DOT 49 CFR PART 1507-2010 PRIVACY ACT - EXEMPTIONS.pdf

1、266 49 CFR Ch. XII (10110 Edition) Pt. 1507 the person filing the complaint be-lieves were violated; (4) Contain a concise, but complete, statement of the facts relied upon to substantiate each allegation; (5) State the name, address, and tele-phone number of the person filing the complaint; and (6)

2、 Be signed by the person filing the complaint or a duly authorized rep-resentative. (c) TSA will consider complaints that do not meet the requirements of para-graph (b) of this section as reports under 1503.1. (d) TSA will place complaints that meet the requirements of paragraph (b) of this section

3、in the docket and will mail a copy to each person named in the complaint. (e) TSA will refer any complaint against a member of the Armed Forces of the United States acting in the per-formance of official duties to the Sec-retary of the Department concerned in accordance with the procedures set forth

4、 in 1503.407. (f) The person named in the com-plaint must file an answer within 20 days after service of a copy of the com-plaint. (g) After the complaint has been an-swered or after the allotted time in which to file an answer has expired, the Administrator, or a designated official, will determine

5、 if there are reasonable grounds for investigating the com-plaint. (h) If the Administrator, or a des-ignated official, determines that a complaint does not state facts that warrant an investigation or action, the Administrator or designated official may dismiss the complaint without a hearing and,

6、if so, will provide the rea-son for the dismissal, in writing, to the person who filed the complaint and the person(s) named in the complaint. (i) If the Administrator, or a des-ignated official, determines that rea-sonable grounds exist, an informal in-vestigation may be initiated. Each per-son nam

7、ed in the complaint will be ad-vised which official has been delegated the responsibility under 1503.203 for conducting the investigation. (j) If the investigation substantiates the allegations set forth in the com-plaint, a notice of proposed order may be issued or other enforcement action taken in

8、 accordance with this part. (k) The complaint and other plead-ings and official TSA records relating to the disposition of the complaint are maintained in current docket form at: U.S. Department of Homeland Secu-rity, Transportation Security Adminis-tration, Office of the Chief Counsel, TSA2, Compla

9、int Docket, 601 South 12th Street, Arlington, VA 205986002. If this location changes, TSA will give notice of the change by publishing a notice in the FEDERAL REGISTER. (1) Generally. Any person interested in reviewing or obtaining a copy of a record may do so only by submitting a Freedom of Informa

10、tion Act (FOIA) re-quest under 5 U.S.C. 552, et seq. and 49 CFR part 7. Portions of the record may be exempt from disclosure pursuant to FOIA. (2) Docket files or documents not for public disclosure. (i) Only the following persons may review docket files or par-ticular documents that are not for pub

11、-lic disclosure: (A) Parties to the proceedings. (B) Representatives designated in writing by a party. (C) Persons who have a need to know as determined by the Administrator. (ii) Those persons with permission to review these documents or docket files may view the materials at the Com-plaint Docket,

12、 TSA Headquarters, Vis-itor Center, 601 South 12th Street, Ar-lington, Virginia 205986002, Attn: Of-fice of Chief Counsel. If this address changes, TSA will give notice by pub-lishing a notice in the FEDERAL REG-ISTER. Persons with access to these records may have a copy of the records after payment

13、 of reasonable costs. PART 1507PRIVACY ACT- EXEMPTIONS Sec. 1507.1 Scope. 1507.3 Exemptions. AUTHORITY: 49 U.S.C. 114(l)(1), 40113, 5 U.S.C. 552a(j) and (k). SOURCE: 69 FR 35537, June 25, 2004, unless otherwise noted. 1507.1 Scope. This part implements provisions of the Privacy Act of 1974 (the Act)

14、 that VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00276 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-267 Transportation Security Administration, DHS 1507.3 pe

15、rmit TSA to exempt any system of records within the agency from certain requirements of the Act. The proce-dures governing access to, and correc-tion of, records in a TSA system of records are set forth in 6 CFR part 5, subpart B. 1507.3 Exemptions. The following TSA systems of records are exempt fr

16、om certain provi-sions of the Privacy Act of 1974 pursu-ant to 5 U.S.C. 552a(j), (k), or both, as set forth in this section. During the course of normal agency functions, ex-empt materials from one system of records may become part of one or more other systems of records. To the extent that any port

17、ion of system of records becomes part of another Pri-vacy Act system of records, TSA here-by claims the same exemptions as were claimed in the original primary system of which they are a part and claims any additional exemptions in accord-ance with this part. (a) Transportation Security Enforce-ment

18、 Record System (DHS/TSA 001). The Transportation Security Enforcement Record System (TSERS) (DHS/TSA 001) enables TSA to maintain a system of records related to the screening of pas-sengers and property and they may be used to identify, review, analyze, inves-tigate, and prosecute violations or po-t

19、ential violations of criminal statutes and transportation security laws. Pur-suant to exemptions (j)(2), (k)(1), and (k)(2) of the Privacy Act, DHS/TSA 001 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(3), (e)(4)(G), (H), and (I), and (f). Exemptions from the particular subsections are justif

20、ied for the fol-lowing reasons: (1) From subsection (c)(3) (Account-ing for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal in

21、ves-tigative interest on the part of TSA, as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to trans-portation security, law enforcement ef-forts, and efforts to preserve national security. Disclosure of the accounting would also permit the in

22、dividual who is the subject of a record to impede the investigation and avoid detection or apprehension, which undermines the entire system. (2) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an inves-tigation of

23、an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal investigative interest on the part of TSA, as well as the recipient agency. Access to the records would permit the individual who is the sub-ject of a record to impede the inves-tigation

24、and avoid detection or appre-hension. Amendment of the records would interfere with ongoing investiga-tions and law enforcement activities, and impose an impossible administra-tive burden by requiring investigations to be continuously reinvestigated. The information contained in the system may also

25、include properly classified in-formation, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such infor-mation also could disclose sensitive se-curity information, which could be det-rimental to transportation security.

26、 (3) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into po-tential violations of transportation se-curity laws, the accuracy of informa-tion obtained or introduced occasion-ally may be unclear or the information may not be strictly relevant o

27、r nec-essary to a specific investigation. In the interests of effective enforcement of transportation security laws, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity. (4) From subsection (e)(3) (Privacy Act Statement) because disclosing the autho

28、rity, purpose, routine uses, and potential consequences of not pro-viding information could reveal the in-vestigative interests of TSA, as well as the nature and scope of an investiga-tion, the disclosure of which could en-able individuals to circumvent agency regulations or statutes. (5) From subse

29、ctions (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules), because this system is VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00277 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking p

30、ermitted without license from IHS-,-,-268 49 CFR Ch. XII (10110 Edition) 1507.3 exempt from the access provisions of subsection (d). (b) Transportation Workers Employ-ment Investigations System (DHS/TSA 002). The Transportation Workers Em-ployment Investigations System (TWEI) (DHS/TSA 002) enables T

31、SA to facilitate the performance of back-ground checks on employees of trans-portation operators and others who are issued credentials or clearances by transportation operators, other than TSA employees. Pursuant to exemp-tions (k)(1) and (k)(2) of the Privacy Act, DHS/TSA 002 is exempt from 5 U.S.C

32、. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). Exemptions from the particular subsections are justified for the following reasons: (1) From subsection (c)(3) (Account-ing for Disclosures), because release of the accounting of disclosures could re-veal investigative interest on the part

33、of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the indi-vidual who is the subject of a record would learn of third-agency investig

34、ate interests and thereby avoid detection or apprehension. (2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigate techniques and procedures in the transportation workers employ-ment investigation process, as well as the nature and

35、 scope of the employ-ment investigation, the disclosure of which could enable individuals to cir-cumvent agency regulations or stat-utes and obtain access to sensitive in-formation and restricted areas in the transportation industry. The informa-tion contained in the system might in-clude properly c

36、lassified information, the release of which would pose a threat to national defense and/or for-eign policy. In addition, permitting ac-cess and amendment to such informa-tion could reveal sensitive security in-formation protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrime

37、ntal to the security of transportation. (3) From subsection (e)(1) (Relevancy and Necessity of Information), because third-agency records obtained or made available to TSA during the course of an employment investigation may oc-casionally contain information that is not strictly relevant or necessar

38、y to a specific employment investigation. In the interests of administering an effec-tive and comprehensive transportation worker employment investigation pro-gram, it is appropriate and necessary for TSA to retain all such information that may aid in that process. (4) From subsections (e)(4)(G), (H

39、), and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d). (c) Personnel Background Investigation File System (DHS/TSA 004). The Per-sonnel Background Investigation File System (PBIFS) (DHS/TSA 004) enables TSA to maintain in

40、vestigative and background material used to make suitability and eligibility determina-tions regarding current and former TSA employees, applicants for TSA employment, and TSA contract em-ployees. Pursuant to exemptions (k)(1) and (k)(5) of the Privacy Act, the Per-sonnel Background Investigation Fi

41、le System is exempt from 5 U.S.C. 552a(c)(3) (Accounting of Disclosures) and (d) (Access to Records). Exemp-tions from the particular subsections are justified because this system con-tains investigatory material compiled solely for determining suitability, eli-gibility, and qualifications for Feder

42、al civilian employment. To the extent that the disclosure of material would reveal any classified material or the identity of a source who furnished in-formation to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, u

43、nder an implied promise that the identity of the source would be held in confidence, the applicability of exemption (k)(5) will be required to honor promises of confidentiality should the data subject request access to or amendment of the record, or access to the accounting of disclosures of the rec

44、ord. Exemption (k)(1) will be required to protect any classified information that may be in this system. VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00278 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networki

45、ng permitted without license from IHS-,-,-269 Transportation Security Administration, DHS 1507.3 (d) Internal Investigation Record Sys-tem (DHS/TSA 005). The Internal Inves-tigation Record System (IIRS) (DHS/ TSA 005) contains records of internal investigations for all modes of trans-portation for w

46、hich TSA has security- related duties. This system covers in-formation regarding investigations of allegations or appearances of mis-conduct of current or former TSA em-ployees or contractors and provides support for any adverse action that may occur as a result of the findings of the investigation.

47、 It is being modified to cover investigations of security-re-lated incidents and reviews of TSA pro-grams and operations. Pursuant to ex-emptions (j)(2), (k)(1), and (k)(2) of the Privacy Act, DHS/TSA 005 is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(3), (e)(4)(G), (H), and (I), and (f). Ex-e

48、mptions from the particular sub-sections are justified for the following reasons: (1) From subsection (c)(3) (Account-ing for Disclosures) because release of the accounting of disclosures could re-veal investigative interest on the part of the recipient agency that obtained the record pursuant to a

49、routine use. Disclosure of the accounting could, therefore, present a serious impedi-ment to law enforcement efforts on the part of the recipient agency, as the in-dividual who is the subject of a record would learn of third-agency investiga-tive interests and thereby avoid detec-tion or apprehension, as well as to TSA investigative efforts. (2) From subsection (d) (Access to Records) because access to the records contained in this system could reveal investigative techniques and p