49 CFR Part 802 — Rules Implementing the Privacy Act of 1974

PART 802—RULES IMPLEMENTING THE PRIVACY ACT OF 1974 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. Source: 41 FR 22358, June 3, 1976, unless otherwise noted. Subpart A—Applicability and Policy § 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] § 802.2 Definitions. In this part: Board Individual National Transportation Safety Board (NTSB) Record Routine use Statistical record System Manager System of records Subpart B—Initial Procedures and Requirements § 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.C.; (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. § 802.6 Types of requests and specification of records. (a) Types of requests. (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. (c) Inadequate identification of record. § 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. (b) Written requests. (c) Requests made in person. (d) Verification of identity of requester. (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. (f) Accompanying persons. (g) Acknowledgment of requests. [41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976] Subpart C—Initial Determinations § 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 § 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] § 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] § 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 Subpart E—Review of Initial Adverse Determination § 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. (2) Review of denial of correction or amendment. (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. (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. (i) Disclosure to others of records concerning individuals. (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 U.S.C.; (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 1 (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 2 Federal Register, (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. (k) Notices of emergency disclosures. [41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976] Subpart F—Fees § 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 § 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 § 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.

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