Document ID: DOT-OST-2009-0092-0129
Agency: dot
Document Type: Rule
Title: Privacy Act; Systems of Records
Posted Date: 2010-11-09T05:00Z

[Federal Register: November 9, 2010 (Volume 75, Number 216)]
[Notices]               
[Page 68849-68852]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr09no10-100]                         

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

 
Privacy Act of 1974: System of Records

AGENCY: Federal Aviation Administration (FAA), Department of 
Transportation (DOT).

ACTION: Notice to modify a system of records.

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SUMMARY: DOT proposes to modify a system of records under the Privacy 
Act of 1974. The system is FAA's Aviation Records on Individuals, which 
is being modified to reflect: (1) One new routine use and (2) clarity 
to the purpose of the system. This system would not duplicate any other 
DOT system of records.

DATES: Effective Date: December 20, 2010. If no comments are received, 
the proposal will become effective on the above date. If comments are 
received, the comments will be considered and, where adopted, the 
documents will be republished with changes.

ADDRESSES: Address all comments concerning this notice to Carla Scott, 
Department of Transportation, Federal Aviation Administration, (AES-
300), 800 Independence Avenue, SW., Washington, DC 20591, (202) 267-
9895.

FOR FURTHER INFORMATION CONTACT: Habib Azarsina, Departmental Privacy 
Officer, Department of Transportation, Office of the Secretary, 1200 
New Jersey Avenue, SE., Washington, DC 20003, 202-366-1965 (telephone), 
habib.azarsina@dot.gov, (Internet address).

SUPPLEMENTARY INFORMATION: The Department of Transportation system of 
records notice subject to the Privacy Act of 1974 (5 U.S.C. 552a), as 
amended, has been published in the Federal Register and is available 
from the above mentioned address.
DOT/FAA 847

SYSTEM NAME:
    Aviation Records on Individuals

SECURITY CLASSIFICATION:
    Sensitive, unclassified

SYSTEM LOCATION:
     Federal Aviation Administration (FAA), Mike Monroney 
Aeronautical Center (MMAC), Oklahoma City, Oklahoma 73125: Civil 
Aerospace Medical Institute, Aerospace Medical Certification Division, 
AAM-300; Regulatory Support Division, AFS-600; and Civil Aviation 
Registry, Airmen Certification Branch AFS-760.
     Federal Aviation Administration, 800 Independence Avenue, 
SW., Washington, DC 20591: Drug Abatement Division, AAM-800 or the 
local Compliance and Enforcement Centers of the Drug Abatement 
Division; Office of Security and Hazardous Materials; Flight Standards 
District Offices (FSDO's); Certificate Management Offices (CMO's); 
Certificate Management Field Offices (CMFO's); International Field 
Offices; Office of Security and Hazardous Materials Regional and Field 
Offices; FAA Regional Offices; and Chief Counsel, Regional Counsel, and 
Aeronautical Center Counsel Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM OF RECORDS:
    This system contains information on:
    (1) Current certificated airmen, airmen whose certificates have 
expired, airmen who are deceased, airmen rejected for medical 
certification, airmen with special certifications, and others requiring 
medical certification;
    (2) Air traffic controllers in air route traffic control centers, 
terminals, and flight service stations, and applicants for these 
positions;
    (3) Holders of and applicants for airmen certificates, airmen 
seeking additional certifications or additional ratings, individuals 
denied certification, airmen holding inactive certificates, and airmen 
who have had certificates amended, modified, suspended or revoked.
    (4) Persons involved in aircraft accidents and incidents, including 
crewmembers, passengers, persons on the ground, and witnesses.
    (5) Individuals performing safety-sensitive functions under FAA's 
drug and alcohol testing regulations who have (a) tested positive on a 
Department Of Transportation (DOT)-required drug test; (b) tested 0.04 
or greater for breath alcohol concentration on a DOT-required alcohol 
test; or (c) refused to submit to testing under a DOT-required testing 
program.
    (6) Individuals in their commercial capacities who work for 
companies conducting drug and alcohol testing.
    (7) Individuals who witness violations of FAA regulations.
    (8) Individuals against whom FAA has initiated informal action, 
administrative action or legal enforcement action for violating safety

[[Page 68850]]

regulations and statutes or orders issued thereunder (see generally 49 
U.S.C. 40101 et seq., 44101 et seq., 45101 et seq., 46101 et seq.; FAA 
regulations, 14 CFR Parts 1-199; hazardous materials regulations, 49 
CFR Parts 171-180; and drug and alcohol testing regulations, 49 CFR 
Part 40).

CATEGORIES OF RECORDS IN THE SYSTEM:
     Name, date of birth, place of residence, mailing address, 
social security number, and airman certificate number.
     Records that are required to determine the physical or 
mental condition of an individual with respect to medical standards 
established by FAA.
     Records concerning drug or alcohol testing, test results, 
or refusals to submit to testing under a DOT-required testing program.
     Records concerning applications for certification, 
applications for knowledge examinations, results of knowledge tests, 
applications for inspection authority, certificates held, ratings, stop 
orders, and requests for replacement certificates.
     Reports of fatal accidents, autopsies, toxicological 
studies, aviation medical examiner reports, medical record printouts, 
nonfatal reports, injury reports, accident name cards, magnetic tape 
records of fatal accidents, physiological autopsy, and consulting 
pathologist's summary of findings.
     Records of accident investigations, preliminary notices of 
accident injury reports, engineering analyses, witness statements, 
investigators' analyses, and pictures of accident scenes.
     Records concerning safety compliance notices, informal 
actions, warning notices, oral or written counseling, letters of 
correction, letters of investigation, notices of proposed legal 
enforcement action, final action legal documents in enforcement 
actions, and correspondence of Regional Counsels, the Aeronautical 
Center Counsel, Chief Counsels, and others in enforcement cases.
     All records on individuals within FAA databases for which 
the Safety Performance Analysis System (SPAS) is a software interface 
(i.e., inspection, surveillance, and investigation records concerning 
individuals, in systems including but not limited to: Accident/Incident 
Database System (AIDS), Air Transportation Oversight System (ATOS), 
Enforcement Information System (EIS), National Program Tracking and 
Reporting System (PTRS), National Vital Information System (VIS), and 
the Drug Abatement Division's Compliance and Enforcement Tracking 
System (CETS)).
     SPAS-related enforcement records maintained in Chief 
Counsel, Regional Counsel, and Aeronautical Center Counsel offices.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    49 U.S.C. 40101, 40113, 44701-44703, 44709, 45101-106, 46301.

PURPOSE(S):
    This system is the official repository of aviation records on 
individuals that are required to be maintained in connection with FAA's 
oversight and enforcement of compliance with safety regulations and 
statutes and orders issued thereunder or that are required to be made 
available, upon request, to other agencies, certain members of the 
public (e.g., Aviation Medical Examiners), or the public at large.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (a) Provide basic airmen certification and qualification 
information to the public upon request; examples of basic information 
include:
     The type of certificates and ratings held;
     The date, class, and restrictions of the latest physical 
airman's certificate number;
     The status of the airman's certificate (i.e., whether it 
is current or has been amended, modified, suspended or revoked for any 
reason);
     The airman's home address, unless requested by the airman 
to be withheld from public disclosure per 49 U.S.C. 44703(c);
     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 exemption from medical 
requirements, and requests for review of certificate denials.
    (b) Use contact information to inform airmen of meetings and 
seminars conducted by the FAA regarding aviation safety.
    (c) Disclose information to the National Transportation Safety 
Board (NTSB) in connection with its investigation responsibilities.
    (d) Provide information about airmen to Federal, State, local and 
Tribal law enforcement agencies when engaged in an official 
investigation in which an airman is involved.
    (e) Provide information about enforcement actions or orders issued 
thereunder to government agencies, the aviation industry, and the 
public upon request.
    (f) Make records of delinquent civil penalties owed to the FAA 
available to the U.S. Department of the Treasury (Treasury) and the 
U.S. Department of Justice (DOJ) for collection pursuant to 31 U.S.C. 
3711(g).
    (g) Make records of effective orders against the certificates of 
airmen available to their employers if the airmen use the affected 
certificates to perform job responsibilities for those employers.
    (h) Make airmen records available to users of FAA's Safety 
Performance Analysis System (SPAS), including the Department of Defense 
Commercial Airlift Division's Air Carrier Analysis Support System 
(ACAS) for its use in identifying safety hazards and risk areas, 
targeting inspection efforts for certificate holders of greatest risk, 
and monitoring the effectiveness of targeted oversight actions.
    (i) Make 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.
    (j) Provide information about airmen through the airmen registry 
certification system to the Department of Health and Human Services, 
Office of Child Support Enforcement, and the Federal Parent Locator 
Service that locates non-custodial parents who owe child support. 
Records in this system are used to identify airmen to the child support 
agencies nationwide in enforcing child support obligations, 
establishing paternities, establishing and modifying support orders and 
location of obligors. Records named within the section on Categories of 
Records will be retrieved using Connect: Direct through the Social 
Security Administration's secure environment.
    (k) Make personally identifiable information about airmen available 
to other Federal agencies for the purpose of verifying the accuracy and 
completeness of medical information provided to FAA in connection with 
applications for airmen medical certification.
    (l) Make records of past airman medical certification history data 
available to Aviation Medical Examiners (AMEs) on a routine basis so 
that AMEs

[[Page 68851]]

may render the best medical certification decision.
    (m) Make airman, aircraft and operator record elements available to 
users of FAA's Skywatch system, including the Department of Defense 
(DoD), the Department of Homeland Security (DHS), the Department of 
Justice (DOJ) and other authorized government users, for their use in 
managing, tracking and reporting aviation-related security events.
    (n) Provide 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.
    (0) See Prefatory Statement of General Routine Uses.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained in file folders, on lists and forms, and in 
computer processing storage media. Records are also stored on 
microfiche, on roll microfilm, and as electronic images.

RETRIEVABILITY:
    Records may be retrieved by name, birth date, sex, Social Security 
number, airman certificate number, or other identification number of 
the individual on whom the records are maintained; or by medical 
identification number, accident number and/or incident number, and 
enforcement investigative report number or docket number.

SAFEGUARDS:
    Manual records: Strict information handling procedures have been 
developed to cover the use, transmission, storage, and destination of 
personal data in hard copy form. The procedures are periodically 
reviewed for compliance with applicable laws. Automated Processing 
Records in FAA-Administered Systems: Computer processing of personal 
information is conducted within established FAA computer security 
regulations. A risk assessment of the FAA facility is performed prior 
to the implementation of the system of records. Automated Processing 
Records in Commercial Computer Contractor-Administered Systems: 
Computer programs are operated on commercial security levels and record 
element restrictions to prevent release of data to unauthorized 
parties.

RETENTION AND DISPOSAL:
    Records are either destroyed or retired to the local Federal 
Records Center and then destroyed in accordance with the current 
version of FAA Order 1350.15C, Records Organization, Transfer and 
Destruction Standards. The retention and destruction period for each 
record varies depending on the type of record, but ranges between 30 
days and 10 years.

SYSTEM MANAGER(S) AND ADDRESS:
    Federal Aviation Administration, Mike Monroney Aeronautical Center, 
P.O. Box 25082, 6500 South MacArthur Blvd., Oklahoma City, Oklahoma 
73125--
     Records concerning aviation medical certification: 
Manager: Aerospace Medical Certification Division, AAM-300;
     FAA certification records and general airman records: 
Manager, Airmen Certification Branch, AFS-760;
     Records concerning aircraft accidents and incidents, 
inspections, surveillance, and investigations: Manager, Aviation Data 
Systems Branch, AFS-620;
     Records in FAA-Administered databases concerning 
administrative actions and legal enforcement actions: Manager, Aviation 
Data Systems Branch, AFS-620;
     Records pertaining to legal enforcement actions maintained 
in Chief Counsel, Regional Counsel, and Aeronautical Center Counsel 
offices: The address of the appropriate FAA regional or field office 
maintaining the official agency enforcement file may be obtained from 
AFS-620.
     Records pertaining to administrative actions and informal 
actions: The investigating FAA field office or regional office or the 
Drug Abatement Division, AAM-800, or the local Compliance and 
Enforcement Centers of the Drug Abatement Division, as appropriate. The 
address of the appropriate FAA regional or field office maintaining the 
official agency enforcement file may be obtained from AFS-620.
     Electronic enforcement litigation tracking system records: 
Chief Counsel, Regional Counsel, and Aeronautical Center Counsel 
offices.
     Accounting files: Office of Financial Operations (AMZ) at 
the Aeronautical Center, and Office of Financial Management (AFM) at 
headquarters.
     Aviation medical certification records from headquarters 
and regional files: Medical Specialties Division at headquarters, AAM-
200, or the Regional Flight Surgeon within the region where examination 
was conducted (visit or call the local FAA office for proper Regional 
Office address).
     Drug and alcohol testing records, and records of refusals 
to submit to testing required under a DOT-required testing program: 
Drug Abatement Division, AAM-800, or the local Compliance and 
Enforcement Centers of the Drug Abatement Division, as appropriate.
     Records pertaining to security and hazardous materials: 
Office of Hazardous Materials, ADG-1

NOTIFICATION PROCEDURE:
    Individuals wishing to know if their records appear in this system 
of records may make a request in person or in writing to the 
appropriate system manager. The request must include:
     Name;
     Mailing address;
     Telephone number and/or e-mail address;
     A description and, if possible, the location of the 
records requested; and
     A statement under penalty of perjury that the requester is 
the individual who he or she claims to be.

RECORDS ACCESS PROCEDURE:
    Individuals who desire access to information in this system of 
records should make a written request to, or an appointment with, the 
appropriate system manager. Each request should describe the particular 
record to the fullest extent possible, including the subject matter of 
the record, and, if known, the date when it was made, where it was 
made, and the originating person or office. Each request must also 
include a statement under penalty of perjury that the requester is the 
individual who he or she claims to be.

PROCEDURES FOR CONTESTING RECORDS:
    Individuals who desire to contest information about themselves 
contained in the system of records should make their request in 
writing, detailing the reasons why the records should be corrected, and 
submit the request to the attention of the FAA official responsible for 
the record at the address appearing in this notice. The request must 
include a statement under penalty of perjury that the requester is the 
individual who he or she claims to be.

RECORDS SOURCE CATEGORIES:
    a. Medical Records are obtained from Aviation Medical Examiners 
(AME's), the individual to whom the records pertain, consultants, 
hospitals, treating or examining physicians, and Federal/State/local/
Tribal Government agencies.
    b. Airmen Certification Records are obtained from the individual to 
whom

[[Page 68852]]

the records pertain, FAA aviation safety inspectors, and FAA designated 
representatives.
    c. General Aviation Accident/Incident Records and Air Carrier 
Incident Records are obtained from Aviation Medical Examiners, 
pathologists, accident investigation records, medical laboratories, 
Federal/State/local/Tribal law enforcement officials, and FAA 
employees. Data are also collected from manufacturers of aircraft and 
involved passengers.
    d. Informal Action, Administrative Action and Legal Enforcement 
Records are obtained from witnesses, the Offices of the Chief Counsel, 
Regional Counsels and Aeronautical Center Counsel, the National 
Transportation Safety Board, Office of Security and Hazardous Materials 
(ASH) personnel, Flight Standards personnel, Office of Aviation Safety 
(AVS) personnel and Aeronautical Center personnel.
    e. Drug and alcohol testing records and records relating to test 
results and refusals to submit to testing are obtained from the 
individual to whom the records pertain, current or previous employers, 
witnesses, FAA Drug Abatement inspectors, service agents providing drug 
and alcohol testing services for employers, and other Federal/State/
local/Tribal Government agencies.

EXEMPTIONS CLAIMED FOR THIS SYSTEM:
    Records in this system that relate to administrative actions and 
legal enforcement actions are exempted from certain access and 
disclosure requirements of the Privacy Act of 1974, pursuant to 5 
U.S.C. 552a(k)(2).

    Dated: November 3, 2010.
Habib Azarsina,
Departmental Privacy Officer.
[FR Doc. 2010-28237 Filed 11-8-10; 8:45 am]
BILLING CODE 4910-9X-P