[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
NATIONAL TRANSPORTATION SAFETY BOARD
TABLE OF CONTENTS
NTSB--1 Claimants under Federal Tort Claims Act
NTSB--2 Personnel Nonpermanent Records
NTSB--3 Security Records
NTSB--4 Travel Records of Employees
NTSB--5 Reports of Employees' Financial Interest and Outside
Employment
NTSB--6 Employee Payroll, Leave, and Attendance Records
NTSB--7 Equal Employment Opportunity Complaint Records
NTSB--8 Privacy Act Request Records
NTSB--9 Employee Locator Cards
NTSB--10 Disciplinary Action, Adverse Action, Grievance and
Appeal Files
NTSB--11 Parking Permit Records
PREFATORY STATEMENT OF GENERAL ROUTINE USES
The following previously published routine uses apply to and are
incorporated by reference into each system of records set forth
below:
1. Referral to law enforcement agencies of violations of the law.
2. Disclosure for discovery purposes ordered by a court.
3. Disclosure to a congressional office of the record of an
individual in response to an inquiry from the congressional office
made at the request of that individual.
NTSB--1
System name: Claimants under Federal Tort Claims Act--NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW.
Washington, DC 20594
Categories of individuals covered by the system: Persons with
claims against the Government for damage to or loss of property, or
personal injury or death, caused by the negligent or wrongful act or
omission of any NTSB employee acting within the scope of his
employment (provided that any award, compromise, or settlement in
excess of twenty-five thousand dollars may be effected only with the
prior written approval of the Attorney General or his designee).
Categories of records in the system: Contains claim, subrogations,
legal opinion as to liability of the Government with respect to the
claim, final determination, and supporting receipts.
Authority for maintenance of the system: Tort Claims Procedure, 28
U.S.C. 2671.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used to established liability and the amount of such liability.
Routine use includes, but is not limited to referral to potential
employers and for security clearance; also, see routine uses in
Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information in system is maintained on a 8- by 10- inch
form.
Retrievability: Indexed by name.
Safeguards: Records are maintained in locked file cabinets.
Retention and disposal: Records are manually kept and are retained
for one year after disposition of the claim and then sent to the
Federal Records Center, NARA, where they are retained for at least
six years.
System manager(s) and address:
Comptroller
Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulation 49 CFR part 802 (41 FR 43154).
Contesting record procedures: Same as the above.
Record source categories: Claimant and employee or employees of the
Government involved in the claim and witnesses to the incident or
accident.
NTSB--2
System name: Personnel Nonpermanent Records--NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: Employees of NTSB.
Categories of records in the system: Personnel nonpermanent records
not required to be kept by CSC, usually of a personal nature.
Authority for maintenance of the system: 5 U.S.C. 301 et seq.,
implemented by 5 CFR part 293.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used to carry out authorized personnel programs, such as promotions.
Routine use includes, but is not limited to, referral to potential
employers and for security clearance; also, see routine uses in
Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information is maintained in SF 66, on left-hand side of
folder.
Retrievability: Indexed by name.
Safeguards: Records are kept in locked cabinets.
Retention and disposal: Records are manually kept and are retained
until individual's employment at NTSB terminates, at which time the
records are destroyed.
System manager(s) and address:
Personel Officer
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulation 49 CFR part 802 (41 22357, as amended 41 FR 43154).
Contesting record procedures: Same as the above.
Record source categories: Working papers developed during course of
employment; e.g., from supervisors, including performance evaluation,
letters of commendation, and documents which are not permanently
retained.
NTSB--3
System name: Security Records--NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: Employees,
prospective employees, and potential contractors.
Categories of records in the system: Matters pertaining to loyalty
qualifications of the individuals--loyalty checks, character
evaluations, crimes, past employment records, military service--
investigated by NTSB and other agencies such as FBI, DOD, or CSC.
Authority for maintenance of the system: Executive Order 10450.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Information is
used to determine qualification of an individual for employment by
NTSB, or as a contractor with NTSB; also, see routine uses in
Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information in system is stored in 9- by 12-inch file
folders.
Retrievability: Information is indexed by name.
Safeguards: Records are maintained in locked cabinets or safes.
Retention and disposal: Records are kept manually and are retained
by NTSB while the individual is employed by NTSB or is under contract
with NTSB. Thereafter, that portion of the records representing
information originating from NTSB investigation is destroyed.
Investigation reports of other agencies are returned to the
originating agency.
System manager(s) and address:
Personnel Officer
Director, Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulation 49 CFR part 802 (41 FR 22357, as amended 41 FR 43154).
Contesting record procedures: Same as above.
Record source categories: Loyalty checks, inquiries, NTSB field
investigation reports, and other reports of NTSB and other Government
agencies.
Systems exempted from certain provisions of the act: Security
Record. System is partially exempt from the Privacy Act of 1974 (5
U.S.C. 552a(k)) and NTSB regulation 49 CFR part 802 (40 FR 40134).
NTSB--4
System name: Travel Records of Employees--NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: Employees who have
traveled pursuant to authorized official business of NTSB.
Categories of records in the system: Travel vouchers, which
include, e.g., hotel bills, commercial car rentals, meals,
telephones, mileage allowances, and training.
Authority for maintenance of the system: Travel Expense Amendments
Act of 1975 (Pub. L. 94-22).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Vouchers are used
to determine amounts to be paid to an employee for authorized and
official travel for NTSB. Routine use includes, but is not limited
to, referral to potential employers, and for security clearance;
also, see routine uses in Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Information in system is maintained on an 8 and one half
by 10 and one half inch form.
Retrievability: Indexed by name.
Safeguards: Records are maintained in files with locks.
Retention and disposal: Records are manually kept and are
maintained by NTSB for one year after payment of allowable travel
expenses to employee. Thereafter, they are sent to the Federal
Records Center, NARA, where they are retained for at least six years.
System manager(s) and address:
Comptroller
Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulation 49 CFR part 802 (41 FR 22357, as amended 41 FR 43154).
Contesting record procedures: Same as above.
Record source categories: Employee submitting vouchers.
NTSB--5
System name: Reports of Employees' Financial Interests and
Outside Employment.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: NTSB employees.
Categories of records in the system: Confidential statements of
financial interests and outside employment required of certain
employees. The statements set forth the financial interests of the
employees and members of their immediate families and specify the
employment of the members of the immediate family or any other
employment of the NTSB employees involved.
Authority for maintenance of the system: 5 CFR part 735 (Federal
Personnel Manual), implemented by 49 CFR part 805.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records are
used by authorized personnel for ascertaining conflicts or apparent
conflicts of interest and for recommending appropriate action of NTSB
employees. In the event of a violation or potential violation of law,
whether civil, criminal, or regulatory, the records may be referred
to the appropriate agency. Routine use includes, but is not limited
to, referral to potential employers and for security clearance; also,
see routine uses in Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on 8- by 10-inch forms kept in a
manila folder.
Retrievability: Indexed alphabetically by name.
Safeguards: Records are stored in a locked safe.
Retention and disposal: Records are manually kept during employment
of the individual and then destroyed.
System manager(s) and address:
Personnel Officer
Director, Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulation 49 CFR part 802 (41 FR 22357, as amended 41 FR 43154).
Contesting record procedures: Same as above.
Record source categories: NTSB employees.
NTSB--6
System name: Employee Payroll, Leave, and Attendance Records--
NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: NTSB employees.
Categories of records in the system: Manual files and computer-
retrievable data containing payroll-related information covering NTSB
employees. Payroll, leave, and attendance records include records or
information also maintained in the employees' Personnel Nonpermanent
Records and related files kept in accordance with Civil Service
Commission regulations and noticed by the Commission in its
governmentwide systems of personnel records. Payroll and related
information consists of various forms and computer-retrievable data
which discloses on a biweekly, year-to-date, and/or annual basis,
payroll and leave data for each NTSB employee. This data relates to
the rate and amount of pay, leave, hours worked, and leave balances.
It also includes tax and retirement deductions, life insurance and
health deductions, mailing addresses, and home addresses.
Authority for maintenance of the system: Federal Personnel Manual
and Treasury Fiscal Requirements Manual; and Pub. L. 93-633, 88 Stat.
2168 (sec. 303(c)(3) of the Independent Safety Board Act of 1974, 49
U.S.C. 1902).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: For preparation of
payroll, to fulfill Government payroll recordkeeping and reporting
requirements, and to retrieve and supply payroll and leave
information as required for NTSB needs. Other routine uses for
certain records are specified in the Civil Service Commission notice:
``C.S.C.--General Personnel Records (Official Personnel Folder and
records related thereto).'' Routine use includes, but is not limited
to, refer all to potential employers, and for security clearance;
also, see routine uses in Prefatory Statements.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Storage for NTSB is maintained by the Federal Highway
Administration (FHWA), 400 7th Street, SW, Washington, DC 20590.
Retrievability: Time cards are machine-printed, 7 and one half by 3
and one half inch cards (FHWA Form 320A); tapes are standard 2,400-
foot IBM tapes.
Safeguards: There are no safeguards for the time cards. The tapes,
however, are maintained in the computer center and access is
permitted only to certain specified FHWA employees or appropriate
employees or contractor agencies.
Retention and disposal: The time cards are maintained in the office
for the current and prior year and are thereafter sent to the Federal
Records Center in St. Louis. The tapes are retained, based on the
cycle of the particular system. The disposal occurs when the cycle
ends. The tapes are kept by employee number, which is a number
assigned to the employee on hiring.
System manager(s) and address:
Personnel Officer
Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulation 49 CFR part 802 (41 FR 22357, as amended at 41 FR 43154).
Contesting record procedures: Same as above.
Record source categories: NTSB employees.
NTSB--7
System name: Equal Employment Opportunity Complaint Records--
NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20595
Categories of individuals covered by the system: Employees of NTSB
or job applicants who file complaints of discrimination with NTSB.
Categories of records in the system: Investigative files pertaining
to equal employment opportunity complaints and problems.
Authority for maintenance of the system: Executive Order 11478;
Pub. L. 92-261; Civil Service Regulations (5 CFR part 713); Federal
Personnel Manual, Chapter 713.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Used by the Equal
Employment Opportunity Officer, EEO counselors, investigators, and
other agency employees and their representatives where appropriate to
resolve discrimination complaints. When appeals are taken, may be
reviewed by officials of the Civil Service Commission's Board of
Appeals and Review; officers of the courts, and attorneys for the
parties; also, see routine uses in Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in individual file folders.
Retrievability: Indexed by name of complainants.
Safeguards: Files are located in lockable, metal file cabinets to
which access is controlled by an NTSB employee.
Retention and disposal: Files are retained and disposed of in
accordance with general records disposal schedules prescribed by the
General Services Administration.
System manager(s) and address:
Bureau of Administration
Equal Employment Opportunity Officer
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulation 49 CFR part 802 (41 FR 22357, as amended at 41 FR 43154).
Contesting record procedures: Same as above.
Record source categories: Persons filing complaints, their
representatives, EEO officials, and persons affected by or having an
involvement in the area covered by the complaint.
NTSB--8
System name: Privacy Act Request Records--NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: Individuals who
have requested personal information from the records systems of the
Safety Board.
Categories of records in the system: Requests from the individual,
and related correspondence and memoranda.
Authority for maintenance of the system: 5 U.S.C. 552a, sec. 2.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Used by NTSB
employees to record and efficiently process requests made under the
Privacy Act of 1974. Users are each system manager for a record
system covered by the Privacy Act, and those employees under his
supervision who maintain and control the files for which a request is
made under the provisions of the Act; also, see routine uses in
Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in individual file folders.
Retrievability: Indexed by name of requester.
Safeguards: Files are located in lockable, metal file cabinets to
which access is controlled by an NTSB employee assigned such
responsibility.
Retention and disposal: Files are retained and disposed of in
accordance with general records disposal schedules prescribed by the
General Services Administration.
System manager(s) and address:
Director, Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulations 49 CFR part 802 (41 FR 22357, as amended 41 FR 43154).
Contesting record procedures: Same as above.
Record source categories: Individuals requesting access to records
and employees processing such requests.
NTSB--9
System name: Employee Locator Cards--NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: All employees of
NTSB.
Categories of records in the system: Employee names, office
locations and telephone extensions, home addresses and telephone
numbers, and names of persons and telephone numbers used for
notification in the event of emergency.
Authority for maintenance of the system: Pub. L. 93-633 and Title 5
U.S.C 552a.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Used by Operations
and Facilities Division to provide information to the public by
telephone concerning office location and office telephone extension
of NTSB employees and to provide information to supervisors and other
management officials of employees' home telephones or addresses in
the event of official or personal emergencies. Routine use includes,
but is not limited to, referral to potential employers, and for
security clearance; also, see routine uses in Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on cards.
Retrievability: Filed alphabetically by employees last name.
Safeguards: Records are maintained in lockable, metal file cabinets
to which access is controlled by an NTSB employee.
Retention and disposal: Files are destroyed when an individual's
employment terminates.
System manager(s) and address:
Office Services Manager
Operations Facilities Division
Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulations 49 CFR part 802 (41 FR 22357, as amended at 41 FR 43154).
Contesting record procedures: Same as above.
Record source categories: NTSB employees whose names appear in the
records system.
NTSB--10
System name: Disciplinary Action, Adverse Action, Grievance and
Appeal Files--NTSB.
System location:
Office of Personnel
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: Employees against
whom disciplinary or adverse actions are taken by NTSB or who appeal
such actions or file grievances.
Categories of records in the system: Case files showing all
pertinent records relating to employee disciplinary actions, adverse
actions, grievances, and appeals.
Authority for maintenance of the system: 5 U.S.C. 7501, 7511, 7512,
7521, 7531, 7533, and 7701, as implemented by 5 CFR parts 752, 771,
and 772.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: To provide an
official file on actions cited above for use of agency, concerned
employees and their representatives, and appelate bodies in
connection with determination of disciplinary actions, adverse
actions, grievances, and appeals before the NTSB and the Civil
Service Commission. Routine uses include, but are not limited to,
referral to potential employers, and for security clearance; also,
see routine uses in Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in individual file folders indexed
by name of employee against whom action is proposed or taken, or by
whom appeal is filed.
Retrievability: Filed alphabetically by last name of employee.
Safeguards: Files are located in lockable, metal file cabinets to
which access is controlled by an NTSB employee.
Retention and disposal: Files are retained and disposed of in
accordance with general records disposal schedules prescribed by the
General Services Administration.
System manager(s) and address:
Personnel Officer
Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulations 49 CFR part 802 (41 FR 22357, as amended at 41 FR 43154).
Contesting record procedures: Same as above.
Record source categories: Supervisors or management officials
initiating or acting on adverse personnel actions against employees
and their representatives, personnel investigators, hearings officers
or administrative law judges, affected employees and their
representatives, and other persons affected by or having an
involvement in the action proposed or taken.
NTSB--11
System name: Parking Permit Records--NTSB.
System location:
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Categories of individuals covered by the system: NTSB employees who
have applied for or who been issued parking permits.
Categories of records in the system: Application cards containing
information on permit applicant and members of his car pool, if any.
Authority for maintenance of the system: Pub. L. 93-633.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: Used to determine
whether or not an employee is entitled to, or possesses, a parking
permit. Routine uses include, but are not limited to, referral to
potential employers, and for security clearance; also, see routine
uses in Prefatory Statement.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on 5 by 10 inch cards.
Retrievability: Indexed by name of permit holder.
Safeguards: Maintained in locked cabinet.
Retention and disposal: Records are maintained while employee holds
a parking permit. Record is destroyed when employee no longer has
parking permit.
System manager(s) and address:
Office Services Manager
Operations and Facilities Division
Bureau of Administration
National Transportation Safety Board
800 Independence Avenue, SW
Washington, DC 20594
Notification procedure: Address inquiries to Director, Bureau of
Administration.
Record access procedures: Procedures are detailed in NTSB
regulations 49 CFR part 802 (41 FR 22357, as amended at 41 FR 43154).
Contesting record procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Information provided by employees
desiring parking permits.
NATIONAL TRANSPORTATION SAFETY BOARD
Title 49-Transportation
Subtilte B-Other Regulations Relating to Transportation
Chapter VII-National Transportation Safety Board
PART 802--RULES IMPLEMENTING THE PRIVACY ACT OF 1974
Subpart A--Applicability and Policy
Sec.
802.1 Purpose and scope.
802.2 Definitions.
Subpart B--Initial Procedures and Requirements
802.5 Procedures for requests pertaining to individual records in a
record system.
802.6 Types of requests and specification of records.
802.7 Requests: How, where, and when presented; verification of
identity of individuals making requests; accompanying persons; and
procedures for acknowledgement of requests.
Subpart C--Initial Determinations
802.8 Disclosure of requested information.
Subpart D--Correction or Amending the Record
802.10 Request for correction or amendment to record.
802.11 Agency review of requests for correction or amendment of record.
802.12 Initial adverse agency determination on correction or amendment.
Subpart E--Review of Initial Adverse Determination
802.14 Review procedure and judicial review.
Subpart F--Fees
802.15 Fees.
Subpart G--Penalties
802.18 Penalties.
Subpart H--Specific Exemptions
802.20 Security records.
Authority: Privacy Act of 1974, Pub. L. 93-579, 88 Stat. 1896 (5
U.S.C. 552a); Independent Safety Board Act of 1974, Pub. L. 93-633, 88
Stat. 2166 (49 U.S.C. 1901 et seq.); and Freedom of Information Act,
Pub. L. 93-502, November 21, 1974, amending 5 U.S.C. 552.
Source: 41 FR 22358, June 3, 1976, unless otherwise noted.
Subpart A--Applicability and Policy
Sec. 802.1 Purpose and scope.
The purpose of this part is to implement the provisions of 5 U.S.C.
552a with respect to the availability to an individual of records of the
National Transportation Safety Board (NTSB) maintained on individuals.
NTSB policy encompasses the safeguarding of individual privacy from any
misuse of Federal records and the provision of access to individuals to
NTSB records concerning them, except where such access is in conflict
with the Freedom of Information Act, or other statute.
[41 FR 39758, Sept. 16, 1976]
Sec. 802.2 Definitions.
In this part:
Board means the five Members of the National Transportation Safety
Board, or a quorum thereof;
Individual means a citizen of the United States or an alien lawfully
admitted for permanent residence;
National Transportation Safety Board (NTSB) means the agency set up
under the Independent Safety Board Act of 1974;
Record means any item, collection, or grouping of information about
an individual that is maintained under the control of the NTSB pursuant
to Federal law or in connection with the transaction of public business,
including, but not limited to, education, financial transactions,
medical history, and criminal or employment history, and that contains a
name, or an identifying number, symbol, or other identifying particular
assigned to an individual, such as a finger or voice imprint or
photograph;
Routine use means the use of such record for a purpose compatible
with the purpose for which it was collected, including, but not limited
to, referral to law enforcement agencies of violations of the law and
for discovery purposes ordered by a court referral to potential
employers, and for security clearance;
Statistical record means a record in a system of records maintained
for statistical research or reporting purposes only and which is not
used wholly or partially in any determination concerning an identifiable
individual;
System Manager means the agency official who is responsible for the
policies and practices of his particular system or systems of record, as
specified in the NTSB notices of systems or records; and
System of records means a group of any records under the control of
the NTSB from which information is retrieved by the name of an
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual, whether presently in existence or
set up in the future.
Subpart B--Initial Procedures and Requirements
Sec. 802.5 Procedures for requests pertaining to individual records
in a record system.
The NTSB may not disclose any record to any person or other agency,
except pursuant to a written request by, or with the prior written
consent of, the individual to whom the record pertains, provided the
record under the control of the NTSB is maintained in a system of
records from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other particular
assigned to such individual. Written consent is not required if the
disclosure is:
(a) To officers or employees of the NTSB who require the information
in the official performance of their duties;
(b) Required under 5 U.S.C. 552, Freedom of Information Act;
(c) For a routine use compatible with the purpose for which it was
collected;
(d) To the Bureau of the Census for uses pursuant to Title 13, U.S.
Code;
(e) To a recipient who has provided the NTSB with advance adequate
assurance that the record will be used solely as a statistical research
or reporting record and that it is to be transferred in a form not
individually identifiable; or
(f) Pursuant to the order of a court of competent jurisdiction.
Sec. 802.6 Types of requests and specification of records.
(a) Types of requests. An individual may make the following request
respecting records about himself maintained by NTSB in any system of
records subject to the Act:
(1) Whether information concerning himself is contained in any system
of records.
(2) Access to a record concerning himself. Such request may include a
request to review the record and/or obtain a copy of all or any portion
thereof.
(3) Correction or amendment of a record concerning himself.
(4) Accounting of disclosure to any other person or Government agency
of any record concerning himself contained in any system of records
controlled by NTSB, except (i) disclosures made pursuant to the FOIA;
(ii) disclosures made within the NTSB; (iii) disclosures made to another
Government agency or instrumentality for an authorized law enforcement
activity pursuant to subsection (b) (7) of the Act; and (iv) disclosures
expressly exempted by NTSB from the requirements of subsection (c)(3) of
the Act, pursuant to subsection (k) thereof.
(b) Specification of records. All requests for access to records must
reasonably describe the system of records and the individual's record
within the system of records in sufficient detail to permit
identification of the requested record. Specific information regarding
the system name, the individual's full name, and other information
helpful in identifying the record or records shall be included. Requests
for correction or amendment of records shall, in addition, specify the
particular record involved, state the nature of the correction or
amendment sought, and furnish justification for the correction or
amendment.
(c) Inadequate identification of record. Requests which do not contain
information sufficient to identify the record requested will be returned
promptly to the requester, with a notice indicating what information is
lacking. Individuals making requests in person will be informed of any
deficiency in the specification of the records at the time the request
is made. Individuals making requests in writing will be notified of any
such deficiency when their request is acknowledged.
Sec. 802.7 Requests: How, where, and when presented; verification
of identity of individuals making requests; accompanying persons; and
procedures for acknowledgment of requests.
(a) Requests--general. Requests may be made in person or in writing.
Assistance regarding requests or other matters relating to the Act may
be obtained by writing to the Director, Bureau of Administration,
National Transportation Safety Board, 800 Independence Avenue, SW,
Washington, DC 20594. The Director, Bureau of Administration, or his
designee, on request, will aid an individual in preparing an amendment
to the record or to an appeal following denial of a request to amend the
record, pursuant to subsection (f)(4) of the Act.
(b) Written requests. Written requests shall be made to the Director,
Bureau of Administration at the address given above, and shall clearly
state on the envelope and on the request itself, ``Privacy Act
Request,'' ``Privacy Act Statement of Disagreement,'' ``Privacy Act
Disclosure Accounting Request,'' ``Appeal from Privacy Act Adverse
Determination,'' or ``Privacy Act Correction Request,'' as the case may
be. Actual receipt by the Director, Bureau of Administration, or his
designee, shall constitute receipt.
(c) Requests made in person. Requests may be made in person during
official working hours of the NTSB at the office where the record is
located, as listed in the ``Notice of Systems of Records'' for the
system in which the record is contained.
(d) Verification of identity of requester. (1) For written requests,
the requester's identity must be verified before the release of any
record, unless exempted under the FOIA. This may be accomplished by
adequate proof of identity in the form of a driver's license or other
acceptable item of the same type.
(2) For requests in person, the requester's identity may be
established by a single document bearing a photograph (such as a
passport or identification badge) or by two items of identification
containing name, address, and signature (such as a driver's license or
credit card).
(3) Where a request is made for reproduced records which are to be
delivered by mail, the request must include a notarized statement
verifying the requester's identity.
(e) Inability to provide requisite documentation of identity. A
requester who cannot provide the necessary documentation of identity may
provide a notarized statement, swearing or affirming his identity and
the fact that he is aware of the penalties for false statement imposed
pursuant to 18 U.S.C. 1001, and subsection (i)(3) of the Act. Where
requested, the Director, Bureau of Administration, or his designee, will
assist the requester in formulating the necessary document.
(f) Accompanying persons. A requester may wish to have a person of his
choice accompany him to review the requested record. Prior to the
release of the record, the NTSB will require the requester to furnish
the Director, Bureau of Administration or his designee, with a written
statement authorizing disclosure of the record in the accompanying
person's presence.
(g) Acknowledgment of requests. Written requests to verify the
existence of, to obtain access to, or to correct or amend records about
the requester maintained by NTSB in any system of records subject to the
Act, shall be acknowledged in writing by the Director, Bureau of
Administration, or his designee, within 3 working days after the date of
actual receipt of the request by the Director, Bureau of Administration,
or his designee. The acknowledgment shall advise the requester of the
need for any additional information to process the request. Wherever
practicable, the acknowledgment shall notify the individual whether his
request has been granted or denied. When a request is made in person,
every effort will be made to determine immediately whether the request
will be granted. If such decision cannot be made, the request will be
processed in the same manner as a written request. Records will be made
available for immediate inspection whenever possible.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]
Subpart C--Initial Determinations
Sec. 802.8 Disclosure of requested information.
(a) The System Manager may initially determine that the request be
granted. If so, the individual making the request shall be notified
orally, or in writing, and the notice shall include:
(1) A brief description of the information to be made available;
(2) The time and place where the record may be inspected, or
alternatively, the procedure for delivery by mail to the requesting
party;
(3) The estimated cost for furnishing copies of the record;
(4) The requirements for verification of identity;
(5) The requirements for authorizing discussion of the record in the
presence of an accompanying person; and
(6) Any additional requirements needed to grant access to a specific
system of records or record.
(b) Within 10 working days after actual receipt of the request by the
Director, Bureau of Administration, or his designee, in appropriate
cases, the requester will be informed:
(1) That the request does not reasonably describe the system of
records or record sought to permit its identification, and shall set
forth the additional information needed to clarify the request; or
(2) That the system of records identified does not include a record
retrievable by the requester's name or other identifying particulars.
(c) The System Manager shall advise the requester within 10 working
days after actual receipt of the request by the Director, Bureau of
Administration, or his designee, that the request for access has been
denied, and the reason for the denial, or that the determination has
been made to grant the request, either in whole or in part, in which
case the relevant information will be provided.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]
Subpart D--Correction or Amending the Record
Sec. 802.10 Request for correction or amendment to record.
All requests for correcting or amending records shall be made in
writing to the Director, Bureau of Administration, National
Transportation Safety Board, 800 Independence Avenue, SW, Washington, DC
20594, and shall be deemed received upon actual receipt by the Director,
Bureau of Administration. The request shall clearly be marked on the
envelope and in the letter with the legend that it is a ``Privacy Act
Correction Request.'' The request must reasonably set forth the portion
of the record which the individual contends is not accurate, relevant,
timely, or complete.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]
Sec. 802.11 Agency review of requests for correction or amendment
of record.
Within 10 working days after actual receipt of the request by the
Director, Bureau of Administration, or his designee, to correct or amend
the record, the System Manager shall either make the correction in whole
or in part, or inform the individual of the refusal to correct or amend
the record as requested, and shall present the reasons for any denials.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]
Sec. 802.12 Initial adverse agency determination on correction or
amendment.
If the System Manager determines that the record should not be
corrected or amended in whole or in part, he will forthwith make such
finding in writing, after consulting with the General Counsel, or his
designee. The requester shall be notified of the refusal to correct or
amend the record. The notification shall be in writing, signed by the
System Manager, and shall include--
(a) The reason for the denial;
(b) The name and title or position of each person responsible for the
denial of the request;
(c) The appeal procedures for the individual for a review of the
denial; and
(d) Notice that the denial from the System Manager is appealable
within 30 days from the receipt thereof by the requester to the Board.
The System Manager is allotted 10 working days (or within such extended
period as is provided in the section concerning ``unusual
circumstances'' infra) to respond to the request for review. If the
requester does not receive an answer within such time, the delay shall
constitute a denial of the request and shall permit the requester
immediately to appeal to the Board, or to a district court.
Subpart E--Review of Initial Adverse Determination
Sec. 802.14 Review procedure and judicial review.
(a) A requester may appeal from any adverse determination within 30
days after actual receipt of a denial from the System Manager. The
appeal must be in writing addressed to the Chairman, National
Transportation Safety Board, 800 Independence Avenue, SW, Washington, DC
20594, and shall contain a statement on the envelope and in the appeal:
``Appeal from Privacy Act Adverse Determination.''
(b) The Board shall make a determination with respect to the appeal
within 30 working days after the actual receipt of the appeal by the
Chairman, except as provided for in ``unusual circumstances'' infra.
(c)(1) Review of denial of access. If the appeal upholds the denial of
access to records, the Board shall: Notify the requester in writing,
explaining the Board's determination; state that the denial is a final
agency action and that judicial review is available in a district court
of the United States in the district where the requester resides or has
his principal place of business, or where the agency records are
located, or in the District of Columbia; and request a filing with the
Board of a concise statement enumerating the reasons for the requester's
disagreement with the denial, pursuant to subsection (g) of the Act.
(2) Review of denial of correction or amendment. If the appeal upholds
the denial in whole or in part for correction or amendment of the
record, the same notification and judicial review privileges described
in paragraph (c)(1) of this section shall apply.
(d) If the denial is reversed on appeal, the Board shall notify the
requester in writing of the reversal. The notice shall include a brief
statement outlining those portions of the individual's record which were
not accurate, relevant, timely, or complete, and corrections of the
record which were made, and shall provide the individual with a courtesy
copy of the corrected record.
(e) Copies of all appeals and written determinations will be furnished
by the System Manager to the Board.
(f) In unusual circumstances, time limits may be extended by not more
than 10 working days by written notice to the individual making the
request. The notice shall include the reasons for the extension and the
date on which a determination is expected to be forthcoming. ``Unusual
circumstances'' as used in this section shall include circumstances
where a search and collection of the requested records from field
offices or other establishments are required, cases where a voluminous
amount of data is involved, and cases where consultations are required
with other agencies or with others having a substantial interest in the
determination of the request.
(g) Statements of Disagreement. (1) Written Statements of Disagreement
may be furnished by the individual within 30 working days of the date of
actual receipt of the final adverse determination of the Board. They
shall be addressed to the Director, Bureau of Administration, National
Transportation Safety Board, 800 Independence Avenue, SW, Washington, DC
20594, and shall be clearly marked, both on the statement and on the
envelope, ``Privacy Act Statement of Disagreement.''
(2) The Director, Bureau of Administration, or his designee, shall be
responsible for ensuring that:
(i) The Statement of Disagreement is included in the system of records
in which the disputed item of information is maintained; and
(ii) The original record is marked to indicate the information
disputed, the existence of the Statement of Disagreement, and its
location within the relevant system of records.
(3) The Director, Bureau of Administration, or his designee, may, if
he deems it appropriate, prepare a concise Statement of Explanation
indicating why the requested amendments or corrections were not made.
Such Statement of Explanation shall be included in the system of records
in the same manner as the Statement of Disagreement. Courtesy copies of
the NTSB Statement of Explanation and the notation of dispute, as marked
on the original record, shall be furnished to the individual who
requested correction or amendment of the record.
(h) Notices of correction and/or amendment, or dispute. After a record
has been corrected or a Statement of Disagreement has been filed, the
Director, Bureau of Administration, or his designee, shall within 30
working days thereof, advise all previous recipients of the affected
record as to the correction or the filing of the Statement of
Disagreement. The idenity of such recipients shall be determined
pursuant to an accounting of disclosures required by the Act or any
other accounting previously made. Any disclosure of disputed information
occurring after a Statement of Disagreement has been filed shall clearly
identify the specific information disputed and shall be accompanied by a
copy of the Statement of Disagreement and a copy of any NTSB Statement
of Explanation.
(i) Disclosure to others of records concerning individuals. Neither
the Board nor other NTSB personnel shall disclose any record which is
contained in a system of records maintained by NTSB, by any means of
communication, including oral communication, to any person, or to
another Government agency, except pursuant to a written request by, or
with the prior written consent, of the individual to whom the record
pertains, unless disclosure of the record is:
(1) To the Board and NTSB personnel who have a need for the record in
the performance of their duties;
(2) Required under the FOIA;
(3) For a routine use published in the Federal Register;
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey, or related activity pursuant to the provisions
of Title 13 of the United States Code;
(5) To a recipient who has provided NTSB with adequate advance written
assurance that the record will be used solely as a statistical research
or reporting record and that the record is transferred in a form that is
not identifiable with respect to individuals;1
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1The advance written statement of assurance shall state the purpose
for which the record is requested and certify that it will be used only
for statistical purposes. Prior to release under this paragraph, the
record shall be stripped of all personally identifiable information and
reviewed to ensure that the identity of any individual cannot reasonably
be determined by combining two or more statistical records.
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(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or to the Administrator of the
General Services Administration, or his designee, for evaluation to
determine whether the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity if the activity is authorized
by law, and if the head of the agency or instrumentality has made a
written request to NTSB specifying the particular portion of the record
desired and the law enforcement activity for which the record is
sought;2
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2A record may be disclosed to a law enforcement agency at the
initiative of NTSB if criminal conduct is suspected, provided that such
disclosure has been established as a routine use by publication in the
Federal Register, and the instance of misconduct is directly related to
the purpose for which the record is maintained.
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(8) To any person upon a showing of compelling circumstances affecting
the health or safety of any individual;
(9) To either House of Congress or, to the extent of matter within its
jurisdiction, to any committee, or subcommittee thereof, or to any joint
committee of the Congress, or to any subcommittee of such joint
committee;
(10) To the Comptroller General, or any of his authorized
representatives, in the course of the performance of the duties of the
General Accounting Office; or
(11) Pursuant to the order of a court of competent jurisdiction.
(j) Notices of subpoenas. When records concerning an individual are
subpoenaed or otherwise disclosed pursuant to court order, the NTSB
officer or employee served with the subpoena shall be responsible for
assuring that the individual is notified of the disclosure within 5 days
after such subpoena or other order becomes a matter of public record.
The notice shall be mailed to the last known address of the individual
and shall contain the following information:
(1) The date the subpoena is returnable;
(2) The court in which it is returnable;
(3) The name and number of the case or proceeding; and
(4) The nature of the information sought.
(k) Notices of emergency disclosures. When information concerning an
individual has been disclosed to any person under compelling
circumstances affecting health or safety, the NTSB officer or employee
who made or authorized the disclosure shall notify the individual at his
last known address within 5 days of the disclosure. The notice shall
contain the following information:
(1) The nature of the information disclosed;
(2) The person or agency to whom the information was disclosed;
(3) The date of the disclosure; and
(4) The compelling circumstances justifying the disclosure.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]
Subpart F--Fees
Sec. 802.15 Fees.
No fees shall be charged for providing the first copy of a record, or
any portion thereof, to individuals to whom the record pertains. The fee
schedule for other records is the same as that appearing in the appendix
to part 801 of this chapter, implementing the FOIA, as amended from time
to time, except that the cost of any search for and review of the record
shall not be included in any fee under this Act, pursuant to subsection
(f)(5) of the Act.
Subpart G--Penalties
Sec. 802.18 Penalties.
(a) An individual may bring a civil action against the NTSB to correct
or amend the record, or where there is a refusal to comply with an
individual request or failure to maintain any record with accuracy,
relevance, timeliness and completeness, so as to guarantee fairness, or
failure to comply with any other provision of 5 U.S.C. 552a. The court
may order the correction or amendment. It may assess against the United
States reasonable attorney fees and other costs, or may enjoin the NTSB
from withholding the records and order the production to the
complainant, and it may assess attorney fees and costs.
(b) Where it is determined that the action was willful or intentional
with respect to 5 U.S.C. 552(g)(1) (c) or (d), the United States shall
be liable for the actual damages sustained, but in no case less than the
sum of $1,000 and the costs of the action with attorney fees.
(c) Criminal penalties may be imposed against an officer or employee
of the NTSB who fully discloses material which he knows is prohibited
from disclosure, or who willfully maintains a system of records without
meeting the notice requirements, or who knowingly and willfully requests
or obtains any record concerning an individual from an agency under
false pretenses. These offenses shall be misdemeanors with a fine not to
exceed $5,000.
Subpart H--Specific Exemptions
Sec. 802.20 Security Records.
Pursuant to, and limited by, 5 U.S.C. 552a(k)(5), the NTSB's system of
records, which contains the Security Records of NTSB employees,
prospective employees, and potential contractors, shall be exempt from
disclosure of the material and the NTSB's handling thereof under
subsections (d), (e)(1) and (e)(4) (H) and (I) of 5 U.S.C. 552a.