Notice2026-08221
Privacy Act of 1974; System of Records
Primary source
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Published
April 28, 2026
Effective
May 28, 2026
Issuing agencies
Transportation Department
Abstract
In accordance with the Privacy Act of 1974, DOT/FRA proposes to establish a new system of records titled "DOT/FRA 133, Post- Accident Toxicological Testing Records (PATTR)." This system will maintain electronic records associated with toxicological testing conducted under 49 CFR part 219, subpart C. Records include required forms, laboratory test results, supporting documentation, and memoranda prepared by FRA staff evaluating whether alcohol or drug use may have been a factor in a qualifying railroad accident or incident.
Full Text
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<title>Federal Register, Volume 91 Issue 81 (Tuesday, April 28, 2026)</title>
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[Federal Register Volume 91, Number 81 (Tuesday, April 28, 2026)]
[Notices]
[Pages 22911-22914]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-08221]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket No. DOT-OST-2026-0133]
Privacy Act of 1974; System of Records
AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of a new system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, DOT/FRA proposes
to establish a new system of records titled ``DOT/FRA 133, Post-
Accident Toxicological Testing Records (PATTR).'' This system will
maintain electronic records associated with toxicological testing
conducted under 49 CFR part 219, subpart C. Records include required
forms, laboratory test results, supporting documentation, and memoranda
prepared by FRA staff evaluating whether alcohol or drug use may have
been a factor in a qualifying railroad accident or incident.
DATES: Submit comments on or before May 28, 2026. The Department may
publish an amended Systems of Records Notice considering any comments
received. This new system of records will be effective immediately upon
publication. The routine uses will be effective May 28, 2026.
ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2026-0133 by any of the following methods:
<bullet> Federal e-Rulemaking Portal: <a href="https://www.regulations.gov">https://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 DOT-OST-2026-0133. 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. 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. You may review the Department of Transportation's
complete Privacy Act statement in the Federal Register published on
April 11, 2000 (65 FR 19477-78).
Privacy Act: Anyone can 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.).
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 questions, please contact Karyn
Gorman, Departmental Chief Privacy Officer, Department of
Transportation, Washington, DC 20590, Email: <a href="/cdn-cgi/l/email-protection#7606041f0017150f3612190258111900"><span class="__cf_email__" data-cfemail="7404061d0215170d34101b005a131b02">[email protected]</span></a>, Tel.
(202)-603-8321.
SUPPLEMENTARY INFORMATION:
Background
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, DOT/FRA
is proposing a new system of records titled, ``DOT/FRA 133--Post-
Accident Toxicological Testing Records.'' This system of records
supports the FRA Office of Railroad Safety in the collection,
processing, and storage of information related to post-accident
toxicological testing, serving as the repository for new and legacy FRA
post-accident toxicological testing program records, including program
documentation and specimen lab results. The records covered by this
notice are used to support FRA in implementing the requirements of
Title 49 Code of Federal Regulations (CFR) part 219, subpart C--Post-
accident toxicological testing (subpart C). Memoranda will be prepared
by FRA alcohol and drug testing specialists summarizing information
about post-accident toxicological test results and analyzing whether
alcohol or drug use played a role in causing the accident/incident.
Records may also be added to FRA's Factual Accident Reporting System
(FARS) as part of FRA accident investigations.
After a railroad accident or incident that qualifies for post-
accident toxicological testing (a ``qualifying event''), Subpart C
requires rail industry employers to perform specimen collections and
submit the specimens for testing to FRA's contract laboratory,
[[Page 22912]]
along with basic information forms and collection forms. The laboratory
reports the results directly to FRA and, when authorized, to the
employer's Medical Review Officer (MRO), who then provides the results
to the employee. As provided by 49 CFR 219.211(d), FRA may share post-
accident toxicological test results and supporting documentation with
the National Transportation Safety Board (NTSB) when requested or may
publicly disclose test results where necessary to consider them in an
accident investigation in relation to determination of probable cause.
Employees may request retests of specimens or submit written responses
within 45 days of receiving their results. The Post-Accident
Toxicological Testing Records will be included in DOT's inventory of
Privacy Act system of records notices.
Privacy Act
The Privacy Act (5 U.S.C. 552a) governs how 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). In
accordance with 5 U.S.C. 552a(r), DOT has provided a report of this
system of records to the Office of Management and Budget (OMB) and to
Congress.
SYSTEM NAME AND NUMBER:
DOT/FRA 133--Post-Accident Toxicological Testing Records
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained in a FedRAMP-certified third-party cloud
environment. The contracts are maintained by DOT at Federal Railroad
Administration, Office of Information Technology, 1200 New Jersey Ave.
SE, Washington, DC 20590.
SYSTEM MANAGER(S):
Part 219 Staff Director, RRS-25, Office of Railroad Safety, FRA,
Department of Transportation, 1200 New Jersey Ave. SE, Washington, DC
20590. Email: <a href="/cdn-cgi/l/email-protection#c2849083ef86b0b7a583aea1adaaadae92b0ada5b0a3afeca7afa3abae82a6adb6eca5adb4"><span class="__cf_email__" data-cfemail="e0a6b2a1cda4929587a18c838f888f8cb0928f8792818dce858d81898ca0848f94ce878f96">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
49 CFR part 219, subpart C--Post-Accident Toxicological Testing;
specifically, 49 U.S.C. 20103, 20107, 20140, 21301, 21304, 21311; 28
U.S.C. 2461 note; Div. A, Sec. 412, Public Law 110-432, 122 Stat. 4889
(49 U.S.C. 20140 note); Sec. 8102, Public Law 115-271, 132 Stat. 3894;
and 49 CFR 1.89.
PURPOSE(S) OF THE SYSTEM:
Support FRA accident and incident investigations by providing
toxicological testing results and documentation relevant to determining
whether alcohol or drug use contributed to a qualifying accident or
incident and deter alcohol and drug misuse by regulated rail industry
employees. The system serves as the authoritative repository for
program documentation, test results and related memoranda, and enables
FRA to meet all requirements of 49 CFR part 219, subpart C.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals within this system include railroad
industry employees and/or contractor employees who are regulated
employees. ``Regulated employee'' is defined in 49 CFR 219.5 to include
a railroad employee or contractor employee who performs locomotive
engineer, conductor, signal, dispatch, maintenance-of-way, or covered
mechanical functions. The system also includes any on-duty railroad
employees or contractor employees who were fatally injured in a
qualifying event while performing duties for the railroad, regardless
of whether they were regulated employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records in the system include the following
information:
<bullet> Information contained on DOT forms FRA F 6180.73, FRA F
6180.74, FRA F 6180.75, and DOT F 1380 (ATF), including names, job
titles, home addresses, work addresses, telephone numbers, employer
information, signatures, specimen identification numbers, and
associated administrative data.
<bullet> Contact information, job titles, employer information,
signatures, initials, accident identifiers, and specimen identification
numbers.
<bullet> Documentation of employee responses, retest requests, or
authorized disclosures under subpart C.
<bullet> Laboratory results for urine, blood, body fluid, or tissue
specimens; MRO reports and verifications; and documentation of
medication use or medical conditions relevant to testing.
<bullet> Requests for retesting, employee or contractor responses
submitted under 49 CFR 219.211(e), and NTSB requests for toxicology
data.
<bullet> Memoranda prepared by FRA specialists summarizing and
analyzing test results (referencing employees only by job title).
<bullet> Legacy documents that may contain un-redacted Social
Security Numbers (SSNs) or Employee Identification Numbers (EINs).
RECORD SOURCE CATEGORIES:
Records are obtained from rail industry employers and their
representatives, railroad and contractor employees, Medical Review
Officers, FRA's contract laboratory and any referee laboratory, and
NTSB.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to other disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DOT as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
SYSTEM SPECIFIC ROUTINE USES:
1. To employer Medical Review Officers for purposes of verifying
laboratory positive results in accordance with 49 CFR 219.103.
2. To NTSB, as authorized under 49 CFR 219.211(d) and (h), to
assist and support NTSB when investigating railroad accidents.
3. To the public, where necessary to support FRA's consideration of
toxicology results in accident or incident investigations, consistent
with 49 CFR 219.211(d).
4. To FRA-regulated employers that employ an individual with a
verified positive post-accident test result indicating alcohol or drug
use prohibited under FRA regulations at 49 CFR 219.101 and 219.102.
5. To DOT-regulated employers for compliance with return-to-duty
requirements under DOT drug and alcohol testing regulations at 49 CFR
219.104(d) and 49 CFR part 40.
[[Page 22913]]
DEPARTMENT GENERAL ROUTINE USES:
6. 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.
7. 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.
8. 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.
9a. 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.
9b. 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 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.
10. The information contained in this system of records will be
disclosed to the Office of Management and Budget, 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.
11. 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).
12. 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.
13. 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.
14a. DOT may disclose records from this system to appropriate
agencies, entities, and persons when: (1) DOT suspects or has confirmed
that there has been a breach of the system of records; (2) DOT has
determined that as a result of the suspected or confirmed breach there
is a risk of harm to individuals, DOT (including its information
systems, programs, and operations), the Federal Government, or national
security; 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 breach or to prevent,
minimize, or remedy such harm.
14b. DOT may disclose records from this system to another Federal
agency or Federal entity, when DOT determines that information from
this system of records is reasonably necessary to assist the recipient
agency or entity in: (1) responding to a suspected or confirmed breach;
or (2) preventing, minimizing, or remedying the risk of harm to
individuals, the recipient agency or entity (including its information
systems, programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
15. DOT may disclose records from this system, as a routine use, to
the Office of Government Information Services for the purpose of: (1)
resolving disputes between Freedom of Information Act (FOIA) requesters
and Federal agencies; and (2) reviewing agencies' policies, procedures,
and compliance in order to recommend policy changes to Congress and the
President.
16. DOT may disclose records from this 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
[[Page 22914]]
accomplish an agency function related to this system of records.
17. 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.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records in this system are stored electronically on a contractor-
maintained cloud storage service and only accessed by authorized
personnel with a need to know.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Post-Accident Toxicological Testing records are retrieved by
selecting:
<bullet> The case number assigned to the qualifying event and then
the name of a railroad employee or contractor employee involved in the
qualifying event who provided a specimen(s) for post-accident
toxicological testing. Post-Accident Toxicological Testing records can
be listed and selected by the name of the railroad employee or
contractor employee.
<bullet> The specimen identification number (a function is seldom
used by FRA alcohol and drug testing specialists).
The system does not retrieve records by other personal identifiers
such as SSN, EIN, or birth date.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Post-Accident Toxicological Testing records will be maintained as
permanent records in accordance with the National Archives and Records
Administration (NARA) retention disposition schedule (RDS) currently
designated for PATTS II (N1-399-08-09, Item 3). The records are
transferred to NARA on an annual basis. FRA will temporarily maintain
case file attachments (scanned inputs that are used to validate the
data input or verify that the data was collected and tested properly)
for at least 10 years in accordance with NARA Schedule N1-399-08-09,
Item 2. For system data consisting of drug and alcohol test results,
accident and railroad information, and scanned images of key documents
sent to the testing laboratory, FRA will temporarily maintain these
records for at least 7 years in accordance with NARA Schedule N1-399-
08-09, Item 1.
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. Access to the computer system containing the records is limited
to authorized individuals who would have a need to know the information
for the performance of their official duties and have the appropriate
clearances or security credentials. FRA deploys role-based access
controls in addition to other protection measures reviewed and
certified by FRA's cybersecurity professionals to maintain the
confidentiality, integrity, and availability requirements of the
system.
RECORD ACCESS PROCEDURES:
Individuals seeking access to, and notification of any record
contained in this system of records or seeking to contest its content
may submit a request online via the Department of Transportation Public
Access Link (PAL) at <a href="https://pal.dot.gov/">https://pal.dot.gov/</a>. Requests submitted through
these electronic channels must include a digital certification of
identity.
Individuals may also submit a request in writing to the System
Manager to the address provided under ``System Manager and Address''
above.
When an individual seeks records about himself or herself from this
system of records or any other Departmental system of records, the
request must conform with the Privacy Act regulations set forth in 49
CFR part 10. The individual's request must verify their identity by
providing their full name, current address, and date and place of
birth. The individual must sign the request, and the individual's
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. No specific form is required, but forms
are available at <a href="https://www.transportation.gov/resources/individuals/privacy/making-privacy-act-request">https://www.transportation.gov/resources/individuals/privacy/making-privacy-act-request</a>.
In addition, the individual should:
<bullet> Explain why the individual believes the Department would
have information on them.
<bullet> Identify which component(s) of the Department the
individual believes may have the information about them.
<bullet> Specify when the individual believes the records would
have been created and provide any other information that will help FRA.
If an individual's request is seeking records pertaining to another
living individual, the first individual must include a statement from
the second individual certifying his/her agreement for the first
individual to access his/her records. Without the above information,
the component(s) may not be able to conduct an effective search, and
the individual's request may be denied due to a lack of specificity or
compliance with the consent requirements of the Privacy Act statute and
regulations. Further information is available at <a href="https://www.transportation.gov/resources/individuals/privacy/making-privacy-act-request">https://www.transportation.gov/resources/individuals/privacy/making-privacy-act-request</a>.
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,
Chief Privacy Officer.
[FR Doc. 2026-08221 Filed 4-27-26; 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.