Document ID: DOT-OST-2022-0099-0001
Agency: dot
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2022-10-12T04:00Z

[Federal Register Volume 87, Number 196 (Wednesday, October 12, 2022)]
[Notices]
[Pages 61649-61655]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-22126]

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

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST-2022-0099]

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 modified system of records.

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

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 titled, 
``DOT/FAA 845 Administrators Correspondence Control and Hotline 
Information System, ACCIS, Administrator's Hotline Information System, 
AHIS, and Consumer Hotline Information System, CHIS.'' The name of this 
SORN will be changed to ``DOT/FAA 845 Complaint Intake System.'' The 
modification of the system of records notice (hereafter referred to as 
``Notice'') will include the intake records for additional types of 
allegations that need to be identified in the Notice for purposes of 
transparency and accountability by FAA. These expanded reports are of 
actual or perceived aviation safety hazards and potential violations of 
criminal, civil and administrative laws and regulations, and aviation 
safety related orders under the regulatory oversight of the FAA. The 
Suspected Unapproved Program (SUP) complaint intake records covered by 
the former DOT/FAA 852 SUP Program SORN will be subsumed

[[Page 61650]]

by this Notice. The records of the complaint investigations and 
resolutions will be covered by the updated DOT/FAA 852 Complaint 
Investigations System (formerly SUP Program) SORN, while the complaint 
intake will be covered by this Notice.

DATES: Written comments should be submitted on or before November 14, 
2022. The Department may publish an amended SORN in light of any 
comments received. This new system will be effective November 14, 2022.

ADDRESSES: You may submit comments, identified by docket number 2022-
0099 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-2022-0099. 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, Acting Departmental Chief Privacy Officer, Privacy Office, 
Department of Transportation, Washington, DC 20590; [email protected]; or 
202-366-3140.

SUPPLEMENTARY INFORMATION: 

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, 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 845 Complaint 
Intake System.''
    The Notice currently covers FAA Administrator correspondence and 
hotline records which includes those who write, call, or are referred 
to the Administrator, the Deputy Administrator, and their immediate 
offices; those who write, call, or are referred to the Secretary, the 
Deputy Secretary, and their immediate offices, and the correspondence 
which has been referred to the FAA; individuals who are the subject of 
an action requiring approval or action by one of the forenamed, such as 
appeals, actions, grievances, and applications for waivers from the 
FAA. These FAA correspondence control records will be subsumed under 
the DOT/Office of the Secretary (OST)-041 Correspondence Control Mail 
(CCM) SORN.\1\ This Notice will cover the intake and processing of 
administrator hotlines along with additional reports of actual or 
perceived aviation safety hazards as well as allegations of violations 
of criminal, civil and administrative laws and regulations, and 
aviation safety related orders under the regulatory oversight of the 
FAA. These records, hereafter referred to as ``complaints or complaint 
records,'' originate from members of the public as well as FAA 
employees and contractors. While the information technology (IT) 
systems referenced in the previous Notice, ACCIS, AHIS and CHIS, are 
decommissioned, their records have been subsumed into different IT 
systems and continue to be covered by this updated Notice with the 
exception of the correspondence control files. Records pertaining to 
the SUP program, whistleblower complaints and other aviation safety-
related issues, such as aircraft noise concerns, and allegations by 
FAA's Office of Aviation Safety (AVS) employees about individuals and 
external entities, are being added to this system of records in order 
to consolidate maintenance of complaint records by the FAA. AVS 
employees utilize an internal system to report their issues whereas 
others, including remaining FAA personnel and members of the public, 
use external facing websites to submit their SUP, whistleblower and 
other aviation safety-related complaints. The records of all complaint 
investigations and resolutions are currently covered by the updated 
DOT/FAA 852 Complaint Investigations System (formerly SUP Program), 
while the complaint intake records are to be covered by this Notice. 
Complaint records may include, but are not limited to, certain personal 
information such as name, address, phone number, email address, 
aircraft registration number, and certificate number of the reporting 
individual or subject of alleged violations.
---------------------------------------------------------------------------

    \1\ DOT is in the process of updating the DOT/OST-041 CCM SORN. 
Please check the DOT Privacy Act System of Records Notices page 
(Privacy Act System of Records Notices [verbar] US Department of 
Transportation) for the current status of the update.
---------------------------------------------------------------------------

    The following substantive changes have been made to the Notice:
    1. System Name: This Notice updates the system name to ``DOT/FAA 
845 Complaint Intake System'' to better reflect the expanded scope of 
the system of records created as part of the complaint intake process 
under this Notice.
    2. System Location: This Notice updates the system location to 
include the multiple system locations for the various complaint records 
added to this Notice. The additional system locations include the 
William J. Hughes Technical Center (WJHTC) in Atlantic City, New 
Jersey, and the facility at 3701 MacIntosh Drive, Warrenton, Virginia. 
The complaints submitted by AVS employees prior to April 2021 are 
located at the Mike Monroney Aeronautical Center (MMAC) in Oklahoma 
City, Oklahoma, and the subsequent records are located at the MITRE 
offices at 7525 Colshire Drive, McLean, Virginia. The previous 
reference to the Administrator offices at the FAA headquarters 
locations will be removed from this Notice given correspondence control 
records will be covered by the DOT/OST-041 SORN, however, the FAA 
headquarters location will remain with updated office information.
    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 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 each system manager is included in this update. The 
reference in the previous Notice to the Administrator offices at the 
FAA headquarters locations will be removed from this Notice given 
correspondence control records will be covered by the DOT/OST-041 SORN, 
however, the FAA headquarters location will remain with updated office 
and contact information.
    4. Authority: This Notice updates the authorities to include: 49 
United States Code (U.S.C.) 42121 which applies to discrimination 
against airline employees reporting safety concerns/violations, as well 
as reporting of other safety issues covered by 49 U.S.C. 40101 section 
341, section 510, section 1210 Federal Aviation Reauthorization Act of 
1996, and section 180 FAA

[[Page 61651]]

Reauthorization Act of 2018, and 49 U.S.C. 106(t). 49 U.S.C. 44701, 
from DOT/FAA 852, covering the SUP program, including discussion on 
safety and minimum safety standards, will be added given that SUP 
complaint intake records are subsumed into this Notice. This statute 
also applies to AVS personnel complaints and other hotline records. The 
previously referenced authority of 44 U.S.C. 3101 as it pertains 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, will remain in this 
Notice.
    5. Purpose: This Notice updates the purpose of this System as 
covering the records pertaining to the complaint 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 SUP, whistleblower 
and noise complaints. The previous purpose to provide documentation of 
hotline calls will remain with expanded language, and information 
related to correspondence records will be removed in this Notice.
    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. These individuals add clarification to the previously 
referenced individuals who write, call in or are referred to senior 
agency heads, as well as correspondence and subjects of actions 
requiring approval by these agency heads.
    7. Categories of Records: This Notice updates the categories of 
records with files specific to reports of alleged violations. The list 
of personal information contained in these complaint records could 
include names of complainants and other individuals involved with the 
alleged violations, contact information (phone number, address, email 
address), 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 specific 
correspondence files involving senior agency heads, will be removed 
from this Notice.
    8. Records Source Categories: The Notice updates the records source 
categories to clarify that records related to complaints of alleged 
violations are received from complainants, including members of the 
public, FAA employees and contractors, and other federal agencies. The 
previously referenced correspondence by members of the public to senior 
agency heads will be removed from this Notice.
    9. Routine Uses: This Notice updates the routine uses to include 
the Department of Transportation's general routine uses applicable to 
this Notice as they were previously only incorporated by reference. OMB 
Memoranda 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 845 
that referenced the ``Statement of General Routine Uses'' with all of 
the general routine uses that apply to this system of records. The 
routine use referenced in the previous Notice is superseded by the 
departmental routine uses and will be removed in this update. This 
Notice adds 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. FAA waits for the go-
ahead from these external entities before proceeding with any 
investigation of their own;
    b. Routine use (2)(a) and 2(b) apply only to records pertaining to 
noise complaints, and do not apply to information contained in related 
hotline or whistleblower protection complaint files. Pursuant to 
routine use 2(a) and 2(b), 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 description of the complaint or inquiry. 
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. 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 
include all records that can be retrieved by report/case tracking 
number (to include, but not limited to, reference number, case number, 
and record number). Additionally, FAA complaint records can be 
retrieved by individual's name (including complainant name and subject 
of complaint) while noise complaint records can be retrieved by 
individual's name, email address and address (street/city/state). This 
language supersedes that in the previous Notice.
    11. Records Retention and Disposal: This Notice updates the records 
retention and disposal to reflect records retention timeframes for the 
new type of complaints covered by this System. FAA complaints and 
whistleblower 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 complaint 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 
are maintained in accordance with DAA-0237-2019-0012 with destruction 3 
years after cut off (pre-April 2021) with subsequent records collected 
to be treated as permanent records until NARA approves the new records 
retention request, DAA-0237-2020-0028, for 15 years. This language 
supersedes that in the previous 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

[[Page 61652]]

under penalty of perjury in compliance with 28 U.S.C. 1746.
    The following non-substantive changes to Records storage, 
administrative, technical and physical safeguards, contesting records 
procedures, and notification procedures, 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.
    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 procedures for 
contesting records 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.

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 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) 845 Complaint Intake and Correspondence Records System.

SECURITY CLASSIFICATION:
    Unclassified, sensitive.

SYSTEM LOCATION:
    The system locations are as follow:
    1. Hotline complaints, 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.
    2. AVS employee reporting: 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).
    3. Noise specific complaints: 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:
    1. Hotline complaints, 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/.
    2. AVS employee reporting: 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
    3. Noise specific complaints: 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. 3101; 49 U.S.C. Section 106(t); 49 U.S.C. 40101 section 
341, section 510, section 1210 Federal Aviation Reauthorization Act of 
1996, and section 180 FAA Reauthorization Act of 2018; 49 U.S.C. 42121; 
and 49 U.S.C. 44701.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system of records is to cover 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, SUP 
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 and FAA employees and 
contractors, and individuals who are the subject of such violations; 
and members of Congress and the public who call in or correspond with 
the FAA personnel.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records maintained in this system include files specific to reports 
of alleged violations. Individual records may include names of 
complainants, contact information (phone number, address, email 
address), geolocation of noise, aircraft registration number, 
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 
noise complaints, and do not apply to information contained in related 
hotline or whistleblower protection complaint files. Pursuant to 
routine use (2), the FAA may disclose:

[[Page 61653]]

    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;
    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 description of the complaint or inquiry. Complainant 
names and contact information will not be disclosed pursuant to this 
routine use; and
    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.
Department 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, 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, 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.
    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 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.
    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

[[Page 61654]]

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 
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 complaint 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 records, 
including whistleblower records, can be retrieved by individual's name, 
and noise complaint records can be retrieved by individual's name, 
email address and address (street/city/state).

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    FAA will maintain hotline complaint 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 
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 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 records (April 2021 onward) is still 
pending at NARA, so the FAA will treat these records as permanent 
records until it receives an approval of record disposition authority 
for the 15-year retention request. Additionally, the FAA is adding a 
new section to DAA-0237-2019-0012 to request destruction of noise 
complaint records to be 10 years after cut off with records to be 
treated as permanent records until approval of the new schedule 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 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 RECORDS PROCEDURES:
    See ``Redress Access Procedure'' above.

NOTIFICATION PROCEDURES:
    See ``Redress Access Procedure'' above.

[[Page 61655]]

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    A full notice of this system of records, DOT/FAA 845, was published 
in the Federal Register on April 11, 2000 (65 FR 19526).

    Issued in Washington, DC.
Karyn Gorman,
Acting Departmental Chief Privacy Officer.
[FR Doc. 2022-22126 Filed 10-11-22; 8:45 am]
BILLING CODE 4910-9X-P