| GRS 6.1-0398-2017-0001 | 2016-12-29 |  | 80 | U.S. Department of Transportation, Office of the Secretary | 0398 | No | | ITEM 010, ITEM 011 | Agency-Wide | All emails of Capstone officials are considered to be of permanent value and will be transferred to NARA 15 years after their departure from the agency. The department will also be submitting forms for the following additional component record groups 197, 467.
Per email from W.Bohorfoush to GRS team 12/29/2016 forms in process before new one submitted. Asked NARA if they could just include cut off and transfer instructions in additional scope.
Cut off and transfer instructions are same as for all of DOT -For Capstone officials’ cutoff will be by employee tenure with transfer after 15 years. ARO will send organizational chart ASAP.
| | | In expectation of NARA’s approval of DOT’s implementation of GRS 6.1 in conjunction with Capstone approach, DOT will retrospectively capture email of all Capstone officials available in the current environment | No | | LaVerne Ivey, Laverne.Ivey@DOT.Gov, 202-366-2097 | | Secretary , 1 | 1 | Assistant Secretary For Governmental Affairs , 1; Assistant Secretary For Administration , 1; Assistant Secretary For Transportation Policy , 1; Assistant Secretary For Research & Technology , 1; Assistant Secretary For Budget And Programs , 1; Assistant Secretary for Aviation and International Affairs, 1; Under Secretary for Policy, 1 | 7 | Deputy Secretary , 1; Deputy Assistant Secretary for Governmental Affairs , 1; Deputy Assistant Secretary for Budget and Programs, 1; Deputy Assistant Secretary for Aviation and International Affairs, 1; Deputy Assistant Secretary for Research and Technology, 1; Deputy Assistant Secretary for Congressional Affairs , 1; Deputy Assistant Secretary for Administration, 1; Deputy Assistant Secretary for Public Engagement , 1; Deputy Assistant Secretary for Transportation Policy , 2 | 10 | Special Assistant, Office of the Secretary , 2; Special Assistant for Scheduling and Advance, Office of the Secretary, 1; Executive Assistant, Office of the Secretary, 2; Policy Advisor, Assistant Secretary for Aviation and International Affairs, 1; Policy Advisor and Director of Strategic Initiatives, Transportation Policy, 1 | 7 | Chief Information Officer, 1; Chief Financial Officer, 1; Chief Information Security Officer, 1 | 3 | Director, Executive Secretariat, 1; Director, Office of Drug and Alcohol Policy and Compliance, 1; Director of Governmental Affairs, 1; Director, Small and Disadvantaged Business Utilization, 1; Director, Financial Assistance Division Manager, OSDBU, 1; Director, Office of Civil Rights, 1; Director, Office of Intelligence, Emergency Response and Security , 1; Director, Office of Public Affairs, 1; Director of Strategic Communication, Office of Public Affairs, 1; Chief Speechwriter, Office of Public Affairs , 1; Director, Resource Directorate, 1; Director, Office of Budget and Program Performance, 1; Director, Office of Financial Management, 1; Director, Office of Credit Oversight and Risk Management, 1; Director of State and Local Governmental Affairs, 1; Director, Office of International Transportation and Trade, 1; Director, Office of Aviation Analysis, 1; Director, Office of International Aviation, 1; EAS (Essential Air Service) and Domestic Analysis Division Chief, OAA, 1; Competition and Policy Analysis Division Chief, OAA, 1 | 20 | Not applicable, | | Chief of Staff, Office of the Secretary, 1; General Counsel [GC], 1; Counselor to the Secretary of Transportation, 1; White House Liaison, Office of the Secretary, 1; Counselor to the Deputy Secretary of Transportation, 1; Associate Director for Public Engagement, Transportation Policy, 1; Senior Advisor for Build America Transportation Investment Center , 1; Senior Advisor for Ladders of Opportunity, Office of Civil Rights, 1; Special Advisor, Office of the Chief Information Officer, 1; Senior Policy Advisor, Assistant Secretary for Transportation Policy, 1; Chief Administrative Law Judge, Office of Hearings, 1 | 11 | Not applicable, 1 | 1 | Deputy Press Secretary, Office of Public Affairs, 1; Deputy Director, Executive Secretariat, 1; Deputy Director, Office of Intelligence, Security and Emergency Response , 1; Deputy Director for Public Affairs, 1; Deputy Chief of Staff, Office of the Secretary, 1; Deputy Director of Scheduling and Advance, Office of the Secretary, 1; Assistant Director for Regulatory Affairs, Office of International Aviation, 1; Deputy Director, Departmental Office of Human Resource Management, 1; Associate Chief Information Officer for Information Technology Shared Services, 1; Associate Director for Governmental Affairs, 1; Small Business Specialist, OSDBU, 1; Deputy White House Liaison, Office of the Secretary, 1; Deputy General Counsel, 1; Special Counsel to the General Counsel, 1; Counsel for Dispute Resolution, 1; Administrative Law Judge, Office of Hearings, 2; Special Assistant, Departmental Office of Civil Rights , 1; Deputy Chief Information Officer , 1; Deputy Chief Financial Officer, 1 | 20 | Walter Bohorfoush for Laverne Ivey | Approved | 2016-12-20 | Richard McKinney | Approved | 2016-12-20 | Laurence Brewer | 2019-05-15 |
| GRS 6.1-0408-2017-0001 | 2016-12-29 | | 32 | Federal Transit Administration | 0408 | No | | ITEM 010, ITEM 011 | Agency-Wide | Capstone officials: Cutoff at the end of employee tenure. Transfer to NARA at the end of fiscal year, 15 years after cut-off.
| | | No legacy email exists for this agency, as traditional records management with a print-and-file policy was enforced prior to Capstone adoption. | No | https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/about/56716/fta-organizational-chart-august-2017_0.pdf | Danielle Tyler, danielle.tyler@dot.gov, 202-366-5160 | | Administrator, 1 | 1 | Associate Administrator for Communication and Congressional Affairs, 1; Associate Administrator for Transit Safety & Oversight, 1; Associate Administrator for Program Management, 1; Associate Administrator for Planning & Environment, 1; Associate Administrator for Research Demonstration & Innovation, 1; Associate Administrator for Budget & Policy (CFO), 1; Associate Administrator for Administration (CIO), 1; Associate Administrator for Civil Rights, 1 | 8 | Deputy Administrator of the Federal Transit Administration (FTA), 1; Deputy Associate Administrator for Communication and Congressional Affairs, 1; Deputy Associate Administrator for Transit Safety & Oversight, 1; Deputy Associate Administrator for Program Management, 1; Deputy Associate Administrator for Planning & Environment, 1; Deputy Associate Administrator for Research Demonstration & Innovation, 1; Deputy Associate Administrator for Budget & Policy, 1; Deputy Associate Administrator for Administration, 1; Deputy Associate Administrator for Civil Rights, 1 | 9 | Not applicable. No positions in this category., 0 | 0 | Executive Officer (COO), 1 | 1 | No Capstone officials exist in this category., 0 | 0 | Regional Administrators (10 Regions), 10 | 10 | Chief Counsel, 1; Deputy Chief Counsel (Plum Book), 1; Special Counsel (Plum Book), 1 | 3 | None listed in Plum Book., 0 | 0 | Not applicable. No positions in this category., 0 | 0 | Danielle Tyler (C. Green)/ Records Officer | Approved | 2016-04-29 | Richard McKinney | Approved | 2016-12-20 | Laurence Brewer | 2018-04-24 |
| GRS 6.1-0367-2017-0001 | 2016-12-29 | | 8 | Saint Lawrence Seaway Development Corporation | 0367 | No | | ITEM 010, ITEM 011 | Agency-Wide | | Cutoff will be by employee tenure. | Transfer when 15 years old. | In expectation of NARA’s approval of DOT’s implementation of GRS 6.1 in conjunction with Capstone approach, DOT will prospectively capture email of all Capstone officials available in the current environment. These e-mails may date back to the inception of the agency, on November 30, 2004. | No | See attached Organization Chart | Carrie Lavigne: Carrie.Lavigne@dot.gov | | SLSDC Administrator/Top Executive, 1 | 1 | Not applicable; no positions in this category exist, 0 | 0 | SLSDC Deputy Administrator, 1 | 1 | Not applicable, no positions in this category exist, 0 | 0 | SLSDC Chief Financial Officer, 1 | 1 | SLSDC Director, Office of Budget and Economic Development, 1; SLSDC, Director of congressional and Public Relations, 1 | 2 | SLSDC Associate Administrator/Resident Manager, 1 | 1 | SLSDC Chief Counsel, 1; SLSDC Chief of Staff, 1 | 2 | not applicable; no positions in this category exist, 0 | 0 | not applicable; no positions in this category exist, 0 | 0 | Carrie Lavigne | Approved | 2016-10-21 | Richard McKinney | Approved | 2016-12-19 | Laurence Brewer | 2018-06-13 |
| GRS 6.1-0398-2017-0002 | 2016-12-29 | | 1 | Department of Transportation, Office of Inspector General | 0398 | No | | ITEM 010, ITEM 011 | Component/Office | All other emails will be archived for seven years. | Permanent. Cut off of email will be subject to the Inspector General's tenure. | Permanent. Transfer the Capstone Records to NARA 15 years after cutoff. | “In expectation of NARA’s approval of DOT’s implementation of GRS 6.1 in conjunction with Capstone approach, DOT will prospectively capture email of all Capstone officials available in the current environment.”Agency will be including legacy email categorized by date (dating back approximately to May 2015). | No | A copy of the Organizational Chart is provided as an attachment | Rebecca Sorrels, rebecca.sorrels@oig.dot.gov. 202-366-1922 | | Inspector General, 1 | 1 | Not applicable, | | N/A, | | N/A, | | N/A, | | N/A, | | N/A, | | N/A, | | N/A, | | N/A, | | Rebecca Sorrels | Approved | 2016-11-07 | Richard McKinney | Approved | 2016-12-20 | Laurence Brewer | 2018-11-05 |
| GRS 6.1-0557-2017-0001 | 2016-12-29 | | 23 | Federal Motor Carrier Safety Administration | 0557 | No | N/A | ITEM 010, ITEM 011 | Agency-Wide | Cut off and transfer instructions are same as for all of DOT -For Capstone officials’ cutoff will be by employee tenure with transfer after 15 years.
| | | In expectation of NARA’s approval of DOT’s implementation of GRS 6.1 in conjunction with Capstone approach, DOT will prospectively capture email of all Capstone officials available in the current environment, dating from January 2016. | No | http://one10.dot.gov/office/fmcsa/Rosters/OrganizationChartOverall.pdf | Roxane Oliver; Roxane.Oliver@dot.gov; 202-385-2324 | Roxane Oliver, FMCSA Records Officer, Office of Analysis, Research and Technology, Analysis Division/MC-RRA, 202-385-2324
| Administrator, 1 | 1 | Deputy Administrator, 1 | 1 | Assistant Administrator & Chief Safety Officer , 1; Associate Administrator, Administration, 1; Associate Administrator, Research & Information Technology, 1; Associate Administrator, Policy, 1; Associate Administrator, Enforcement, 1; Associate Administrator, Field Operations, 1 | 6 | Not applicable; no positions in this category exist. , | | Chief Counsel, Political Appointee, 1; Senior Advisor, Political Appointee, 1; Chief Financial Officer, 1; Chief Information Officer, 1 | 4 | Deputy Chief Counsel, 1; Office Director, Analysis, Research & Technology, 1; Office Director, Registration & Safety Information, 1; Office Director, Truck & Bus Standards, 1; Office Director, Policy, Strategic Planning & Regulations, 1; Office Director, Enforcement & Compliance, 1; Office Director, State Programs, 1 | 7 | Regional Field Administrator, Eastern Region, 1; Regional Field Administrator, Western Region, 1; Regional Field Administrator, Southern Region, 1; Regional Field Administrator, MidWestern Region, 1 | 4 | Not applicable; no positions in this category exist. , | | Not applicable; no positions in this category exist. , | | Not applicable; no positions in this category exist., | | Roxane Oliver | Approved | 2016-12-20 | Richard McKinney | Approved | 2016-12-20 | Laurence Brewer | 2017-12-20 |
| GRS 6.1-0571-2017-0001 | 2016-12-29 | | 19 | Pipeline and Hazardous Materials Safety Administration | 0571 | No | | ITEM 010, ITEM 011 | Agency-Wide | N/A | Cutoff of email will be by employee tenure. | Transfer 15 years after cut-off. | In expectation of NARA’s approval of DOT’s implementation of GRS 6.1 in conjunction with Capstone approach, DOT will capture email of all Capstone officials available in the current environment. These e-mails may date back to the inception of the agency, on November 30, 2004. | No | http://phmsa.dot.gov/about/key-officials
http://www.phmsa.dot.gov/pv_obj_cache/pv_obj_id_8359B553A294C4F08CA0A7031D6861965CF70A00/filename/PHHOrgChart.pdf
http://phmsa.dot.gov/pv_obj_cache/pv_obj_id_E133E6897A8D724034CA78FC868517A5F99A0300/filename/ops_orgchart.pdf | Faustine King, Faustine.King@dot.gov, 202-366-4744 | Faustine King, Faustine.King@dot.gov, 202-366-4744 | Administrator , 1 | 1 | Executive Director, 1; Associate Administrator - Hazmat/Advising PHMSA's Administrator, 1; Associate Administrator - Pipeline/Advising PHMSA's Administrator, 1; Associate Administrator for Administration , 1; Office of Planning and Analytics (OPA), 1 | 5 | Deputy Administrator to the Administrator, 1; Deputy Administrator to Associate Administrator - Hazmat, 1; Deputy Administrator to Associate Administrator - Pipeline, 1 | 3 | Special Assistant To The Administrator, 1 | 1 | Director Information Resources Division and Chief Information Officer, 1; Chief Financial Officer, 1 | 2 | Dir Of Gov, Intl And Pub Affairs, 1; Supervisory EEO Specialist /Civil Rights Director , 1 | 2 | Deputy Associate Administrator - Field Operations- Hazmat, 1; Deputy Associate Administrator-Field Operations - Pipeline, 1 | 2 | Chief Counsel/Serve as Chief Counsel for the Pipeline and Hazardous Materials Safety Administration. , 1; Deputy Chief Counsel, 1 | 2 | Senior Advisor to the Administrator, 1 | 1 | N/A, | | Faustine King | Approved | 2016-04-27 | Richard McKinney | Approved | 2016-12-20 | Laurence Brewer | 2017-08-28 |
| GRS 6.1-0416-2017-0001 | 2016-12-29 | | 29 | National Highway Traffic Safety Administration (NHTSA) | 0416 | No | | ITEM 010, ITEM 011 | Agency-Wide | Applies to all of NHTSA under DOT | Cutoff will be by employee tenure. | Cut-off at the end of employee tenure. Transfer emails 15 years after cut-off. | In expectation of NARA’s approval of DOT’s implementation of GRS 6.1 in conjunction with Capstone approach, DOT will capture email of all Capstone officials available in the current environment. Since NHTSA is a consolidated bureau, all emails in any status (whether deleted by the user or not) can be retrieved as far back as 2011. If the emails and archives have not been deleted, emails can be traced back to 2004.
| No | NHTSA Organization Chart January, 2016 is available and will be attached with this submission. | Wamique Futuri, wamique.futuri@dot.gov, 202-366-2450 | | NHTSA Administrator, 1 | 1 | Associate Administrator for Administration, 1; Associate Administrator for Communications and Consumer Information, 1; Associate Administrator for Research and Program Development, 1; Associate Administrator for Regional Operations and Program Delivery, 1; Associate Administrator for Rulemaking, 1; Associate Administrator for Enforcement, 1; Associate Administrator for Vehicle Safety Research, 1; Associate Administrator for the National Center for Statistics and Analysis, 1 | 8 | NHTSA Deputy Administrator, 1 | 1 | Senior Advisor, 1 | 1 | Executive Director, 1; Chief Financial Officer, 1; Chief Information Officer, 1 | 3 | Director of Governmental Affairs, Policy, and Strategic Planing, 1; Director of Communications, 1; Director of Civil Rights, 1; Chief Safety Scientist, 1; Director - Office of Crash Avoidance Standards, 1; Director - International Harmonization Policy, Fuel, Economy and Consumer Programs, 1; Director - Regulatory Analysis and Evaluation, 1; Director - Vehicle Research and Test Center, 1; Director - Office of Crash Avoidance and Electronic Controls, 1; Director- Office of Impaired Driving and Occupant Protection, 1; Director of Safety Programs, 1 | 11 | Not applicable., | | Chief Counsel, 1; Assistant Chief Counsel for Rulemaking, 1; Assistant Chief Counsel for Litigation, 1; Assistant Chief Counsel for Legislation and General Law, 1 | 4 | Not applicable. No other PAS positions exist., 0 | 0 | Not applicable., 0 | 0 | (Carolyn Green) Wamique Futuri | Approved | 2016-12-20 | Richard McKinney | Approved | 2016-12-20 | Laurence Brewer | 2018-05-22 |
| GRS 6.1-0357-2017-0001 | 2016-12-29 | | 31 | Maritime Administration | 0357 | No | | ITEM 010, ITEM 011 | Agency-Wide | | Cutoff will be by employee tenure | Transfer when 15 years old | In expectation of NARA’s approval of DOT’s implementation of GRS 6.1 in conjunction with Capstone approach, DOT will prospectively capture email of all Capstone officials available in the current environment | No | http://one10.dot.gov/office/marad/aboutus/About%20Us%20Documents/August%202016.jpg | Courteney Bush, courteney.bush@dot.gov, 202-366-9218 | | Maritime Administrator, 1 | 1 | N/A, | | Deputy Maritime Administrator, 1; Executive Director, 1 | 2 | Executive Assistant, Maritime Administrator, 1; Executive Assistant, Deputy Maritime Administrator, 1; Executive Assistant, Executive Director, 1 | 3 | Chief Information Officer, 1; Chief Financial Officer, 1 | 2 | Associate Administrator for Business and Finance Development, 1; Associate Administrator for Strategic Sealift, 1; Associate Administrator for Intermodal System Development, 1; Associate Administrator for Environment and Compliance, 1; Associate Administrator for Budget and Programs, 1; Associate Administrator for Administration, 1; Director, Office of Congressional and Public Affairs, 1; Superintendent, US Merchant Marine Academy, 1 | 8 | Director, Northwest Gateway Office, 1; Director, Northern California Gateway Office, 1; Director, Southern California Gateway Office, 1; Director, Western Gulf Gateway Office, 1; Director, Eastern Gulf/Lower Mississippi Gateway Office, 1; Director, Inland Waterways Gateway Office, 1; Director, Great Lakes Gateway Office, 1; Director, South Atlantic Gateway Office, 1; Director, North Atlantic Gateway Office, 1; Director, Mid-Atlantic Gateway Office, 1 | 10 | Chief Counsel, 1; Chief, Division of Litigation and General Law, 1; Chief, Division of Maritime Programs, 1 | 3 | Not applicable, no positions in this category exist, | | Deputy Chief Counsel, 1; Deputy Superintendent, US Merchant Marine Academy, 1 | 2 | Courteney Bush | Approved | 2016-12-13 | Richard McKinney | Approved | 2016-12-13 | Laurence Brewer | 2018-09-11 |