FAA 14 CFR PART 193-2011 Protection of voluntarily submitted information《自愿提交信息的保护》.pdf

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1、854 14 CFR Ch. I (1111 Edition) Pt. 193 PART 193PROTECTION OF VOL-UNTARILY SUBMITTED INFORMA-TION Sec. 193.1 What does this part cover? 193.3 Definitions. 193.5 How may I submit safety or security information and have it protected from disclosure? 193.7 What does it mean for the FAA to des-ignate in

2、formation as protected? 193.9 Will the FAA ever disclose informa-tion that is designated as protected under this part? 193.11 What is the notice procedure? 193.13 What is the no-notice procedure? 193.15 What FAA officials exercise the au-thority of the Administrator under this part? 193.17 How must

3、design and production ap-proval holders handle information they receive from the FAA under this part? AUTHORITY: 49 U.S.C. 106(g), 40113, 40123. SOURCE: 66 FR 33805, June 25, 2001, unless otherwise note. 193.1 What does this part cover? This part describes when and how the FAA protects from disclosu

4、re safety and security information that you sub-mit voluntarily to the FAA. This part carries out 49 U.S.C. 40123, protection of voluntarily submitted information. 193.3 Definitions. Agency means each authority of the Government of the United States, whether or not the agency is within or subject to

5、 review by another agency, but does not include (1) The Congress; (2) The courts of the United States; (3) The governments of the terri-tories or possessions of the United States; (4) The government of the District of Columbia; (5) Court martial and military com-missions. De-identified means that th

6、e identity of the source of the information, and the names of persons have been re-moved from the information. Disclose means to release information to a person other than another agency. Examples are disclosures under the Freedom of Information Act (5 U.S.C. 552), in rulemaking proceedings, in a pr

7、ess release, or to a party to a legal action. Information includes data, reports, source, and other information. Infor-mation may be used to describe the whole or a portion of a submission of information. Summarized means that individual in-cidents are not specifically described, but are presented i

8、n statistical or other general form. Voluntary means that the informa-tion was not required to be submitted as part of a mandatory program, and was not submitted as a condition of doing business with the government. Voluntarily-provided information does not include information submitted as part of c

9、omplying with statutory, regulatory, or contractual require-ments, except that information sub-mitted as part of complying with a vol-untary program under this part is con-sidered to be voluntarily provided. 193.5 How may I submit safety or se-curity information and have it pro-tected from disclosur

10、e? (a) You may do so under a program under this part. The program may be developed based on your proposal, a proposal from another person, or a pro-posal developed by the FAA. (b) You may be any person, including an individual, a company, or an organi-zation. (c) You may propose to develop a pro-gra

11、m under this part using either the notice procedure in 193.11 or the no- notice procedure in 193.13. (d) If the FAA decides to protect the information that you propose to sub-mit it issues an order designating the information as protected under this part. (e) The FAA only issues an order des-ignatin

12、g information as protected if the FAA makes the findings in 193.7. (f) The designation may be for a pro-gram in which all similar persons may participate, or for a program in which only you submit information. (g) Even if you receive protection from disclosure under this part, this part does not est

13、ablish the extent to which the FAA may or may not use the VerDate Mar2010 08:29 Feb 24, 2011 Jkt 223045 PO 00000 Frm 00864 Fmt 8010 Sfmt 8010 Y:SGML223045.XXX 223045WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,

14、-,-855 Federal Aviation Administration, DOT 193.9 information to take enforcement ac-tion. Limits on enforcement action ap-plicable to a program under this part will be in another policy or rule. 193.7 What does it mean for the FAA to designate information as pro-tected? (a) General. When the FAA is

15、sues an order designating information as pro-tected under this part, the FAA does not disclose the information except as provided in this part. (b) What findings does the FAA make before designating information as pro-tected? The FAA designates informa-tion as protected under this part when the FAA

16、finds that (1) The information is provided vol-untarily; (2) The information is safety or secu-rity related; (3) The disclosure of the information would inhibit the voluntary provision of that type of information; (4) The receipt of that type of infor-mation aids in fulfilling the FAAs safety and se

17、curity responsibilities; and (5) Withholding such information from disclosure, under the cir-cumstances provided in this part, will be consistent with the FAAs safety and security responsibilities. (c) How will the FAA handle requests for information under the Freedom of In-formation Act (FOIA)? The

18、 FAA does not disclose information that is des-ignated as protected under this part in response to a FOIA request. (d) What if the FAA obtains from an-other source the same information I sub-mit? Only information received under a program under this part is protected from disclosure under this part.

19、Infor-mation obtained by the FAA through another means is not protected under this part. (e) Sharing information with other agencies. The FAA may provide infor-mation that you have submitted under this part to other agencies with safety or security responsibilities. The agen-cies are subject to the

20、requirements of 49 U.S.C. 40123 regarding nondisclosure of information. The FAA will give the information to another agency only if, for each such request, the other agency provides the FAA with adequate assur-ance, in writing, that (1) The agency has a safety or secu-rity need for the information,

21、includ-ing the general nature of the need. (2) The agency will protect the infor-mation from disclosure as required in 49 U.S.C. 40123, this part, and the des-ignation. This includes a commitment that the agency will mark the informa-tion as provided in the designation. (3) The agency will limit acc

22、ess to those with a need to know to carry out safety or security responsibilities. (f) What if the FAA receives a subpoena for the information I submit? When the FAA receives a subpoena for informa-tion you have submitted under this part, the FAA contacts you to deter-mine whether you object to disc

23、losure of the information or you wish to par-ticipate in responding to the subpoena. If both you and the FAA determine that release of the information is ap-propriate, the information is released. Otherwise, the FAA will not release in-formation designated as protected under this part unless ordered

24、 to do so by a court of competent jurisdiction. 193.9 Will the FAA ever disclose in-formation that is designated as pro-tected under this part? The FAA discloses information that is designated as protected under this part when withholding it would not be consistent with the FAAs safety and security

25、responsibilities, as follows: (a) Disclosure in all programs. (1) The FAA may disclose de-identified, sum-marized information submitted under this part to explain the need for changes in policies and regulations. An example is the FAA publishing a notice of proposed rulemaking based on your informat

26、ion, and including a de-identi-fied, summarized version of your infor-mation (and the information from other persons, if applicable) to explain the need for the notice of proposed rulemaking. (2) The FAA may disclose informa-tion provided under this part to correct a condition that compromises safet

27、y or security, if that condition continues uncorrected. (3) The FAA may disclose informa-tion provided under this part to carry VerDate Mar2010 08:29 Feb 24, 2011 Jkt 223045 PO 00000 Frm 00865 Fmt 8010 Sfmt 8010 Y:SGML223045.XXX 223045WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for Re

28、saleNo reproduction or networking permitted without license from IHS-,-,-856 14 CFR Ch. I (1111 Edition) 193.11 out a criminal investigation or pros-ecution. (4) The FAA may disclose informa-tion provided under this part to comply with 49 U.S.C. 44905, regarding informa-tion about threats to civil a

29、viation. (b) Additional disclosures. For each program, the FAA may find that there are additional circumstances under which withholding information pro-vided under this part would not be con-sistent with the FAAs safety and secu-rity responsibilities. Those cir-cumstances are described in the des-ig

30、nation for that program. 193.11 What is the notice procedure? This section states the notice proce-dure for the FAA to designate informa-tion as protected under this part. This procedure is used when there is not an immediate safety or security need for the information. This procedure gen-erally is

31、used to specify a type of infor-mation that you and others like you will provide on an on-going basis. (a) Application. You may apply to have information designated as pro-tected under this part by submitting an application addressed to the U.S. Department of Transportation, Docket Operations, West

32、Building Ground Floor, Room W12140, 1200 New Jersey Avenue, SE., Washington, DC 20590 for paper submissions, and the Federal Docket Management System (FDMS) Web page at http:/www.regulations.gov for electronic submissions. Your appli-cation must include the designation de-scribed in paragraph (c) of

33、 this section that you want the FAA to issue. You should not include in your application any information that you do not want available to the public. The FAA may issue a proposed designation based on the application or may deny your ap-plication. (b) Proposed designation. Before issuing a designati

34、on under this sec-tion, based either on your application or the FAAs own initiative, the FAA publishes a proposed designation in the FEDERAL REGISTER and requests com-ment. (c) Designation. The FAA designates information as protected under this part if, after review of the comments, the FAA makes th

35、e findings in 193.7. The FAA publishes in the FEDERAL REGISTER an order designating the in-formation provided under the program as protected under this part. The des-ignation includes the following: (1) A summary of why the FAA finds that you and others, if applicable, will provide the information v

36、oluntarily. (2) A description of the type of infor-mation that you and others, if applica-ble, may voluntarily provide under the program and a summary of why the FAA finds that the information is safe-ty or security related. (3) A summary of why the FAA finds that the disclosure of the information w

37、ould inhibit you and others, if appli-cable, from voluntarily providing of that type of information. (4) A summary of why the receipt of that type of information aids in ful-filling the FAAs safety and security responsibilities. (5) A summary of why withholding such information from disclosure would

38、 be consistent with the FAAs safety and security responsibilities, in-cluding a statement as to the cir-cumstances under which, and a sum-mary of why, withholding such infor-mation from disclosure would not be consistent with the FAAs safety and security responsibilities, as described in 193.9. (6)

39、A summary of how the FAA will distinguish information protected under this part from information the FAA receives from other sources. (7) A summary of the significant comments received and the FAAs re-sponses. (d) Amendment of designation. The FAA may amend a designation using the procedures in para

40、graphs (a), (b), and (c) of this section. (e) Withdrawal of designation. The FAA may withdraw a designation under this section at any time the FAA finds that continuation of the designa-tion does not meet the elements of 193.7, or if the requirements of the designation are not met. The FAA withdraws

41、 the designation by pub-lishing a notice in the FEDERAL REG-ISTER. The withdrawal is effective on the date of publication or such later date as the notice may state. Informa-tion provided during the time the pro-gram was designated remains protected VerDate Mar2010 08:29 Feb 24, 2011 Jkt 223045 PO 0

42、0000 Frm 00866 Fmt 8010 Sfmt 8010 Y:SGML223045.XXX 223045WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-857 Federal Aviation Administration, DOT 193.17 under this part and the program. Infor-mation provided af

43、ter the withdrawal of the designation is effective is not protected under this part or the pro-gram. 66 FR 33805, June 25, 2001, as amended at 72 FR 68475, Dec. 5, 2007 193.13 What is the no-notice proce-dure? This section states the no-notice pro-cedure for the FAA to designate infor-mation as prot

44、ected under this part. This procedure is used when there is an immediate safety or security need for the information. This procedure gen-erally is used for specific information that you will provide on a short-term basis. (a) Application. You may request that the FAA designate information you are of

45、fering as protected under this part. You must state your name, at least the general nature of information, and whether you will provide the informa-tion without the protection of this part. Your request may be verbal or writing. (b) Designation. The FAA issues a written order designating information

46、 provided under this section as pro-tected under this part. The FAA des-ignates the information as protected under this part if the FAA (1) Makes the findings as 193.7; and (2) Finds that there is an immediate safety or security need to obtain the information without carrying out the procedures in 1

47、93.11 of this part. (c) Time limit. Except as provided in paragraphs (c)(1) and (c)(2) of this sec-tion, no designation under this section continues in effect for more than 60 days after the date of designation. In-formation provided during the time the designation was in effect remains pro-tected u

48、nder this part. Information provided that the designation ceases to be in effect is not protected under this part. The designation remains in effect for more than 60 days if (1) The procedures to designate such information under 193.11(a) have been initiated, or (2) There is an ongoing enforcement o

49、r criminal investigation, in which case the designation may continue until the investigation is completed. (d) Amendment of designation. The FAA may amend a designation under this section using the procedures in paragraphs (a) and (b) of this section. (e) Withdrawal of designation. The FAA may withdraw a designation under this section at any time the FAA finds that continuation does not meet the elements of 193.7, or if the require-ments of t