[Federal Register Volume 88, Number 109 (Wednesday, June 7, 2023)]
[Notices]
[Pages 37301-37305]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-12155]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket No. DOT-OST-2022-0117]
Privacy Act of 1974; System of Records
AGENCY: Office of the Departmental Chief Information Officer, Office of
the Secretary of Transportation, DOT.
ACTION: Notice of a new system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Transportation (DOT), Federal Aviation Administration (FAA), proposes
to establish a new system of records titled, ``DOT/FAA 856 Airmen
Medical Records.'' 14 Code of Federal Regulations (CFR) 61.23 Medical
Certificates: Requirement and Duration specify operations requiring
medical certificates. Collectively, for the purposes of this system of
records notice, individuals required to obtain medical certificates are
referred to as applicants. This Notice covers records maintained for
the required airmen medical certification process which is initiated by
the airman medical certificate application. In addition to the initial
medical records obtained at time of certification, FAA also maintains
information on post-certification medical changes including failed drug
and substance abuse testing results that could disqualify certificated
airmen. Finally, this system of records supports regulatory enforcement
activities and other legal actions, such as denial of medical
certifications, so records including, but not limited to, pre-
decisional notes in airmen medical files, are exempted from certain
access and disclosure requirements of the Privacy Act of 1974.
DATES: Submit comments on or before July 7, 2023. The Department may
publish an amended systems of records notice considering any comments
received. This new system will be effective immediately upon
publication. The routine uses will be effective July 7, 2023.
ADDRESSES: You may submit comments, identified by docket number 2022-
0117 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-2022-0117. 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.).
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 questions, please contact: Karyn
Gorman, Departmental Chief Privacy Officer, Privacy Office, Department
of Transportation, Washington, DC 20590; [email protected]; or 202-366-
3140.
SUPPLEMENTARY INFORMATION:
Background
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, DOT/FAA
proposes to issue a new system of records notice titled, DOT/FAA 856
``Airmen Medical Records'' (hereafter referred to as ``Notice'').
Airmen Medical Certification Process
Records maintained in this system of records were previously
covered under DOT/FAA 847, Aviation Records on Individuals (75 FR
68849--November 9, 2010). To provide the public with greater
transparency and accountability to its business processes and data
collection, FAA created this new Notice to more precisely consolidate
records with similar purpose, authorities, categories of individuals,
sources of information, and retention timeframes. This system of
records covers all facets of the medical clearance process for airmen
and non-FAA Air Traffic Control Specialists (ATCSs) with privileges
under specific certifications. This Notice solely covers airmen and
non-
[[Page 37302]]
FAA ATCSs as FAA ATCSs' medical clearances are covered under the Office
of Personnel Management (OPM)/Government (GOVT)-10 Employee Medical
File System Records SORN (80 FR 74815--November 30, 2015).
The airmen medical certification process includes applicants for
medical certificates, FAA Office of Aerospace Medicine (AAM) employees
and contractors, and Aviation Medical Examiners (AMEs). Applicants
consist of airmen and ATCSs who electronically submit the airman
medical certificate application to apply for FAA medical certification.
Applicants then select AMEs who are private physicians designated by
FAA to conduct medical examinations. These AMEs review applicants'
medical history and complete the requisite physical examinations. The
examination results are integrated into the airman medical certificate
application. Any issues or concerns regarding the medical examinations
are directed by AMEs to FAA AAM employees to resolve. The employees
also perform duties such as processing completed medical applications
and issuing medical certificates. When requested by applicants or FAA
AAM, external medical consultants, clinics and hospitals conduct
certain testing, such as psychological or cardiac evaluations, and
submit their medical findings to FAA AAM for inclusion in the airmen
files.
This system of records covers airmen medical records associated
with the required medical certification process and includes airman
medical history, physical examinations, various specialized medical
exams, such as psychiatric and/or psychological testing, vision and
hearing exams, cardiology reports, and diagnostic laboratory testing
and imaging studies. Other records in the airmen medical file include
items such as substance abuse violations committed by certificated
airmen. These types of records are obtained through DOT employer
requirements and through the National Drivers' Registry and are used to
help determine whether or not the airman is eligible to hold an airman
medical certificate. Additional medical records are provided by
external physicians, hospitals and other clinicians, if there are
changes to the airman's medical history, for review in case this
negatively impacts the medical certificate holder. Pathological and
toxicological records resulting from aviation mishaps involving medical
certificate holders are also incorporated into the airman's file.
Records that support FAA legal actions (i.e., revocation of medical
certifications), such as pre-decisional notes in airmen medical files
that are incorporated into investigatory files, are exempted from
certain access and disclosure requirements of the Privacy Act of 1974,
pursuant to 5 U.S.C. 552a(k)(2).
DOT has included both system specific and departmental general
routine uses, as they align with the purpose of this system of records
to support decision-making and regulatory enforcement activities
related to medical certification of airmen. As recognized by the Office
of Management and Budget (OMB) in its Privacy Act Implementation
Guidance and Responsibilities (65 FR 19746 (July 9, 1975)), the routine
uses include proper and necessary uses of information in the system,
even if such uses occur infrequently. The system specific routine uses
include the following:
1. Sharing of information with the National Transportation Safety
Board (NTSB) for purposes of investigating accidents and incidents
involving certificated airmen;
2. Sharing with the general public information relating to an
individual's eligibility for medical certification, requests for
exemptions from medical requirements, and requests for review of
certificate denials;
3. Sharing personal information of airmen with other federal
agencies for the purpose of verifying the accuracy and completeness of
medical information provided to FAA;
4. Sharing past medical certification history with AMEs, so they
may render the best medical certification decision regarding airmen;
5. Providing information about airmen to Federal, State, local and
Tribal law enforcement agencies when engaged in an official
investigation in which an airman is involved;
6. Sharing records of an individual's positive drug test result,
alcohol test result of 0.04 or greater breath alcohol concentration, or
refusal to submit to testing required under a DOT-required testing
program, available to third parties, including employers and
prospective employers of such individuals. Such records will also
contain the names and titles of individuals who, in their commercial
capacity, administer the drug and alcohol testing programs of aviation
entities; and
7. Providing information about airmen to Federal, State, local, and
Tribal law enforcement, national security or homeland security agencies
whenever such agencies are engaged in the performance of threat
assessments affecting the safety of transportation or national
security.
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 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 856 Airmen Medical Records
SECURITY CLASSIFICATION:
Sensitive, unclassified
SYSTEM LOCATION:
Federal Aviation Administration, Office of Information Technology,
Enterprise Data Center (AIT-EDC), Mike Monroney Aeronautical Center,
6500 S MacArthur Blvd., Oklahoma City, OK 73169. Federal Aviation
Administration, Office of Information Technology, Enterprise Data
Center (AIT-EDC), William J. Hughes Technical Center, Atlantic City, NJ
08405.
SYSTEM MANAGER(S):
Manager, Aerospace Medical Certification Division, AAM-300, Federal
Aviation Administration, Civil Aerospace Medical Institute, 6500 S
MacArthur Blvd., Oklahoma City, OK 73169; (405) 954-4821.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
49 U.S.C. 40101, 40113, 44701 and 44703.
PURPOSE(S) OF THE SYSTEM:
The purpose of the system is to facilitate the medical fitness
decision-making process for medical certifications and to support
regulatory
[[Page 37303]]
enforcement activities as it relates to medical certification.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and previous applicants for medical certificates.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records maintained in this system consist of
applicant personal records which include the following: names; social
security number (full or pseudo-SSN); address; phone number; email
address; date of birth; citizenship; physical characteristics (eye
color, hair color, height and weight); gender; employer; arrests,
convictions and/or administrative history (with explanations), and
authorization to National Driver Register (NDR) to provide FAA with
driving record results. Applicant medical history and examination
records consist of names of prescriptions, near vision contacts (Y/N),
medical history (check boxes for applicable conditions), healthcare
professionals visited (name, address, type of professional, reason),
medical examination findings and notes, hearing, vision, blood
pressure, pulse, urine test results, electrocardiogram, other tests
given, comments on medical history and findings, and statement of
demonstrated ability (SODA) serial number. Health professional records
consist of name and contact information (address and phone number), and
AME serial number in the case of AMEs. Other medical records may
include substance abuse test results or refusals to submit to testing,
pathological and toxicological records (if applicable), unique
identifiers/reference numbers, such as pathology index (PI),
certificate number, applicant identification number (ID), medical
identification number (MID), and federal tracking number (FTN).
Finally, FAA employee information consists of name and examiner
designation number.
RECORD SOURCE CATEGORIES:
Information is collected directly from the applicants and AMEs, FAA
employees, and when authorized by the applicants, from external
sources, such as the NDR, hospitals and physicians/clinicians.
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 of DOT as
a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
System Specific Routine Use
1. To the National Transportation Safety Board (NTSB), entire
records related to the medical suitability of specific airmen for
purposes of aircraft investigation responsibilities and regulatory
enforcement activities as it relates to medical certification.
2. To the general public, upon request, records such as information
relating to an individual's physical status or condition used to
determine statistically the validity of FAA medical standards; and
information relating to an individual's eligibility for medical
certification, requests for exemptions from medical requirements, and
requests for review of certificate denials.
3. To other federal agencies, personally identifiable information
about airmen for the purpose of verifying the accuracy and completeness
of medical information provided to FAA in connection with applications
for airmen medical certification.
4. To Aviation Medical Examiners (AMEs), past airmen medical
certification history data on a routine basis so that AMEs may render
the best medical certification decision.
5. To Federal, State, local and Tribal law enforcement agencies,
information about airmen when engaged in an official investigation in
which an airman is involved;
6. To third parties, including employers and prospective employers
of such individuals, records of an individual's positive drug test
result, alcohol test result of 0.04 or greater breath alcohol
concentration, or refusal to submit to testing required under a DOT-
required testing program. Such records will also contain the names and
titles of individuals who, in their commercial capacity, administer the
drug and alcohol testing programs of aviation entities; and
7. To Federal, State, local, and Tribal law enforcement, national
security or homeland security agencies, information about airmen
whenever such agencies are engaged in the performance of threat
assessments affecting the safety of transportation or national
security.
Departmental Routine Uses
8. 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.
9. 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.
10. 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.
11a. 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.
11b. 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)
[[Page 37304]]
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.
12. 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.
13. 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 10.35(9).
14. 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.
15. 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.
16. 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.
17. 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.
18a. 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
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.
18b. 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.
19. 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.
20. 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.
21. 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.
22. 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).
[[Page 37305]]
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records in this system of records are stored in hard copy format in
a secure facility and in an electronic database system.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Applicant medical records in this system are primarily retrieved by
name, SSN, and unique identifiers/reference numbers, such as PI, MID,
FTN, applicant ID, and certificate number.
POLICIES AND PRACTICE FOR RETENTION AND DISPOSAL OF RECORDS:
A new National Archives and Records Administration (NARA) records
schedule requesting 100-year retention for airmen medical certification
records is being developed. The FAA will treat these records as
permanent records until it receives an approval of record disposition
authority from NARA. Any previous schedules attributed to this record
type are superseded.
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 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 PROCEDURE:
See ``Record Access Procedures'' above.
NOTIFICATION PROCEDURE:
See ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Records that support FAA legal actions (i.e., revocation of medical
certifications), such as pre-decisional notes in airmen medical files
that are incorporated into investigatory files, are exempted from
certain access and disclosure requirements of the Privacy Act of 1974,
pursuant to 5 U.S.C. 552a(k)(2).
HISTORY:
None.
Issued in Washington, DC.
Karyn Gorman,
Departmental Chief Privacy Officer.
[FR Doc. 2023-12155 Filed 6-6-23; 8:45 am]
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