DOT 49 CFR PART 802-2010 RULES IMPLEMENTING THE PRIVACY ACT OF 1974.pdf

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1、546 49 CFR Ch. VIII (10110 Edition) 801.61 (i) Press releases; (ii) Safety Board regulations (Chap-ter VIII of Title 49, Code of Federal Regulations); (iii) Indexes to initial decisions, Board orders, opinion and orders, and staff manuals and instructions; (iv) Safety recommendations; and (v) NTSB A

2、nnual Reports. (2) The NTSB public Web site, located at http:/www.ntsb.gov, also includes an e-mail subscription service for press re-leases, safety recommendations, and other announcements. 801.61 Appeals of fee determinations. Requesters seeking an appeal of the FOIA Officers fee or fee waiver det

3、er-mination must send a written appeal to the NTSBs Managing Director within 20 days. The NTSBs Managing Direc-tor will determine whether to grant or deny any appeal made pursuant to 801.21 within 20 working days (exclud-ing Saturdays, Sundays, and legal pub-lic holidays) after receipt of such ap-pe

4、al, except that this time limit may be extended for as many as 10 addi-tional working days, in accordance with 801.23. PART 802RULES IMPLEMENTING THE PRIVACY ACT OF 1974 Subpart AApplicability and Policy Sec. 802.1 Purpose and scope. 802.2 Definitions. Subpart BInitial Procedures and Requirements 80

5、2.5 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 pre-sented; verification of identity of indi-viduals making requests; accompanying persons; and procedures for acknowledge-ment

6、of requests. Subpart CInitial Determinations 802.8 Disclosure of requested information. Subpart DCorrection or Amending the Record 802.10 Request for correction or amendment to record. 802.11 Agency review of requests for correc-tion or amendment of record. 802.12 Initial adverse agency determinatio

7、n on correction or amendment. Subpart EReview of Initial Adverse Determination 802.14 Review procedure and judicial review. Subpart FFees 802.15 Fees. Subpart GPenalties 802.18 Penalties. Subpart HSpecific Exemptions 802.20 Security records. AUTHORITY: Privacy Act of 1974, Pub. L. 93 579, 88 Stat. 1

8、896 (5 U.S.C. 552a); Independent Safety Board Act of 1974, Pub. L. 93633, 88 Stat. 2166 (49 U.S.C. 1901 et seq.); and Free-dom of Information Act, Pub. L. 93502, No-vember 21, 1974, amending 5 U.S.C. 552. SOURCE: 41 FR 22358, June 3, 1976, unless otherwise noted. Subpart AApplicability and Policy 80

9、2.1 Purpose and scope. The purpose of this part is to imple-ment 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 pol-icy encompasses the safeguarding of in-dividual privacy

10、 from any misuse of Federal records and the provision of ac-cess 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 802.2 Definitions. In this part: Board means the five Members of

11、 the National Transportation Safety Board, or a quorum thereof; Individual means a citizen of the United States or an alien lawfully ad-mitted for permanent residence; National Transportation Safety Board (NTSB) means the agency set up under the Independent Safety Board Act of 1974; VerDate Mar2010

12、10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00556 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-547 National Transportation Safety Board 802.6 Record means any item, collect

13、ion, or grouping of information about an indi-vidual that is maintained under the control of the NTSB pursuant to Fed-eral law or in connection with the transaction of public business, includ-ing, but not limited to, education, fi-nancial transactions, medical history, and criminal or employment his

14、tory, and that contains a name, or an identi-fying number, symbol, or other identi-fying particular assigned to an indi-vidual, such as a finger or voice im-print or photograph; Routine use means the use of such record for a purpose compatible with the purpose for which it was collected, including,

15、but not limited to, referral to law enforcement agencies of viola-tions of the law and for discovery pur-poses ordered by a court referral to po-tential employers, and for security clearance; Statistical record means a record in a system of records maintained for sta-tistical research or reporting p

16、urposes only and which is not used wholly or partially in any determination con-cerning an identifiable individual; System Manager means the agency of-ficial who is responsible for the policies and practices of his particular system or systems of record, as specified in the NTSB notices of systems o

17、r records; and System of records means a group of any records under the control of the NTSB from which information is re-trieved 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

18、 the future. Subpart BInitial Procedures and Requirements 802.5 Procedures for requests per-taining 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 individ

19、ual to whom the record pertains, provided the record under the control of the NTSB is maintained in a system of records from which informa-tion is retrieved by the name of the in-dividual or by some identifying num-ber, symbol, or other particular as-signed to such individual. Written con-sent is no

20、t 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, Free-dom of Information Act; (c) For a routine use compatible with the purpose for which it was collected; (d) To the Bu

21、reau of the Census for uses pursuant to title 13, U.S.C.; (e) To a recipient who has provided the NTSB with advance adequate as-surance that the record will be used solely as a statistical research or re-porting record and that it is to be transferred in a form not individually identifiable; or (f)

22、Pursuant to the order of a court of competent jurisdiction. 802.6 Types of requests and specifica-tion of records. (a) Types of requests. An individual may make the following request re-specting records about himself main-tained by NTSB in any system of records subject to the Act: (1) Whether inform

23、ation concerning himself is contained in any system of records. (2) Access to a record concerning himself. Such request may include a re-quest to review the record and/or ob-tain a copy of all or any portion there-of. (3) Correction or amendment of a record concerning himself. (4) Accounting of disc

24、losure to any other person or Government agency of any record concerning himself con-tained in any system of records con-trolled by NTSB, except: (i) Disclosures made pursuant to the FOIA; (ii) disclo-sures made within the NTSB; (iii) dis-closures made to another Government agency or instrumentality

25、 for an au-thorized law enforcement activity pur-suant to subsection (b)(7) of the Act; and (iv) disclosures expressly exempted by NTSB from the requirements of sub-section (c)(3) of the Act, pursuant to subsection (k) thereof. (b) Specification of records. All re-quests for access to records must r

26、ea-sonably describe the system of records and the individuals record within the VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00557 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without li

27、cense from IHS-,-,-548 49 CFR Ch. VIII (10110 Edition) 802.7 system of records in sufficient detail to permit identification of the requested record. Specific information regarding the system name, the individuals full name, and other information helpful in identifying the record or records shall be

28、 included. Requests for correction or amendment of records shall, in addi-tion, specify the particular record in-volved, state the nature of the correc-tion or amendment sought, and furnish justification for the correction or amendment. (c) Inadequate identification of record. Requests which do not

29、contain infor-mation sufficient to identify the record requested will be returned promptly to the requester, with a notice indicating what information is lacking. Individ-uals making requests in person will be informed of any deficiency in the speci-fication of the records at the time the request is

30、 made. Individuals making requests in writing will be notified of any such deficiency when their request is acknowledged. 802.7 Requests: How, where, and when presented; verification of identity of individuals making re-quests; accompanying persons; and procedures for acknowledgment of requests. (a)

31、 Requestsgeneral. Requests may be made in person or in writing. Assist-ance regarding requests or other mat-ters relating to the Act may be ob-tained by writing to the Director, Bu-reau of Administration, National Transportation Safety Board, 800 Inde-pendence Avenue, SW., Washington, DC 20594. The

32、Director, Bureau of Adminis-tration, or his designee, on request, will aid an individual in preparing an amendment to the record or to an ap-peal following denial of a request to amend the record, pursuant to sub-section (f)(4) of the Act. (b) Written requests. Written requests shall be made to the

33、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 De-termination, or Privacy Act Corr

34、ec-tion Request, as the case may be. Ac-tual 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 of-fice where the record is located, as list-ed in t

35、he 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 request-ers identity must be verified before the release of any record, unless ex-empted under the FOIA. This may be accomplished by adequate proo

36、f of identity in the form of a drivers li-cense or other acceptable item of the same type. (2) For requests in person, the re-questers identity may be established by a single document bearing a photo-graph (such as a passport or identifica-tion badge) or by two items of identi-fication containing na

37、me, address, and signature (such as a drivers license or credit card). (3) Where a request is made for repro-duced records which are to be delivered by mail, the request must include a no-tarized statement verifying the re-questers identity. (e) Inability to provide requisite docu-mentation of ident

38、ity. A requester who cannot provide the necessary docu-mentation of identity may provide a notarized statement, swearing or af-firming 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

39、, the Director, Bu-reau of Administration, or his des-ignee, will assist the requester in for-mulating the necessary document. (f) Accompanying persons. A requester may wish to have a person of his choice accompany him to review the re-quested record. Prior to the release of the record, the NTSB wil

40、l require the requester to furnish the Director, Bu-reau of Administration or his designee, with a written statement authorizing disclosure of the record in the accom-panying persons presence. (g) Acknowledgment of requests. Writ-ten requests to verify the existence of, to obtain access to, or to co

41、rrect or amend records about the requester maintained by NTSB in any system of VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00558 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without lic

42、ense from IHS-,-,-549 National Transportation Safety Board 802.11 records subject to the Act, shall be ac-knowledged in writing by the Director, Bureau of Administration, or his des-ignee, within 3 working days after the date of actual receipt of the request by the Director, Bureau of Administra-tio

43、n, or his designee. The acknowledg-ment shall advise the requester of the need for any additional information to process the request. Wherever prac-ticable, the acknowledgment shall no-tify the individual whether his request has been granted or denied. When a re-quest is made in person, every effort

44、 will be made to determine immediately whether the request will be granted. If such decision cannot be made, the re-quest 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

45、FR 43154, Sept. 30, 1976 Subpart CInitial Determinations 802.8 Disclosure of requested infor-mation. (a) The System Manager may ini-tially 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 brie

46、f description of the informa-tion to be made available; (2) The time and place where the record may be inspected, or alter-natively, 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 identi

47、ty; (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 sys-tem of records or record. (b) Within 10 working days after ac-tual receipt of the request by the Di-rector, Bureau

48、 of Administration, or his designee, in appropriate cases, the requester will be informed: (1) That the request does not reason-ably describe the system of records or record sought to permit its identifica-tion, and shall set forth the additional information needed to clarify the re-quest; or (2) Th

49、at the system of records identi-fied does not include a record retriev-able by the requesters 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 Administra-tion, or his designee, that the request for access has been denied, and the rea-son for the denial, or that the deter-mination has been made t