[Federal Register Volume 70, Number 224 (Tuesday, November 22, 2005)]
[Rules and Regulations]
[Pages 70548-70549]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-23101]


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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

49 CFR Part 10


FAA Accident and Incident Data System Records Expunction Policy

AGENCY: Federal Aviation Administration, DOT.

ACTION: Policy statement.

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SUMMARY: The Federal Aviation Administration (FAA) has adopted a policy 
which, when implemented, will result in the expunction of airman 
identities from certain FAA accident and incident records.

DATES: This policy is effective November 22, 2005, with implementation 
as discussed herein.

FOR FURTHER INFORMATION CONTACT: Joseph R. Standell, Aeronautical 
Center Counsel, Aeronautical Center (AMC-7), Federal Aviation 
Administration, 6500 S. MacArthur, Oklahoma City, OK 73169. Telephone 
(405) 954-3296.

SUPPLEMENTARY INFORMATION:

Background

    Under sections 40101, 40113, and 44701 of the U.S. Transportation 
Code, as amended, 49 U.S.C. 40101, 40113 and 44701, the FAA may 
maintain records of aviation accidents and incidents containing 
identifying information of individual airmen if safety in air commerce 
or air transportation and the public interest require. These records 
include all accidents that were investigated by the FAA and incidents 
reported to or investigated by the FAA. Part 10 of the Department of 
Transportation Regulations, 49 CFR 10.1 et seq., sets forth the 
conditions for maintenance and access to records pertaining to 
individuals.
    Presently, written accident and incident records are destroyed in 
accordance with the applicable retention guidelines contained in FAA 
Order 1350.15C. Certain essential information is extracted from written 
accident and incident records and maintained in the Accident and 
Incident Data System (AIDS).
    Currently, computer based electronic AIDS records are maintained 
indefinitely by the FAA. The custodian of AIDS is the Aviation Data 
Systems Branch, AFS-620, at the Mike Monroney Aeronautical Center, 
Oklahoma City, Oklahoma. AIDS records may be accessed by FAA personnel 
at the FAA's Headquarters in Washington, DC and the FAA's field and 
regional offices. See, System of Records DOT/FAA 847, 65 FR 19527 
(April 11, 2000). One of the reasons the FAA maintains these records is 
for safety related statistical research. Aviation Safety Inspectors may 
also use these records to determine whether an airman should be re-
examined. AIDS records are considered to be basic qualification 
information and may be released to the public pursuant to the routine 
uses listed in DOT/FAA 847.
    In 1989, the FAA conducted a System Safety and Efficiency Review 
(SSER) of its General Aviation Compliance and Enforcement Programs. The 
SSER review team comprised both FAA personnel and representatives of 
various industry organizations, including the Aircraft Owners and 
Pilots Association, the Experimental Aircraft Association, and the 
National Business Aircraft Association. The establishment of an 
accident and incident expungement policy was one of the many topics 
discussed during the System Safety and Efficiency Review. However, no 
accident and incident expungment policy was implemented at that time.
    From 1996 until the present, the FAA has expunged the identity of 
airmen from AIDS records on an ad hoc basis, where it was determined 
that their identity no longer served a relevant purpose. Those 
determinations were made in response to individual requests for 
correction of accident or incident record pursuant to the Privacy Act, 
5 U.S.C. 552a. Absent a request for correction of records under the 
Privacy Act, the record remained in AIDS indefinitely. There has been 
growing concern within the FAA that this practice is unfair to those 
airmen who do not know their identity may be removed from an AIDS 
record by making a request under the Privacy Act.
    In 2003, the FAA reevaluated its policy of indefinitely retaining 
AIDS records on individuals, and subsequently adopted a policy of 
expunging certain electronic AIDS records. This policy is explained in 
detail herein. This policy applies to individuals who have been 
identified in electronic AIDS records. This policy applies to 
individuals who hold airman certificates, as well as to those who do

[[Page 70549]]

not, such as passengers. This policy does not apply to the following:
    Identities of air carriers, repair stations, or other 
organizational entities whether or not the air carrier, repair station 
or other organizational entity is owned or operated by an individual; 
records generated or maintained by entities other than the FAA such as 
electronic records of accidents and/or incidents maintained by the 
National Transportation Safety Board; this policy does not apply to 
written records of accidents or incidents because it is the FAA's 
current policy to destroy those records pursuant to the retention 
guidelines contained in FAA Order 1350.15C.
    This policy statement is published because the subject is a matter 
of general interest in the aviation community.

FAA Recordkeeping

    The FAA maintains records of accidents and incidents in the 
Accident and Incident Data System (AIDS), and with paper documents. All 
records contain identifying information such as name, date of birth, 
and certificate number. The records also contain information about each 
accident or incident such as the date and place of the event as well as 
a description of what happened.
    AIDS is an automated data base system that contains summaries of 
all FAA accident and incident investigations. Copies of paper documents 
associated with an accident or incident are not included in AIDS 
records. AIDS is the primary source of summary information for the FAA 
and the public concerning any accident or incident investigated by the 
FAA.

Expunction Policy

    Electronic accident and incident records identifying an individual 
will now be maintained for five years from the date of the accident or 
incident. In that regard, it is believed that after five years, any 
information about an individual's identity will be of little, if any, 
value. Under this expunction policy, any information which identifies 
the individual will be removed from the AIDS record, including the 
individual's name and FAA certificate number. The case report number 
will not be removed, nor will the rest of the information, such as the 
pilot's experience, the description of the event, the N number and type 
of aircraft involved. This information will be maintained so that the 
FAA will be able to research the accident history of an aircraft or 
conduct statistical research of data.
    In all cases, if at the time an AIDS record is due to be expunged, 
a subsequent AIDS record has been opened, the first record will not be 
expunged unless and until the subsequent record is eligible for 
expungement.

Implementation of the AIDS Expunction Policy

    The FAA currently has several decades of records which will be 
expunged under this policy. It is expected that the initial expunction 
of eligible AIDS records will be completed in stages.
    Changes will be made to the AIDS program so that AIDS data eligible 
to be expunged is identified and automatically expunged from the AIDS 
computer base. The FAA expects that the necessary hardware and software 
changes to the AIDS data base system will be completed by [November 1, 
2005].
    Once this expunction system is fully functioning, the FAA intends 
to expunge identifying information from eligible AIDS records on a 
monthly basis. An individual may expect his or her AIDS records to be 
expunged during the month following the eligibility for expunction 
under this policy. The FAA maintains a large number of records in AIDS. 
Therefore, it is impossible for the Agency to assure the expunction of 
any particular record in strict accordance with this policy. If an 
individual becomes aware of any AIDS data eligible for expunction that 
has not been expunged, he or she may request amendment of the record 
under the Privacy Act, 5 U.S.C. 552a(d). Any request to amend an 
individual's AIDS record must be made in writing to the systems manager 
in accordance with the procedures prescribed in 49 CFR part 10.

    Issued in Washington, DC on November 17, 2005.
Marion Blakey,
Administrator.
[FR Doc. 05-23101 Filed 11-21-05; 8:45am]
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