of the forenamed.

Authority for maintenance of the system:
49 CFR 1.23(j).

Purpose(s):
The purpose of the system is to provide history of correspondence
addressed to and signed by the Secretary and Deputy Secretary of
Transportation.

[[Page 19555]]

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Referral to the appropriate action office within or outside the
Department for preparation of a response. Referral to the appropriate
agency for actions involving matters of law or regulation beyond the
responsibility of the Department, such as the Civil Service Commission
for employee appeals, the Department of Justice in matters of law
enforcement, etc. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer disc and--selectively--on microfilm for all records since
1/1/74. In hard copy for all records prior to 1/1/74.

Retrievability:
Indexed by name of correspondent, referring individual, and subject
category (e.g., ``employment'' for applicants) from 1/1/74 on. Indexed
by name of correspondent prior to 1/1/74.

Safeguards:
Computer microfilm records, and remote reader terminals, which
permit random access to the system records, are locked after office
hours. During office hours computer is accessible only through
terminals operated by, and under the surveillance of, authorized
employees of the Executive Secretary.

Retention and disposal:
Hard-copy records for 1967-1969 and duplicate microfilms for 1974-
1989 are in the custody of National Archives and Records
Administration, NARA. Microfilm Records from 1990 and following are
retained in the Departmental headquarters building. Records are retired
to NARA on a space-needed basis.

System manager(s) and address:
Department of Transportation, DOT, Office of the Secretary, OST,
Executive Secretariat, 400 7th Street, SW., Washington, DC 20590.

Notification procedure:
Inquiries should be directed to the System Manager. Helpful
information, in addition to the individual's name, includes date(s),
subject matter, and addressee(s) of the incoming correspondence, and
date(s) and author(s) of the response(s).

Record access procedures:
Contact System Manager for information on procedures for gaining
access to records.

Contesting record procedures:
Contact System Manager for information on procedures for contesting
records. Appeals should be directed to the Secretary of Transportation,
if request for Modification or deletion is denied.

Record source categories:
Correspondence from individual, his representative or sponsor.
Responses to incoming correspondence. Related material provided for
background as appropriate.

Exemptions claimed for the system:
None.
DOT/OST 045

System name:
Unsolicited Contract or Research and Development Proposals
Embodying Claims of Proprietary Rights.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
Office of the General Counsel, 400 7th Street, SW., Room 10102,
Washington, DC 20590.

Categories of individuals covered by the system:
Individuals who believe they have original and innovative ideas in
the field of transportation.

Categories of records in the system:
Copies of descriptions of proposed innovations or inventions and
methods of carrying out the proposal. Evaluations by Patent Counsel of
the adequacy and propriety of restrictive markings on the proposals and
correspondence of the Patent Counsel pertaining thereto.

Authority for maintenance of the system:
49 U.S.C. 322.

Purpose(s):
Used as a record of Patent Counsel's action in individual
unsolicited proposal cases.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders stored in file cabinets (Conserv-a-File).

Retrievability:
Indexed individually by name and subject in alphabetical sequence.

Safeguards:
Records are disclosed only in accordance with the terms of
restrictive markings agreed upon between submitter and DOT.

Retention and disposal:
Transfer to storage when three years old; Destroy after six years.

System manager(s) and address:
Mailing Address: Patent Counsel, C-15, United States Department of
Transportation, Washington, DC 20590. Office Location: 400 7th Street,
SW., Room 10102.

Notification procedure:
Apply to ``System manager.''

Record access procedures:
Apply to ``System manager.''

Contesting record procedures:
Same as ``Record access procedure.''

Record source categories:
Forwarded by individual or by the DOT office to whom unsolicited
proposal was addressed.

Exemptions claimed for the system:
None.
DOT/OST 046

System name:
Visit Control Records System.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, Transportation Administrative Service
Center (TASC), Security Operations, SVC-150, 400 7th Street, SW., Room
10401, Washington, DC 20590.

Categories of individuals covered by the system:
DOT employees, Industrial Security contractor employees, non-
employee visitors to DOT facilities during security hours.

Categories of records in the system:
Record of clearance certification (level, date granted and basis)
on employees to visit facilities or attend meetings involving
classified

[[Page 19556]]

information. Record of security clearance data for visitors to DOT
facility from other agencies and from contractors. Record of
individuals other than employees who are authorized access to DOT
facilities during security hours.

Authority for maintenance of the system:
5 U.S.C. 301; 49 U.S.C. 322.

Purpose(s):
Maintain a record of clearances for individuals attending
classified meetings.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Confirming to the proper authorities the security clearance for
individuals requiring access to classified information; identifying
individuals authorized to be present in DOT facilities. See Prefatory
Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored in an alarm-secured area in a locked Lek-Triever file.

Retrievability:
By name.

Safeguards:
Stored in locked room with proprietary lock, available only to
authorized staff members.

Retention and disposal:
Maintained until expiration of visit, then destroyed.

System manager(s) and address:
Principal, TASC Security Operations, SVC-150, Department of
Transportation, 400 7th Street, SW., Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Security clearance information furnished by personnel security
officers. Visit data furnished by individual.

Exemptions claimed for the system:
None.
DOT/OST 056

System name:
Garnishment Files.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
Office of the General Counsel, Office of the Assistant General Counsel
for Environmental, Civil Rights and General Law, 400 7th Street, SW.,
Room 10102, Washington, DC 20590 and Office of the Chief Counsel of
employing DOT agency.

Categories of individuals covered by the system:
Employees of the, DOT, including members of the Coast Guard, whose
pay is sought to be attached under section 459 of the Social Security
Act, 42 U.S.C. 659, for alimony or child support, or under 5 U.S.C.
5520a, for commercial debt.

Categories of records in the system:
Correspondence and court orders, and copies thereof, concerning
attachment of employees' pay.

Authority for maintenance of the system:
42 U.S.C. 659; 5 U.S.C. 5520a.

Purpose(s):
Used as record of garnishments and Garnishment Attorney's action
thereon.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders stored in the Garnishment Attorney's office.

Retrievability:
Indexed individually by name in alphabetical order.

Safeguards:
Records are disclosed only to individuals with established legal
interest or legal ``need to know.''

Retention and disposal:
Retained for as long as the attachment of pay continues and
thereafter as needed for precedential value.

System manager(s) and address:
Mailing Address: Garnishment Attorney, C-10, United States
Department of Transportation, Washington, DC 20590. Office Location:
400 7th Street, SW., Room 10102.

Notification procedure:
Apply to ``System manager.''

Record access procedures:
Apply to ``System manager.''

Contesting record procedures:
Apply to ``System manager.''

Record source categories:
Data are obtained from state courts and agencies, private
attorneys, custodians of children of DOT employees, and federal pay
records.

Exemptions claimed for the system:
None.
DOT/OST 057

System name:
Honors Attorney Recruitment Files, DOT/OST.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
Office of the General Counsel, 400 7th Street, SW., Room 10428,
Washington, DC 20590.

Categories of individuals covered by the system:
Third-year law students and recent law school graduates.

Categories of records in the system:
Resumes, transcripts, copies of Personnel Form 171. Authority for
maintenance of the system: 49 U.S.C. 323.

Purposes:
Used by General Counsel, Chief Counsels, and their staffs in
filling job vacancies for attorneys.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders in file cabinets.

Retrievability:
Indexed individually by name in alphabetical order.

[[Page 19557]]

Safeguards:
Records are disclosed only to individuals who have legal interests
in the records or a legal need-to-know.

Retention and disposal:
Retained at system location for 5 years, then destroyed.

System manager(s) and address:
Mailing Address: Special Assistant to the General Counsel, C-4,
United States Department of Transportation, Washington, DC 20590.
Office Location: 400 7th Street, SW., Room 10428.

Notification procedure:
Contact the ``System manager.''

Record access procedures:
Contact the ``System manager.''

Contesting record procedures:
Same as ``Record access procedure.''

Record source categories:
Law students, recent law school graduates, General Counsel, Chief
Counsels and their staffs.

Exemptions claimed for the system:
None.
DOT/OST 059

System name:
Files of the Board for Correction of Military Records, BCMR, for
the Coast Guard.

Security classification:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
Office of the General Counsel, Board for Correction of Military
Records, 400 7th Street, SW., Room 4100, Washington, DC 20590.

Categories of individuals covered by the system:
Individuals who have filed applications for relief before the
Board.

Categories of records in the system:
Applications and related documents, Board decisions, and official
military records of applicants.

Authority for maintenance of the system:
10 U.S.C. 1552.

Purpose:
Used by the Chairman, the Board, the Executive Secretary, and Staff
in determining whether to grant relief to applicants.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by the Coast Guard in presenting its views to the Board
concerning pending cases. Also used by applicant and his
representative. Used by the General Counsel and his/her staff in
determining whether to approve decisions of the Board. See Prefatory
Statement of General Routine Uses.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders stored in file cabinets.

Retrievability:
Indexed individually by name in one of two alphabetical sequences
representing pending and closed cases. Also indexed by docket number.
Pending cases filed by docket number; closed cases filed
alphabetically.

Safeguards:
Records are disclosed only to the applicant, his representative,
interested members of Congress, and the Coast Guard.

Retention and disposal:
Transfer of official military record of individual separated from
service to Federal Records Center when case closed; transfer of
official military record of Active or Reserve member to Coast Guard
Headquarters when case closed; retention of application file in all
cases.

System manager(s) and address:
Mailing Address: Executive Secretary, Board for the Correction of
Military Records, C-60, United States Department of Transportation,
Washington, DC 20590. Office Location: 400 7th Street, SW., Room 4100.

Notification procedure:
Apply to ``System manager.''

Record access procedures:
Apply to ``System manager.''

Contesting record procedures:
Same as ``Record access procedure.''

Record source categories:
United States Coast Guard, Veterans Administration, individual
applicants.

Exemptions claimed for the system:
None.
DOT/OST 100

System name:
Investigative Record System.

Security classification:
Unclassified--sensitive.

System location:
Office of Inspector General, DOT/OST, 400 Seventh Street, SW.,
Washington, DC 20590. OIG Regional Offices in Baltimore, MD; Atlanta,
GA; Chicago, IL; Fort Worth, TX; San Francisco, CA; and New York, NY;
and Federal Records Center (FRC), Washington, DC.

Categories of individuals covered by the system:
Present and former DOT employees, DOT contractors and employees as
well as grantees, sub-grantees, contractors, subcontractors and their
employees and recipients of DOT monies, and other individuals or
incidents subject to investigation within the purview of the Inspector
General Act.

Categories of records in the system:
Results of investigations and inquiries conducted by Inspector
General, OST; reports of investigations conducted by other
departmental, Federal, state, and local investigative agencies which
relate to the mission and function of the Inspector General; reports
and indices relating to ``hotline'' complaints; and investigative case
index card files.

Authority for maintenance of the system:
Inspector General Act of 1978, 5 U.S.C. App.

Purpose(s):
Document the administration of investigations and inquiries
conducted under of the Inspector General Act of 1978.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information contained in the Investigative Records System is
collected and maintained in the administration of the Inspector General
Act of 1978 (Pub. L. 95-452) to investigate, prevent, and detect fraud
and abuse in departmental programs and operations. Material gathered is
used for prosecutive, civil, or administrative actions. These records
may be disseminated, depending on jurisdiction to: DOT Officials in the
administration of their responsibilities; other Federal, State, local,
or foreign agencies or administrations, having interest or jurisdiction
in the matter. See also Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:

[[Page 19558]]

Storage:
Paper records in case folders in manual filing system and on index
cards.

Retrievability:
By name or incident title.

Safeguards:
Investigative files and case index files are maintained in several
spaces with appropriate access controls. Access to investigative files
is restricted to authorized personnel on a ``need to know'' basis.

Retention and disposal:
Investigative material is destroyed by secure means used for
classified materials. Central OIG investigative files are maintained in
OIG Headquarters, from where the files are transferred to the FRC
Washington, DC, at prescribed intervals and destroyed in accordance
with the following schedule:
Lead Cases. Case files and temporary contents are destroyed 180
days after transmittal of the investigative report and permanent case
documents to the case control office.
Official Case Folders. Official Investigative Case Folders are
maintained for a period of 2 years in OIG Headquarters upon completion
of legal or administrative action and transferred to the FRC
Washington, DC, where they are held and destroyed 10 years from the
date of receipt by FRC Washington, DC.
Investigative and Hotline Indices. Destroyed 20 years after date of
creation.
OIG Hotline Files. Transferred to FRC Washington, DC, 2 years after
completion of legal or administrative action. Destroyed 10 years from
date of receipt by FRC Washington, DC.
General Investigative and Hotline Files. Retained in OIG
Headquarters and Field Offices. Destroyed when 5 years old.

System manager(s) and address:
Assistant Inspector General for Investigations, JI-1, Office of
Inspector General, Department of Transportation, 400 Seventh Street,
SW., Room 9210, Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
These records contain information obtained from interviews, review
of records and other authorized investigative techniques.

Exemptions claimed for the system:
Investigative data compiled for law enforcement purposes may be
exempt from the access provisions pursuant to 5 U.S.C. 552a (j)(2),
(k)(1), or (k)(2).
DOT/OST 101

System name:
Transportation Inspector General Reporting System, TIGR.

Security classification:
Unclassified, sensitive.

System location:
Office of Inspector General, DOT/OST, 400 Seventh Street, SW.,
Washington, DC 20590

Categories of individuals covered by the system:
All active employees of the OIG, with history data on previous
employees maintained for 2 years. Present and former DOT employees, DOT
contractors and employees as well as grantees, subgrantees,
contractors, subcontractors and their employees and recipients of DOT
monies, and other individuals or incidents subject to investigation
within the purview of the Inspector General Act.

Categories of records in the system:
Individual's current position and employment status, assignments,
travel, experience, training, with the following personal data: Name,
social security account number, date of birth, service computation
date, career status, address, assigned station, job series, education,
grade, minority status, and personnel transaction date. Investigative
information consists of investigation targets' name and social security
account number, organization name, type of investigation, offense data,
source of referral data and action taken.

Authority for maintenance of the system:
Inspector General Act of 1978, 5 U.S.C. App.

Purpose(s):
The purpose of the system is to provide individuals with a need to
know with specific information related to (1) time and attendance of
employees; (2) workload status reports; (3) security clearance alerts;
(4) travel information, etc.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Security clearance notification alerts may be provided to an
examined activity in advance of visits by OIG personnel if information
to be examined requires a secret clearance or above; (2) time and
attendance reports will be used to track temporary duty travel
frequency and duration, to categorize indirect time for periodic
reports, and to accrue staff hour data on assigned projects; (3)
planned annual leave reporting will be used by various managers for
workload planning and travel scheduling; (4) assignments information
and workload status information will be used by managers to control
audits and investigations, and to maximize effectiveness of staff
resources; (5) miscellaneous personnel information will be used by
staff managers to determine training needs, promotional eligibility,
education and background, and professional organization participation;
(6) information will be used to produce resource management reports;
(7) travel information will be used by managers to control temporary
duty travel, travel costs and issuances of travel orders; and (8)
investigative information is collected and maintained in the
administration of the Inspector General Act of 1978 (Pub. L. 95-452) to
investigate, prevent, and detect fraud and abuse in departmental
programs and operations. Material gathered is used for investigative
case management. See also Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Active reports on magnetic disk, with backup active records and
inactive records maintained on magnetic tape.

Retrievability:
Records will be retrievable through employee social security
number, by name, or incident title, with selected records having
certain secondary keys consisting of certain other data elements,
listed in the ``Categories of Records in the System.''

Safeguards:
(1) Records will be maintained in a private library not accessible
by any unauthorized user; (2) authorized user identification codes will
be tied to multiple password system to afford additional protection;
(3) any attempt to bypass the password protection system will result in
``Log-Off'' from the system or denial of access to data if access to
system is authorized; (4) physical access

[[Page 19559]]

to system documentation, hardcopy printouts, personal data files, and
terminals will be restricted to authorized personnel by maintaining a
secure environment in the headquarters office; (5) access to data will
be restricted to those who require it in the performance of their
official duties and the individual who is the subject of the record (or
authorized representative); and (6) tape files will be maintained in an
environmentally secure vault area when not in use.

Retention and disposal:
Records will be maintained for 2 years after they become inactive.
All inactive records will be maintained on magnetic tape within the
computer center and will be afforded the same safeguards as active
records. Machine-resident records will be destroyed at the end of the
2-year period. Hard copy records will be retained until the records are
replaced or become obsolete.

System manager(s) and address:
Director of Information Resource Management, JM-10, Office of
Inspector General, Department of Transportation, 400 7th Street, SW.,
Room 7117, Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
(1) Official personnel folder; (2) other personnel documents; (3)
activity supervisors; (4) individual applications and forms; and (5)
information obtained from interviews, review of records and other
authorized investigative techniques.

Exemptions claimed for the system:
Investigative data compiled for law enforcement purposes may be
exempt from the access provisions pursuant to 5 U.S.C. 552a(j)(2),
(k)(l), or (k)(2).
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 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 Director-designate 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:
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.

Categories of records in the system:
Personnel and security forms completed by individuals consisting of
applications, statements of understanding by employers, security and
identification data from 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.

Retrievability:
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.

System manager(s) and address:
Research and Special Programs Administration (DPB-30), Director of
Emergency Transportation, Department of Transportation (Room 8330),
Washington, DC 20590.

[[Page 19560]]

Notification procedure:
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.

Record access procedures:
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:
Transportation Research Activities Information Service, TRAIS.

Security Classification:
Unclassified, Sensitive

System location:
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:
Program/Project Managers and research investigators.

Categories of records in the system:
Notification of Technical Research and Development.

Authority for maintenance of the system:
49 U.S.C. 112(d)(3).

Purpose(s):
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:
Information on on-going and completed research and development
accomplishments. See Prefatory Statement of General Routine Uses.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer disc 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:
Up to three-year retention and then tape is reused which destroys
previous data.

System manager(s) and address:
Chief, Transportation Research Activity Information Services
Branch, TST-25.1, Department of Transportation, Office of the
Secretary, 400 7th Street, SW., Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

Record source categories:
Contract Awards from Contracting Offices, Publication of Technical
Report.

Exemptions claimed for the system:
None.
DOT/RSPA 05

System name:
Transportation Research Information Service On Line, TRIS-On-Line.

Security Classification:
Unclassified, Sensitive.

System location:
Department of Transportation, DOT, Office of the Secretary, OST,
System physically located at the: Battelle Laboratories, Columbus, OH.

Categories of individuals covered by the system:
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:
49 U.S.C. 112(d)(3).

Purpose(s):
To maintain information concerning on-going and completed research
and development accomplishments.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer disc storage and magnetic tape.

Retrievability:
Retrievable by keywords and accession number assigned by Data Base
Administrator, batch or on-line interaction.

Safeguards:
Physical security--User identification keywords and passwords.

Retention and disposal:
Up to five-year accessibility, tape goes to archival storage.

System manager(s) and address:
Chief, Transportation Research Information Services Branch, TST-
25.1, Department of Transportation, Office of the Secretary, 400 7th
Street, SW., Washington, DC 20590.

Notification procedure:
Same as ``System manager.''

Record access procedures:
Same as ``System manager.''

Contesting record procedures:
Same as ``System manager.''

[[Page 19561]]

Record source categories:
Contract awards received from Contracting Offices, Publication of
Technical Reports.

Exemptions claimed for the system:
None.
DOT/RSPA 06

System name:
Emergency Alerting Schedules.

Security classification:
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 subordinates (national
and regional) and to individuals listed. 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:
Publication is maintained in stock, in listings in each office of
record, and in standard filing equipment in locked file rooms.

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.

Record access procedures:
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.''

Record source categories:
Office or Agency of employment.

Exemptions claimed for the system:
None.
DOT/RSPA 08

System name:
Technical Pipeline Safety Committees for Natural Gas and Hazardous
Liquid.

Security Classification:
Unclassfied, sensitive.

System location:
Department of Transportation, DOT, Research and Special Programs
Administration, Office of Pipeline Safety, 400 7th Street, SW., Room
2335, Washington, DC 20590.

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.

Disclosure to consumer reporting agencies:
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:
Kept indefinitely.

System manager(s) and address:
Advisory Committee Executive Director, Department of
Transportation,

[[Page 19562]]

Office of Pipeline Safety, 400 7th Street, SW., Washington, DC 20590.

Notification procedure:
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:
Sensitive.

System location:
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 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.

Categories of records in the system:
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.

Authority for maintenance of the system:
49 CFR 191.5 and 195.52.

Purpose(s):
To provide early notification of hazardous liquid and natural gas
pipeline releases.

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 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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained on magnetic media.

Retrievability:
Records are retrievable by all entered fields including the names
of individuals included in the record.

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 access-controlled
building.

Retention and disposal:
Records are retained permanently on magnetic disk or tape.

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 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.

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.

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.

Exemptions claimed for the system:
None.
DOT/RSPA 10

System name:
Hazardous Materials Incident Written Report System.

Security Classification:
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.

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.

[[Page 19563]]

Authority for maintenance of the system:
49 CFR 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 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.

Disclosure to consumer reporting agencies:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained on magnetic disk. Duplicate paper,
microfilm or electronic image copies are also retained by RSPA in file
cabinets.

Retrievability:
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
user-name/password access procedures. The computer on which data is
recorded is maintained in an access-controlled room in an access-
controlled building. Paper and microfilm copies are stored in a room
locked during non-duty hours.

Retention and disposal:
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.''

Record source categories:
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.
DOT/RSPA 11

System name:
Hazardous Materials Information Requests System.

Security Classification:
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.

Categories of individuals covered by the system:
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:
These records are maintained on magnetic disk. Duplicate paper
copies of recent reports are retained by RSPA offices in file folders.

Retrievability:
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

[[Page 19564]]

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 access-controlled 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.

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.

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.

Categories of individuals covered by the system:
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).

Purpose(s):
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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.

Retrievability:
Records are retrieved by name.

Safeguards:
Records are kept in locked file cabinets and are accessible only
to the Chief Counsel and persons authorized by him.

Retention and disposal:
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.

Record access procedures:
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.

Contesting record 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.

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.

Exemptions claimed for the system:
None.
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.

Categories of individuals covered by the system:
Employees and consultants.

Categories of records in the system:
Payroll and leave records, work measurement records, and travel
vouchers.

Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101, 33 U.S.C. 984(a)(4).

Purpose(s):
This system integrates leave, payroll, work measurement, and
travel Voucher records.

Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
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.

[[Page 19565]]

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)).

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:
Records are retrieved by name and social security number.

Safeguards:
Records are kept in locked file cabinets or locked rooms accessible
to Appropriate supervisor, his/her immediate assistants and secretary.

Retention and disposal:
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.

Record access procedures:
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.

Record source categories:
Information contained in this system would come from Saint
Lawrence Seaway Development Corporation records.

Exemptions claimed for the system:
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:
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.

Authority for maintenance of the system:
49 U.S.C 328, Volpe Center Working Capital Fund; 5 U.S.C 301.

Purpose(s):
For computer facility planning; budget analysis; procurement
tracking; contract administration; property control.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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:
None.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape and disk.

Retrievability:
Indexed by employees name, project number, procurement number,
contract number, travel number, work plan budget number.

Safeguards:
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.

Retention and disposal:
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 fiscal-year-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

[[Page 19566]]

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.

Exemptions claimed for the system:
None.
DOT/TSC 702

System Name:
Legal Counsel Information Files.

Security classification:
Unclassified, sensitive.

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.

Categories of records in the system:
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.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper record folders.

Retrievability:
Indexed by employee's name and/or by subject matter.

Safeguards:
Records are maintained in locked file cabinets and secure safe.

Retention and disposal:
As prescribed in applicable record retention schedules.

System manager and address:
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.

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:
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:
None.
DOT/TSC 703

System Name:
Occupational Safety and Health Reporting System.

Security classification:
Unclassified, sensitive.

System Location:
Department of Transportation, DOT, Volpe National Transportation
Systems Center, Volpe, Human Resources Management Division, DTS-84, 55
Broadway, Cambridge, MA 02142-1093.

Categories of individuals covered by the system:
Volpe employees, in-house contractor personnel and visitors who
have suffered work-related occupational illnesses, injuries or are
involved in Government property accidents.

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.

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.

Retrievability:
Indexed by individual's name.

Safeguards:
Records are maintained in locked file cabinets and folders are
stamped For Official Accident Prevention Use Only.

Retention and disposal:
Records are retained for five years and then destroyed by
shredding.

[[Page 19567]]

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.

Record source categories:
Documents provided by the individual concerned and immediate
supervisor.

Exemptions claimed for the system:
None.
DOT/TSC 704

System Name:
Stand-By Personnel Information.

Security classification:
Unclassified, sensitive.

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.

Categories of individuals covered by the system:
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.

Purpose(s):
For administrative reference and scheduling of projects, budgeting,
and overhead classification.

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:
Storage:
Electronic Files in Excel format.

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.

Retention and disposal:
Files are maintained for one (1) additional year following
completion of current fiscal year. Files are then deleted.

System manager(s) and address:
Chief, Budget Branch, DTS-821, 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.

Record source categories:
Supervisor.

Exemptions claimed for the system:
None.
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.

Categories of records in the system:
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.

Authority for maintenance of the system:
49 U.S.C. 328, Volpe Center Working Capital Fund; 5 U.S.C. 301.

Purpose(s):
For administrative reference, cost management, and labor
assignments and expenditures.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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:
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:
Excel spreadsheets, magnetic tape and disk.

[[Page 19568]]

Retrievability:
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.

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.

System manager(s) and address:
Chief, Accounting Branch, DTS-823, Department of Transportation,
Volpe National Transportation Systems Center, 55 Broadway, Cambridge,
MA 02142-1093.

Notification procedures:
Information may be obtained through the Chief, Accounting Branch,
DTS-823 at the address under System Location.

Record access procedures:
Requests from individuals should be addressed to the System
manager.

Contesting record procedures:
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.

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:
Unclassified, sensitive.

System location:
Department of Transportation, DOT, Volpe National Transportation
Systems Center (Volpe), Computer Center, DTS-23, 55 Broadway,
Cambridge, MA 02142-1093

Categories of individuals covered by the system:
All Volpe employees and tenants from other government agencies and
on-site contractors.

Categories of records in the system:
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.

Authority for maintenance of the system:
49 U.S.C. 328, Volpe Center Working Capital Fund; 5 U.S.C. 301.

Purpose(s):
For administrative reference, and as a source for management
information for producing summary statistics and registers in support
of personnel, communications, and security functions.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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:
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:
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-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.

[[Page 19569]]

Retention and disposal:
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 month-end, fiscal-year-end and calendar year-
end periods are retained for longer periods and are not subject to any
rigid disposal procedure.

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:
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.

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.

Exemptions claimed for the system:
None.
DOT/TSC 714

System Name:
Health Unit Employee Medical Records.

Security classification:
Unclassified, sensitive.

System Location:
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.

Categories of individuals covered by the system:
Volpe employees, tenant organization employees, and support service
contractor personnel.

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.

Purpose(s):
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:
Cards, forms, logs and other paper records.

Retrievability:
Indexed by employee's name and social security number.

Safeguards:
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.

Retention and disposal:
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. Pre-employment 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.

Record source categories:
Employee; Health Unit Doctor/Nurse; Volpe Safety Officer.

Exemptions claimed for the system:
None.

[[Page 19570]]

----------------------------------------------------------------------------------------------------------------
Deletions--system number/name Reason for deleting
----------------------------------------------------------------------------------------------------------------
DOT/OST 006 (Confidential Statement of Covered under OGE/GOVT-2.
Employment and Financial Interests).
DOT/OST 008 (Departmental Advisory Committee Not retrievable by name or personal identifier.
Files, DOT/OST).
DOT/OST 011 (Discrimination Complaint Covered under EEOC/GOVT-1.
Investigative Files).
DOT/OST 013 (Employee Management Convenience Covered under OPM/GOVT-1 and OPM/GOVT-2.
Files).
DOT/OST 014 (Employment Applications Files).. Covered under OPM/GOVT-5.
DOT/OST 028 (Personnel Convenience Files).... Covered under OPM/GOVT-1.
DOT/OST 043 (Telephone Directory and Locator Covered under DOT/ALL 11.
System).
DOT/OST 063 (Civil Rights Case Tracking Covered under EEOC/GOVT-1.
System).
DOT/OST 032 (Management Operating Records Covered under OPM/GOVT-1 and GSA/GOVT-3.
System).
DOT/ALL 002 (Safety Management Information No longer maintained.
System).
DOT/ALL 004 (Station Message Detail Covered under DOT/ALL 011.
Recording).
DOT/FAA 810 (Discrimination Complaint Files). Covered under EEOC/GOVT-1.
DOT/FAA 814 (Equal Employment Opportunity Covered under OPM/GOVT-7.
Minority/Female Statistical Reporting
System).
DOT/FAA 820 (Pending Legislation (Employee's) No longer maintained.
Private Relief & Public/Private Laws
(Employee's) Private Relief.
DOT/FAA 843 (World Home Address System)...... No longer maintained.
DOT/FAA 839 (Printing Branch Distribution FAA no longer maintains.
System).
DOT/CG 561 (Port Safety Reporting System No longer maintained.
Individual Violation Histories).
DOT/CG 587 (Investigation of Marine Safety No longer maintained.
Laws or Regulations).
DOT/CG 516 (Coast Guard Military No longer maintained.
Discrimination Complaints System.
DOT/CG 517 (Complaints of Discrimination No longer maintained.
System).
DOT/MARAD 007 (Litigation, Claims and No longer maintained.
Administrative Proceeding Records).
DOT/MARAD 019 (Non-Attorney Practitioner No longer maintained.
Applications and Section 807 Reports).
DOT/NHTSA 403 (Active Contract Run).......... No longer maintained.
DOT/NHTSA 423 (Vendor Edit Table Listing Covered under GSA/GOVT-4.
(employees)).
DOT/NHTSA 424 (Offerors Mailing List)........ No longer maintained.
DOT/NHTSA 432 (EEO Counseling Program and Covered by EEOC/GOVT-1.
Discrimination Complaint File).
DOT/NHTSA 435 (Investigations and Security).. No longer maintained.
DOT/NHTSA 451 (Medical Records and Research Covered under OPM/GOVT-10.
Data).
DOT/NHTSA 455 (Debt Complaint File).......... No longer maintained.
DOT/NHTSA 457 (Reference Files B Medical Covered under OPM/GOVT 10.
Records).
DOT/NHTSA 458 (Investigations of Alleged Covered under DOT/OST 100.
Misconduct or Conflict of Interest).
DOT/NHTSA 466 (NHTSA Employee Travel Advance Covered under GSA/GOVT-3.
and Expense File).
DOT/NHTSA 471 (National Driver Advisory No longer maintained.
Committee B Membership/Nominee File).
DOT/FTA 175 (Personnel Convenience Files).... Covered under OPM/GOVT-1 and OPM/GOVT-2.
DOT/FTA 178 (Minority Recruitment File)...... Covered under OPM/GOVT-5.
DOT/FTA 180 (Occupational Safety and Health Covered under DOL/GOVT-1.
Accident Reporting System).
DOT/FTA 190 (Employee Travel Records)........ Covered under GSA/GOVT-4.
DOT/FTA 191 (Travel Advance File)............ Covered under GSA/GOVT-3.
DOT/FTA 195 (Confidential Statements of Covered under OGE/GOVT-2.
Employment and Financial Interests).
DOT/FTA 196 (Office of Technical Assistance No longer maintained.
and Safety (TTS) Mailing List.
DOT/FRA 104 (Statement of Employment and Covered under OGE/GOVT-2.
Financial Interest).
DOT/FRA 105 (Employee Travel Records)........ Covered under GSA/GOVT-4.
DOT/FRA 112 (Personnel & Pay Management Covered under DOT/ALL-7, DOT/ALL-11, and OPM/GOVT-1.
Information System).
DOT/FRA 113 (Regional Personnel Convenience Covered under OPM/GOVT-1 and OPM/GOVT-2.
Files).
DOT/FRA 114 (Transportation Test Center No longer maintained.
Employee Service Record File).
DOT/FRA 115 (Travel Advance Records)......... Covered under GSA/GOVT-4.
DOT/FRA 132 (Office of Safety Individual Covered under DOT/FRA-130.
Enforcement Case File).
DOT/TSC 701 (Employee Travel Records)........ Covered under GSA/GOVT-4.
DOT/TSC 708 (Combined Federal Campaign Covered under DOT/ALL-11.
Information).
DOT/TSC 709 (Minority Information Files)..... Covered under OPM/GOVT-1, OPM/GOVT-2 and OPM/GOVT-5.
DOT/TSC 715 (Bi-Weekly Personnel Status Covered under OPM/GOVT-1.
Report).
DOT/RSPA-003 (Security Management Records)... Covered under DOT/OST 035.
Routine Use (DOT General Routine Use #8)..... 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