[Federal Register Volume 75, Number 249 (Wednesday, December 29, 2010)]
[Notices]
[Pages 82132-82134]
From the Federal Register Online via the Government Publishing 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 [email protected].
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
[email protected] 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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