Notice2022-21927
Privacy Act of 1974; Department of Transportation (DOT), Federal Aviation Administration (FAA), DOT/FAA 852 Complaint Investigations System
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
October 7, 2022
Issuing agencies
Transportation Department
Abstract
In accordance with the Privacy Act of 1974, the Department of Transportation (DOT) intends to rename, modify and re-issue a DOT Federal Aviation Administration (FAA) system of records notice entitled, "DOT/FAA 852 Suspected Unapproved Parts (SUP) Program." The name of this System of Records Notice (SORN) is being changed to "DOT/ FAA 852 Complaint Investigations System." The modification of this system of records notice (hereafter referred to as "Notice") is appropriate because the FAA has aligned the management and oversight of the SUP program with that of other reports of actual or perceived aviation safety-related issues, alleged violations of criminal, civil and administrative laws and regulations, including aircraft noise and whistleblower complaints, and aviation safety related orders under the regulatory oversight of the FAA. The records include the investigative records created as a result of the variety of complaints and issues reported by the public, as well as by FAA employees and contractors. The records of the complaints are covered by the DOT/FAA 845 Administrators Correspondence Control and Hotline Information System (ACCIS), Administrator's Hotline Information System (AHIS) and Consumer Hotline Information System (CHIS) SORN,\1\ while the investigative records, if any, created as a result of these complaints received under the DOT/FAA 845 SORN, will be covered by this SORN. These investigations and findings are managed using the same FAA policies, information systems, and common processes. ---------------------------------------------------------------------------
Full Text
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<title>Federal Register, Volume 87 Issue 194 (Friday, October 7, 2022)</title>
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[Federal Register Volume 87, Number 194 (Friday, October 7, 2022)]
[Notices]
[Pages 61137-61142]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-21927]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket No. DOT-OST-2021-0124]
Privacy Act of 1974; Department of Transportation (DOT), Federal
Aviation Administration (FAA), DOT/FAA 852 Complaint Investigations
System
AGENCY: Office of the Departmental Chief Information Officer, Office of
the Secretary of Transportation, DOT.
ACTION: Notice of a modified Privacy Act System of Records.
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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Transportation (DOT) intends to rename, modify and re-issue a DOT
Federal Aviation Administration (FAA) system of records notice
entitled, ``DOT/FAA 852 Suspected Unapproved Parts (SUP) Program.'' The
name of this System of Records Notice (SORN) is being changed to ``DOT/
FAA 852 Complaint Investigations System.'' The modification of this
system of records notice (hereafter referred to as ``Notice'') is
appropriate because the FAA has aligned the management and oversight of
the SUP program with that of other reports of actual or perceived
aviation safety-related issues, alleged violations of criminal, civil
and administrative laws and regulations, including aircraft noise and
whistleblower complaints, and aviation safety related orders under the
regulatory oversight of the FAA. The records include the investigative
records created as a result of the variety of complaints and issues
reported by the public, as well as by FAA employees and contractors.
The records of the complaints are covered by the DOT/FAA 845
Administrators Correspondence Control and Hotline Information System
(ACCIS), Administrator's Hotline Information System (AHIS) and Consumer
Hotline Information System (CHIS) SORN,\1\ while the investigative
records, if any, created as a result of these complaints received under
the DOT/FAA 845 SORN, will be covered by this SORN. These
investigations and findings are managed using the same FAA policies,
information systems, and common processes.
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\1\ Please check the DOT Privacy Act System of Records Notices
page (Privacy Act System of Records Notices [bond] U.S. Department
of Transportation) for the most recent published version.
DATES: Written comments should be submitted on or before November 7,
2022. The Department may publish an amended SORN in light of any
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comments received. This new system will be effective November 7, 2022.
ADDRESSES: You may submit comments, identified by docket number 2021-
0124 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> Fax: (202) 493-2251.
<bullet> Instructions: You must include the agency name and docket
number DOT-OST-2021-0124.
<bullet> All comments received will be posted without change to
<a href="http://www.regulations.gov">http://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 January 17, 2008, (73 FR 3316-3317), or you may visit <a href="http://DocketsInfo.dot.gov">http://DocketsInfo.dot.gov</a>.
Docket: For access to the docket to read background documents or
comments received, go to <a href="http://www.regulations.gov">http://www.regulations.gov</a> or to the street
address listed above. Follow the online instructions for accessing the
docket.
FOR FURTHER INFORMATION CONTACT: For privacy questions, please contact
Karyn Gorman, Acting Departmental Chief Privacy Officer, Privacy
Office, Department of Transportation, Washington, DC 20590;
<a href="/cdn-cgi/l/email-protection#a7d7d5ced1c6c4dee7c3c8d389c0c8d1"><span class="__cf_email__" data-cfemail="4e3e3c27382f2d370e2a213a60292138">[email protected]</span></a>; or 202-366-3140.
SUPPLEMENTARY INFORMATION:
Notice Updates
This Notice update includes both substantive and non-substantive
changes to the previously published Notice. The substantive changes
include: system name, system location, system manager, authority,
purpose, categories of individuals, categories of records, record
source categories, routine uses of records maintained in the system,
policies and practices for retrieval of records, policies and practices
for retention and disposal of records, and record access procedures.
The non-substantive changes include policies and practices for storage
of records, administrative, technical and physical safeguards,
contesting record procedures, notification procedures, and exemptions.
Certain updates also include changes to align with the requirements of
Office of Management and Budget Memorandum (OMB) A-108 and to ensure
consistency with other Notices issued by DOT.
I. Background
In accordance with the Privacy Act of 1974, as amended, the
Department of Transportation (DOT) proposes to rename, modify and re-
issue a DOT system of records notice to be titled, ``Department of
Transportation, Federal Aviation Administration, DOT/FAA 852 Complaint
Investigations System,'' to reflect the change in the purpose and scope
of the system of records.
The Notice currently provides a collection point and tracking for
[[Page 61138]]
complaints around suspected unapproved parts. Given the alignment of
management and oversight of the investigative records of the SUP
program with that of reports of actual or perceived aviation safety-
related issues and alleged violations of criminal, civil and
administrative laws and regulations, it is necessary to update this
Notice with the investigative records pertaining to other types of
complaints of alleged aviation safety-related issues and wrongdoings by
individuals and entities. These investigative records pertain to
whistleblower complaints and other aviation safety-related issues, such
as aircraft noise concerns, and allegations by the FAA's Office of
Aviation Safety (AVS) employees and are being added to this system in
order to consolidate maintenance of the investigative records by the
FAA. These investigations and findings are also managed using the same
FAA policies, information systems, and common processes. AVS employees
utilize an internal system to report their issues whereas all others,
including members of the public, use external facing websites to submit
their whistleblower and other aviation safety-related complaints. The
information systems used to receive and maintain the complaints are
covered by the DOT/FAA 845 Administrators Correspondence Control and
Hotline Information System (ACCIS), Administrator's Hotline Information
System (AHIS) and Consumer Hotline Information System (CHIS) SORN. The
records in this updated Notice specifically include the investigative
results, findings, resolutions, supporting documentation and other
related records accumulated for the purpose of addressing the
complaints submitted to the FAA. Investigative records may include, but
are not limited to, certain personal information such as name, address,
phone number, email address, aircraft registration number, and airman
certificate number of the reporting individual or subject of alleged
violations.
The following substantive changes have been made to the Notice:
1. System Name and Number: This Notice updates the system name to
DOT/FAA 852 ``Complaint Investigations System'' to better reflect the
expanded purpose and scope of the system of records created as part of
the investigation of complaints under this Notice.
2. System Location: This Notice updates the system location to
include the multiple system locations for the various investigative
records added to this Notice. The additional system locations include
the FAA Headquarters locations, the William J. Hughes Technical Center
(WJHTC) in Atlantic City, New Jersey, and the facility at 3701
MacIntosh Drive, Warrenton, Virginia. The investigation and resolution
records of complaints, submitted by AVS employees prior to April 2021,
are located at the Mike Monroney Aeronautical Center (MMAC) in Oklahoma
City, Oklahoma, and the complaint records submitted subsequent to April
2021 are located at the MITRE offices at 7525 Colshire Drive, McLean,
Virginia. The previously referenced locations of the SUP program office
in Dulles, Virginia, various regional and directorate offices and civil
aviation security offices, are being removed, as this information was
superseded due to integration of these records into a different
information technology system.
3. System Manager: This Notice updates the system manager
information to reflect the inclusion of records maintained at the WJHTC
in Atlantic City, New Jersey, the FAA headquarters locations, the
facility at Warrenton, Virginia, the MMAC in Oklahoma City, Oklahoma
(pre-April 2021) and the MITRE offices in McLean, Virginia (April 2021
onward). Additionally, contact information for the system manager in
each location is included in this update. The reference in the previous
Notice to the SUP system manager in Dulles, Virginia, is being removed,
as this information was superseded due to integration of these records
into a different information technology system.
4. Authority: This Notice updates the authorities to include the
following: 44 U.S.C. 3101, which applies to records containing adequate
and proper documentation of the organization, functions, policies,
decisions, procedures, and essential transactions of the agency that
are maintained by heads of agencies, such as the Administrator and
Noise Ombudsman; 49 U.S.C. 42121, which applies to discrimination
against airline employees reporting safety concerns/violations; and 49
U.S.C. 40101, and Sections 341, 510, and 1210 of the Federal Aviation
Reauthorization Act of 1996, as well as Section 180 of the FAA
Reauthorization Act of 2018, and 49 U.S.C. 106(t),), which apply to
reporting of other safety issues. The previously referenced authority
of 49 U.S.C. 44701 covering the SUP program, including discussion on
safety, eliminating accidents, minimum safety standards, and
identification of registered aircraft, will remain because these
records are still included in this system of records. Section 44701
also applies to AVS personnel complaint reports and other hotline
records.
5. Purpose: This Notice updates the purpose of this System as
covering the records pertaining to the investigations, and findings and
resolution of complaints, reports of unsafe or unauthorized aviation
activities concerning the perceived or actual violations of FAA
regulation, order, or other provisions of Federal law related to
aviation safety or practices, including whistleblower and noise
complaints. The updated purpose applies to all investigative records,
when applicable, including the SUP program referenced in the previous
Notice. The previous purpose to provide a primary collection point of
SUP records and issues and provide technical support to the FAA and
industry on SUP; maintain a parts reporting information system for
tracking SUP investigations and analysis of data; provide program
oversight; and review of SUP related enforcement actions and audits,
will be superseded with updated language given the alignment of SUP
investigative records with that of other FAA hotline complaint records.
6. Categories of Individuals: This Notice updates the categories of
individuals to include complainants, such as members of the public, FAA
employees and contractors, and other individuals alleged to have been
involved in the reported alleged violations or other aviation safety
concerns. This expands the previously referenced individuals who call
in to report the manufacture, sale or use of suspected unapproved
parts. Additionally, the previous reference to ``company
representatives of air carriers, repair stations, mechanics,
manufacturers, suppliers, brokers, or individuals who are otherwise
directly or indirectly involved in suspected unapproved parts
investigations'' will be superseded by the more general categories of
individuals mentioned here.
7. Categories of Records: This Notice updates the categories of
records with the list of personal information contained in these
records that includes: names of complainants and other individuals
involved with the alleged violations, contact information (phone
number, address, email address), geolocation of noise, airmen/mechanic/
air carrier certificate number, aircraft registration number, aircraft
tail number, and report/case tracking number (to include, but not
limited to, reference number, case number, record number, and control
number). The previously referenced records such as
[[Page 61139]]
investigatory materials, investigation results, individuals' roles in
investigations and information on any enforcement actions, alert or
notification actions, will continue to be maintained in the system.
8. Records Source: The Notice updates the records source categories
to reference categories of sources instead of a list of individuals.
This section will state that records related to investigation and
resolution of alleged violations are received from complainants,
including members of the public, FAA employees and contractors, and
other federal agencies. The previously referenced list of individuals,
including air carriers, repair stations, aircraft owners/operators,
manufacturers, suppliers, brokers, mechanics, pilots, FAA, and DOT
officials, providing information on SUP records will be superseded by
the more general language mentioned here.
9. Routine uses: This Notice updates the routine uses to include
DOT's general routine uses applicable to this Notice as they were
previously only incorporated by reference. OMB Memorandum A-108
recommends that agencies include all routine uses in one notice rather
than incorporating general routine uses by reference. Therefore, the
Department is replacing the statement in DOT/FAA 852 that referenced
the ``Statement of General Routine Uses'' with all of the general
routine uses that apply to this system of records. This Notice modifies
an existing system-specific routine use and adds two new system-
specific routine uses that are compatible with the purpose of the
system of records. The routine uses include:
a. To the Federal Bureau of Investigation, U.S. Customs Service,
and the Department of Defense, the initial SUP complaints received by
FAA, for their use in any civil/criminal investigations when an FAA
suspected unapproved parts case is initiated. The language in this
routine use was modified and the term ``Defense Criminal Investigative
Services'' was replaced with the broader title of ``Department of
Defense'';
b. Routine use 2(a) and (b) apply only to records pertaining to
investigations into noise complaints, and do not apply to information
contained in files related to other types of investigations described
in this notice. Pursuant to routine use (2), the FAA may disclose:
i. To airport sponsors, federal agencies and departments when
necessary to resolve noise complaints of their manned and unmanned
aircraft, and other operators of aerial landing and takeoff sites,
records relating to noise complaints stemming from their flight
operations and to ensure consistency between the FAA and these entities
on noise complaints;
ii. To manned and unmanned aircraft operators when necessary to
resolve a complaint pertaining to the operator, or when necessary to
ensure consistency between the FAA and the operator in responding to
noise complaints. Records disclosed pursuant to this routine use are
limited to the following information: geolocation only to the extent
necessary to identify the general location of the noise complaint; time
and date of complaint; and summary reports of the complaint or inquiry
and related investigation. Complainant names and contact information
will not be disclosed pursuant to this routine use; and
c. To officials of labor organizations recognized under 5 U.S.C.
chapter 71, when relevant and necessary to their duties of exclusive
representation concerning AVS's Voluntary Safety Reporting Program. In
this case, the FAA analysts work in conjunction with the labor
organizations in conducting the investigations of actual or alleged
violations reported by AVS employees.
10. Records Retrieval: This Notice updates records retrieval to
indicate that all records that can be retrieved by report/case tracking
number (to include, but not limited to, reference number, case number,
record number, and control number). Additionally, FAA hotline complaint
investigative records can be retrieved by the individual's name
(including complainant name and subject of complaint) while noise
specific investigative records can be retrieved by individual's name,
email address and event address (street/city/state).
11. Records Retention: This Notice updates the records retention
and disposal to reflect records retention timeframes for the
investigative records for new types of complaints covered by this
system of records. FAA complaint and whistleblower investigative
records are to be maintained in accordance with DAA-0237-2019-0012 with
cut off after cases are closed and destruction 3 years after cut off,
and the SUP records maintained in accordance with DAA-0237-2019-0010
with cut off at the end of the calendar year in which cases are closed
and destruction 8 years after cut off. The FAA is adding a new section
to DAA-0237-2019-0012 to request destruction of noise specific
investigative records to be 10 years after cut off. These records will
be treated as permanent records until the temporary record is approved
by the National Archives and Records Administration (NARA). Finally,
records on AVS employee reporting on aviation safety matters (collected
pre-April 2021) are maintained in accordance with DAA-0237-2019-0012
with destruction 3 years after cut off, with records collected in the
replacement information technology system (April 2021 onward) to be
treated as permanent records until NARA approves the new records
retention request, DAA-0237-2020-0028, for 15 years. Due to an
administrative error at the time, the retention timeframe for SUP
records in the previously published Notice was referenced as 5 years
but is updated to 8 years in this Notice.
12. Records Access: This Notice updates the record access
procedures to reflect that signatures on signed requests for records
must either be notarized or accompanied by a statement made under
penalty of perjury in compliance with 28 U.S.C. 1746.
The following non-substantive changes have been made to improve the
transparency and readability of the Notice:
13. Records Storage: This Notice updates records storage procedures
to generalize the language and not focus on SUP records only.
14. Administrative, Technical, and Physical Safeguards: This Notice
updates the administrative, technical, and physical safeguards to
generalize the language.
15. Contesting Records: This Notice updates the contesting records
procedures to refer the individual to the record access procedures
section.
16. Notifications: This Notice updates the notification procedures
to refer the individual to the record access procedures section.
17. Exemption: This Notice continues to claim the current exemption
as this updated system of records contains the original SUP
investigative records and adds investigative records from complaints
that also require this exemption.
II. Privacy Act
The Privacy Act (5 U.S.C. 552a) governs the means by which 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
[[Page 61140]]
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 and to Congress.
SYSTEM NAME AND NUMBER:
Department of Transportation (DOT)/Federal Aviation Administration
(FAA) 852--Complaint Investigations System.
SECURITY CLASSIFICATION:
Unclassified, sensitive.
SYSTEM LOCATION:
The system locations are as follow:
a. Hotline complaint investigative records, including SUP and
whistleblower records: Office of Audit and Evaluation, Reporting and
Data Analysis Branch, AAE-300, Federal Aviation Administration, 800
Independence Avenue SW, Washington, DC 20591; and, AIT Infrastructure
and Operations, Data Center Services, AIF-300, Federal Aviation
Administration, William J. Hughes Technical Center, Atlantic City, New
Jersey 08405.
b. AVS employee reporting investigative records: Operations
Services Division AIF-300, Federal Aviation Administration, Mike
Monroney Aeronautical Center (MMAC), 6500 South Macarthur Boulevard,
Oklahoma City, Oklahoma 73169 (pre-April 2021); and MITRE Corporation,
7525 Colshire Drive, McLean, Virginia 22102 (April 2021 onward).
c. Noise specific investigative records: ATO System Operations, NAS
Data Integration and Services, AJR-G2, Federal Aviation Administration,
3701 MacIntosh Dr, Warrenton, Virginia 20187.
SYSTEM MANAGER(S):
The system managers are as follows:
a. Hotline complaint investigative records, including SUP and
whistleblower records: Director, Office of Audit and Evaluation (AAE-
1), Federal Aviation Administration, 800 Independence Avenue SW,
Washington, DC 20591, <a href="https://www.faa.gov/about/office_org/headquarters_offices/aae/">https://www.faa.gov/about/office_org/headquarters_offices/aae/</a>.
b. AVS employee reporting investigative records: Manager, Flight
Standards Service, Quality Control and Investigations Branch (AFB-
440A), Federal Aviation Administration, 800 Independence Avenue SW,
Washington, DC 20591 (pre-April 2021); and Executive Director, Office
of Quality, Integration and Executive Services (AQS-1), Federal
Aviation Administration, 800 Independence Avenue SW, Washington, DC
20591, <a href="/cdn-cgi/l/email-protection#ccf5e1adbabfe1babfbebc8caaadade2aba3ba"><span class="__cf_email__" data-cfemail="7b42561a0d08560d08090b3b1d1a1a551c140d">[email protected]</span></a> (April 2021 onward); and
c. Noise specific investigative records: IT Program Manager, System
Data and Infrastructure (AJR-G2), Federal Aviation Administration, 3701
MacIntosh Dr, Warrenton, Virginia 20187, <a href="https://noise.faa.gov">https://noise.faa.gov</a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 106(t), 3101, 40101, 42121, 44701; Sections 341, 510,
1210, Federal Aviation Reauthorization Act of 1996; Section 180, FAA
Reauthorization Act of 2018.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to cover the
investigations, findings and resolution of complaints, and reports of
unsafe or unauthorized aviation activities concerning the perceived or
actual violations of FAA regulation, order, or other provision of
Federal law related to aviation safety or practices, including
whistleblower and noise complaints.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals covered by this system of records consist of
complainants, including members of the public, FAA employees and
contractors, and individuals who are the subject of such violations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records maintained in this system include files specific to reports
of alleged violations, investigatory materials, investigation results,
individuals' roles in investigations and information on any enforcement
actions, alert or notification actions. Individual records may include
names of complainants, contact information (phone number, address,
email address), geolocation of noise, aircraft registration number,
airman/mechanic/air carrier certificate number, aircraft tail number,
and report/case tracking number (to include, but not limited to,
reference number, case number, record number, and control number).
RECORD SOURCE CATEGORIES:
Reports of alleged violations and other aviation related concerns
and safety-related issues, such as noise complaints, are received from
complainants, including members of the public, FAA employees and
contractors, and other federal agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE 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 the Federal Bureau of Investigation, U.S. Customs Service,
and the Department of Defense, the initial SUP complaints received by
FAA, for their use in any civil/criminal investigations when an FAA
suspected unapproved parts case is initiated.
2. Routine use (2)(a) and (b) apply only to records pertaining to
investigations into noise complaints, and do not apply to information
contained in files related to other types of investigations described
in this notice. Pursuant to routine use (2), the FAA may disclose:
a. To airport sponsors, federal agencies and departments operating
manned and unmanned aircraft outside FAA's regulatory jurisdiction, and
other operators of aerial landing and takeoff sites, records relating
to noise complaints stemming from their operations to ensure
consistency between the FAA and these entities on noise complaints; and
b. To man and unmanned aircraft operators when necessary to resolve
a complaint pertaining to the operator, or when necessary to ensure
consistency between the FAA and the operator in responding to noise
complaints. Records disclosed pursuant to this routine use are limited
to the following information: geolocation only to the extent necessary
to identify the general location of the noise complaint; time and date
of complaint; and summary reports of the complaint or inquiry and
related investigation. Complainant names and contact information will
not be disclosed pursuant to this routine use
3. To officials of labor organizations recognized under 5 U.S.C.
chapter 71, access to all information when relevant and necessary to
their duties of exclusive representation concerning AVS's Voluntary
Safety Reporting Program.
Departmental General Routine Uses
4. 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,
[[Page 61141]]
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.
5. 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.
6. 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.
7a. 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.
7b. 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.
8. 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.
9. 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
alleged 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).
10. 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.
11. 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.
12. 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.
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. 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
[[Page 61142]]
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. 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 (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.
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 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.
18. DOT may disclose from this system, as a routine use, records
consisting of, or relating to, terrorism information (6 U.S.C.
485(a)(5)), homeland security information (6 U.S.C. 482(f)(1)), or Law
enforcement information (Guideline 2 Report attached to White House
Memorandum, ``Information Sharing Environment, November 22, 2006) to a
Federal, State, local, tribal, territorial, foreign government and/or
multinational agency, either in response to its request or upon the
initiative of the Component, for purposes of sharing such information
as is necessary and relevant for the agencies to detect, prevent,
disrupt, preempt, and mitigate the effects of terrorist activities
against the territory, people, and interests of the United States of
America, as contemplated by the Intelligence Reform and Terrorism
Prevention Act of 2004 (Pub. L. 108-458) and Executive Order 13388
(October 25, 2005).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored in electronic databases and/or hard copy files.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
All investigative records can be retrieved by report/case tracking
number (to include, but not limited to, reference number, case number,
record number, and control number). FAA Hotline complaint investigative
records can be retrieved by individual's name (including complainant
name and subject of complaint), and noise specific investigative
records can be retrieved by individual's name, email address and event
address (street/city/state).
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
FAA will maintain hotline complaint investigative records,
including whistleblower records, in accordance with DAA-0237-2019-0012
with cut off after cases are closed and destruction 3 years after cut
off, SUP investigative records in accordance with DAA-0237-2019-0010
with cut off at the end of the calendar year in which cases are closed
and destruction 8 years after cut off, and AVS employee safety
reporting investigative records in accordance with DAA-0237-2019-0012
with destruction 3 years after cut off (pre-April 2021). The new
retention schedule, DAA-0237-2020-0028, for the AVS employee safety
reporting investigative records (April 2021 onward) in the replacement
information technology system is still pending at NARA, and the FAA is
adding a new section to DAA-0237-2019-0012 to request destruction of
noise specific investigative records to be 10 years after cut off. The
noise specific and new AVS employee safety reporting investigative
records will be treated as permanent records until the temporary record
is approved by NARA.
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 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 whether this system of records
contains information about them may contact the System Manager at the
address provided in the section ``System Manager''. When seeking
records about yourself from this system of records or any other
Departmental system of records, the request must conform to the Privacy
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. 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.
CONTESTING RECORDS PROCEDURES:
See ``Redress Access Procedures'' above.
NOTIFICATION PROCEDURES:
See ``Redress Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
This system of records is exempted from certain provisions of the
Privacy Act. The purpose of the exemptions is to protect investigatory
materials compiled for non-criminal law enforcement purposes. The
exemptions claimed for this system are pursuant to 5 U.S.C. 552a(k)(2).
HISTORY:
A full notice of this system of records, DOT/FAA 852, was published
in the Federal Register on December 29, 2000 (65 FR 83124).
Issued in Washington, DC.
Karyn Gorman,
Acting Departmental Chief Privacy Officer.
[FR Doc. 2022-21927 Filed 10-6-22; 8:45 am]
BILLING CODE 4910-9X-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.