
[Federal Register Volume 80, Number 240 (Tuesday, December 15, 2015)]
[Notices]
[Pages 77697-77700]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-31647]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST-2015-0235]


Privacy Act of 1974; Department of Transportation, Federal 
Aviation Administration, DOT/FAA-801; Aircraft Registration Records 
System of Records Notice

AGENCY: Office of the Departmental Chief Information Officer, Office of 
the Secretary of Transportation, DOT.

ACTION: Notice of Privacy Act system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the United States 
Department of Transportation proposes to rename, update and reissue a 
current Department of Transportation system of records titled, 
``Department of Transportation Federal Aviation Administration; DOT/
FAA-801, Aviation Registration System.'' Given that this system of 
records is comprised of multiple electronic databases, we are changing 
the name from ``Aviation Registration System'' to ``Aviation 
Registration Records'' to reflect that the system of records includes 
all Privacy Act records related to aircraft registration that are 
maintained by the Federal Aviation Administration Aircraft Registration 
Branch. In addition, this system is being updated to clarify the 
purpose of the Aircraft Registration Records system of records, which 
maintains electronic records of aircraft registration, including 
registration forms and supporting documents, instruments affecting 
ownership, aircraft financing, leases, and lien interests, as well as 
airworthiness applications and major repair and alteration reports. 
This system also includes registration records for small unmanned 
aircraft used for hobby and recreational purpose (i.e.,

[[Page 77698]]

model aircraft) and unmanned aircraft and small unmanned aircraft used 
for commercial purposes. The system of records notice is also being 
updated to add categories of records and to remove duplicative routine 
uses and clarify the remaining routine uses. Finally, the authorities, 
record retention, safeguarding and storage procedures, and 
notification, record access, and contesting records sections have been 
updated to reflect changes since the last publication of the system of 
records notice in 2000.

DATES: Written comments should be submitted on or before January 14, 
2016. The Department may publish an amended Systems of Records Notice 
in light of any comments received. This new system will be effective 
January 14, 2016.

ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2015-0235 by any of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     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.
     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.
     Fax: (202) 493-2251.
    Instructions: You must include the agency name and docket number 
DOT-OST-2015-0235. All comments received will be posted without change 
to http://www.regulations.gov, including any personal information 
provided.
    Privacy Act: Anyone is able to search the electronic form of all 
comments received in any of our dockets by the name of the individual 
submitting the comment (or signing the comment, if submitted on behalf 
of an association, business, labor union, etc.). You may review the 
Department of Transportation's complete Privacy Act statement in the 
Federal Register published on April 11, 2000 (65 FR 19477-78), or you 
may visit http://DocketsInfo.dot.gov.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov or to the street 
address listed above. Follow the online instructions for accessing the 
docket.

FOR FURTHER INFORMATION CONTACT: For questions, please contact: Claire 
W. Barrett, Departmental Chief Privacy Officer, Privacy Office, 
Department of Transportation, Washington, DC 20590; privacy@dot.gov; or 
202.527.3284.

SUPPLEMENTARY INFORMATION: 

I. 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 rename, update and reissue a DOT system of records 
titled, ``DOT/FAA-801 Aviation Registration System.'' The Department is 
establishing a streamlined, Web-based aircraft registration process for 
small unmanned aircraft systems. Owners of sUAS, however, may opt to 
register their sUAS through the existing paper-based process used to 
register manned aircraft in accordance with the procedures and 
requirements described in 14 CFR part 47 (the ``part 47''). Also, 
owners of unmanned aircraft systems (UASs) that do not qualify as sUAS 
must continue to comply with part 47 and register their aircraft 
through the paper-based process.
    All sUAS owners who register their aircraft under part 48 must 
first create an account to access the Web-based application using their 
email address and a password. Once an account is created, sUAS owners 
register their aircraft by providing their name, mailing address, and 
physical address, if different from their mailing address. These 
applicants also may provide their telephone number. Those who register 
their sUAS under part 48 may have to submit additional information, 
depending on the intended use for the sUAS. Individuals intending to 
fly sUAS for commercial purposes (as well as Federal, State, and local 
governments and corporations) are required to include their telephone 
number, and sUAS make, model, and serial number with their application.
    Under part 48, each sUAS (hereinafter ``model aircraft'') owner 
registering for hobby and recreational purposes will receive a unique 
identifier for use on all model aircraft registered by that owner. Each 
sUAS used for non-model aircraft operations (e.g., commercial use) will 
be assigned a unique identifier only for use with that aircraft. These 
registrants also must provide their credit card information (e.g., 
credit card number, expiration date, security code, and billing 
address) for payment of the registration fee. The FAA will assign a 
transaction identification number (ID) upon confirmation of payment.
    For all other aircraft required to be registered with the FAA, the 
FAA will continue to use the existing paper-based registration process 
under part 47. Applicants for aircraft registration must provide the 
FAA with their aircraft's manufacturer name, model, and serial number, 
the registered owner's contact information (name and physical address). 
Applicants must also provide any documents affecting aircraft 
ownership, loan, lien, or lease interests.
    All records maintained by the FAA in connection with aircraft 
registered are included in the Aircraft Registry and made available to 
the public, except email address and credit card information submitted 
under part 48.
    In order to facilitate implementation of the streamlined 
alternative registration process for small unmanned aircraft, the 
system of records notice (SORN) for the Aviation Registration System is 
being updated. Additionally, the SORN is being renamed, and updated to 
more accurately reflect and provide greater transparency regarding the 
collection, use, sharing, and maintenance of Privacy Act records in the 
Aircraft Registration system as a whole.
    Because sUAS registered under part 48 have different registration 
requirements than aircraft registered under part 47, the categories of 
records has been updated to reflect the addition of email address and 
credit card information for registrants who register under part 48. The 
collection of email addresses will enable the FAA to establish user 
accounts for the FAA UAS Registration Service to facilitate access, and 
to quickly disseminate safety and educational materials to these sUAS 
owners, in furtherance of the FAA's safety and education objectives for 
unmanned aircraft operations. In addition, registrants under part 48 
must pay the Aircraft Registration Fee as part of the online 
application process, thus, the SORN is being updated to include credit 
card information in the categories of records.
    Additionally, we are renaming the system to ``Aviation Registration 
Records.'' Aviation Registration Records are maintained in several 
electronic databases. We are changing the name to clarify that the 
system of records includes all Privacy Act records related to aircraft 
registration that are maintained by the FAA Aircraft Registration 
Branch. Further, in the authorities section, we removed the reference 
to 49 U.S.C. 40101, which states the policy objectives that underlie 
DOT and FAA administration of the aviation-related provisions in Title 
49 of the United States Code, but do not specifically authorize this 
system.
    We also consolidated the routine uses and revised the remainder for 
clarity. Under the Privacy Act, ``routine use'' refers to a disclosure 
of the information

[[Page 77699]]

in the system to a person or entity outside of the DOT/FAA, ``for a 
purpose which is compatible with the purposes for which it is 
collected.'' 5 U.S.C. 552a(a)(7). The routine uses, as they have 
appeared in the SORN for several decades, describe several purposes of 
disclosure from the Aircraft Registry. These routine uses, however, did 
not specifically describe what information may be disclosed and to whom 
information may be disclosed. Thus, we are updating the routine uses to 
clarify that Aircraft Registry data is available to the general public 
through the FAA's Web site, or in person at or by written request to 
the Aircraft Registration Branch. The Aircraft Registry also may be 
accessed by federal, state, local, or foreign law enforcement to 
support investigations, the National Transportation Safety Board in 
connection with accident investigations, title search companies and 
banks to determine legal ownership of an aircraft, aircraft 
manufactures to provide aircraft owners and operators with information 
about potential mechanical defects or unsafe conditions of their 
aircraft, lawyers and parties to litigation in support of court cases 
involving individual liability, the International Civil Aviation 
Organization and its members to verify aircraft ownership and country 
of registration, or others. Thus, we consolidated and revised the 
routine uses to reflect that Aircraft Registry data is publicly 
available, which also includes access to information from the Aircraft 
Registry by other government entities, companies, and international 
organizations. All aircraft registration information for manned 
aircraft, UAS, and sUAS registered under part 47 are accessible to the 
public through the public Aircraft Registry Web site at http://registry.faa.gov/aircraftinquiry/. As previously mentioned, email 
addresses, telephone number, and credit card information of sUAS owners 
registered under part 48 will not be available to the public and will 
only be disclosed in accordance with the General Routine Uses 
applicable to all of the Department's systems of records. Additionally, 
the public may only retrieve model aircraft owners' name and address in 
the publicly available Aircraft Registry by the aircraft registration 
number (i.e., the public may not retrieve data by an owner's name or 
address). Finally, we are adding a routine use clarifying that the FAA 
may disclose any aircraft registration information to law enforcement 
entities, when necessary and relevant to a FAA enforcement activity. 
These revisions to the routine uses do not substantively change the 
current routine uses for aircraft registration records. Relatedly, we 
revised the purpose section to include provisions reflecting the 
purpose of the system that had previously been captured as part of the 
routine uses.
    Finally, we updated the sections on storage, record retention, and 
safeguarding procedures to reflect changes since the last publication 
of the SORN in 2000. Since 2000, the FAA began digitally imaging paper 
files for electronic storage and retrieval and the SORN section on 
storage was revised accordingly. The record retention provision was 
updated to make it consistent with the record retention section 
approved by the National Archive and Records Administration (NARA) in 
2005. This update was inadvertently omitted from the Department's 2010 
update to this SORN. The current record retention schedule, as approved 
in 2005, declared all records in the Aircraft Registration System to be 
of permanent value. The Department is currently evaluating whether 
registration records received under part 48, in particular, or UAS 
registration records, more generally, should similarly be retained 
permanently, or if an alternate schedule is more appropriate. This is 
also reflected in this updated SORN. Lastly, the notification, records 
access, and contesting records procedures have been revised for 
additional clarity regarding FAA redress policies and procedures.

II. 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 OF RECORDS
    Department of Transportation (DOT)/FAA--801

SYSTEM NAME:
    Department of Transportation (DOT)/ALL--801, Aircraft Registration 
Records

SECURITY CLASSIFICATION:
    Unclassified, sensitive.

SYSTEM LOCATION:
    Aircraft Registration Branch, Federal Aviation Administration, Mike 
Monroney Aeronautical Center, Oklahoma City, OK 73125.
    FAA UAS Registration Service is a contractor managed system and the 
records are located by the contract manager: Aircraft Registration 
Branch, Federal Aviation Administration, Mike Monroney Aeronautical 
Center, Oklahoma City, OK 73125.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Aircraft owners, lien holders, and lessees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Aircraft Registration Numbers; Aircraft manufacturer name, model, 
serial numbers Registered owner name, address, email, telephone number; 
Registration Information: (status: pending, valid, expired, canceled; 
type of ownership: individual, partnership, corporate, government, co-
owned; dates: registration and expiry; airworthiness: type, status, 
date); Aircraft registration documents; Instruments affecting aircraft 
ownership, loan, lien, or lease interests; Applications for 
airworthiness; Major repair and alteration reports; Register owner 
credit card information (FAA UAS Registration Service user only).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    i. 49 U.S.C. 44102, Registration requirements
    ii. 49 U.S.C. 44103, Registration of aircraft
    iii. 49 U.S.C. 44104, Registration of aircraft components and 
dealer's certificates of registration
    iv. 49 U.S.C. 44105, Suspension and revocation of aircraft 
certificates
    v. 49 U.S.C. 44106, Revocation of aircraft certificates for 
controlled substance violations
vi. 49 U.S.C. 44107, Recordation of conveyances, leases, and security 
instruments
vii. 49 U.S.C. 44110, Information about aircraft ownership and rights

[[Page 77700]]

viii. 49 U.S.C. 44111, Modifications in registration and recordation 
system for aircraft not providing air transportation
ix. 14 CFR parts 45, 47-49

PURPOSE(S):
    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 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. 
Provide aircraft owners and operators information about potential 
mechanical defects or unsafe conditions of their aircraft in the form 
of airworthiness directives. Educate owners regarding safety 
requirements for operation. Receive and record payment of aircraft 
registration fee.

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:
    1. To the public (including government entities, title companies, 
financial institutions, international organizations, FAA designee 
airworthiness inspectors, and others) information through the Aircraft 
Registry, including aircraft owner's name, address, United States 
Registration Number, aircraft type, and legal documents related to 
title or financing. Email addresses, credit card information, and sUAS 
owners' telephone numbers will not be disclosed pursuant to this 
Routine Use. The public may only retrieve the name and address of 
owners of sUAS registered under 14 CFR part 48 by the unique identifier 
displayed on the aircraft.
    2. To law enforcement, when necessary and relevant to a FAA 
enforcement activity.
    3. The Department has also published 15 additional routine uses 
applicable to all DOT Privacy Act systems of records, including this 
system. These routine uses are published in the Federal Register at 75 
FR 82132, December 29, 2010, and 77 FR 42796, July 20, 2012, under 
``Prefatory Statement of General Routine Uses'' (available at http://www.transportation.gov/privacy/privacyactnotices).

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE:
    Individual records for registered and canceled aircraft are 
maintained in an electronic digital image system. Some canceled 
aircraft records are stored as paper file folders until their 
conversion to digital images is completed. Backup copies of imaged 
records are stored at remote locations

RETRIEVABILITY:
    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, credit card transaction number, and by 
the name of the current registered owner. Records are retrieved by the 
aircraft description. Unconverted canceled records may be retrieved 
using a former registration number and the manufacturer's name, model 
and serial-number.

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 
appropriate clearances or permissions.

RETENTION AND DISPOSAL:
    Aircraft registration records submitted under 14 CFR part 47 have 
been deemed by the National Archives and Records Administration to be 
of permanent value (see NARA Schedule N1-237-04-3). 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 is working with NARA to establish an appropriate retention 
period for aircraft registration records submitted under 14 CFR part 
48. Consistent with the Federal Records Act, the FAA will manage these 
records as permanent records under NARA has determined their historical 
value and issued an approved records disposition schedule.

SYSTEM MANAGER(S) AND ADDRESS:
    Manager, Aircraft Registration Branch, AFS-750, Federal Aviation 
Administration, Mike Monroney Aeronautical Center, P.O. Box 25082, 
Oklahoma City, OK 73125.

NOTIFICATION PROCEDURE:
    Same as ``System manager.''

RECORD ACCESS PROCEDURES:
    Same as ``System manager.''

CONTESTING RECORD PROCEDURES:
    Same as ``System manager.''

RECORD SOURCE CATEGORIES:
    Individuals, 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 under the referenced information collection 
request/OMB control number 2120-0042.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

    Issued in Washington, DC on December 11, 2015.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2015-31647 Filed 12-14-15; 8:45 am]
 BILLING CODE 4910-62-P


