[Federal Register Volume 87, Number 161 (Monday, August 22, 2022)]
[Notices]
[Pages 51482-51487]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-17943]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST-2021-0094]


Privacy Act of 1974; Department of Transportation, Federal 
Aviation Administration; DOT/FAA-815; Investigative Record System; 
System of Record Notice

AGENCY: Office of the Departmental Chief Information Officer, Office of 
the Secretary of Transportation, DOT.

ACTION: Notice of a modified system of records.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act of 1974, the United States 
Department of Transportation (DOT), Federal Aviation Administration 
(FAA) proposes to update and reissue a current DOT system of records 
titled, ``DOT/FAA-815, Investigative Record System.'' The system 
collects information on FAA employees, contractors, and members of the 
public in support of the Personnel Security Background and Internal 
investigations programs. The records in this system document all 
official actions taken on individuals who are subject to this notice. 
This Privacy Act System of Records Notice (SORN) is being updated to 
include substantial changes to system location, system manager, 
authority for maintenance, purpose, categories of individuals, 
categories of records, records source category, routine uses, practices 
for storage of records, policies and practices for retrieval of 
records, policies and practices for retention and disposal of records, 
and exemptions claimed and non-substantial changes to administrative, 
technical and physical safeguards, records access, contesting records, 
and notification procedures.

DATES: Written comments should be submitted on or before September 21, 
2022. The Department may publish an amended SORN in light of any 
comments received. This new system will be effective September 21, 
2022.

ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2021-0094 by any of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     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.
     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.
     Fax: (202) 493-2251.
     Instructions: You must include the agency name and docket 
number DOT-OST-2021-0094.
     All comments received will be posted without change to 
https://www.regulations.gov, 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 https://DocketsInfo.dot.gov.
    Docket: For access to the docket to read background documents or 
comments received, go to https://www.regulations.gov 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, Acting Departmental Chief Privacy Officer, Privacy Office, 
Department of Transportation, Washington, DC 20590; [email protected]; or 
(202) 527-3284.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Transportation (DOT), Federal Aviation Administration 
(FAA) proposes to update and reissue a DOT system of records titled, 
``DOT/FAA 815 Investigative Records System''. The FAA requires 
personnel security background investigations for current and potential 
FAA employees (inclusive of FAA federal government employees, interns, 
employees from other federal agencies on a detail, contractors and 
persons performing business), for suitability for federal government 
employment within the FAA. The investigations include decisions 
regarding the suitability of a security clearance and issuance of a 
Personal Identity Verification (PIV) card for physical and logical 
access to FAA controlled facilities and information systems. In 
addition, the FAA conducts internal investigations to include suspected 
criminal and civil violations by FAA employees and contractors, 
aircraft owners, and airmen and other FAA certificate holders as 
defined by 49 United States Code (U.S.C.) Sec.  40102(a)(8), including 
an individual: (1) in command, or as pilot, mechanic, or member of the 
crew, who navigates aircraft when under way; (2) who is directly in 
charge of inspecting, maintaining, overhauling, or repairing aircraft, 
aircraft engines, propellers, or appliances (except to the extent the 
FAA Administrator may provide otherwise for individuals employed 
outside the United States); or (3) who serves as an aircraft dispatcher 
or air traffic control tower operator. Internal investigations may 
include, but are not limited to, counterfeit certificates; 
falsification of official documents; property theft; laser incidents; 
and other investigative services provided to law enforcement agencies. 
The system of records supports the FAA's mandate to investigate the 
actual or probable violation of civil and criminal laws regulating 
controlled substances by aircraft owners and airmen. The FAA conducts 
Personnel Security Background and Internal investigation services to 
the FAA and aviation communities to ensure aviation safety, support 
national security, and promote an efficient airspace system. The 
Investigative Records System serves as a repository of and documents 
the results and actions of Personnel Security Background 
investigations, conducted both before and after an employee's entry on 
duty, and internal investigations of alleged criminal and

[[Page 51483]]

civil violations by the employees. The purpose of this system is to 
collect and maintain records regarding: (1) Security clearance 
suitability determination for pre-employment and continuous evaluation; 
and the issuance of a personal identity verification (PIV) card for 
physical and logical access to FAA controlled facilities and 
information systems; (2) Internal investigative records concerning 
employees suspected of misconduct; airmen and other FAA certificate 
holders suspected of criminal activity as defined by 49 U.S.C. 
40102(a)(8); and (3) List of individuals that represent a security 
concern and are temporarily or permanently denied access to FAA 
facilities. The following substantive changes have been made to the 
Notice:
    1. System Location: The system of records is no longer maintained 
by the Office of the Associate Administrator for Civil Aviation 
Security in Washington, DC The update reflects that the current system 
locations where hard copy records are maintained are FAA Headquarters 
and regional Office of Security and Hazardous Materials Safety (ASH) 
Offices.
    2. System Manager: The system manager is updated to reflect the 
organizational name change of the Civil Aviation Security Office to ASH 
and add contact information for the system manager.
    3. Authority for Maintenance of the System: The authorities are 
updated to include Homeland Security Presidential Directive 12 (HSPD-
12) and Federal Information Processing Standard 201: Policy for a 
Common Identification Standard for Federal Employees and Contractors, 
and Executive Order 13764. These authorities establish the requirements 
for federal agencies to conduct initial and ongoing background 
suitability investigations of individuals seeking employment with or 
access to federal facilities and information systems. Investigations 
have been conducted under these authorities and they are consistent 
with the purposes of the published SORN.
    4. Purpose: The purpose section is updated to provide clarity that 
the system of records includes the results and actions of Personnel 
Security Background and Internal investigations.
    5. Categories of Individuals: The categories of individuals section 
is updated to remove individuals involved in tort claims against the 
FAA because these individuals are not subjects of Personnel Security 
Background and Internal investigations. Additionally, the Notice breaks 
out and identifies the individuals subject to Personnel Background 
Security and Internal investigations.
    6. Categories of Records: The categories of records maintained in 
the system section is updated to provide transparency and clarifies 
that the records maintained in the system of records includes, but are 
not limited to, Standard Form (SF)-85 Questionnaire for Non-Sensitive 
Positions, SF-85P Questionnaire for Public Trust Positions, and SF-86 
Questionnaire for National Security Positions, Office of Personnel 
Management (OPM) investigation results, resumes, reports from 
interviews and other inquiries, results of investigations and 
inquiries, suitability records, financial records, credit reports, 
medical records, educational institution records, employment records, 
divorce decrees, criminal records, citizenship status, and violations. 
These records include the following data about individuals such as 
name, address, date of birth, place of birth, email address, phone 
number, case number, alien registration number, airmen certificate 
number, social security number (SSN), passport number, driver's license 
number, biometrics, photographs, fingerprints, license plate number, 
vehicle identification number, bank account number and credit card 
number. Additionally, records about FAA employees and contractors may 
include FAA line of business, processing region, position, duty city 
and state, and contract number.
    7. Records Source: The records source section is updated to include 
that information maintained in this system of record is collected from 
current and former employees, contractors, applicants, detailees, and 
consultants through in-person interviews, investigative reports from 
other Federal government agencies, state/local governments, law 
enforcement agencies, medical providers, credit bureaus, educational 
institutions, instructors, coworkers, neighbors, family members, and 
acquaintances.
    8. Routine Uses: The previously published routine use allowing the 
disclosure of records pursuant to a law enforcement investigation or 
inquiry was duplicative of the disclosures permitted under b(7) of the 
Privacy Act and has been removed. In addition, this update clarifies 
that FAA provides the authorized representatives of United States air 
carriers the results of investigation of individuals that contain 
information related to aviation safety. Finally, the updated Notice 
explicitly includes DOT Departmental General Routine Uses, previously 
incorporated by reference, to the extent they are compatible with the 
purposes of this System.
    9. Records Storage: The policies and practices for the storage of 
records section is updated to reflect records previously stored in 
approved security file cabinets and containers, in file folders, on 
lists and forms, and in computer-processable storage media are now 
stored both electronically and in paper copy in a secure area accessed 
by authorized personnel only with a need to know.
    10. Records Retrieval: The retrieval of records is updated to 
explicitly list all identifiers routinely used to retrieve records 
including date of birth, SSN, and other unique identifiers such as, 
case number, airmen certificate number, passport number, and alien 
registration number. The FAA does not retrieve records in this system 
of records by symbol and references to such have been removed.
    11. Retention and Disposal: The retention and disposal policy is 
updated to include all National Archives and Records Administration 
(NARA) disposition schedules that are applicable to the records 
maintained in the system. The FAA is in the process of updating the 
NARA Records Control Schedule NC1-237-77-03 Investigative Case Files, 
December 22, 1977, to meet current business practices; however, the FAA 
to will continue to follow current retention schedules that apply to 
the records that are stored in the system as follows: Item 8, 
Investigations to locate employee or airmen and airmen and aircraft 
searches, destroy records upon completion of administrative action or 5 
years from date of last entry, whichever is sooner. Other investigative 
files should be destroyed 5 years following last completed action of 
litigation or 5 years from the date of last inquiry or entry into the 
file. Investigative correspondence files should be destroyed 3 years 
from date of origin. Reports about stolen aircraft and aircraft engaged 
in illegal activities should be destroyed 5 years after creation. 
Personnel security investigative reports are maintained in accordance 
with NARA General Records Schedule (GRS) 5.6, Security Records, item 
170 and are destroyed 5 years after separation. The copy of the OPM 
investigation report is destroyed when no longer needed for agency 
business use or upon employee separation.
    Personnel security and access clearance records are maintained in 
accordance with NARA GRS 5.6, items 180 and 181, Personnel Security and 
Access Clearance Records. Per GRS 5.6, item 180, records of individuals 
not issued clearances are destroyed 1 year

[[Page 51484]]

after consideration of the candidate ends, but longer retention is 
authorized if required for business use. Per GRS 5.6, item 181, records 
of people issued clearances are destroyed 5 years after the employee or 
contractor relationship ends, but longer retention is authorized if 
required for business use. Per GRS 5.6, Item 190, Index to the 
Personnel Security Case Files, records are destroyed when superseded or 
obsolete. Per GRS 5.6, item 200, Information Security Violation 
Records, files should be destroyed 5 years after close of case or final 
action, whichever occurs sooner, but longer retention is authorized if 
required for business use.
    12. Exemptions: The exemptions claimed for this system are updated 
to reflect the removal of Privacy Act exemption (j)(2) as the FAA is no 
longer a law enforcement agency as defined by the Act. The Aviation and 
Transportation Security Act (ATSA) (Pub. L. 107-71) transferred the 
principal function of civil aviation security from the FAA to the 
Transportation Security Administration on February 22, 2002. Legacy 
records created prior to the effective date of the ATSA will be 
afforded coverage until they have reached the appropriate disposal 
period. Additionally (k)(7) is listed in the Department's Part 10 
rulemaking and was not included in the previously published SORN. The 
Department has determined that the inclusion of (k)(7) in the 
regulation was done in error and will issue updated rulemaking to 
remove it. The Department has not exercised this exemption for this 
system of records. The Notice is being updated to explicitly identify 
the exemptions claimed for this system of records consistent with the 
previously published rulemaking. The system claims the following 
exemptions: 5 U.S.C. 552a (k)(1), (k)(2) and (k)(5). This is not a 
substantive change because the rulemaking was already published.
    Additionally, this notice includes the following non-substantive 
changes to simplify and clarify the language, formatting, and text of 
the previously published Notice to align with the requirements of the 
Office of Management and Budget Memoranda A-108, and for consistency 
with other departmental system of records notices.
    13. Administrative, Technical and Physical Safeguards: The 
safeguards discussion has been updated to include additional controls 
used to protect records, including the mandatory use of DOT/FAA issued 
PIV cards to access records and the capture of audit logs of all user 
activities.
    14. The records access procedures is updated to include system 
manager's contact information which is available at https://www.faa.gov/about/office_org/headquarters_offices/ash/contacts/ for 
individuals seeking access to their records in the system.
    15. Records Access: The contesting records and notification 
procedures is updated to refer the reader to the record access 
procedures section.

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 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 and to 
Congress.
SYSTEM NAME AND NUMBER:
    DOT/FAA-815; Investigative Record System.

SECURITY CLASSIFICATION:
    Unclassified, sensitive.

SYSTEM LOCATION:
    Mike Monroney Aeronautical Center (MMAC), 6500 South MacArthur 
Boulevard, Oklahoma City, OK 73169-6901 and Office of Security and 
Hazardous Materials Safety (ASH), 800 Independence Avenue SW, 
Washington DC 20591. Hard copy records are located within ASH and 
locally at ASH Offices throughout the region. For a full list of ASH 
offices see the ASH ``contact us'' page on the FAA's public facing 
website--https://www.faa.gov/about/office_org/headquarters_offices/ash/contacts/.

SYSTEM MANAGER:
    Associate Administrator for Security and Hazardous Materials 
Safety, Federal Aviation Administration, 800 Independence Avenue SW, 
Washington, DC 20591. Contact information is 202-267-7211.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
     Executive Order (E.O.) 13764, Amending Civil Service Rules 
for Security Clearances
     E.O. 12968, Access to Classified Information.
     E.O. 12829, National Industrial Security Program.
     49 U.S.C. 44703, enacted as Subtitle E of Pub. L 100-690.
     Transportation Safety Act of 1974 (Pub. L. 93-633, Jan. 3, 
1975, 88 Stat. 2156).
     49 U.S.C. chapter 449, Air Transportation Security, 
enacted as Pub. L. 103-272.
     Homeland Security Presidential Directive 12 (HSPD-12).
     Federal Information Processing Standard 201: Policy for a 
Common Identification Standard for Federal Employees and Contractors.

PURPOSE(S) OF THE SYSTEM:
    The Investigative Records System serves as a repository of and 
documents the results and actions of personnel security background 
investigations of pre and ongoing employment and internal 
investigations of alleged criminal and civil violations. The purpose of 
this system is to collect and maintain records regarding:
    (1) Security clearance suitability determinations for pre-
employment and continuous evaluation; and the issuance of a personal 
identity verification (PIV) card for physical and logical access to FAA 
controlled facilities and information systems;
    (2) Internal investigative records concerning employees suspected 
of misconduct; airmen suspected of criminal activity and other FAA 
certificate holders as defined by 49 U.S.C. 40102(a)(8); and
    (3) Individuals that represent a security concern and are 
temporarily or permanently denied access to FAA facilities.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Personnel Security Background investigations: current and former 
employees, contractor and subcontractor personnel, applicants of 
potential employment, interns, employees from other federal agencies on 
detail, persons and entities performing business with FAA to include 
consultants, volunteers, and grantees, and sub-grantees, and applicants 
for FAA-funded programs. Internal investigations: lawful permanent 
residents, airmen,

[[Page 51485]]

instructors, consultants, aircraft owners, flight instructors, airport 
operators, pilots, mechanics, designated FAA representatives, and other 
individuals certified by the FAA. Individuals that represent a security 
concern and are temporarily or permanently denied access to FAA 
facilities: Current and former FAA employees and contractors.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Results and supporting material for investigations and inquiries 
conducted by ASH. Categories of records maintained in this systems 
include but are not limited to SF-85 Questionnaire for Non-Sensitive 
Positions, SF-85P Questionnaire for Public Trust Positions, and SF-86 
Questionnaire for National Security Positions, Office of Personnel 
Management (OPM) investigation results, resumes, reports from 
interviews and other inquiries, results of investigations and 
inquiries, suitability records, financial records, credit reports, 
medical records, educational institution records, employment records, 
divorce decrees, criminal records, citizenship status, and violations. 
These records include the following data about individuals: name, 
address, date of birth, place of birth, email address, phone number, 
case number, alien registration number, airmen certificate number, SSN, 
passport number, driver's license number, biometrics, photographs, 
fingerprints, license plate number, vehicle identification number, bank 
account number and credit card number. Additionally, records about FAA 
employees and contractors may include: FAA line of business, processing 
region, position, duty station city and state, and contract number.

RECORD SOURCE CATEGORIES:
    Information in this system is obtained from current and former 
employees, contractors, potential employees or applicants, detailees, 
consultants, investigative reports from other federal agencies, state/
local government agencies, law enforcement agencies, medical providers, 
credit bureaus, educational institutions and instructors. Information 
may be obtained through in-person interviews with coworkers, neighbors, 
family members, and acquaintances.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    System Specific Routine Uses
    1. FAA provides to authorized representatives of United States air 
carriers the results of investigations of an individual that contain 
information related to aviation safety.

    Departmental 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.
    2. 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.
    3. 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.
    4a. 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.
    4b. 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.
    5. 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.
    6. 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 Section 10.35(a)(9).
    7. 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. Sections 2904 and 2906.
    8. DOT may make available to another agency or instrumentality of 
any

[[Page 51486]]

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.
    9. 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.
    10. DOT may disclose records from this system, as a routine use to 
appropriate agencies, entities and persons when (a) DOT suspects or has 
confirmed that the security or confidentiality of information in the 
system of records has been compromised; (b) 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 (c) 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.
    11. 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 Freedom of Information Act requesters and 
Federal agencies and (b) reviewing agencies' policies, procedures, and 
compliance in order to recommend policy changes to Congress and the 
President.
    12. 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.
    13. DOT may disclose records from this system, 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.
    14. DOT may disclose from this system, as a routine use, records 
consisting of, or relating to, terrorism information (6 U.S.C. Section 
485(a)(5)), homeland security information (6 U.S.C., Section 
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 OR RECORDS:
    Records in this system are stored electronically or in paper copy 
in a secure area accessed by authorized personnel with a need to know.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by name, date of birth, SSN, and other 
unique identifiers such as case number, airmen certificate number, 
passport number, and alien registration number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The FAA is in the process of updating the NARA Records Control 
Schedule NC1-237-77-03 Investigative Case Files, December 22, 1977, to 
meet current business practices; however, the FAA to will continue to 
follow current retention schedules that apply to the records that are 
stored in the system as follows: Item 8, Investigations to locate 
employee or airmen and airmen and aircraft searches are destroyed upon 
completion of administrative action or 5 years from date of last entry, 
whichever is sooner. Other investigations are destroyed 5 years 
following last completed action of litigation or 5 years from the date 
of last inquiry or entry into the file. Investigative correspondence 
files are destroyed 3 years from date of origin. Reports about stolen 
aircraft and aircraft engaged in illegal activities are destroyed 5 
years after creation. Personnel security investigative reports are 
maintained in accordance with NARA General Records Schedule (GRS) 5.6, 
Security Records, item 170, and are destroyed 5 years after separation. 
The copy of the OPM investigation report is destroyed when no longer 
needed for agency business use or upon employee separation.
    Personnel security and access clearance records are maintained in 
accordance with NARA GRS 5.6 items 180 and 181. GRS 5.6, Item 180, 
Records of people not issued clearances, are destroyed 1 year after 
consideration of the candidate ends, but longer retention is authorized 
if required for business use. GRS 5.6, item 181, Records of people 
issued clearances, are destroyed 5 years after employee or contractor 
relationship ends but longer retention is authorized if required for 
business use. NARA GRS 5.6, item 190, Index to the personnel security 
case files, are destroyed when superseded or obsolete. NARA GRS 5.6, 
item 200, Information Security Violation Records are destroyed 5 years 
after close of case or final action, whichever occurs sooner, but 
longer retention is authorized if required for business use.

ADMINISTRATIVE, TECHNICAL AND PHYSICAL SAFEGUARDS:
    Safeguards for the records within this notice are in accordance 
with FAA rules and policies, to include 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

[[Page 51487]]

system containing the records in this system is limited to individuals 
who have a need to know the information for the performance of their 
official duties and who have appropriate clearances or permissions. 
Authorized users must use DOT/FAA issued PIV cards to access records, 
and all user activities on the system is captured in audit logs.

RECORD ACCESS PROCEDURES:
    Individuals seeking notification of whether this system of records 
contains information about them may contact the System Manager at 
https://www.faa.gov/about/office_org/headquarters_offices/ash/contacts/. When seeking records about yourself from this system of 
records or any other Departmental system of records your 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 RECORD PROCEDURES:
    See ``Records Access Procedures'' above.

NOTIFICATION PROCEDURE:
    See ``Records 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)(1), (k)(2) and (k)(5).

HISTORY:
    A full notice of this system of records, DOT/FAA 815, Investigative 
Tracking System, was published in the Federal Register on April 11, 
2000 (65 FR 19520).

    Issued in Washington, DC.
Karyn Gorman,
Acting Departmental Chief Privacy Officer.
[FR Doc. 2022-17943 Filed 8-19-22; 8:45 am]
BILLING CODE P


