Document ID: DOT-OST-2011-0202-0001
Agency: dot
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2011-11-16T05:00Z

[Federal Register Volume 76, Number 221 (Wednesday, November 16, 2011)]
[Notices]
[Pages 71108-71111]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-29551]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary of Transportation

[Docket No. OST-2011-0202]

Privacy Act of 1974; System of Records Notice

AGENCY: Office of the Secretary, Department of Transportation (DOT).

ACTION: Notice to establish a new system of records.

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SUMMARY: The Department of Transportation's Office of the Secretary of 
Transportation (DOT/OST) intends to establish a DOT-wide System of 
Records under the Privacy Act of 1974 (5 U.S.C. 552a) to create and 
maintain civil rights program records which are not covered by the 
Government-wide System of Records Notices (SORNs) of the Office of 
Personnel Management [OPM/GOVT-1] and the Equal Employment Opportunity 
Commission [EEOC/GOV-1]. OPM/GOVT-1 covers general personnel records 
pertaining to Federal employees and EEOC/GOV-1 covers equal employment 
opportunity records pertaining to claims by Federal employees and 
applicants for Federal employment who allege they have been 
discriminated against by a Federal agency under Title VII of the Civil 
Rights Act of 1964, as amended; Section 15 of the Age Discrimination in 
Employment Act, Section 501 of the Rehabilitation Act of 1973, as 
amended; and the Equal Pay Act.
    The DOT system, known as the Departmental Office of Civil Rights 
System (DOCRS), is used to track

[[Page 71109]]

correspondence, inquiries, complaints, and appeals filed by 
individuals, small business, or representatives of individuals or small 
business who believe they have been subjected to prohibited 
discrimination or retaliation by a DOT Federally-assisted or Federally-
conducted program or activity. DOCRS is more thoroughly detailed below 
and in the Privacy Impact Assessment (PIA) prepared for the information 
technology (IT) system that DOT uses for its internal and external 
civil rights programs. The PIA can be found on the DOT Privacy Web site 
at http://www.dot.gov/privacy.

DATES: Effective December 16, 2011. Written comments should be 
submitted on or before the effective date. DOT/OST may publish an 
amended SORN in light of any comments received.

ADDRESSES: You may file comments identified by the docket number DOT-
OST-2011-0202 by any of by any of the following methods:
    [cir] Federal Rulemaking Portal: Go to http://www.regulations.gov 
and follow the online instructions for submitting comments.
    [cir] 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.
    [cir] 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.
    [cir] Fax: (202) 493-2251.
    Instructions: You must include the agency name and docket number 
DOT-OST-2011-0202 or the Regulatory Identification Number (RIN) for the 
rulemaking at the beginning of your comment. 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 
April 11, 2000 (65 FR 19477-78), or you may visit http://DocketsInfo.dot.gov.
    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 general questions, please contact: 
Joseph E. Austin, Associate Director, External Civil Rights Programs 
Division, Departmental Office of Civil Rights, Office of the Secretary 
of Transportation, U.S. Department of Transportation, 1200 New Jersey 
Avenue SE., Washington, DC 20590, or (202) 366-5992. For privacy 
issues, please contact: Claire Barrett, Departmental Chief Privacy 
Officer, Office of the Chief Information Officer, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590; 
claire.barrett@dot.gov; or (202) 366-8135.

SUPPLEMENTARY INFORMATION:

I. DOT's Civil Rights Program

    DOT, through assigned civil rights personnel in each DOT component 
(chiefly, the Departmental Office of Civil Rights (DOCR) within OST), 
is responsible for ensuring that DOT does not discriminate against its 
employees or applicants for employment (``internal''); enforcing civil 
rights laws prohibiting discrimination and retaliation by DOT 
Federally-assisted and Federally-conducted programs and activities 
against members of the public; and investigating and responding to 
complaints filed by DOT employees pursuant to sections 504 and 508 of 
the Rehabilitation Act of 1973, as amended (together, these three 
activities comprise DOT's ``external'' civil rights programmatic 
responsibilities). DOT's enforcement activities with respect to this 
program include:
    [ssquf] Documenting, investigating, and responding to ``internal'' 
and ``external'' civil rights complaints and inquiries;
    [ssquf] Conducting reviews of DOT Federally-funded recipients to 
assess their compliance with civil rights laws; and
    [ssquf] Adjudicating and issuing written decisions in 
administrative appeals filed with DOT/DOCR by small businesses 
(including sole proprietorships) that have been denied certification as 
a ``disadvantaged business enterprise'' (DBE) or airport concessions 
DBE (ACDBE) by a DOT Federally-assisted recipient pursuant to 49 CFR 
Parts 23 and 26.

II. The 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).
    Under the Privacy Act, an agency is permitted to exempt certain 
types of systems from certain requirements of the Privacy Act, after 
completing a formal rulemaking process to revise the agency's Privacy 
Act regulations to add the system to the agency's list of exempt 
systems. The XCRS system is eligible for exemption because it will 
contain law enforcement investigatory material. On [date], DOT 
published a Notice of Proposed Rulemaking (NPRM) in the Federal 
Register, proposing exemptions for this system. The NPRM can be 
accessed through http://www.regulations.gov, Docket Number DOT-OST-
2011-0202. Comments on the proposed exemptions must be submitted to the 
docket for that rulemaking, by any of the methods outlined in the NPRM. 
Comments on other parts of the SORN must be submitted in writing, by 
any of the methods outlined in this Notice.
    In accordance with 5 U.S.C. 552a(r), a report on the establishment 
of this System of Records has been sent to Congress and to the Office 
of Management and Budget.
System Number: DOT/ALL-24

System name:
    Departmental Office of Civil Rights System.

Security classification:
    Unclassified, sensitive.

System location:
    Records are maintained by the DOT Departmental Office of Civil 
Rights, and DOT component civil rights offices. The electronic records 
systems are maintained on a server that is physically located at a 
contractor facility in Sterling, Virginia. The server is hosted and 
maintained by Micropact Engineering, Inc., headquartered in Herndon, 
Virginia. The system owner is the Departmental Office of Civil Rights 
(DOCR), S-30, U.S. Department of Transportation (DOT), 1200 New Jersey

[[Page 71110]]

Avenue SE., Room W78-320, Washington, DC 20590.

Categories of individuals covered by the System of Records:
    Members of the public (including DOT employees filing complaints 
pursuant to sections 504 and 508 of the Rehabilitation Act of 1973, as 
amended) who have submitted inquiries, complaints, or appeals to DOT, 
alleging discrimination by DOT or by third parties pertaining to DOT 
Federally-assisted or DOT Federally-conducted programs or activities; 
individuals who are the subjects of external civil rights inquiries, 
complaints and appeals; and witnesses who are interviewed concerning 
same.

Categories of records in the system:
    Records of civil rights discrimination inquiries, complaints, and 
appeals received by DOT from members of the public, DOT employees, 
small businesses or representatives of these groups; records compiled 
during the investigation of the complaints and appeals; and records of 
responsive actions taken by DOT, including complaint information, 
statements, exhibits, reports and correspondence; records concerning 
applications for certification as a disadvantaged business enterprise, 
including business name, contact information, and name of business 
owners. The records may contain the following personally identifiable 
information (PII):
    [ssquf] Personal contact information for individual complainants, 
complaint subjects, DBE appellants, and/or witnesses who are involved 
in particular discrimination claims, such as name, home address, email 
address, and home telephone number;
    [ssquf] Identification information and descriptive details about 
individual complainants, such as the last four digits of the 
complainant's Social Security Number, date of birth, race, color, 
national origin, sex, religion, age (40 or over), disability, sexual 
orientation, parental status, and/or genetic information; and
    [ssquf] Financial information pertaining to individual owners of 
small businesses that have been denied ``disadvantaged business 
enterprise'' (DBE) certification.

Authority for maintenance of the system:
    42 U.S.C. 2000d et seq., Sec.  12101 et seq., 42 U.S.C. 6101 et 
seq.; 29 U.S.C. 794, 749d; 49 U.S.C. 47113; and Executive Order 13160.

Purpose(s):
    DOT Civil Rights personnel use the contact information, 
identification information, and descriptive details to document, 
investigate, and respond to civil rights complaints, inquiries, and DBE 
appeals, and to conduct reviews of Federally-funded recipients to 
assess their compliance with civil rights laws. In DBE appeal cases, 
DOT/DOCR staff use financial information when necessary to make 
personal net worth determinations about sole proprietors claiming DBE 
status. DOT may utilize contractors to assist with certain tasks; for 
example, contractors may help DOCR analyze financial information for 
personal net worth determinations in DBE appeal cases.

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 of 
information contained in this system may be disclosed outside of DOT as 
a routine use pursuant to 5 U.S.C. 552a(b)(3), as follows:
    A. To the United States Department of Justice (DOJ), including 
United States Attorneys Offices, or other Federal agency conducting 
litigation or in proceedings before any court, adjudicative or 
administrative body, when it is necessary to the litigation and one of 
the following is a party to the litigation or has an interest in such 
litigation:
    1. DOT or any component thereof;
    2. Any employee of DOT in his/her official capacity;
    3. Any employee of DOT in his/her individual capacity where the DOJ 
or DOT has agreed to represent the employee; or
    4. The United States, or any agency thereof, is a party to the 
litigation or has an interest in such litigation and DOT determines 
that the records are both necessary and relevant to the litigation and 
the use of such records is compatible with the purpose for which DOT 
collected the records.
    B. To recipients of Federal financial assistance, witnesses, or 
consultants if necessary to assist DOCR in resolving civil rights 
complaint or in obtaining additional information or expert advice 
relevant to the investigation of a civil rights complaint.
    C. To an adjudicative body before which DOT or one of its 
components is authorized to appear or to an individual or entity 
designated by the DOT or otherwise empowered to resolve or mediate 
disputes to the extent that the disclosure is necessary and relevant to 
the litigation or alternative dispute resolution (ADR).
    D. To a party, counsel, representative or witness in a litigation 
or ADR if relevant and necessary to the litigation or ADR.
    E. To a congressional office in response to an inquiry from that 
congressional office made at the request of the individual to whom the 
record pertains.
    F. To the National Archives and Records Administration (NARA) or 
other Federal government agencies pursuant to records management 
inspections being conducted under the authority of Title 44 of the 
United States Code.
    G. To an agency, organization, or individual for the purpose of 
performing audit or oversight operations authorized by law, but only to 
the extent that such information is necessary and relevant to the audit 
of oversight function.
    H. To contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement or other assignment for DOT, when necessary to 
accomplish and agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to DOT officers and employees.
    I. To another Federal agency with responsibility for labor or 
employment relations or other issues, including Equal Employment 
Opportunity issues, when that agency has jurisdiction over issues 
reported to the DOT Departmental Office of Civil Rights, or component 
civil rights and civil liberties staff, and staff of components who do 
not have a designated civil rights and civil liberties office, but who 
perform related functions.
    J. To States, DOT Federal-funding recipients, and members of the 
public, the following information regarding entities determined 
ineligible for DBE certification: Business name, the business owner(s), 
type and date of the denial, and name of the entity that made the 
decision.
    K. See ``Prefatory Statement of General Routine Uses'' (available 
at http://www.dot.gov/privacy/privacyactnotices).
    Other possible routine uses of the information, applicable to all 
DOT Privacy Act systems of records, are published in the Federal 
Register at 75 FR 82132, December 29, 2010, under ``Prefatory Statement 
of General Routine Uses'' (available at http://www.dot.gov/privacy/privacyactnotices).

Disclosure to consumer reporting agencies:
    None.

[[Page 71111]]

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system--
Storage:
    Records are maintained in an electronic database and in paper 
files. Certain records are maintained only in paper files (for example, 
financial documents, photographs, and audio recordings).

Retrievability:
    Records are retrieved by the complainant's, inquirer's, or DBE 
appellant's name or case number, address, telephone number, or email 
address.

Safeguards:
    Electronic files are stored in secure, password-protected 
databases. Users must sign a Rules of Behavior document prior to being 
granted access to the electronic systems. Any paper files and system-
generated reports containing PII are labeled as containing PII and are 
stored in locked file cabinets and/or in a locked file room. Only the 
System Administrator and authorized Civil Rights personnel in DOCR and 
in each DOT component are allowed access to the files, and on a ``need-
to-know'' basis.

Retention and disposal:
    DOT is preparing a new records disposition schedule (Standard Form 
115) for submission to the National Archives and Records Administration 
(NARA), which will include the following proposed retention periods:
    [ssquf] General Information: Destroy/delete 3 years after inquiry 
date, unless needed longer for legal or audit purposes.
    [ssquf] Complaints and DBE Appeals: Destroy/delete 5 years after 
final decision, unless needed longer for legal or audit purposes. A 
redacted copy of the final decision (with PII removed) may be retained 
longer for reference purposes.
    [ssquf] De-certifications and Denials: Delete immediately if 
decision to de-certify or deny certification is reversed or rescinded.

System Manager and address:
    Director, Departmental Office of Civil Rights (DOCR), S-30, U.S. 
Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room 
W78-320, Washington, DC 20590.

Notification procedure:
    At any time, an individual inquirer, complainant, or DBE appellant 
may contact the System Manager to request access to review his or her 
personal information in the system and request changes, as appropriate. 
During the pendency of the investigation, DOT may deny the individual 
access to the investigation files if necessary to avoid compromising 
the investigation. The investigator may require that the request be 
submitted in writing and include the requester's name, mailing address, 
telephone number, and/or email address, a description of the records 
requested, and a sworn statement (either a notarized statement or a 
statement signed under penalty of perjury) that the requester is the 
individual who he or she claims to be.

Record access procedure:
    Same as indicated under ``Notification procedure.''

Contesting record procedure:
    Same as indicated under ``Notification procedure.''

Record source categories:
    Information is obtained from individuals making inquiries; 
correspondents; complainants; complaint subjects; DBE appellants; 
interviewees; investigation reports; and review of records.

Exemptions claimed for the system:
    Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a), 
because this system will contain investigatory material compiled for 
law enforcement purposes, a Notice of Proposed Rulemaking (NPRM) is 
pending to revise DOT's Privacy Act regulations (49 CFR part 10, 
Appendix, part II) to exempt this system from the requirements of the 
following Privacy Act subsections, for the reasons stated in the 
proposed revision: (c)(3) (Accounting of Certain Disclosures), (d) 
(Access to Records), (e)(4)(G), (H), and (I) (Agency Requirements), and 
(f) (Agency Rules) to the extent that DOCRS contains investigatory 
material compiled for law enforcement purposes.

    Issued in Washington, DC on November 9, 2011.
Claire Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2011-29551 Filed 11-15-11; 8:45 am]
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