[Federal Register Volume 87, Number 194 (Friday, October 7, 2022)]
[Notices]
[Pages 61137-61142]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[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:
     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-2021-0124.
     All comments received will be posted without change to 
http://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 January 17, 2008, (73 FR 3316-3317), or you may visit http://DocketsInfo.dot.gov.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov 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; 
[email protected]; 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, https://www.faa.gov/about/office_org/headquarters_offices/aae/.
    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, [email protected] (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, https://noise.faa.gov.

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


