Appendix A to Part 10 - Exemptions
49:1.0.1.1.8.9.3.4.2 : Appendix A
Appendix A to Part 10 - Exemptions Part I. General Exemptions
Those portions of the following systems of records that consist
of (a) Information compiled for the purpose of identifying
individual criminal offenders and alleged offenders and consisting
only of identifying data and notations of arrests, the nature and
disposition of criminal charges, sentencing, confinement, release,
and parole and probation status; (b) information compiled for the
purpose of a criminal investigation, including reports of
informants and investigators, and associated with an identifiable
individual; or (c) reports identifiable to an individual compiled
at any stage of the process of enforcement of the criminal laws
from arrest or indictment through release from supervision, are
exempt from all parts of 5 U.S.C. 552a except subsections (b)
(Conditions of disclosure); (c) (1) and (2) (Accounting of certain
disclosures); (e)(4) (A) through (F) (Publication of existence and
character of system); (e)(6) (Ensure records are accurate,
relevant, timely, and complete before disclosure to person other
than an agency and other than pursuant to a Freedom of Information
Act request), (7) (Restrict recordkeeping on First Amendment
rights), (9) (Rules of conduct), (10) (Safeguards), and (11)
(Routine use publication); and (i) (Criminal penalties):
A. The Investigative Records System maintained by the Assistant
Inspector General for Investigations, Office of the Inspector
General, Office of the Secretary (DOT/OST 100).
B. Police Warrant Files and Central Files maintained by the
Federal Aviation Administration (DOT/FAA 807).
C. The Investigative Records System maintained by the Federal
Aviation Administration regarding criminal investigations conducted
by offices of Investigations and Security at headquarters and FAA
Regional and Center Security Divisions (DOT/FAA 815).
D. General Investigations Record System, maintained by the
Office of Investigations and Security, Office of the Secretary
(DOT/OST 016).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning
him/her would reveal investigative interest by not only DOT but
also the recipient agency, thereby permitting the record subject to
take appropriate measures to impede the investigation, as by
destroying evidence, intimidating potential witnesses, fleeing the
area to avoid the thrust of the investigation, etc.
2. From subsections (d), (e)(4) (G) and (H), (f), and (g),
because granting an individual access to investigative records, and
granting him/her rights to amend/contest that information,
interfere with the overall law enforcement process by revealing a
pending sensitive investigation, possibly identify a confidential
source, disclose information that would constitute an unwarranted
invasion of another individual's personal privacy, reveal a
sensitive investigative technique, or constitute a potential danger
to the health or safety of law enforcement personnel.
3. From subsection (e)(1), because it is often impossible to
determine relevancy or necessity of information in the early stages
of an investigation. The value of such information is a question of
judgement and timing: what appears relevant and necessary when
collected may ultimately be evaluated and viewed as irrelevant and
unnecessary to an investigation. In addition, DOT may obtain
information concerning the violation of laws other than those
within the scope of its jurisdiction. In the interest of effective
law enforcement, DOT should retain this information because it may
aid in establishing patterns of unlawful activity and provide leads
for other law enforcement agencies. Further, in obtaining evidence
during an investigation, information may be provided to DOT that
relates to matters incidental to the main purpose of the
investigation but that may be pertinent to the investigative
jurisdiction of another agency. Such information cannot readily be
identified.
4. From subsection (e)(2), because in a law enforcement
investigation it is usually counterproductive to collect
information to the greatest extent practicable directly from the
subject of the information. It is not always feasible to rely upon
the subject of an investigation as a source for information that
may implicate him/her in illegal activities. In addition,
collecting information directly from the subject could seriously
compromise an investigation by prematurely revealing its nature and
scope, or could provide the subject with an opportunity to conceal
criminal activities, or intimidate potential sources, in order to
avoid apprehension.
5. From subsection (e)(3), because providing such notice to the
subject of an investigation, or to other individual sources, could
seriously compromise the investigation by prematurely revealing its
nature and scope, or could inhibit cooperation, permit the subject
to evade apprehension, or cause interference with undercover
activities.
Part II. Specific Exemptions
A. The following systems of records are exempt from subsection
(c)(3) (Accounting of Certain Disclosures), (d) (Access to
Records), (e)(4)(G), (H), and (I) (Agency Requirements), and (f)
(Agency Rules) of 5 U.S.C. 552a, to the extent that they contain
investigatory material compiled for law enforcement purposes, in
accordance 5 U.S.C. 552a(k)(2):
1. Investigative Record System (DOT/FAA 815) maintained by the
Federal Aviation Administration at the Office of Civil Aviation
Security in Washington, DC; the FAA regional Civil Aviation
Security Divisions; the Civil Aviation Security Division at the
Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma; the
FAA Civil Aviation Security Staff at the FAA Technical Center in
Atlantic City, New Jersey; and the various Federal Records Centers
located throughout the country.
2. FHWA Investigations Case File System, maintained by the
Office of Program Review and Investigations, Federal Highway
Administration (DOT/FHWA 214).
3. Federal Motor Carrier Safety Administration (FMCSA)
Enforcement Management Information System, maintained by the Chief
Counsel, FMCSA (DOT/FMCSA 002).
4. DOT/NHTSA Investigations of Alleged Misconduct or Conflict of
Interest, maintained by the Associate Administrator for
Administration, National Highway Traffic Safety Administration
(DOT/NHTSA 458).
5. Civil Aviation Security System (DOT/FAA 813), maintained by
the Office of Civil Aviation Security Policy and Planning, Federal
Aviation Administration.
6. Suspected Unapproved Parts (SUP) Program, maintained by the
Federal Aviation Administration (DOT/FAA 852).
7. Motor Carrier Management Information System (MCMIS),
maintained by the Federal Motor Carrier Safety Administration
(DOT/FMCSA 001).
8. Suspicious Activity Reporting (SAR) database, maintained by
the Office of Intelligence, Security, and Emergency Response,
Office of the Secretary.
9. Departmental Office of Civil Rights System (DOCRS).
10. Insider Threat Program (DOT/ALL 26).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning
him/her would reveal investigative interest by not only DOT but
also the recipient agency, thereby permitting the record subject to
take appropriate measures to impede the investigation, as by
destroying evidence, intimidating potential witnesses, fleeing the
area to avoid the thrust of the investigation, etc.
2. From subsections (d), (e)(4)(G), (H), and (I), and (f),
because granting an individual access to investigative records, and
granting him/her access to investigative records with that
information, could interfere with the overall law enforcement
process by revealing a pending sensitive investigation, possibly
identify a confidential source, disclose information that would
constitute an unwarranted invasion of another individual's personal
privacy, reveal a sensitive investigative technique, or constitute
a potential danger to the health or safety of law enforcement
personnel.
B. The following systems of records are exempt from subsections
(c)(3) (Accounting of Certain Disclosures) and (d) (Access to
Records) of 5 U.S.C. 552a, in accordance with 5 U.S.C.
552a(k)(2):
1. General Air Transportation Records on Individuals, maintained
by various offices in the Federal Aviation Administration (DOT/FAA
847).
2. Investigative Records System, maintained by the Assistant
Inspector General for Investigations in the Office of the Inspector
General (DOT/OST 100).
3. General Investigations Record System, maintained by the
Office of Investigations and Security, Office of the Secretary
(DOT/OST 016).
4. Insider Threat Program (DOT/ALL 26).
These exemptions are justified for the following reasons:
1. From subsection (c)(3), because making available to a record
subject the accounting of disclosures from records concerning
him/her would reveal investigative interest by not only DOT but
also the recipient agency, thereby permitting the record subject to
take appropriate measures to impede the investigation, as by
destroying evidence, intimidating potential witnesses, fleeing the
area to avoid the thrust of the investigation, etc.
2. From subsection (d), because granting an individual access to
investigative records could interfere with the overall law
enforcement process by revealing a pending sensitive investigation,
possibly identify a confidential source, disclose information that
would constitute an unwarranted invasion of another individual's
personal privacy, reveal a sensitive investigative technique, or
constitute a potential danger to the health or safety of law
enforcement personnel.
C. The system of records known as the Alaska Railroad
Examination of Operating Personnel, maintained by the Alaska
Railroad, Federal Railroad Administration (DOT/FRA 100), is exempt
from the provisions of subsection (d) of 5 U.S.C. 552a. The release
of these records would compromise their value as impartial
measurement standards for appointment and promotion within the
Federal Service.
D. Those portions of the following systems of records consisting
of investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, or access to classified information
or used to determine potential for promotion in the armed services,
are exempt from sections (c)(3) (Accounting of Certain
Disclosures), (d) (Access to Records), (e)(4) (G), (H), and (I)
(Agency Requirements), and (f) (Agency Rules) of 5 U.S.C. 552a to
the extent that disclosure of such material would reveal the
identity of a source who provided information to the Government
under an express or, prior to September 27, 1975, an implied
promise of confidentiality (5 U.S.C. 552a(k) (5) and (7)):
1. Investigative Records System, maintained by the Assistant
Inspector General for Investigations in the Office of the Inspector
General (DOT/OST 100).
2. Investigative Record System, maintained by the Federal
Aviation Administration at FAA Regional and Center Air
Transportation Security Divisions; the Investigations and Security
Division, Aeronautical Center; and Office of Investigations and
Security, Headquarters, Washington, D.C. (DOT/FAA 815).
3. Files pursuant to suitability for employment with National
Highway Traffic Safety Administration (DOT/NHTSA-457) containing
confidential investigatory reports.
4. Personnel Security Records System, maintained by the Office
of Investigations and Security, Office of the Secretary (DOT/OST
035).
The purpose of these exemptions is to prevent disclosure of the
identities of sources who provide information to the government
concerning the suitability, eligibility, or qualifications of
individuals for Federal civilian employment, contracts, access to
classified information, or appointment or promotion in the armed
services, and who are expressly or, prior to September 27, 1975,
implied promised confidentiality (5 U.S.C. 552a(k) (5) and
(7)).
E. Those portions of the following systems of records consisting
of testing or examination material used solely to determine
individual qualifications for appointment or promotion in the
Federal Service are exempt from subsections (c)(3) (Accounting of
Certain Disclosures), (d) (Access to Records), (e)(4) (G), (H) and
(I) (Agency Requirements), and (f) (Agency Rules) of 5 U.S.C.
552a:
1. Reference Files (DOT/NHTSA 457), maintained by the National
Highway Traffic Safety Administration personnel offices to
determine fitness for employment prior to hiring.
The purpose of these exemptions is to preserve the value of
these records as impartial measurement standards for appointment
and promotion within the Federal service.
F. Those portions of the following systems of records which
consist of information properly classified in the interest of
national defense or foreign policy in accordance with 5 U.S.C.
552(b)(1) are exempt from sections (c)(3) (Accounting of Certain
Disclosures), (d) (Access to Records), (e)(4) (G), (H) and (I)
(Agency Requirements), and (f) (Agency Rules) of 5 U.S.C. 552a:
1. Investigative Record System maintained by the Assistant
Inspector General for Investigations in the Office of the Inspector
General (DOT/OST 100).
2. Personnel Security Records System, maintained by the Office
of Investigations and Security, Office of the Secretary (DOT/OST
035).
3. Civil Aviation Security System (DOT/FAA 813), maintained by
the Office of Civil Aviation Security, Federal Aviation
Administration.
4. General Investigations Record System, maintained by the
Office of Investigations and Security, Office of the Secretary
(DOT/OST 016).
5. Insider Threat Program (DOT/ALL 26).
The purpose of these exemptions is to prevent the disclosure of
material authorized to be kept secret in the interest of national
defense or foreign policy, in accordance with 5 U.S.C. 552(b)(1)
and 552a(k)(1).
G. Those portions of the following systems of records which
consist of information properly classified in the interest of
national defense or foreign policy in accordance with 5 U.S.C.
552a(b)(1) are exempt from subsections (c)(3) (Accounting of
Certain Disclosures) and (d) (Access to Records) of 5 U.S.C.
552a:
1. Investigative Record System (DOT/FAA 815) maintained by the
Federal Aviation Administration at the Office of Civil Aviation
Security in Washington, DC; the FAA regional Civil Aviation
Security Divisions; the Civil Aviation Security Division at the
Mike Monroney Aeronautical Center in Oklahoma City, Oklahoma; the
FAA Civil Aviation Security Staff at the FAA Technical Center in
Atlantic City, New Jersey; and the various Federal Records Centers
located throughout the country.
2. Insider Threat Program (DOT/ALL 26).
The purpose of these exemptions is to prevent the disclosure of
material authorized to be kept secret in the interest of national
defense or foreign policy, in accordance with 5 U.S.C. 552(b)(1)
and 552a(k)(1).
H. The following systems of records are exempt from subsection
(d) (Access to Records) of the Privacy Act, 5 U.S.C. 552a, to the
extent that they contain investigatory material compiled for law
enforcement purposes, in accordance with 5 U.S.C. 552a(k)(2):
1. Aviation Consumer Complaint Appropriation System, maintained
by the Office of the Assistant General Counsel for Aviation
Enforcement and Proceedings in the Office of the Secretary (DOT/OST
102).
This exemption is justified because granting an individual
access to investigatory records could interfere with the overall
law enforcement process by revealing a sensitive investigative
technique, or confidential sources or information.
Editorial Note:For Federal Register citations affecting appendix A
to part 10, see the List of CFR Sections Affected, which appears in
the Finding Aids section of the printed volume and at
www.fdsys.gov.