DOT/FRA 106
System name: Occupational Safety and Health Reporting System.
Security classification: Unclassified, Sensitive.
System location: Department of Transportation, DOT, Federal Railroad Administration, FRA, Office of Administration, Office of Safety, Office of Safety Assurance and Compliance, RRS-12, 1120 Vermont Avenue, NW., Stop 25 Washington DC 20590-0001
Categories of individuals covered by the system: FRA employees (injuries and illnesses) FRA employees involved in government property accidents.
Categories of records in the system: Federal Occupation Injuries and Illnesses Survey (Standard Form OSHA-102) Departmental Accident/Injury Reports DOT Forms 3902 1.
Authority for maintenance of the system: Occupational Safety and Health Act of Employees, (Executive Order 12196); Basic Program Elements for Federal Employee Occupational Safety and Health Programs and Related Matters, (Title 29 CFR part 1960); Management of Building and Grounds, (Title 41 CFR parts 101- 20); and Occupational Safety and Management Program (DOT Order 3902.7A).
Purpose(s): To track employees injuries, illnesses, and accidents involved in government property to develop causative trends, accident prevention policies, and correct safety items.
Routine uses of records maintained in the system, including categories of users and the purpose of such uses: Maintain accident records per departmental orders. Provide data to Office of the Secretary. Develop causative trends Use for corrective accident prevention. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this System to Aconsumer reporting agencies (collecting on behalf of the United States Government) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1982(31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Maintained on copies of basic documents.
Retrievability: By name.
Safeguards: Physical security consists of file drawer with data; records provide to authorized individuals by FRA Safety Manager after physical Screening. Retention and disposal: FRA Safety Manager, Department of Transportation Federal Railroad Administration, Office of Administration, Office of Safety Assurance and Compliance, RRS-12, 1120 Vermont Avenue, NW., Stop 25, Washington DC 20590-0001.
Notification procedure: Same as ``System manager.''
Contesting record procedures: Same as ``System manager.''
Record sources categories: Documents provided by the individual.
Exemptions claimed for the system: None.
DOT/FRA 130
System name: Enforcement Case System.
Security classification: unclassified, sensitive.
System location: Department of Transportation, DOT, Federal Railroad Administration, Office of the Chief Counsel, Safety Law Division, RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001. Each Regional Office and Department of Transportation, DOT, Federal Railroad Administration, Office of Safety Assurance and Compliance, RRS-10, 1120 Vermont Avenue, NW., Stop 25, Washington, DC 20590-0001.
Categories of individuals covered by the system: Individuals that have allegedly failed to comply with certain railroad safety statutes and regulations.
Categories of records in the system: Facts and circumstances surrounding alleged rail safety violations by individuals; recommendations for enforcement actions; and enforcement cases.
Authority for maintenance of the system: Hazardous Materials Transportation Act (49 App. U.S.C. 1801 et seq.); Safety Appliance Acts, (45 U.S.C. 1-16); Locomotive Inspection Act, (45 U.S.C. 22-34); Accident Reports Act, (45 U.S.C. 38-43); Hours of Service Act, (45 U.S.C. 61-64a); Signal Inspection Act, (49 App. U.S.C. 26); Federal Railroad Safety Act of 1970 (45 U.S.C. 421 et seq.); 18 U.S.C. 1001; and Rail Safety Improvement Act of 1988 (Pub. L. 100-342).
Purpose(s): To provide information concerning enforcement actions for violations of safety statutes and regulations to government agencies and the regulated industry in order to provide them with information necessary to carry out their responsibilities, and to the public in order to increase the deterrent effect of the actions and keep the public apprised of how the laws are being enforced. Determine whether cases should be forwarded to the Office of Chief Counsel for prosecution and to otherwise accomplish the mission of the Office of Safety.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Disclose pertinent information to any source from which additional information is requested in the course of conducting an investigation to the extent necessary to identify the purpose(s) of the request and identify the information requested. Provide notice of the investigation and its outcome to the individual's employing railroad or shipper, or other railroad related to the case through joint facilities or trackage rights in order to give those entities information they may need to assist in preventing a recurrence of noncompliance. To be reviewed by the Safety Division and to form the basis, or support for, civil and/or criminal enforcement actions against the individuals involved. The general routine uses in the prefatory statement apply to all of these files.
Disclosure to consumer reporting agencies: Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this systems to A consumer reporting agencies (collecting on behalf of the United States Government) as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1982 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders, file cabinets and an automated tracking system.
Retrievability: Records are retrievable by name of individual and/or his or her employer.
Safeguards: Access limited to authorized officials. Manual records are maintained in file cabinets that are locked after working hours. Automated records are password protected.
Retention and disposal: Appropriate records retention schedules will be applied and disposal will be by shredding. Certain automated records will be retained indefinitely to provide complete compliance histories.
System manager(s) and address: Enforcement Case System Manager, Department of Transportation, Federal Railroad Administration, Office of the Chief Counsel, Safety Law Division, RCC-10, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590-0001.
Notification procedure: Inquiries should be directed to: Federal Railroad Administration, Assistant Chief Counsel, Safety Law Division, Office of the Chief Counsel, 1120 Vermont Avenue, NW., Stop 10, Washington, DC 20590- 0001.
Record access procedures: Contact (202) 493-6053 or write to the System Manager for information on procedures for gaining access to records.
Contesting record procedures: Same as ``record access procedure.''
Record source categories: Information is obtained directly from the individual or from other persons with personal knowledge of the facts and circumstances involved.
Exemptions claimed for the system: None.
DOT/FRA 132
System name:
Controlled Correspondence Manager (CCM).
Security classification:
Unclassified, sensitive.
System location:
Department of Transportation, Federal Railroad Administration (FRA), Office of Administration and Finance, Office of Information Technology, 1120 Vermont Ave., N.W., Washington, DC 20590.
Categories of individuals covered by the system:
Individuals who write, or are referred in writing by a second party, to the Administrator, Deputy Administrator, Associate Administrators, and/or their immediate offices and staff. Individuals who are the subject of an action requiring approval or action by one of the forenamed, such as appeal actions, training, awards, foreign travel, promotions, selections, grievances, and discipline.
Categories of records in the system:
Correspondence submitted by or on behalf of an individual and responses to such correspondence; and one-time movement and waiver requests from regulations submitted by railroads.
Authority for maintenance of the system:
44 U.S.C. 3101.
Purpose(s):
The purpose of the system is to provide history and internal tracking of correspondence addressed to and signed by the Administrator, Deputy Administrator, Associate Administrators, and their immediate offices and corresponding staff. The system provides FRA with the ability to track correspondence, one-time movements, waivers, and train horn rule to ensure timely response to the individual, public, or organization.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
Referral to the appropriate action office within the agency for preparation of a response. Referral to the appropriate agency for actions involving matters of law or regulation beyond the responsibility of the agency. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage:
All data about the record is stored in a database and corresponding attachments are stored on a file server.
Retrievability:
Records are retrieved by name or control number.
Safeguards:
Access to the system is limited to individuals responsible for responding or tracking correspondence and the system administrator through the use of user IDs and passwords. Physical access to the system and manual records is restricted through security guards and access badges to enter the facility where equipment and records are located.
Retention and disposal:
The office that owns the CCM records sets retention and disposal for the records. CCM is not an official record. The record owner keeps hard copy files of CCM records in accordance with National Archives and Records Administration (NARA) and agency record retention policies.
System manager(s) and address:
Department of Transportation, Federal Railroad Administration, Office of Administration and Finance, Office of the Information Technology, 1120 Vermont Ave., N.W., Mail Stop 35, Washington, DC 20590.
Notification procedure:
Individuals seeking to determine whether their information is contained within this system should address written inquiries to the Freedom of Information Act Coordinator, Office of Chief Counsel, Federal Railroad Administration, 1120 Vermont Ave, N.W., Stop 10, Washington, DC 20590. Requests should include name, address and telephone number and describe the records you seek.
Record access procedures:
Individuals seeking access to records contained within this system can send their requests to the Freedom of Information Act Coordinator, Office of Chief Counsel, Federal Railroad Administration, 1120 Vermont Ave, N.W., Stop 10, Washington, DC 20590. Requests should include name, address and telephone number and describe the records you seek.
Contesting record procedures:
Contact System Manager for information on procedures for contesting records at Department of Transportation, Federal Railroad Administration, Office of Administration and Finance, Office of the Information Technology, 1120 Vermont Ave., N.W., Mail Stop 35, Washington, DC 20590.
Record source categories:
Correspondence from an individual or his/her representative or sponsor; responses to incoming correspondence; and related material provided for background as appropriate.
Exemptions claimed for the system:
None.
Last updated 10/31/2006