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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]
#.DEPARTMENT OF TRANSPORTATION
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) and Delphi Accounting System.
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/FAA 852 Suspected Unapproved Parts (SUP) Program.
DOT/FHWA 215 Travel Advance File.
DOT/FHWA 216 Travel Voucher Change of Duty Station.
DOT/FHWA 217 Accounts Receivable.
DOT/FMCA 001 Motor Carrier Management Information System
(MCMIS).
DOT/FMCSA 002 Federal Motor Carrier Safety Administration
(FMCSA) Motor Carrier Safety Proposed Civil and Criminal
Enforcement Cases.
DOT/FMCSA 003 Driver Waiver/Exemption File.
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 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.
32-20-001 Operating Personnel Files (Nonpermanent Records).
32-20-002 National Defense Executive Reserve Files.
32-20-003 Unit Medical Records.
32-20-004 Automated Personnel and Payroll System.
32-20-005 Case Status System (Formal Case Control).
32-20-006 Correspondence and Management Control.
32-20-007 Consumer Complaint System.
32-20-008 Preliminary Investigation Files.
32-20-009 Investigative and Enforcement Records, Cross-indexed.
32-20-010 ICC Employees Parking Permit Applications for Carpools.
32-20-011 ICC Identification System File.
32-20-012 Employer Travel Records.
32-20-013 Identification and Measurement of Minority and Female Owned
Motor Carriers.
32-20-0014 Fee Billing and Collection System.
32-20-0015 OIG Complaint and Investigative Files.
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.
FMCSA--Federal Motor Carrier Safety 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.
STB-- Surface Transportation Board
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 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
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