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Notice2023-17073

Privacy Act of 1974; System of Records

Primary source

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Published

August 9, 2023

Effective

September 8, 2023

Issuing agencies

Transportation Department

Abstract

In accordance with the Privacy Act of 1974, the Department of Transportation (DOT) proposes to update and reissue a DOT Federal Aviation Administration (FAA) system of records titled, "DOT/FAA 801 Aviation Registration Records." This Privacy Act System of Records Notice (hereafter "Notice") is titled "DOT/FAA 801 Aviation Registration Records" and updated to reflect the discontinuation of the General Aviation (GA) ADS-B Rebate Program and the issuance of the Remote Identification of Unmanned Aircraft Final Rule. This Notice covers records about individuals who register manned and unmanned aircraft or submit a Notice of Identification (in the case of foreign- registered unmanned aircraft). It also covers records about individuals who apply for a Privacy International Civil Aviation Organization (ICAO) address or submit problem reports to the FAA to report issues or problems with ADS-B related services provided by the FAA.

Full Text

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<title>Federal Register, Volume 88 Issue 152 (Wednesday, August 9, 2023)</title>
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[Federal Register Volume 88, Number 152 (Wednesday, August 9, 2023)]
[Notices]
[Pages 53951-53956]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-17073]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST- 2023-0106]

Privacy Act of 1974; System of Records

AGENCY: Federal Aviation Administration and Office of the Departmental
Chief Information Officer, Office of the Secretary of Transportation
(DOT).

ACTION: Notice of a modified system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Transportation (DOT) proposes to update and reissue a DOT Federal
Aviation Administration (FAA) system of records titled, ``DOT/FAA 801
Aviation Registration Records.'' This Privacy Act System of Records
Notice (hereafter ``Notice'') is titled ``DOT/FAA 801 Aviation
Registration Records'' and updated to reflect the discontinuation of
the General Aviation (GA) ADS-B Rebate Program and the issuance of the
Remote Identification of Unmanned Aircraft Final Rule. This Notice
covers records about individuals who register manned and unmanned
aircraft or submit a Notice of Identification (in the case of foreign-
registered unmanned aircraft). It also covers records about individuals
who apply for a Privacy International Civil Aviation Organization
(ICAO) address or submit problem reports to the FAA to report issues or
problems with ADS-B related services provided by the FAA.

DATES: Submit comments on or before September 8, 2023. The Department
may publish an amended Systems of Records Notice considering any
comments received. This modified system will be effective immediately
upon publication. The routine uses will be effective September 8, 2023.

ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2023-0106--by any of the following methods:
<bullet> Federal e-Rulemaking Portal: <a href="http://www.regulations.gov">http://www.regulations.gov</a>.
Follow the instructions for submitting comments.
<bullet> Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Ave. SE, West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
<bullet> Hand Delivery or Courier: West Building Ground Floor, Room
W12-140, 1200 New Jersey Ave. SE, between 9 a.m. and 5 p.m. ET, Monday
through Friday, except Federal holidays.
<bullet> Fax: (202) 493-2251. Instructions: You must include the
agency name and docket number DOT-OST-2023-0106. All comments received
will be posted without change to <a href="http://www.regulations.gov">http://www.regulations.gov</a>, including
any personal information provided.
Docket: For access to the docket to read background documents or
comments received, go to <a href="http://www.regulations.gov">http://www.regulations.gov</a> or to the street
address listed above. Follow the online instructions for accessing the
docket.

FOR FURTHER INFORMATION CONTACT: For questions, please contact: Karyn
Gorman, Departmental Chief Privacy Officer, Privacy Office, Department
of Transportation, Washington, DC 20590; <a href="/cdn-cgi/l/email-protection#96e6e4ffe0f7f5efd6f2f9e2b8f1f9e0">[email&#160;protected]</a>; or
202.527.3284.

SUPPLEMENTARY INFORMATION:

Notice Updates

This Notice update includes substantive changes to: system
location, system manager, authorities, purpose, categories of
individuals, categories of records, record source categories, routine
uses of records maintained in the system, policies and practices for
storage of records, policies and practices for retrieval of records,
policies and practices for retention and disposal of records, and
record access procedures; and non-substantive changes to:
administrative, technical and physical safeguards, contesting record
procedures, and notification procedures. Additional updates include
editorial changes, to simplify and clarify language and reformatting
the text of the previously published Notice to align with the
requirements of the Office of Management and Budget Memoranda (OMB) A-
108 and to ensure consistency with other Notices issued by the
Department of Transportation.

Background

In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the
Department of Transportation (DOT)/Federal Aviation Administration
(FAA) proposes to update and reissue a DOT system of records titled,
``DOT/FAA 801 Aviation Registration Records,'' previously published at
81 FR 54187 (Aug. 15, 2016).
This system of records serves as the central and legal repository
of all aircraft registration of manned and unmanned aircraft and
Notices of Identification (for foreign-registered unmanned aircraft)
submitted to the FAA. The information maintained in these registration
and identification files includes identifying and contact information
of individuals who register manned and unmanned aircraft or submit a
Notice of Identification (in the case of foreign-registered unmanned
aircraft) with the FAA.
This system of records also covers records related to the ADS-B
Traffic Information Service--Broadcast (TIS-B) and Flight Information
Service--Broadcast (FIS-B). These records are created when a pilot
submits an ADS-B/TIS-B/FIS-B Problem Report to the FAA to report an
issue or problem with any of the ADS-B related services provided by the
FAA. The FAA uses the email address collected to communicate back to
the reporting pilot about the issue or problem they reported.

[[Page 53952]]

Additionally, this system of records covers records related the
Privacy ICAO Address Program. The Privacy ICAO Address Program allows
aircraft operators to utilize an alternate aircraft ID and Privacy ICAO
Address to mask their aircraft's identity while flying within U.S.
domestic airspace. Aircraft operators may apply for a Privacy ICAO
Address on the FAA website: <a href="https://adsbperformance.faa.gov/PIA/Application.aspx">https://adsbperformance.faa.gov/PIA/Application.aspx</a>. \1\ Use of the alternate aircraft ID and Privacy ICAO
Address limits the extent to which the aircraft can be identified by
non-FAA parties receiving the ADS-B signal. The information collected
and maintained includes identifying and contact information of
individuals who have applied for a Privacy ICAO Address and the
assigned Privacy ICAO Addresses, respectively.
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\1\ OMB Control Number: 2120-0779.
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Finally, the previous Notice introduced the 14 CFR part 91,
Automatic Dependent Surveillance Broadcast (ADS-B) Out Performance
Final Rule which mandated that aircraft flying in certain controlled
airspace be equipped with ADS-B Out technology. Aircraft equipped with
ADS-B Out technology automatically transmit/broadcast an aircraft's GPS
position, altitude, velocity and other information (e.g., aircraft
registration number, which is linkable to an individual) to ground
stations and to ADS-B In-equipped aircraft in the vicinity.
This update is due to the following changes:
(1) Discontinuation of the General Aviation (GA) ADS-B Rebate
Program: To accelerate compliance with the 2010 ADS-B Out Performance
Final Rule, the FAA offered a financial incentive to owners of general
aviation aircraft who equipped their aircraft with ADS-B Out
technology. This incentive was known as the GA ADS-B Rebate Program.
The GA ADS-B Rebate Program terminated in 2021; consequently, the FAA
no longer offers a financial incentive to owners of general aviation
aircraft that equip their aircraft with ADS-B Out technology. As the
previous Notice stated, and per the retention schedule that requires
the FAA to maintain these records until at least 2027, this Notice will
continue to cover the GA ADS-B Rebate Program payment records until
they are destroyed. The ADS-B Compliance Monitor (ADS-B CM) Program,
which included the GA ADS-B Rebate Program, was renamed Automatic
Dependent Surveillance--Broadcast Performance Monitor (APM). That
system no longer receives GA ADS-B Rebate Program data; however, it
does receive Privacy Act data from the Privacy ICAO Address Program.
(2) Issuance of the Remote Identification of Unmanned Aircraft
Final Rule: On January 15, 2021, the FAA published the Remote
Identification of Unmanned Aircraft Final Rule, which requires unmanned
aircraft possess remote identification capabilities. Remote
identification is the capability of an unmanned aircraft in flight to
broadcast over radio frequency spectrum certain identification,
location, and performance information that people on the ground and
other airspace users can receive. These message elements can be
broadcast by technology built into the unmanned aircraft (``Standard
Remote ID'') or by external Remote ID-equipped broadcast modules
attached to the unmanned aircraft. Remote identification provides
airspace awareness to the FAA, national security agencies, law
enforcement entities, and other officials charged with ensuring public
safety and the safety and efficiency of the airspace of the United
States.\2\
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\2\ The FAA does not collect these message elements on a routine
basis; therefore, this Notice does not cover their collection or
maintenance. If these message elements were collected by the FAA or
provided to FAA by law enforcement, they would be maintained in an
investigative file and covered by the System of Records Notice
associated with that file.
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Relevant to this Notice, the Final Rule also requires owners of
remote identification compliant unmanned aircraft to provide the
standard remote identification unmanned aircraft's serial number or the
remote identification broadcast module's serial number to the FAA
during registration and imposes additional production and design
requirements on manufacturers to ensure that broadcast equipment
complies with the Final Rule. Additionally, the Final Rule requires
that foreign-registered aircraft operators, who could in some instances
be U.S. citizens, submit a Notice of Identification (NOI) prior to
operating their foreign-registered aircraft in U.S. airspace. The NOI
must include the aircraft operator's (and, if applicable, authorized
representative's) name, address, telephone number, and email address;
the country of registration, and; the unmanned aircraft's or the remote
identification broadcast module's serial number.
The FAA is updating the SORN to make the following substantive
changes:
1. System Location: This Notice updates the system location by
removing the address for the ADS-B CM database and the GA ADS-B Rebate
application database, and associated records, which were located at FAA
William J. Hughes Technical Center, 101 Atlantic City International
Airport, Egg Harbor Township, New Jersey 08405. This Notice updates the
address for the Civil Aviation Registry System,\3\ which is located at:
Civil Aviation Registry Applications, Enterprise Data Center (EDC)
Airmen Records Building (ARB) at the Mike Monroney Aeronautical Center
(MMAC), 6500 South MacArthur Boulevard, Oklahoma City, OK 73169-6901.
The system location is also being updated to add new systems: (1) Civil
Aviation Registration Electronic Services (CARES), Aircraft
Registration Branch, AFB-710 Federal Aviation Administration, Mike
Monroney Aeronautical Center, PO Box 25505, Oklahoma City, OK, 73125,
Email: <a href="/cdn-cgi/l/email-protection#023b2f434f412f4344513537322f436b706170636476426463632c656d74">[email&#160;protected]</a> located in the Amazon Web Services
(AWS) East/West Government Cloud; and (2) FAADroneZone, UAS Integration
Office, AUS-410, Federal Aviation Administration, 800 Independence Ave
SW Washington, DC, 20591.
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\3\ This system will eventually be replaced by the Civil
Aviation Registry Electronic Services (CARES) system, which is
located in the Amazon Web Services (AWS) East/West Government Cloud.
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2. System Manager: This Notice is updated to include the system
manager contact information for all systems this Notice covers.
3. Authorities: This Notice updates the authorities section to
reflect the authorities for all systems this Notice covers.
4. Purpose: This Notice updates the purpose to remove reference to
determining eligibility for and issuance of a rebate for equipage under
the GA ADS-B Rebate Program. In addition, the purpose is being updated
to include the Part 89 NOI requirements for the Remote Identification
of Unmanned Aircraft Final Rule and to more explicitly describe the
Privacy ICAO Address Program.
5. Categories of individuals: This Notice updates the categories of
individuals to include: aircraft operators, authorized representatives,
and aircraft dealers.
6. Categories of records: This Notice updates the categories of
records to include: aircraft operator or authorized representative
contact information; date of birth; NOI; Confirmation of Identification
(COI) Number; and designated agent name, address, email, phone number
and fax.
7. Record Source Categories: This Notice updates the record source
categories by replacing ``individuals'' with aircraft owners, aircraft
operators, authorized representatives, foreign-

[[Page 53953]]

registered aircraft operators (who in some instances could be U.S.
citizens), lien holders, lessees, and aircraft dealers, for greater
transparency, and to reflect new record source categories associated
with the new systems that are obtaining coverage under this Notice.
8. Routine Use: This Notice updates the routine uses section to add
one new system-specific routine use. The new routine use will allow the
FAA to disclose information to (a) government agencies, whether
Federal, State, Tribal, local or foreign, when necessary or relevant to
an investigation of a violation or potential violation of law, whether
civil, criminal, or regulatory, that the agency is charged with
investigating or enforcing; and, (b) to government agencies, whether
Federal, State, or local responsible when necessary or relevant to
threat detection in connection with critical infrastructure protection.
This routine use is compatible to the purpose of this SORN.
Specifically, this routine use is compatible with the system's
oversight purpose, and its purpose for assisting other government
agencies investigate or prosecute violations or potential violations of
law. The routine use section is also being updated to remove the
reference to credit card information, as the FAA no longer actively
uses this information.
In accordance with OMB Circular A-108 recommendations, the routine
uses section is also being updated to include the Department of
Transportation's general routine uses applicable to this Notice as they
were previously only incorporated by reference. Specifically, the
Department is replacing the statement in DOT/FAA 801 that referenced
the ``Statement of General Routine Uses'' with all of the general
routine uses that apply to this system of records. This update does not
substantially affect any of the existing routine uses for records
maintained in this system.
9. Records Storage: Except for the hard copy canceled aircraft
registration records that are being maintained as paper records, all
records are electronically stored.
10. Records Retrieval: The retrievability of records is updated to
add that Part 89 NOI records are retrievable by COI number, unmanned
aircraft serial number, or operator's (or authorized representative's)
name. The retrievability of GA ADS-B Rebate Program has been removed,
as that program has been discontinued and the records are no longer
being retrieved. The retrievability of aircraft descriptions has been
removed, because retrieving by this method will not display a record
specific to an individual. The retrievability of records is updated to
add that TIS-B/FIS-B Problem reports are retrievable by aircraft
registration number.
11. Retention and Disposal: The previous Notice referred to the
FAA's submission to NARA of a recommended retention period for aircraft
registration records submitted under 14 CFR part 48 (to cover small
unmanned aircraft [sUAS]). This Notice updates the retention and
disposal section to reflect that all aircraft registration records, not
only those submitted under 14 CFR part 47, will be maintained as
permanent records in accordance with existing NARA Schedule N1-237-04-
03. Therefore, references to 14 CFR part 48 (sUAS) aircraft
registrations have been removed from the retention and disposal
section. The Notice also updates the retention and disposal section to
reflect that records related GA ADS-B Rebate Program Payment records
will be maintained until at least 2027 under NARA General Records
Schedule 1.1 item 10. In addition, the Notice updates the retention and
disposal section to reflect that records related to Part 89 NOI will be
maintained for three years under NARA DAA-0237-2023-0007-0003. Finally,
this Notice updates the retention and disposition section to reflect
that records related to APM (which includes the Privacy ICAO Address
program) will be maintained for three years under NARA DAA-0237-2020-
0002-0001.
12. Records Access: The records access procedures are being updated
to reflect that signatures on signed requests for records must either
be notarized or accompanied by a statement made under penalty of
perjury in compliance with 28 U.S.C. 1746.
The following non-substantive changes to the administrative,
technical, and physical safeguards, contesting records procedures, and
notification procedures have been made to improve the transparency and
readability of the Notice:
13. Administrative, Technical and Physical Safeguards: This Notice
updates the administrative, technical and physical safeguards to align
with the requirements of OMB Memoranda A-108 and for consistency with
other DOT/FAA SORNs.
14. Contesting Records: This Notice updates the procedures for
contesting records to refer the reader to the record access procedures
section rather than the ``System Manager.''
15. Notifications: This Notice updates the notification procedures
to refer the reader to the record access procedures section rather than
the ``System Manager.''

Privacy Act

The Privacy Act (5 U.S.C. 552a) governs the means by which the
Federal Government collects, maintains, and uses personally
identifiable information (PII) in a System of Records. A ``System of
Records'' is a group of any records under the control of a Federal
agency from which information about individuals is retrieved by name or
other personal identifier. The Privacy Act requires each agency to
publish in the Federal Register a System of Records Notice (SORN)
identifying and describing each System of Records the agency maintains,
including the purposes for which the agency uses PII in the system, the
routine uses for which the agency discloses such information outside
the agency, and how individuals to whom a Privacy Act record pertains
can exercise their rights under the Privacy Act (e.g., to determine if
the system contains information about them and to contest inaccurate
information). In accordance with 5 U.S.C. 552a(r), DOT has provided a
report of this system of records to the Office of Management and Budget
and to Congress.

SYSTEM NAME AND NUMBER:
Federal Aviation Administration, Department of Transportation, DOT/
FAA 801 Aviation Registration Records.

SECURITY CLASSIFICATION:
Sensitive, unclassified

SYSTEM LOCATION:
The system locations are as follow:
1. Civil Aviation Registry System: Civil Aviation Registry
Applications, Enterprise Data Center (EDC) Airmen Records Building
(ARB) at the Mike Monroney Aeronautical Center (MMAC), 6500 South
MacArthur Boulevard, Oklahoma City, OK 73169-6901 and the Enterprise
Architecture and Solutions Environment (EASE) Mainframe, which resides
at the U.S. Department of Agriculture (USDA) National Information
Technology Center (NITC) in Kansas City, Missouri.
2. Civil Aviation Registration Electronic Services (CARES):
Aircraft Registration Branch, AFB-710 Federal Aviation Administration,
Mike Monroney Aeronautical Center, PO Box 25505, Oklahoma City, OK,
73125, Email: <a href="/cdn-cgi/l/email-protection#dce5f19d919ff19d9a8febe9ecf19db5aebfaebdbaa89cbabdbdf2bbb3aa">[email&#160;protected]</a> located in the Amazon Web
Services (AWS) East/West Government Cloud.
3. FAADroneZone (including, but not limited to, Part 89 Notice of
Identification): UAS Integration Office,

[[Page 53954]]

AUS-410, Federal Aviation Administration, 800 Independence Ave. SW,
Washington, DC, 20591.
4. APM (Privacy ICAO Address Program): Enterprise Data Center (EDC)
at the William J. Hughes Technical, Center (WJHTC) in Atlantic City,
New Jersey.

SYSTEM MANAGER:
1. Civil Aviation Registry System: Civil Aviation Registry
Applications, Manager, Aircraft Registration Branch, AFB-710 Federal
Aviation Administration, Mike Monroney Aeronautical Center, PO Box
25505, Oklahoma City, OK, 73125, Email: <a href="/cdn-cgi/l/email-protection#a1988ce0ece28ce0e7f29694918ce0c8d3c2d3c0c7d5e1c7c0c08fc6ced7">[email&#160;protected]</a>.
2. Civil Aviation Registration Electronic Services: Manager,
Aircraft Registration Branch, AFB-710 Federal Aviation Administration,
Mike Monroney Aeronautical Center, PO Box 25505, Oklahoma City, OK,
73125, Email: <a href="/cdn-cgi/l/email-protection#4c75610d010f610d0a1f7b797c610d253e2f3e2d2a380c2a2d2d622b233a">[email&#160;protected]</a>.
3. FAADroneZone: (including, but not limited to, Part 89 Notice of
Identification): Manager, UAS Integration Office, AUS-410, Federal
Aviation Administration, 800 Independence Ave. SW, Washington, DC
20591, Email: <a href="/cdn-cgi/l/email-protection#f2a7b3a19a979e82b2949393dc959d84">[email&#160;protected]</a>.
3. APM (Privacy ICAO Address): Manager, FAA William J. Hughes
Technical Center, En-Route & Oceanic Second Level Engineering Group,
NAS System Manager--ADS-B Support Tools (SAPT & APM), AJM-2522, Email:
<a href="/cdn-cgi/l/email-protection#95acb8d4d6c1b8c5d8dab8d4c1c6b8ddd0d9c5d1d0c6ded5f3f4f4bbf2fae3">[email&#160;protected]</a>.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
49 U.S.C. 106, 44102, 44103, 44104, 44105, 44106, 44107, 44110,
44111, 44809, and 44807; 14 CFR parts 45, 47-49, and Sec. 89.130.

PURPOSE(S) OF THE SYSTEM:
To provide a register of United States civil aircraft to aid in the
national defense and to support a safe and economically strong civil
aviation system, and to meet treaty requirements under the Convention
on International Civil Aviation, Annex 7. To safely integrate UA into
the national airspace. To determine that aircraft are registered in
accordance with the provisions of 49 U.S.C. 44103. To support FAA
safety programs and agency management. To aid law enforcement and
aircraft accident investigations. To serve as a repository of legal
documents to determine legal ownership of aircraft. To provide aircraft
owners and operators information about potential mechanical defects or
unsafe conditions of their aircraft in the form of airworthiness
directives. To aid in compliance with FAA standards including but not
limited to agency enforcement regulations. To educate owners regarding
safety requirements for operation. To receive and record payment of
aircraft registration and recordation fees. To provide an alternate
aircraft ID and ICAO aircraft address for aircraft operators, which
limits the extent to which the aircraft can be identified by non-FAA
parties capturing the ADS-B signal.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Aircraft owners, aircraft operators (or authorized
representatives), aircraft dealers, lien holders, and lessees.

CATEGORIES OF RECORDS IN THE SYSTEM:
Aircraft registration numbers; aircraft manufacturer name, model,
and serial numbers; aircraft operator, authorized representative, or
registered owner name, address, email, telephone number, citizenship,
and organization/company; designated agent name, address, email, phone
number and fax; date of birth; legal records (e.g., evidence of
ownership, divorce decree, and court order); registration information:
(status: pending, valid, expired, canceled; type of ownership:
individual, partnership, corporation, non-citizen corporation, Limited
Liability Co., government, co-ownership; airworthiness: Type, status);
aircraft registration documents; instruments affecting aircraft
ownership: loan, lien, or lease interests; applications for
airworthiness; major repair and alteration reports; NOI and COI;
operator ID; ADS-B/TIS-B/FIS-B Problem Reports including pilot's name
and information about the reported issue/problem, including location
and aircraft avionics equipage from pilots. GA ADS-B Rebate Program
Payment records will be maintained until at least 2027, the timeframe
specified in NARA General Records Schedule 1.1, item 10.

RECORD SOURCE CATEGORIES:
Sources of records includes aircraft owners, aircraft operators (or
their authorized representative), foreign-registered aircraft operators
(who in some instances could be U.S. citizens), lien holders, lessees
and aircraft dealers, manufacturers of aircraft, maintenance
inspectors, mechanics, and FAA officials. All forms associated with
this system and subject to the Paperwork Reduction Act have been
approved by the Office of Management and Budget (OMB) under the
referenced information collection requests: OMB control numbers 2120-
0697 and 2120-0779.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to other disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DOT as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

System Specific Routine Uses
1. To the public (including government entities, title companies,
financial institutions, international organizations, and others), when
permitted, information, including aircraft owner's name, address,
United States Registration Number, aircraft type, legal documents
related to title or financing of an aircraft and ADB-S summary reports,
in order to facilitate aviation safety, security, and commerce. Emails
and telephone numbers of small unmanned aircraft system (sUAS) owners
registered under 14 CFR part 48 will not be disclosed to the Public
pursuant to this Routine Use.
2. To law enforcement, when necessary and relevant to an FAA
enforcement activity.
3. To government agencies, whether Federal, State, Tribal, local or
foreign, information necessary or relevant to an investigation of a
violation or potential violation of law, whether civil, criminal, or
regulatory, that the agency is charged with investigating or enforcing;
as well as, to government agencies, whether Federal, State, or local
responsible for threat detection in connection with critical
infrastructure protection.

Departmental Routine Uses
4. In the event that a system of records maintained by DOT to carry
out its functions indicates a violation or potential violation of law,
whether civil, criminal or regulatory in nature, and whether arising by
general statute or particular program pursuant thereto, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation, or order issued pursuant thereto.
5. A record from this system of records may be disclosed, as a
routine use, to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary to obtain
information relevant to a DOT decision

[[Page 53955]]

concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit.
6. A record from this system of records may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance of
a security clearance, the reporting of an investigation of an employee,
the letting of a contract, or the issuance of a license, grant, or
other benefit by the requesting agency, to the extent that the
information is relevant and necessary to the requesting agency's
decision on the matter.
7a. Routine Use for Disclosure for Use in Litigation. It shall be a
routine use of the records in this system of records to disclose them
to the Department of Justice or other Federal agency conducting
litigation when (a) DOT, or any agency thereof, or (b) Any employee of
DOT or any agency thereof (including a member of the Coast Guard), in
his/her official capacity, or (c) Any employee of DOT or any agency
thereof (including a member of the Coast Guard), in his/her individual
capacity where the Department of Justice has agreed to represent the
employee, or (d) The United States or any agency thereof, where DOT
determines that litigation is likely to affect the United States, is a
party to litigation or has an interest in such litigation, and the use
of such records by the Department of Justice or other Federal agency
conducting the litigation is deemed by DOT to be relevant and necessary
in the litigation, provided, however, that in each case, DOT determines
that disclosure of the records in the litigation is a use of the
information contained in the records that is compatible with the
purpose for which the records were collected.
7b. Routine Use for Agency Disclosure in Other Proceedings. It
shall be a routine use of records in this system to disclose them in
proceedings before any court or adjudicative or administrative body
before which DOT or any agency thereof, appears, when-- (a) DOT, or any
agency thereof, or (b) Any employee of DOT or any agency thereof in
his/her official capacity, or (c) Any employee of DOT or any agency
thereof in his/her individual capacity where DOT has agreed to
represent the employee, or (d) The United States or any agency thereof,
where DOT determines that the proceeding is likely to affect the United
States, is a party to the proceeding or has an interest in such
proceeding, and DOT determines that use of such records is relevant and
necessary in the proceeding provided, however, that in each case, DOT
determines that disclosure of the records in the proceeding is a use of
the information contained in the records that is compatible with the
purpose for which the records were collected.
8. The information contained in this system of records will be
disclosed to the Office of Management and Budget, OMB, in connection
with the review of private relief legislation as set forth in OMB
Circular No. A-19 at any stage of the legislative coordination and
clearance process as set forth in that Circular.
9. Disclosure may be made to a Congressional office from the record
of an individual in response to an inquiry from the Congressional
office made at the request of that individual. In such cases, however,
the Congressional office does not have greater rights to records than
the individual. Thus, the disclosure may be withheld from delivery to
the individual where the file contains investigative or actual
information or other materials which are being used, or are expected to
be used, to support prosecution or fines against the individual for
violations of a statute, or of regulations of the Department based on
statutory authority. No such limitations apply to records requested for
Congressional oversight or legislative purposes; release is authorized
under 49 CFR 10.35(9).
10. One or more records from a system of records may be disclosed
routinely to the National Archives and Records Administration in
records management inspections being conducted under the authority of
44 U.S.C. 2904 and 2906.
11. A record from this system of records may be disclosed as a
routine use to the Coast Guard and to the Transportation Security
Administration (TSA) if information from this system was shared with
either agency when that agency was a component of the Department of
Transportation before its transfer to the Department of Homeland
Security and such disclosure is necessary to accomplish a DOT, TSA, or
Coast Guard function related to this system of records.
12. DOT may make available to another agency or instrumentality of
any government jurisdiction, including State and local governments,
listings of names from any system of records in DOT for use in law
enforcement activities, either civil or criminal, or to expose
fraudulent claims, regardless of the stated purpose for the collection
of the information in the system of records. These enforcement
activities are generally referred to as matching programs because two
lists of names are checked for match using automated assistance. This
routine use is advisory in nature and does not offer unrestricted
access to systems of records for such law enforcement and related
antifraud activities. Each request will be considered on the basis of
its purpose, merits, cost effectiveness and alternatives using
Instructions on reporting computer matching programs to the Office of
Management and Budget, OMB, Congress, and the public, published by the
Director, OMB, dated September 20, 1989.
13. It shall be a routine use of the information in any DOT system
of records to provide to the Attorney General of the United States, or
his/her designee, information indicating that a person meets any of the
disqualifications for receipt, possession, shipment, or transport of a
firearm under the Brady Handgun Violence Prevention Act. In case of a
dispute concerning the validity of the information provided by DOT to
the Attorney General, or his/her designee, it shall be a routine use of
the information in any DOT system of records to make any disclosures of
such information to the National Background Information Check System,
established by the Brady Handgun Violence Prevention Act, as may be
necessary to resolve such dispute.
14a. To appropriate agencies, entities, and persons when (1) DOT
suspects or has confirmed that there has been a breach of the system of
records; (2) DOT has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, DOT (including
its information systems, programs, and operations), the Federal
Government, or national security; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with DOT's efforts to respond to the suspected or confirmed
breach or to prevent, minimize, or remedy such harm.
14b. To another Federal agency or Federal entity, when DOT
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
15. DOT may disclose records from this system, as a routine use, to
the Office of Government Information

[[Page 53956]]

Services for the purpose of (a) resolving disputes between FOIA
requesters and Federal agencies and (b) reviewing agencies' policies,
procedures, and compliance in order to recommend policy changes to
Congress and the President.
16. DOT may disclose records from this system, as a routine use, to
contractors and their agents, experts, consultants, and others
performing or working on a contract, service, cooperative agreement, or
other assignment for DOT, when necessary to accomplish an agency
function related to this system of records.
17. DOT may disclose records from this system, as a routine use, to
an agency, organization, or individual for the purpose of performing
audit or oversight operations related to this system of records, but
only such records as are necessary and relevant to the audit or
oversight activity. This routine use does not apply to intra-agency
sharing authorized under Section (b)(1) of the Privacy Act.
18. DOT may disclose from this system, as a routine use, records
consisting of, or relating to, terrorism information (6 U.S.C.
485(a)(5)), homeland security information (6 U.S.C. 482(f)(1)), or Law
enforcement information (Guideline 2 Report attached to White House
Memorandum, ``Information Sharing Environment'', November 22, 2006) to
a Federal, State, local, tribal, territorial, foreign government and/or
multinational agency, either in response to its request or upon the
initiative of the Component, for purposes of sharing such information
as is necessary and relevant for the agencies to detect, prevent,
disrupt, preempt, and mitigate the effects of terrorist activities
against the territory, people, and interests of the United States of
America, as contemplated by the Intelligence Reform and Terrorism
Prevention Act of 2004 (Pub. L. 108-458) and Executive Order 13388
(October 25, 2005).

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
With the exception of older aircraft registration records that are
being maintained as paper records and have not yet been converted into
electronic form, all records are electronically stored. Backup copies
of imaged records are stored at remote locations, including but not
limited to the FAA's government cloud.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records of registered and cancelled aircraft in the digital image
system may be retrieved by registration number, the manufacturer's
name, model, and serial number, and by the name of the current
registered owner. Hard copy canceled aircraft records may be retrieved
using a former registration number and the manufacturer's name, model,
and serial number. TIS-B/FIS- B records may be retrieved by the
aircraft registration number. Part 89 NOI records may be retrieved by
COI number, unmanned aircraft serial number, or operator's (or
authorized representative's) name.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Aircraft registration records will be maintained as permanent
records in accordance with the National Archives and Records
Administration (NARA) Schedule N1-237-04-03. In accordance with that
schedule, paper copies of registration submissions are destroyed once
the original is scanned into the system and the digital image is
determined to be an adequate substitute for paper records. Copies of
the Aircraft Registration system are transferred to NARA on an annual
basis. The FAA will maintain GA ADS-B Rebate Program payment records
for at least six years after the program has ended (until at least
2027), the timeframe specified in NARA General Records Schedule 1.1,
item 10. For records related to Part 89 NOI, the FAA has submitted a
new records retention and disposition schedule DAA-0237-2023-0007-0003
to NARA and is proposing to maintain the records for 3 years after the
COI has either expired or been cancelled. The FAA will retain Part 89
NOI records until it receives approval of the record disposition
authority from NARA. The FAA will retain APM records (which includes
the Privacy ICAO Address program) for three years, in accordance with
NARA Schedule DAA-0237-2020-0002-0001.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DOT automated
systems security and access policies. Strict controls have been imposed
to minimize the risk of compromising the information that is being
stored. Access to the computer system containing the records in this
system is limited to individuals who have a need to know the
information for the performance of their official duties and who have
clearances or permissions. Access to records in this system are limited
to those with appropriate security credentials, an authorized purpose,
and need-to-know. The FAA deploys role-based access controls in
addition to other protection measures reviewed and certified by the
FAA's cybersecurity professionals to maintain the confidentiality,
integrity, and availability requirements of the system.

RECORD ACCESS PROCEDURES:
Individuals seeking notification of whether this system of records
contains information about them may contact the System Managers at the
address provided in the section ``System Manager.'' When seeking
records about yourself from this system of records or any other
Departmental system of records your request must conform to the Privacy
Act regulations set forth in 49 CFR part 10. You must sign your
request, and your signature must either be notarized or submitted under
28 U.S.C. 1746, a law that permits statements to be made under penalty
of perjury as a substitute for notarization. If your request is seeking
records pertaining to another living individual, you must include a
statement from that individual certifying his/her agreement for you to
access his/her records.

CONTESTING RECORD PROCEDURES:
See ``Records Access Procedures'' above.

NOTIFICATION PROCEDURES:
See ``Records Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.

HISTORY:
A full notice of this system of records, DOT/FAA 801, Aviation
Registration Records, was published in the Federal Register on August
15, 2016 (81 FR 54187), DOT/FAA 801, Aircraft Registration Records,
December 17, 2015 (80 FR 77697) and DOT/FAA 801, Aircraft Registration
System, April 11, 2000 (65 FR 19518).

Issued in Washington, DC.
Karyn Gorman,
Chief Privacy Officer.
[FR Doc. 2023-17073 Filed 8-8-23; 8:45 am]
BILLING CODE 4910-9X-P

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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.