Notice2021-25153
Privacy Act of 1974; DOT/ALL 028; Employee Accommodations Files
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Published
November 18, 2021
Issuing agencies
Transportation Department
Abstract
In accordance with the Privacy Act of 1974, the U.S. Department of Transportation (DOT) intends to establish a new system of records titled Employee Accommodations Files. This system allows DOT to collect, use, maintain, and disseminate the records needed to process, manage, maintain, and resolve reasonable accommodation requests from employees or applicants for employment based on a medical condition/ disability or a sincerely held religious belief, practice, or observance. This includes requests for a medical or religious accommodation to decline the COVID-19 vaccination. The information will be used to determine whether accommodations are legally required in accordance with the Rehabilitation Act and Title VII of the Civil Rights Act of 1964.
Full Text
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<title>Federal Register, Volume 86 Issue 220 (Thursday, November 18, 2021)</title>
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[Federal Register Volume 86, Number 220 (Thursday, November 18, 2021)]
[Notices]
[Pages 64597-64600]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-25153]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket No. OST-2021-0135]
Privacy Act of 1974; DOT/ALL 028; Employee Accommodations Files
AGENCY: Office of the Departmental Chief Information Officer, Office of
the Secretary of Transportation, Transportation (DOT).
ACTION: Notice of a new system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the U.S.
Department of Transportation (DOT) intends to establish a new system of
records titled Employee Accommodations Files. This system allows DOT to
collect, use, maintain, and disseminate the records needed to process,
manage, maintain, and resolve reasonable accommodation requests from
employees or applicants for employment based on a medical condition/
disability or a sincerely held religious belief, practice, or
observance. This includes requests for a medical or religious
accommodation to decline the COVID-19 vaccination. The information will
be used to determine whether accommodations are legally required in
accordance with the Rehabilitation Act and Title VII of the Civil
Rights Act of 1964.
DATES: This new system of records is effective upon publication;
however, comments on the Routine Uses will be accepted on or before
December 20, 2021. The Routine Uses will become effective at the close
of the comment period. The Department may publish an amended System of
Records Notice (SORN) in light of any comments received.
ADDRESSES: You may submit comments, identified by docket number OST-
2021-0135 by any of the following methods:
<bullet> Federal e-Rulemaking Portal: <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
Follow the instructions for submitting comments.
<bullet> 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.
<bullet> 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.
<bullet> Instructions: You must include the agency name and docket
number OST-2021-0135.
<bullet> All comments received will be posted without change to
<a href="https://www.regulations.gov">https://www.regulations.gov</a>, 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 the
DOT's complete Privacy Act statement in the Federal Register published
on April 11, 2000 (65 FR 19477-78), or you may visit <a href="https://DocketsInfo.dot.gov">https://DocketsInfo.dot.gov</a>.
Docket: For access to the docket to read background documents or
comments received, go to <a href="https://www.regulations.gov">https://www.regulations.gov</a> or to the street
address listed above. Follow the online instructions for accessing the
docket.
FOR FURTHER INFORMATION CONTACT: For general and privacy questions,
please contact: Karyn Gorman, Acting Departmental Chief Privacy
Officer, Department of Transportation, S-83, Washington, DC 20590,
Email: <a href="/cdn-cgi/l/email-protection#a9d9dbc0dfc8cad0e9cdc6dd87cec6df"><span class="__cf_email__" data-cfemail="4d3d3f243b2c2e340d292239632a223b">[email protected]</span></a>, Tel. (202) 366-3140.
SUPPLEMENTARY INFORMATION:
Background
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the U.S.
Department of Transportation (DOT), Office of the Secretary, is
proposing a new system of records titled Employee Accommodations Files.
The Rehabilitation Act of 1973, as amended, 29 U.S.C. 791 and Title VII
of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000e, require
DOT to grant employee requests for medical/disability accommodations or
religious accommodations because of a sincerely held religious belief,
practice or observance unless an undue hardship would result. DOT is
similarly required in some circumstances to grant employee requests for
medical accommodations because of disability. The government-wide
policy requiring all Federal employees as defined in 5 U.S.C. 2105 to
be vaccinated against COVID-19 is expected to generate many requests
for medical/disability and religious accommodations.
In order to process and make a determination on an accommodation
request, DOT is required to collect information from Federal employees
and applicants for federal employment making such requests.
This system will collect information related to individuals
requesting medical/disability and religious accommodations. These
accommodation requests include but are not limited to requests for
exemptions from vaccines. By requesting an accommodation, individuals
are authorizing DOT to collect and maintain a record of the information
submitted to support the request for the accommodation. The information
contained within this system of records will be collected directly from
the individual employees or applicants for federal employment who have
requested accommodations. This new system will be included in DOT's
inventory of record systems.
DOT has also included DOT General Routine Uses, to the extent they
are compatible with the purposes of this System. As recognized by the
Office of Management and Budget (OMB) in its Privacy Act Implementation
Guidance and Responsibilities (65 FR 19746 (July 9, 1975)), the routine
uses include proper and necessary uses of information in the system,
even if such uses occur infrequently. DOT has included in this notice
routine uses for disclosures to law enforcement when the record, on its
face, indicates a violation of law, to DOJ for litigation purposes, or
when necessary in investigating or responding to a breach of this
system or other agencies' systems. DOT may disclose to Federal, State,
local, or foreign agency information relevant to law enforcement,
litigation, and proceedings before any court or adjudicative or
administrative body. OMB has long recognized that these types of
routine uses are ``proper and necessary'' uses of
[[Page 64598]]
information and qualify as compatible with agency systems (65 FR 19476,
April 11, 2000). In addition, OMB Memorandum M-17-12 directed agencies
to include routine uses that will permit sharing of information when
needed to investigate, respond to, and mitigate a breach of a Federal
information system. DOT also has included routine uses that permit
sharing with the National Archives and Records Administration when
necessary for an inspection, or to any federal government agency
engaged in audit or oversight related to this system. These types of
disclosures are necessary and proper uses of information in this system
because they further DOT's obligation to fulfil its records management
and program management responsibilities by facilitating accountability
to agencies charged with oversight in these areas.
Privacy Act
The Privacy Act (5 U.S.C. 552a) governs the means by which the
federal government agencies collect, maintain, use, and disseminate
individuals' records. The Privacy Act applies to information that is
maintained in a ``system of records.'' A ``system of records'' is a
group of any records under the control of an agency from which
information is retrieved by the name of an individual or by some
identifying number, symbol, or other identifying particular assigned to
the individual. The Privacy Act extends rights and protections to
individuals who are U.S. citizens and lawful permanent residents.
Additionally, the Judicial Redress Act (JRA) provides a covered person
with a statutory right to make requests for access and amendment to
covered records, as defined by the JRA, along with judicial review for
denials of such requests. In addition, the JRA prohibits disclosures of
covered records, except as otherwise permitted by the Privacy Act.
Below is the description of the Employee Accommodations Files
System of Records. In accordance with 5 U.S.C. 552a(r), DOT has
provided a report of this system of records to the OMB and to Congress.
SYSTEM NAME AND NUMBER:
DOT/ALL 28; Employee Accommodations Files.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained in a FedRAMP-certified third-party cloud
environment. Records may also be kept in other components and sub-
offices of DOT.
SYSTEM MANAGER(S):
Office of Civil Rights, at Department of Transportation at 1200 New
Jersey Avenue SE, Washington, DC 20590. Yvette Rivera, Associate
Director, Equity and Access Division, Departmental Office of Civil
Rights, 202-366-5131. For the Federal Aviation Administration, the
Office of Civil Rights, 800 Independence Ave. SW, Washington, DC 20591.
Michael Looney, Program Manager, (202) 267-3258.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
<bullet> Title VII of the Civil Rights Act of 1964 42 U.S.C. 2000e.
<bullet> Rehabilitation Act of 1973, as amended, 29 U.S.C. 791.
<bullet> Executive Order 13164.
<bullet> 29 CFR parts 1605, 1614.
PURPOSE(S) OF THE SYSTEM:
The purpose of the system is to collect information from
individuals seeking medical/disability and/or religious accommodations
in order to approve or deny their requests.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals within this system include: Individuals
who are current DOT employees and applicants for federal employment who
have requested medical/disability and/or religious accommodations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records include the name of the individual seeking accommodations,
nature of the accommodation sought, including but not limited for
religious accommodations, how complying with such a requirement would
burden religious exercise, how long the belief has been held and the
reason for seeking exemption.
For accommodations based on medical/disability, the records will
include information such as nature of the medical condition/disability,
functional limitations caused by the medical condition/disability, how
the requested accommodation would address the functional limitations,
medical documentation of the medical condition/disability, and other
information specific to the requested accommodation to determine
whether DOT is legally required to grant the request.
PII elements: Name, title, email address, phone number, operating
administration, pay grade or band, supervisor information, other
information collected from requesters to make a determination regarding
a specific medical and/or religious accommodation request.
RECORD SOURCE CATEGORIES:
DOT employees and applicants seeking medical/disability and/or
religious accommodations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Department General Routine Uses
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.
2a. 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, in his/her official capacity, or (c) Any
employee of DOT or any agency thereof, 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.
2b. 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 in
his/her official capacity, or (c) Any employee of DOT or any agency
thereof in his/her individual capacity where DOT has
[[Page 64599]]
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.
3. 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).
4. One or more records from a system of records may be disclosed
routinely to the National Archives and Records Administration (NARA) in
records management inspections being conducted under the authority of
44 U.S.C. 2904 and 2906.
5. 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.
6. 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.
7. 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.
8. DOT may disclose records from the system, as a routine use, to
contractors and their agents, 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.
9. DOT may disclose records from this system, as a routine use, to
an agency, organization, or individual for the purpose of performing
audit or oversight operations related to this system of records, but
only such records as 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.
10.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records relating to requests for accommodation relating to
mandatory COVID-19 vaccination are stored in the USDOT Vaccination
Application. Records relating to other disability-related requests for
accommodation are stored in the Reasonable Accommodation Management
System (RAMS). Requests for religious accommodations may be stored in
RAMS, or in systems at component or sub-office level.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records on individuals will be retrieved by name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records will be held in accordance with NARA General Records
Control Schedule 2.3, Employee Relations Records, item 20, Reasonable
accommodation case files. Individual employee files created, received,
and maintained by EEO reasonable accommodation, diversity/disability
programs, employee relations coordinators, supervisors, administrators,
or Human Resource specialists containing records of requests for
reasonable accommodation and/or assistive technology devices and
services that have been requested for or by an employee. Includes:
Request, approvals and denials, notice of procedures for informal
dispute resolution or appeal processes, forms, correspondence, records
of oral conversations, policy guidance documents, medical records,
supporting notes and documentation. These records are temporary and
will be destroyed 3 years after employee separation from the agency or
all appeals are concluded, whichever is later; however, longer
retention is authorized if required for business use.
ADMINISTRATIVE, 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. Data is encrypted at rest and in transit. 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.
When seeking records about yourself from this system of records or
any other Departmental system of records your request must conform with
the Privacy
[[Page 64600]]
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, <a href="http://www.dot.gov/foia">http://www.dot.gov/foia</a> or 202.366.4542. In
addition, you should provide the following:
<bullet> An explanation of why you believe the Department would
have information on you;
<bullet> Identify which component(s) of the Department you believe
may have the information about you;
<bullet> Specify when you believe the records would have been
created;
<bullet> Provide any other information that will help the FOIA
staff determine which DOT component agency may have responsive records;
and
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.
NOTIFICATION PROCEDURES:
See Record Access Procedures.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
None.
Issued in Washington, DC.
Karyn Gorman,
Acting Departmental Chief Privacy Officer.
[FR Doc. 2021-25153 Filed 11-17-21; 8:45 am]
BILLING CODE P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.