Document ID: DOT-OST-2019-0022-0001
Agency: dot
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2019-02-07T05:00Z

[Federal Register Volume 84, Number 26 (Thursday, February 7, 2019)]
[Notices]
[Pages 2662-2667]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-01467]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. OST-2019-0022]

Privacy Act of 1974; System of Records; Department of 
Transportation Office of the Secretary--DOT/OST 102--Aviation Consumer 
Complaint Application Online System of Records

AGENCY: 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 Department of 
Transportation proposes to update and reissue a current Department of 
Transportation system of records titled, ``Department of 
Transportation/Office of the Secretary--DOT/OST 102--Aviation

[[Page 2663]]

Consumer Complaint Application Online System of Records.'' This system 
of records allows the Department of Transportation/Office of the 
Secretary to collect and maintain records on service-related consumer 
complaints, inquiries, opinions, and compliments regarding air carriers 
or air travel companies.
    The records and information collected and maintained in this system 
are used to verify compliance with Department's aviation consumer 
protection requirements. The system receives and is used to process 
informal complaints regarding aviation consumer issues. The Aviation 
Consumer Complaint Application Online System of Records utilizes the 
Department's electronic case management and tracking system to generate 
reports. It also allows the Department to manage information provided 
during the course of its investigations and, in the process, to 
facilitate its management of investigations and investigative 
resources. Through this system, the Department can enter, update, 
review, analyze, and manage information regarding case projects and 
enforcement elements in addition to the ability to run a variety of 
reports to better manage tracking current and expiring cases. 
Furthermore, it allows DOT employees to track actions taken to resolve 
violations, provide a system for creating and reporting statistical 
information, and tracking government property and other resources used 
in investigative activities.
    This system of records notice has been updated within the system 
location, system manager, categories of records in the system, record 
source categories, routine uses, storage, retrievability, retention and 
disposal, safeguards, notification procedures, exemptions, and history. 
Additionally, the Department of Transportation is issuing a Notice of 
Proposed Rulemaking to exempt this system of records from certain 
provisions of the Privacy Act, elsewhere in the Federal Register. 
Furthermore, this notice includes non-substantive changes to simplify 
the formatting and text of the previously published notice. It also 
updates the SORN to reflect changes in the heading names and order as 
required by the reissuance of Circular A-108 by the Office of 
Management and Budget. This updated system will be included in the 
Department of Transportation's inventory of record systems.

DATES: Written comments should be submitted on or before March 7, 2019. 
The Department may publish an amended SORN in light of any comments 
received. This new system will be effective March 7, 2019.

ADDRESSES: You may submit comments, identified by docket number OST-
2019-0022 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 
OST-2019-0022. All comments received will be posted without change to 
http://www.regulations.gov, including any personal information 
provided.
    Privacy Act: Anyone is able to search the electronic form of all 
comments received in any of our dockets by the name of the individual 
submitting the comment (or signing the comment, if submitted on behalf 
of an association, business, labor union, etc.). You may review DOT's 
complete Privacy Act statement in the Federal Register published on 
April 11, 2000 (65 FR 19477-78), or you may visit http://DocketsInfo.dot.gov.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov or to the street 
address listed above. Follow the online instructions for accessing the 
docket.

FOR FURTHER INFORMATION CONTACT: For general questions please contact 
[C70/C75 POC]. For privacy issues please contact: Claire W. Barrett, 
Departmental Chief Privacy Officer, Privacy Office, Department of 
Transportation, Washington, DC 20590; privacy@dot.gov; 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), Office of the Secretary (OST) 
proposes to update and reissue a current DOT system of records titled, 
``DOT/OST 102--Aviation Consumer Complaint Application Online System of 
Records.'' The Office of the Assistant General Counsel for Aviation 
Enforcement and Proceedings, Aviation Consumer Protection Division, 
operates the Aviation Consumer Complaint Application Online System of 
Records (CCA), which receives and is used to process informal 
complaints from members of the public regarding aviation consumer 
protection matters. The primary intent of this revision is to update 
and clarify parts of the system of records notice to reflect changes in 
the Department's organization and programs since its last publication 
in 2005. Furthermore, the Department is proposing to exempt the CCA 
from certain provisions of the Privacy Act in accordance with 5 U.S.C. 
552a(k)(2).
    This system of records notice (SORN) was previously published in 
the Federal Register on February 25, 2005 (70 FR 9436) and became 
effective without notice on April 6, 2005. The DOT established the CCA 
to receive, process, investigate, and monitor consumer comments 
regarding airlines and air travel companies and to determine the extent 
to which these entities are in compliance with Federal aviation civil 
rights and consumer protection regulations. Members of the public, 
including citizens, legal permanent residents, and visitors, submit 
inquiries, opinions, compliments, and complaints about airlines and air 
travel companies. The records contain personal information about 
individuals, which may include: Name, addresses, telephone numbers, 
email address, reservation information, name of the airline about which 
the individual is complaining, nature of service issue and/or 
individual's disability and accommodations requested; and sex, race, 
color, ethnicity, religion, and/or national origin of the individual. 
The individuals may provide information, not only regarding their own 
experiences, but on behalf of others or about other individuals related 
to the complaints.
    The CCA system receives and is used to process these informal 
complaints and assist DOT in tracking statistics on flight delays, over 
sales, baggage problems, and consumer complaints. The system assists 
staff with verifying compliance with DOT's aviation consumer protection 
requirements, which they then use to provide information to the 
industry and members of the public. This information helps to record, 
track, and to allow DOT to take appropriate action on the complaints, 
opinions, information requests, and compliments pertaining to airlines, 
aiding in the follow-up and resolution of airline service issues. The 
Aviation Consumer Protection Division also uses this information to 
create and publish monthly reports to inform the public about airline 
customer service issues; to report complaint statistics to Congress and 
the media; to serve as a

[[Page 2664]]

basis for rulemaking, legislation, and research; and to assist airlines 
in identifying and remedying consumer concerns.
    This SORN makes several changes to the existing system of records. 
It amends the system location, system manager, categories of records in 
the system, record source categories, routine uses, storage, 
retrievability, retention and disposal, safeguards, notification 
procedures, exemptions, and history. It also updates the headings and 
order of the sections according to the new template prescribed by OMB's 
Circular A-108.
    The Department's headquarters moved since this SORN was last 
published. This has been updated accordingly. The system manager and 
address is being changed to reflect a relocation of the Department of 
Transportation to a new building within the District of Columbia. The 
categories of records covered by the system have been revised to more 
clearly reflect OST practice. The revised SORN clarifies and enumerates 
the specific types of information collected in the records. The 
revision does not make any substantive change to the categories of 
records. The record source categories have been updated to include 
electronic submission of consumer comments through the Air Travel 
Complaint Comment Form available online. Accordingly this brings the 
SORN up to date with current DOT practices without making any 
substantive changes to this section.
    The Department is updating the routine uses of records maintained 
in the system. Routine uses refers to routine disclosures outside of 
the Department. Consequently, the Department is eliminating the routine 
use stating that the Department ``may use information from this system 
of records to determine whether to further investigate or take 
enforcement against an air carrier or air travel company for possible 
violations of federal aviation civil rights and consumer protection 
statutes and regulations.'' Although this continues to be included as 
one of the purposes of this system of records, this activity does not 
involve disclosures outside of the Department, other than those 
disclosures already permitted by the Privacy Act, and therefore, it not 
appropriately characterized as a ``routine use.'' The DOT also has 
omitted the routine use that permits disclosures to advocacy 
organizations when the individual provides the organization with his/
her consent to access the records on his/her behalf. Disclosures with 
the individual's consent are permitted by the Section (b) of the 
Privacy Act and, therefore, do not need to be included as a routine 
use. Finally, Office of Management and Budget Circular A-108 recommends 
that agencies include all routine uses in one notice rather than 
incorporating general routine uses by reference; therefore, DOT is 
replacing the routine use that referenced the ``Statement of General 
Routine Uses'' with all of the general routine uses that apply to this 
system. This is merely a technical change and doesn't substantively 
affect any of the routine uses for records in this system.
    The revised SORN also updates storage, retrievability, and 
safeguards to reflect modern standards. For instance, the storage 
reflects the different ways electronic records may be kept. The 
retrievability and safeguards have been updated to reflect the current 
general practice of DOT regarding systems of records.
    The retention and disposal section is updated to reflect the 
disposition schedule that was approved by the National Archives and 
Records Administration in 1975. Any correspondence with individual 
complainants, the Department, and the airlines; reports from airlines; 
and the public complaints will be retained for four years. Computer 
printouts summarizing data from files will be destroyed when they are 
no longer needed for reference.
    The notification procedures have been updated to account for the 
Department's change in address and to include the Department's web 
address. It has also been updated to include the procedures necessary 
for requesting information. The new notification section details the 
specific information necessary to include when requesting access to an 
individual's records. Accordingly there are no substantive changes to 
these sections.
    This SORN is also updating the exemption section as discussed 
below. Finally, a history section has been added as required by the new 
standards set by the Office of Management and Budget.
    This updated system will be included in DOT's inventory of record 
systems.

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).
    This SORN is updating the exemptions to include an exemption under 
5 U.S.C. 552a(k)(2). A Notice of Proposed Rulemaking was published on 
February 28, 2005 (70 FR 9607) to exempt this system from certain 
provisions of the Privacy Act. The Department did not receive any 
comments on the proposed rule. Nonetheless, given the time that has 
passed since the original Notice of Proposed Rulemaking, the Department 
will republish a notice for comment. The current SORN indicates that an 
exemption applies to this system, however, the Department is updating 
the SORN to specify the basis of the exemption under 5 U.S.C. 
552a(k)(2). An exemption from the Privacy Act's access requirement 
would be necessary to: Protect confidential information and the sources 
of the confidential information; prevent unwarranted invasions of 
another individual's privacy; and support DOT's ability to obtain 
information relevant to resolving an aviation compliance concern.
    As the CCA inquiry and investigative files are compiled for 
administrative and law enforcement purposes, the 5 U.S.C. 552a(k)(2) 
exemption is applicable. The CCA assists the Department with receiving 
and processing allegations of violations of criminal, civil, and 
administrative laws and regulations relating to airline carriers and 
entities. The system includes investigative files and allows DOT to 
manage information provided during the course of its investigations, 
and in the process, to facilitate its management of investigations and 
investigative resources. DOT employees, with appropriate privileges, 
can upload documents for each case for review. As the system is used to 
track the investigations and used to create reports about the 
investigations and the complaints, the system should be exempted to 
protect the information it contains.
    In addition, it is may be necessary to give an express promise to 
withhold the identity of an individual who has

[[Page 2665]]

provided relevant information. Sources of information necessary to 
complete an effective investigation may be reluctant to provide 
confidential information unless they can be assured that their 
identities and information will not be revealed. This exemption is 
proposed to maintain the integrity of the investigative process and to 
ensure that DOT's efforts to obtain accurate and objective information 
will not be hindered.
    This exemption will assure that the investigative files will not be 
disclosed inappropriately and that confidential information will be 
protected. The exemption is necessary to protect the information in the 
system that may initiate investigations or is collected during 
investigations. Accordingly, DOT proposes to exempt this system under 
paragraph (k)(2) of the Privacy act from subsection (d) (Access to 
Records).
    In appropriate circumstances, where compliance with the request 
would not appear to interfere with or adversely affect the conduct of 
an aviation compliance inquiry or result in the unauthorized disclosure 
of classified information, OST may opt to waive these exemptions. In 
addition, some information may be available under the Freedom of 
Information Act, 5 U.S.C. 552 (FOIA). Any request for information from 
this system under the FOIA would be assessed on a case-by-case basis to 
determine what, if any, information could be released consistent with 
section (b)(2) of the Privacy Act, 5 U.S.C. 552a(b)(2).
    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)/Office of the Secretary (OST) 
DOT/OST 102 Aviation Consumer Complaint Application Online System of 
Records (CCA)

Security Classification:
    Sensitive, Unclassified

System Location:
    Records are maintained at the Office of the Secretary Headquarters 
in Washington, DC and at an offsite facility in Frederick, Maryland.

System Manager(s):
    Office of the Assistant General Counsel for Aviation Enforcement 
and Proceedings, Office of the Secretary, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590.

Authority for Maintenance of the System:
    49 U.S.C. 40127, 41310, 41702, 41705, and 41712

Purpose(s) of the System:
    The purpose of this system is to monitor complaint records of 
individual airlines and air travel companies; to determine the extent 
to which these entities are in compliance with Federal aviation civil 
rights and consumer protection regulations; to report complaint 
statistics to Congress, the media, and the general public; to serve as 
a basis for rulemaking, legislation, and research; and to assist 
airlines in identifying and remedying consumer concerns.

Categories of Individuals Covered by the System:
    The system contains information on individuals who have filed air 
travel service complaints or other inquiries with the Office of the 
Assistant General Counsel for Aviation Enforcement and Proceedings 
regarding an air carrier and/or air travel company. There may also be 
information in the system regarding individuals who file complaints on 
behalf of others or individuals who are related to the complaints.

Categories of Records in the System:
    Categories of records in this system include:
     Name.
     Home address.
     Business address.
     Telephone number(s).
     Email address.
     Name of the airline or company about which the individual 
is complaining.
     Flight date.
     Flight number.
     Reservation number.
     Origin of the flight.
     Destination city of trip.
     Nature of service issue and/or individual's disability and 
accommodations requested.
     Sex, race, color, ethnicity, religion, and/or national 
origin of the individual.

Record Source Categories:
    Information contained in this system is provided by individuals, or 
on behalf of individuals, through telephone calls, emails, and written 
correspondence received by the Department of Transportation or through 
electronic submission using the Air Travel Complaint Comment Form 
available online.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and the Purposes of Such Uses:
    In addition to those 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:
    1. To authorized representatives of the United States Government or 
a U.S. or foreign air carrier or air travel company about whom the 
complaint or record concerns for purposes of improving customer 
service.
    2. To the appropriate agency, whether Federal, State, local, or 
foreign, charged with the responsibility of implementing, 
investigating, prosecuting, or enforcing a statute, regulation, rule or 
order, when a record in this system indicates a violation or potential 
violation of law, whether civil, criminal, or regulatory in nature, 
including any records from this system relevant to the implementation, 
investigation, prosecution, or enforcement of the statute, regulation, 
rule, or order that was or may have been violated;
    3. 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 for DOT to obtain 
information relevant to a DOT decision concerning the hiring or 
retention or an employee, the issuance of a security clearance, the 
letting of a contract, or the issuance of a license, grant or other 
benefit;
    4. To a Federal agency, upon its request, in connection with the 
requesting Federal agency's hiring or retention of an employee, the 
issuance of a security clearance, the reporting of an investigation or 
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 requested is relevant and necessary to the requesting 
agency's decision on the matter;
    5. To the Department of Justice, or any other Federal agency 
conducting litigation, when (a) DOT, (b) any DOT employee, in his/her 
official capacity, or in his/her individual capacity if the Department 
of Justice has agreed to represent the employee, or (c) the United 
States or any agency thereof, is a party to litigation or has an 
interest in litigation, and DOT determines that the use of the records 
by the Department of Justice or other Federal agency conducting the 
litigation is relevant and necessary to the litigation; provided, 
however, that DOT determines, in each

[[Page 2666]]

case, 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 where collected.
    6. To parties in proceedings before any court or adjudicative or 
administrative body before which DOT appears when (a) DOT, (b) any DOT 
employee in his or her official capacity, or in his or her individual 
capacity where DOT has agreed to represent the employee, or (c) the 
United States or any agency thereof is a party to litigation or has an 
interest in the proceeding, and DOT determined that is relevant and 
necessary to the proceeding; provided, however, that DOT determines, in 
each case, 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 where collected.
    7. To the Office of Management and Budget (OMB) in connection with 
the review of privacy relief legislation as set forth in OMB Circular 
A-19 at any stage of the legislative coordination and clearance process 
set forth in that Circular.
    8. To the National Archives and Records Administration for an 
inspection under 44 U.S.C. 2904 and 2906.
    9. To another agency or instrumentality of any government 
jurisdiction for use in law enforcement activities, either civil or 
criminal, or to expose fraudulent claims; however, this routine use 
only permits the disclosure of names pursuant to a computer matching 
program that otherwise complies with the requirements of the Privacy 
Act.
    10. To appropriate agencies, entities, and persons, when (1) DOT 
suspects or has confirmed that the security or confidentiality of 
information in the system of records has been compromised; (2) 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 not) that rely 
on the compromised information; and (3) the disclosure made to such 
agencies, entities, or 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. To the Office of Government Information Services (OGIS) for the 
purpose of resolving disputes between requesters seeking information 
under the Freedom of Information Act (FOIA) and DOT, or OGIS' review of 
DOT's policies, procedures, and compliance with FOIA.
    12. To DOT's contractors and their agents, DOT's 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. To an agency, organization, or individual for the purpose of 
performing an audit or oversight related to this system or records, 
provided that DOT determines the records 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. To a Federal, State, local, tribal, foreign government, or 
multinational agency, either in response to a request or upon DOT's 
initiative, 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,'' Nov. 22, 2006), when DOT finds 
that disclosure of the record is necessary and relevant to detect, 
prevent, disrupt, preempt, or mitigate the effects of terrorist 
activities against the territory, people, and interests of the United 
States, as contemplated by the Intelligence Reform and Terrorism 
Prevention Act of 2004, Public Law 108-456, and Executive Order 13388 
(Oct. 25, 2005).

Policies and Practices for Storage of Records in the System:
    Records in this system are stored electronically and/or on paper in 
secure facilities. Electronic records may be stored on magnetic disc, 
tape, digital media, and CD-ROM.

Policies and Practices for Retrieval of Records:
    Electronic records may be retrieved by consumer's name, record 
number, case/project name. Paper records may retrieved by name of air 
carrier about which the record concerns.

Policies and Practices for Retention and Disposal of Records:
    Records will be retained in accordance with NC-197-76-1, July 5, 
1975, Item Number 20. The public complaints; reports from the airlines; 
and any correspondence regarding the complaints with individual 
complainants, the Department, and airlines will be destroyed after four 
years. Computer printouts summarizing data from the files will be 
destroyed when they are no longer needed for business purposes.

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 and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the Office of the Secretary FOIA 
officer, whose contact information can be found at http://www.transportation.gov/individuals/foia/office-secretary-foia-information under ``Contact Us.'' If an individual believes more than 
one component maintains Privacy Act records concerning him or her, the 
individual may submit the request to the Departmental Freedom of 
Information Act Office, U.S. Department of Transportation, Room W94-
122, 1200 New Jersey Ave. SE, Washington, DC 20590, ATTN: FOIA request.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 49 CFR part 10. You must first 
verify your identity, meaning that you must provide your full name, 
current address and date and place of birth. 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. While no specific form is 
required, you may obtain forms for this purpose from the Chief Freedom 
of Information Act Officer, http://www.dot.gov/foia or 202.366.4542. In 
addition you should provide the following:
    An explanation of why you believe the Department would have 
information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;

[[Page 2667]]

     Specify when you believe the records would have been 
created;
     Provide any other information that will help the FOIA 
staff determine which DOT component agency may have responsive records; 
and
    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.
    Without this bulleted information the component(s) may not be able 
to conduct an effective search, and your request may be denied due to 
lack of specificity or lack of compliance with applicable regulations.

Contesting Record Procedures:
    See ``Records Access Procedures'' above.

Notification Procedures:
    See ``Records Access Procedures'' above.

Exemptions Promulgated for the System:
    Pursuant to 5 U.S.C. 552a(k)(2), this system is exempt from 5 
U.S.C. 552a(d).

History
    70 FR 9436, February 25, 2005.

    Issued in Washington, DC on February 4, 2019.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2019-01467 Filed 2-6-19; 8:45 am]
 BILLING CODE 4910-9X-P