[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]
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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.
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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
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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]
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