Document ID: DOT-OST-2018-0151-0001
Agency: dot
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2018-11-27T05:00Z

[Federal Register Volume 83, Number 228 (Tuesday, November 27, 2018)]
[Notices]
[Pages 60960-60963]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-25818]

-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST-2018-0151]

Privacy Act of 1974; Department of Transportation, Office of the 
Secretary of Transportation; DOT/ALL-27; Department of Transportation 
Training Programs

AGENCY: Office of the Departmental Chief Information Officer, Office of 
the Secretary of Transportation, DOT.

ACTION: Rescindment of Notices and Notice of a New System of Records.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Transportation's Office of the Secretary of Transportation (DOT/OST) 
intends to establish a DOT-wide System of Records titled, ``DOT/ALL-27, 
Training Programs.'' This system of records will allow the Department 
of Transportation, to include its Operating Administrations and 
Secretarial Offices, to collect and maintain contact, registration, and 
other information about Department of Transportation employees and 
other individuals related to participation in and management of 
Department of Transportation training programs. This system, titled 
Training Programs, will be included in the Department of 
Transportation's inventory of record systems. The Department also 
intends to rescind existing Notices for DOT/RITA-O12, TSI Online 
Catalog and Learning Management System'', and DOT/FHWA-221, ``National 
Highway Institute website (NHIW) and Course Management Tracking System 
(CMTS)'', as these records will be part of the new DOT/ALL-27 described 
in this Notice.

DATES: Written comments should be submitted on or before December 27, 
2018. The Department may publish an amended SORN in light of any 
comments received. This new system will be effective December 27, 2018.

ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2018-0151 by any of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Ave. SE, West Building Ground Floor, 
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building Ground Floor, Room 
W12-140, 1200 New Jersey Ave. SE, between 9 a.m. and 5 p.m. ET, Monday 
through Friday, except Federal Holidays.
     Fax: (202) 493-2251.
    Instructions: You must include the agency name and docket number 
DOT-OST-2018-0151. All comments received will be posted without change 
to http://www.regulations.gov, including any personal information 
provided.
    Privacy Act: Anyone is able to search the electronic form of all 
comments received in any of our dockets by the name of the individual 
submitting the comment (or signing the comment, if submitted on behalf 
of an association, business, labor union, etc.). You may review DOT's 
complete Privacy Act statement in the Federal Register published on 
January 17, 2008 (73 FR 3316-3317).
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov or to the street 
address listed above. Follow the online instructions for accessing the 
docket.

FOR FURTHER INFORMATION CONTACT: For questions, please contact: Claire 
W. Barrett, Departmental Chief Privacy Officer, Privacy Office, 
Department of Transportation, Washington, DC 20590; [email protected]; or 
(202) 527-3284.

SUPPLEMENTARY INFORMATION: 

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Transportation (DOT)/Office of the Secretary of 
Transportation (OST) proposes to rescind the current system of records 
notices for DOT/RITA-012 and DOT/FHWA-221, and issue a DOT system of 
records titled, ``DOT/ALL-27 Training Programs.''
    The Department of Transportation provides training courses to its 
employees, contractors, and others. The Department wishes to create a 
new system of records for training program registration and 
participation information, including information pertaining to training 
course participants, instructors and course developers, and others 
involved in training course creation, management, and delivery. The 
Department will use this information to monitor and manage registration 
in training courses, track and record participation and completion in 
DOT training courses, schedule courses, assess the effectiveness of 
training, identify training trends and needs, and schedule training 
classes and programs. This system of records excludes records 
associated with training provided by entities other than DOT and 
training records covered by the Office of Personnel Management's 
Government-wide System of Records Notice, OPM/GOVT-1, ``General 
Personnel Records.'' Because DOT-provided training records will be 
covered by this Department-wide notice, individual notices covering 
particular DOT offices are not necessary; therefore, this notice also 
rescinds DOT/RITA-012, ``TSI Online Catalog and Learning Management 
System'' and DOT/FHWA-221, ``National Highway Institute website (NHIW) 
and Course Management and Tracking System (CMTS)''. The records covered 
by DOT/RITA-012 and DOT/FHWA-221 will be managed according to the new 
DOT/ALL-27.
    The routine uses are compatible with the purposes for which the 
information was collected. Individuals whose personally identifiable 
information (PII) is in this system of records have provided it to DOT 
to enable DOT to

[[Page 60961]]

document their participation in the course, ensure that the course 
scheduling and resources are allocated sufficiently to meet participant 
needs, and to share information with supervisors, instructors, and 
other entities as necessary to manage training classes and schedules, 
and verify participation in and completion of the course.
    The information contained within this system of records will be 
collected directly from the individuals who are the subject of the 
record.
    This new system will be included in DOT's inventory of record 
systems.

II. Privacy Act

    The Privacy Act (5 U.S.C. 552a) governs the means by which the 
Federal Government collects, maintains, and uses personally 
identifiable information (PII) in a System of Records. A ``System of 
Records'' is a group of any records under the control of a Federal 
agency from which information about individuals is retrieved by name or 
other personal identifier. The Privacy Act requires each agency to 
publish in the Federal Register a System of Records notice (SORN) 
identifying and describing each System of Records the agency maintains, 
including the purposes for which the agency uses PII in the system, the 
routine uses for which the agency discloses such information outside 
the agency, and how individuals to whom a Privacy Act record pertains 
can exercise their rights under the Privacy Act (e.g., to determine if 
the system contains information about them and to contest inaccurate 
information).
    In accordance with 5 U.S.C. 552a(r), DOT has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.
SYSTEM NAME AND NUMBER:
Department of Transportation (DOT)/ALL-27, Training Programs

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records are maintained at the Department of Transportation and in 
component offices of the Department of Transportation in both 
Washington, DC and field offices.

SYSTEM MANAGER(S):
    Requests for training records should be submitted to the component 
office(s) that offers or sponsors the training. Contact information for 
system manager is provided at time of course registration and/or 
participation.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; 23 U.S.C. 504; and 49 U.S.C. 301, 5314, 5315, 20108, 
30182, and 40108.

PURPOSE(S):
    The purpose of this system is to manage, oversee, and document 
training provided to DOT employees, contractors, and others. This 
system will provide DOT with a means to document registration, 
participation, and completion of DOT provided training, document the 
particular training that is provided, identify training trends and 
needs, evaluate course instructors and course quality and context, and 
schedule training classes, programs, and instructors. The DOT also may 
use records from this system to document completion of training 
requirements for other DOT-mission purposes.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former DOT employees, volunteers and contractors; any 
individual who has participated in or assisted with a DOT training 
program, including students and instructors; any other Federal employee 
or private individual, including contractors and others, who has 
participated in or assisted with training programs sponsored or 
operated by the DOT; and other participants in training programs, 
including instructors, course developers, observers, and interpreters.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records in the system include:
    Individual's name;
    Individual's date of birth;
    Student or other identification number assigned to the individual
    Address;
    Phone number;
    Email address;
    Employer Name, address, and contact information, Occupation/Job 
Title;
    Resume/Qualifications (for course instructors)
    Applications;
    Registration forms;
    Course rosters and sign-in sheets;
    Instructor lists;
    Payment records, including financing, travel and related 
expenditures;
    Grades and student evaluations;
    Course evaluations;
    Examination and testing materials; and
    Other records and reports related to training.

RECORD SOURCE CATEGORIES:
    Records are obtained from DOT employees and other individuals who 
are the subject of such records.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DOT as a 
routine use pursuant to 5 U.S.C. 552a(b)(3).

    System Routine Uses

    (1) To organizations, including other government entities, 
sponsoring or providing remuneration for training;
    (2) To other Federal agencies as needed to create class schedules, 
or determine qualifications for participation in classes as students or 
instructors;
    (3) To educational institutions or training providers as evidence 
of participation or successful completion, as needed to continue 
education;

    Department General Routine Uses

    (4) To the appropriate agency, whether Federal, State, local, or 
foreign, charged with the responsibility of implementing, 
investigating, prosecuting, or enforcing a statute, regulation, rule or 
order, when a record in this system indicates a violation or potential 
violation of law, whether civil, criminal, or regulatory in nature, 
including any records from this system relevant to the implementation, 
investigation, prosecution, or enforcement of the statute, regulation, 
rule, or order that was or may have been violated;
    (5) 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 for DOT to obtain 
information relevant to a DOT decision concerning the hiring or 
retention or an employee, the issuance of a security clearance, the 
letting of a contract, or the issuance of a license, grant or other 
benefit;
    (6) To a Federal agency, upon its request, in connection with the 
requesting Federal agency's hiring or retention of an employee, the 
issuance of a security clearance, the reporting of an investigation or 
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 requested is relevant and necessary to the requesting 
agency's decision on the matter;
    (7) To the Department of Justice, or any other Federal agency 
conducting litigation, when (a) DOT, (b) any DOT employee, in his/her 
official capacity, or in his/her individual capacity if the

[[Page 60962]]

Department of Justice has agreed to represent the employee, or (c) the 
United States or any agency thereof, is a party to litigation or has an 
interest in litigation, and DOT determines that the use of the records 
by the Department of Justice or other Federal agency conducting the 
litigation is relevant and necessary to the litigation; provided, 
however, that DOT determines, in each case, 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 where 
collected;
    (8) To parties in proceedings before any court or adjudicative or 
administrative body before which DOT appears when (a) DOT, (b) any DOT 
employee in his or her official capacity, or in his or her individual 
capacity where DOT has agreed to represent the employee, or (c) the 
United States or any agency thereof is a party to litigation or has an 
interest in the proceeding, and DOT determined that is relevant and 
necessary to the proceeding; provided, however, that DOT determines, in 
each case, 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 where collected;
    (9) To the National Archives and Records Administration for an 
inspection under 44 U.S.C. 2904 and 2906;
    (10) To another agency or instrumentality of any government 
jurisdiction for use in law enforcement activities, either civil or 
criminal, or to expose fraudulent claims; however, this routine use 
only permits the disclosure of names pursuant to a computer matching 
program that otherwise complies with the requirements of the Privacy 
Act;
    (11) To appropriate agencies, entities, and persons, when (1) DOT 
suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (2) DOT has 
determined that as a result of the suspected or confirmed compromise 
there is a risk of harm to economic or property interests, identity 
theft or fraud, or harm to the security or integrity of this system or 
other systems or programs (whether maintained by DOT or not) that rely 
on the compromised information; and (3) the disclosure made to such 
agencies, entities, or persons is reasonably necessary to assist in 
connection with DOT's efforts to respond to the suspected or confirmed 
compromise and prevent, minimize, or remedy such harm.;
    (12) To the Office of Government Information Services (OGIS) for 
the purpose of resolving disputes between requesters seeking 
information under the Freedom of Information Act (FOIA) and DOT, or 
OGIS' review of DOT's policies, procedures, and compliance with FOIA;
    (13) To DOT''s contractors and their agents, DOT's experts, 
consultants, and others performing or working on a contract, service, 
cooperative agreement, or other assignment for DOT, when necessary to 
accomplish an agency function related to this system of records.
    (14) To an agency, organization, or individual for the purpose of 
performing an audit or oversight related to this system or records, 
provided that DOT determines the records are necessary and relevant to 
the audit or oversight activity. This routine use does not apply to 
intra-agency sharing authorized under Section (b)(1) of the Privacy 
Act; and
    (15) To a Federal, State, local, tribal, foreign government, or 
multinational agency, either in response to a request or upon DOT's 
initiative, terrorism information (6 U.S.C. 485(a)(5), homeland 
security information (6 U.S.C. 482(f)(1), or law enforcement 
information (Guideline 2, report attached to White House Memorandum, 
``Information Sharing Environment,'' Nov. 22, 2006), when DOT finds 
that disclosure of the record is necessary and relevant to detect, 
prevent, disrupt, preempt, or mitigate the effects of terrorist 
activities against the territory, people, and interests of the United 
States, as contemplated by the Intelligence Reform and Terrorism 
Prevention Act of 2004, Pub. L. 108-456, and Executive Order 13388 
(Oct. 25, 2005).

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records in this system are stored electronically and/or on paper in 
secure facilities. Electronic records may be stored on magnetic disc, 
tape, digital media, and CD-ROM.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records will primarily be retrieved by individual's name, but may 
be retrieved by other identifiers in the system.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are typically destroyed when three years old, or 3 years 
after superseded or obsolete, whichever is appropriate, in accordance 
with National Archives and Records Administration General Records 
Schedule 2.6, Item 010. General Records Schedule 2.6, Item 010, also 
permits agencies to retain these records for a longer period of time, 
when needed for business use.

ADMINITRATION, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DOT automated 
systems security and access policies. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. Access to records in this system is limited to those 
individuals who have a need to know the information for the performance 
of their official duties and who have appropriate clearances or 
permissions.

RECORD ACCESS PROCEDURES:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the System Manager at the address 
identified in ``System Manager and Address'' above. If an individual 
believes more than one component maintains Privacy Act records 
concerning him or her, the individual may submit the request to the 
Departmental Freedom of Information Act Office, U.S. Department of 
Transportation, Room W94-122, 1200 New Jersey Ave. SE, Washington, DC 
20590, ATTN: FOIA/Privacy Act request.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 49 CFR part 10. You must sign 
your request, and your signature must either be notarized or submitted 
under 28 U.S.C. 1746, a law that permits statements to be made under 
penalty of perjury as a substitute for notarization. While no specific 
form is required, you may obtain forms for this purpose from the Chief 
Freedom of Information Act Officer, http://www.dot.gov/foia or 
202.366.4542. In addition you should provide the following:
    An explanation of why you believe the Department would have 
information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created;
     Provide any other information that will help the FOIA 
staff determine which DOT component agency may have responsive records; 
and

[[Page 60963]]

    If your request is seeking records pertaining to another living 
individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records.
    Without this bulleted information the component(s) may not be able 
to conduct an effective search, and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

CONTESTING RECORD PROCEDURES:
    See ``Record Access Procedures'' above.

NOTIFICATION PROCEDURE:
    See ``Record Access Procedures'' above.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

HISTORY:
    Not applicable.

    Issued in Washington, DC on November 21, 2018,
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2018-25818 Filed 11-26-18; 8:45 am]
 BILLING CODE 4910-9X-P