Document ID: DOT-OST-2009-0092-0142
Agency: dot
Document Type: Rule
Title: Privacy Act; Systems of Records
Posted Date: 2010-12-29T05:00Z

[Federal Register Volume 75, Number 249 (Wednesday, December 29, 2010)]
[Notices]
[Pages 82132-82134]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-32876]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Privacy Act of 1974; System of Records; Statement of General 
Routine Uses; Notice of Establishment of Two New General Routine Uses 
and Republication of All General Routine Uses

AGENCY: Office of the Secretary of Transportation, Department of 
Transportation.

ACTION: Notice to establish two new Privacy Act general routine uses 
and to republish all general routine uses.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, the Department of Transportation's 
Office of the Secretary of Transportation (DOT/OST) is publishing two 
new general routine uses for all DOT systems of records and 
republishing all of its general routine uses. Comment is invited on the 
two new routine uses. The two new routine uses are consistent with the 
following recommendations:
    (1) A recommendation in a memorandum issued by the Office of 
Management and Budget (OMB) on May 22, 2007 (Memorandum M-07-16 
``Safeguarding Against and Responding to the Breach of Personally 
Identifiable Information'') that all Federal agencies publish a routine 
use for their systems allowing for the disclosure of personally 
identifiable information to appropriate parties in the course of 
responding to a breach of data maintained in a system of records; and
    (2) A recommendation by the Office of Government Information 
Services (OGIS) within the National Archives and Records Administration 
(NARA) that all Federal agencies publish a routine use for their 
systems to authorize disclosure of personally identifiable information 
to OGIS for Freedom of Information Act (FOIA) dispute resolution and 
compliance review purposes.

DATES: Effective February 14, 2011. Written comments should be 
submitted on or before the effective date. The proposed new general 
routine use will be effective February 14, 2011 unless DOT publishes an 
amended routine use in light of any comments received.

ADDRESSES: Send written comments on the two new general routine uses to 
Habib Azarsina, Departmental Privacy Officer, Office of the Chief 
Information Officer, U.S. Department of Transportation, 1200 New Jersey 
Avenue, SE., Washington, DC 20590 or habib.azarsina@dot.gov.

FOR FURTHER INFORMATION CONTACT: Habib Azarsina, Departmental Privacy 
Officer, Office of the Chief Information Officer, U.S. Department of 
Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590 or 
habib.azarsina@dot.gov or (202) 366-1965.

SUPPLEMENTARY INFORMATION: The Privacy Act (5 U.S.C. 552a) governs the 
means by which the United States 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, for public notice and 
comment, a system of records notice (SORN) identifying and

[[Page 82133]]

describing each system of records the agency maintains, including the 
purposes for which the agency uses PII in the system and the routine 
uses for which the agency discloses such information outside the 
agency. As provided in ``Privacy Act Guidelines'' issued by OMB on July 
1, 1975 (see 40 FR 28966), once an agency has published a routine use 
that will apply to all of its systems of record (i.e., a general 
routine use) in the Federal Register for public notice and comment, the 
agency may thereafter incorporate that publication by reference in each 
system's SORN without inviting further public comment on that use. To 
date, DOT has published ten general routine uses (see 65 FR 19476 
published April 11, 2000 and 68 FR 8647 published February 24, 2003).
    Because the two new general routine uses would effect a significant 
change to all DOT systems of record, a report on the establishment of 
those uses has been sent to Congress and to OMB, in accordance with 5 
U.S.C. 552a(r).
    The two new general routine uses are compatible with the purposes 
for which the information to be disclosed under the routine uses was 
originally collected. With respect to the first new general routine 
use, individuals whose personally identifiable information is in DOT 
systems expect their information to be secured; sharing their 
information with appropriate parties in the course of responding to a 
confirmed or suspected breach of a DOT system will help DOT protect 
them against potential misuse of their information by unauthorized 
persons. With respect to the second new general routine use, 
individuals whose personally identifiable information is in DOT systems 
expect their information to be disclosed to or withheld from FOIA 
requesters in compliance with FOIA; sharing their information with OGIS 
for the purposes stated will assist DOT in complying with FOIA.
    For the reasons set forth above, the following two general routine 
uses are established:
    11. DOT may disclose records from this system, as a routine use, 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 another agency or entity) that 
rely upon the compromised information; and (3) the disclosure made to 
such agencies, entities, and 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. DOT may disclose records from this system, as a routine use, to 
the Office of Government Information Services for the purpose of (a) 
resolving disputes between FOIA requesters and Federal agencies and (b) 
reviewing agencies' policies, procedures, and compliance in order to 
recommend policy changes to Congress and the President.
    For convenience, all twelve DOT general routine uses are 
republished in their entirety:
    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 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,

[[Page 82134]]

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 U.S.C. 2904 and 2906.
    8. Routine Use for disclosure to the Coast Guard and to 
Transportation Security Administration. A record from this system of 
records may be disclosed as a routine use to the Coast Guard and to the 
Transportation Security Administration if information from this system 
was shared with either agency when that agency was a component of the 
Department of Transportation before its transfer to the Department of 
Homeland Security and such disclosure is necessary to accomplish a DOT, 
TSA or Coast Guard function related to this system of records.
    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.
    11. DOT may disclose records from this system, as a routine use, 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 another agency or entity) that 
rely upon the compromised information; and (3) the disclosure made to 
such agencies, entities, and 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. DOT may disclose records from this system, as a routine use, to 
the Office of Government Information Services for the purpose of (a) 
resolving disputes between FOIA requesters and Federal agencies and (b) 
reviewing agencies' policies, procedures, and compliance in order to 
recommend policy changes to Congress and the President.

    Dated: December 22, 2010.
Habib Azarsina,
Departmental Privacy Officer.
[FR Doc. 2010-32876 Filed 12-28-10; 8:45 am]
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