
[Federal Register Volume 88, Number 166 (Tuesday, August 29, 2023)]
[Notices]
[Pages 59566-59572]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-18289]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST- 2023-0069]


Privacy Act of 1974; System of Records

AGENCY: 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 United States 
Department of Transportation proposes to rename, update and reissue a 
Department of Transportation (DOT) system of records notice titled, 
``Department of Transportation, Federal Aviation Administration; DOT/
FAA 854 Small Unmanned Aircraft Systems (sUAS) Waivers and 
Authorizations.'' The name of the SORN will be changed to ``Unmanned 
Aircraft System (UAS) Waivers and Authorizations''. The modification of 
the system of records notice (hereafter referred to as ``Notice'') 
allows the Federal Aviation Administration (FAA) to collect and 
maintain records on individuals operating small unmanned aircraft 
systems (hereinafter ``sUAS'') who request and receive authorizations 
to fly their sUAS in controlled airspace or waivers to fly their sUAS 
outside of the requirements of the Code of Federal Regulations (CFR) 
and to review and approve Certificate of Waiver or Authorizations (COA) 
applications.

DATES: Submit comments on or before September 28, 2023. The Department 
may publish an amended Systems of Records Notice (hereafter ``Notice'') 
in light of any comments received. This modified system will be 
effective immediately and the modified routine uses will be effective 
September 28, 2023.

ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2023-0069 by any of the following methods:
     Federal e-Rulemaking Portal: https://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-2023-0069. All comments received will be posted without change 
to https://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: Karyn 
Gorman, Departmental Chief Privacy Officer, Privacy Office, Department 
of Transportation, Washington, DC 20590; [email protected]; or 202-366-
3140.

SUPPLEMENTARY INFORMATION:

[[Page 59567]]

Notice Update

    This Notice update includes substantive changes to the following 
sections: system name, system location, system manager, authority, 
purpose, routine uses, policies and practices for retrieval of records, 
and policies and practices for retention and disposal of records.

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 854, Small Unmanned Aircraft Systems (sUAS) Waivers 
and Authorizations.'' This update results from the FAA Reauthorization 
Act of 2018, Public Law 115-254 section 44807, Special Rules for 
Certain Unmanned Aircraft Systems, which directs the FAA to integrate 
unmanned aircraft systems (UAS) safely into the National Airspace 
System (NAS). Individuals operating UAS civil aircraft under 14 CFR 
part 91, which meet the requirements established in 49 U.S.C. 44807, 
can request and receive a special airworthiness certificate, restricted 
category aircraft (21.25), Type Certificate, or a Section 44807 
exemption with Certificate of Waiver or Authorization. The FAA issues a 
Certificate of Waiver or Authorization (COA) that permits persons, 
public agencies, organizations, and commercial entities to operate 
unmanned aircraft, for a particular purpose, in a particular area of 
the NAS as an exception to FAA Regulations. Consequently, this update 
expands the Notice's scope to cover individuals operating UAS under the 
provisions of 14 CFR part 91. The previous version of this Notice only 
applied to persons flying sUAS under the provisions of 14 CFR part 107 
or flying sUAS in limited recreational operations pursuant to 49 U.S.C. 
44809(a).
    Under current law, persons flying sUAS under the provisions of 14 
CFR part 107 or flying sUAS in limited recreational operations pursuant 
to 49 U.S.C. 44809(a) may not operate sUAS in Class B, Class C, or 
Class D airspace or within the lateral boundaries of the surface area 
of Class E airspace designated for an airport unless the person has 
received authorization to operate from the FAA. sUAS operators under 14 
CFR part 107, who are also referred to as remote pilots in command, may 
request waivers of airspace and operational rules applicable to sUAS 
requirements under 14 CFR part 107.
    The FAA uses two systems to process the waiver and airspace 
authorization requests subject to this notice. The first is a web-based 
system where sUAS operators who seek a waiver or an authorization may 
request one by electronically completing a form on the FAA website.\1\ 
The FAA reviews the information the applicant provides and determines 
whether it can ensure safety in the national airspace when granting the 
waiver or authorization. Often, such grants will include provisions to 
which the requestor must adhere, to mitigate the risk associated with 
the waiver or authorization.
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    \1\ OMB Numbers 2120-0768, 2120-0776, and 2120-0796.
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    sUAS operators may also request authorization through third parties 
qualified to offer services by the FAA under the Low Altitude 
Authorization and Notification Capability (hereinafter ``LAANC''). 
These third parties, called UAS Service Suppliers (hereinafter 
``USS''), enter into agreements with the FAA to automate and expedite 
the process by which sUAS operators receive authorization from the FAA 
to fly in the aforementioned airspace. The USS develop applications 
that enable sUAS operators to submit requests for authorization to the 
FAA where the requests are evaluated against predetermined criteria 
contained in LAANC. This enables sUAS operators to quickly and 
efficiently obtain authorizations to operate in Class B, C, D and 
within the lateral boundaries of surface area E designated for an 
airport. The number of USS available to the public, and the locations 
where LAANC is available, are updated on the FAA website located at 
https://www.faa.gov/uas/programs_partnerships/data_exchange/.
    Additionally, under current law, persons flying UAS under the 
provisions of 14 CFR part 91 that cannot comply with all regulatory 
requirements may not operate UAS in the NAS unless the person has 
received authorization to operate from the FAA. UAS operators may 
request a COA under 14 CFR part 91 using web-based systems or they can 
use a PDF version of the Form 7711-2. The COA is issued by the FAA to a 
UAS operator for a specific unmanned aircraft (UA) activity.
    The FAA uses a web-based application to process the COA. After the 
submission of a COA application, the FAA conducts a comprehensive 
operational and technical review. Additionally, the applicant can also 
apply for the COA using a PDF version of the Form 7711-2, Application 
for Certificate of Waiver or Authorization.\2\ If necessary, provisions 
or limitations may be imposed as part of the approval to ensure the UAS 
can operate safely with other airspace users. In most cases, the FAA 
will provide a formal response within 60 business days from the time of 
submission.
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    \2\ OMB Number 2120-0027.
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    Specifically, FAA is updating this Notice to make the following 
substantive changes:
    1. The Notice title is being changed to Unmanned Aircraft System 
(UAS) Waivers and Authorizations, since the scope of the records has 
expanded to include individuals operating UAS under the provisions of 
14 CFR part 91.
    2. The system location is being updated to include and update the 
location of all systems covered by this Notice.
    3. The system manager is being updated to include the system 
managers and contact information for all systems covered by this 
Notice.
    4. The purpose is being updated to include an explanation that the 
system that will be used to facilitate review and approval of COA 
applications submitted under 14 CFR part 91 for all classes of airspace 
and ensure the operator is able to operate in a safe manner. The 
purpose is also being updated to clarify that the system will also be 
used to assist other government agencies in investigating or 
prosecuting violations or potential violations of law. UAS operators 
who operate their UAS in certain airspace without the proper 
authorization or waiver may be subject to a variety of civil, criminal, 
or regulatory penalties depending on the circumstances. Therefore, it 
is critical for law enforcement to understand whether a UAS flying in 
certain airspace has sought and received an authorization or waiver 
from the FAA if there is an indication of a violation of law.
    5. The authority for maintenance of the system is being updated to 
remove Sec.  333, Special Rules for Certain Unmanned Aircraft Systems, 
which has been repealed, and add its replacement, 49 U.S.C. 44807 
Special Rules for Certain Unmanned Aircraft Systems. This section is 
also being updated to include 14 CFR part 91, ``General Operating and 
Flight Rules'', since the scope of this Notice is being expanded to 
include COA operations under these authorities.
    6. The routine use section is being updated to add the following 
new system specific routine use: Disclosure of information to 
government agencies, whether Federal, State, Tribal, local or

[[Page 59568]]

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 responsible for threat detection in 
connection with critical infrastructure protection. This use is 
compatible with the purpose of this system as this system is intended 
to ensure that sUAS operators are operating their sUAS in accordance 
with the requirements of 14 CFR part 107 and 49 U.S.C. 44809 and to 
ensure that UAS operators are operating their UAS in accordance with 
the requirements of 14 CFR part 91. In addition, 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.
    7. The retrieval section is being updated to include that records 
can be retrieved by a unique generated number (including, but not 
limited to, application number and COA number).
    8. The records retention and disposal section is being updated to 
include the retention schedule for airspace authorization records 
maintained by LAANC. The records were previously maintained 
indefinitely until the FAA's records schedule was approved by the 
National Archives and Records Administration (NARA). NARA has since 
approved the FAA's schedule, DAA-0237-2019-0011, and therefore LAANC 
records will be destroyed three years after authorization is revoked or 
canceled. This notice also adds NARA retention schedule DAA-0237-2023-
0004 for COA Applications (COA Application Processing System [CAPS] and 
COA Application in DroneZone [CADZ]). The retention schedule is with 
NARA for approval and the FAA is proposing to retain the records for 
three years after authorization is revoked or canceled. FAA will 
maintain the records indefinitely until NARA has approved the schedule.

A. Description of Records

    The FAA's regulations at 14 CFR part 107 governing operation of 
sUAS permits operators to apply for certificates of waiver to allow a 
sUAS operation to deviate from certain provisions of 14 CFR part 107, 
if the FAA Administrator finds the operator can safely conduct the 
proposed operation under the terms of a certificate of waiver. 
Operators flying under 14 CFR part 107 or flying limited recreational 
operations under 49 U.S.C. 44809(a) may request authorization to enter 
controlled airspace (Class B, Class C, or Class D airspace, or within 
the lateral boundaries of the surface area of Class E airspace 
designated for an airport). The FAA assesses requests for waivers on a 
case-specific basis that considers the proposed sUAS operation, the 
unique operating environment, and the safety mitigations provided by 
that operating environment. Accordingly, this Notice covers documents 
relevant to both waivers of certain provisions of 14 CFR part 107 as 
well as authorizations to fly in controlled airspace.
    Additionally, the FAA's regulations governing operations under 14 
CFR part 91 permit operators to apply for a COA to allow a UAS 
operation to deviate from certain provisions of 14 CFR part 91 if the 
FAA Administrator finds the operator can safely conduct the proposed 
operation under the terms of a COA. Operators flying under 14 CFR part 
91 may request authorization to operate in the NAS. The FAA assesses 
requests for waivers on a case-specific basis that considers the 
proposed UAS operation, the unique operating environment, and the 
safety mitigations provided by that operating environment. Accordingly, 
this Notice covers documents relevant to both waivers and 
authorizations of certain provisions of 14 CFR part 91.
    At times, operators requesting waivers and authorizations under the 
regulations described above are companies or other non-person entities, 
rather than individuals. Because the Privacy Act applies only to 
individuals, this Notice applies only to waiver and authorization 
records where the owner or operator requesting the waiver is an 
individual, and does not apply to records pertaining to non-person 
entities.
1. Waivers
    To obtain a certificate of waiver, an applicant must submit a 
request containing a complete description of the proposed operation and 
a justification, including supporting data and documentation as 
necessary, to establish the proposed operation can be conducted safely 
under the terms of the requested certificate of waiver. The FAA expects 
that the time and effort the operator will put into the analysis and 
data collection for the waiver application will be proportional to the 
specific relief requested. The FAA will analyze all requests for a 
certificate of waiver and will provide responses as timely as possible 
with more complex waivers requiring more time than less complex ones. 
If a certificate of waiver is granted, that certificate may include 
additional conditions and limitations designed to ensure that the sUAS 
operation can be conducted safely. While all decisions are made against 
the same criteria, decisions are made on a situation specific basis.
    For airspace authorization requests to operate a sUAS in Class B, 
information collected relevant to waivers includes: name of person 
requesting the waiver; contact information for person applying for the 
waiver (telephone number, mailing address, and email address); remote 
pilot in command name; remote pilot in command airmen certification 
number and rating; remote pilot in command' contact information; 
aircraft registration number; aircraft manufacturer name and model; 
submission reference code; regulations subject to waiver; requested 
date and time operations will commence and conclude under the waiver; 
flight path information, including but not limited to altitude and 
coordinates; safety justification; and description of proposed 
operations.
2. Airspace Authorizations
    For Class C, Class D or within the lateral boundaries of the 
surface area of Class E airspace designated for an airport, a remote 
pilot in command may seek either automatic approval or a request for 
further coordination from the FAA. Automatic approvals are completed by 
checking against pre-determined FAA-approved altitude values and 
locations within the aforementioned airspace. Requests sent through the 
FAA website are manually checked against the pre-determined values to 
either approve or deny the request. As this method requires manual 
approval and is not scalable to the increasing numbers of requests for 
authorization, the time for the sUAS operator to receive a response is 
variable.
    Requests sent through the LAANC are approved or denied via an 
automated process and operators receive near real time notice of either 
an approval or denial of the authorization request. ``Requests for 
further coordination'' are needed for those authorization requests for 
operations that are within the aforementioned airspace, under 400 feet 
of altitude, and for a location and altitude that has not been pre-
determined by the FAA to be safe without further consideration. These 
requests for further coordination are sent via either the FAA website 
or through LAANC for 14 CFR part 107 operations and routed for approval 
or denial to the local Air Traffic Control (ATC) facility where the 
requested operation would take place, to make an

[[Page 59569]]

approval decision. The ATC facility has the authority to approve or 
deny aircraft operations based on traffic density, controller workload, 
communications issues, or any other types of operational issues that 
could potentially impact the safe and efficient flow of air traffic in 
that airspace. If necessary to approve a sUAS operation, ATC may 
require mitigations such as altitude constraints and direct 
communication. ATC may deny requests that pose an unacceptable risk to 
the NAS and cannot be mitigated.
    Information collected relevant to airspace authorizations requested 
using the non-automated method includes: aircraft operator name; 
aircraft owner name; name of person requesting the authorization; 
contact information for the person applying for the authorization; 
remote pilot in command name; remote pilot in command contact 
information; remote pilot in command certificate number; aircraft 
manufacturer name and model; aircraft registration number; requested 
date and time operations will commence and conclude; requested altitude 
applicable to the authorization; and description of proposed 
operations.
    Information collected relevant to airspace authorizations requested 
using the automated method LAANC includes: name of pilot in command; 
contact telephone number of remote pilot in command; start date, time, 
and duration of operation; maximum altitude; geometry; airspace 
class(es); submission reference code; safety justification for requests 
for further coordination non-auto-authorized operation; and aircraft 
registration number.
3. Certificate of Waiver or Authorization Associated With Part 91 Civil 
UAS Operation
    To obtain a certificate of waiver or authorization an applicant 
completes the FAA Form 7711-2. An applicant can submit a PDF form 7711-
2 to [email protected] or apply online. The legacy 
system Certificate of Authorization Application Processing System 
(CAPS) is currently used for processing of these applications; however, 
this will eventually be replaced by the Certificate of Authorization 
(COA) Application in the DroneZone (CADZ) system, which is currently in 
development. The Application for Certificate of Waiver or Authorization 
collects the name, address, email address and phone number from the 
applicant, along with details of the operation needed to evaluate the 
application. Once the applicant submits the application, the 
application system (CAPS/CADZ) will automatically generate a unique 
numerical draft number used to track the application. The applicant 
must acknowledge several statements called declarations. The 
declarations section requires Yes or No responses from the applicant 
that certify or declare their type of operation and associated 
authorization. CAPS/CADZ also collects information about the requested 
operation, flight operations area/plan, UAS specifications, and any 
flight crew qualifications. The application is submitted to a Processor 
for their review and to ensure the appropriate information is provided 
to evaluate the application including any attachments that may be 
needed.
    Once the application is submitted, a COA Processor will work with 
the applicant to clarify or correct inconsistencies in the application. 
The COA Processor will have the ability to return the application to 
the applicant for further refinement or submit it to the next reviewer 
(Air Traffic Control Specialists or Aviation Safety Inspector). This 
review process is repeated until all necessary parties have approved 
the application or it is determined that it cannot be approved. Once 
the COA is granted and the COA becomes active, a signed PDF copy of the 
COA is sent to the applicant. If disapproved, the COA processor sends a 
disapproval letter stating the reason for the disapproval.

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:
    Department of Transportation, Federal Aviation Administration, DOT/
FAA--854 Unmanned Aircraft Systems (UAS) Waivers and Authorizations.

SECURITY CLASSIFICATION:
    Unclassified

SYSTEM LOCATION:
    1. COA Application Processing System (CAPS): \3\ Enterprise Data 
Center (EDC) located within the AIT Network at the Mike Monroney 
Aeronautical Center (MMAC), Oklahoma City, OK.
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    \3\ CAPS will be replaced by CADZ and the system will be located 
at Amazon Web Services (AWS) US-West and Oregon Region of the AWS 
East/West Public Cloud.
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    2. Low Altitude Authorization and Notification Capability (LAANC) 
and Part 107 Authorization and Waivers: Amazon Web Services (AWS) US-
West and Oregon Region of the AWS East/West Public Cloud.

SYSTEM MANAGER(S) AND ADDRESS:
    1. COA Application Processing System (CAPS): \4\ Manager, UAS 
Policy Team (AJV-P22), Air Traffic Organization, Federal Aviation 
Administration, 600 Independence Avenue SW--Suite #5E21TS Washington, 
DC 20591 (Wilbur Wright Federal Building--FOB 10B). Contact information 
is mailbox: [email protected].
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    \4\ CAPS will be replaced by CADZ and the system manager will be 
the same as LAANC and Part 107 Waivers.
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    2. Low Altitude Authorization and Notification Capability and Part 
107 Authorization and Waivers: Manager, Amazon Web Services US East/
West Public Cloud. Contact information for system manager is 
[email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    49 U.S.C. 106(g), Duties and powers of Administrator; 49 U.S.C. 
40101, Policy; 49 U.S.C. 40103, Sovereignty and use of airspace; 49 
U.S.C. 40106, Emergency powers; 49 U.S.C. 40113, Administrative; 49 
U.S.C. 44701, General requirements; FAA Modernization and Reform Act of 
2012, Public Law 112-95 (``FMRA''); 14 CFR part 91, ``General Operating 
and Flight Rules''; 14 CFR part 107, subpart D, ``Waivers''; 14 CFR 
107.41, ``Operation in certain airspace''; and 49 U.S.C. 44807 and 
44809(a).

PURPOSE(S):
    The purpose of this system is to receive, evaluate, and respond to 
requests for authorization to operate a sUAS in Class B, C or D 
airspace or within the lateral boundaries of the surface area of Class 
E airspace

[[Page 59570]]

designated for an airport, and evaluate requests for a certificate of 
waiver to deviate safely from one or more sUAS operational requirements 
specified in 14 CFR part 107. The system will also be used to 
facilitate FAA's review and approval of COA applications submitted 
under 14 CFR part 91 for all classes of airspace and ensure the 
operator is able to operate in a safe manner. The FAA also will use 
this system to support FAA safety programs and agency management, 
including safety studies and assessments. The FAA may use contact 
information provided with requests for waivers or authorizations to 
provide owners and operators' information about potential unsafe 
conditions and educate owners and operators regarding safety 
requirements for operation. The FAA will also use this system to 
maintain oversight of FAA issued waivers and authorizations, and 
records from this system may be used by FAA for enforcement purposes. 
The FAA will use this system to assist other government agencies with 
investigating or prosecuting violations or potential violations of law.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Aircraft operators, aircraft owners, and persons requesting a 
waiver or authorization.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Name; contact information to include: mailing address, telephone 
number, and email address; responses to inquiries concerning the 
applicant's previous and current waivers; certificate number; aircraft 
manufacturer name and model; aircraft registration number; unique 
generated number (including, but not limited to, application number and 
COA number); regulations subject to waiver or authorization; requested 
date and time operations will commence and conclude under waiver or 
authorization; flight path information, including but not limited to 
the requested altitude and coordinates of the applicable waiver or 
authorization; description of proposed operations; specifications; 
geometry (center point with radius or Geo/JSON polygon); airspace 
class(es); submission reference code; safety justification for non-
auto-authorized operations.

RECORD SOURCE CATEGORIES:
    Records are obtained from aircraft operators, aircraft owners, 
persons requesting a waiver or authorization, manufacturers of 
aircraft, maintenance inspectors, mechanics, and FAA officials. Records 
are also obtained on behalf of individuals through USS.

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, waiver applications and decisions, including any 
history of previous, pending, existing, or denied requests for waivers 
applicable to the sUAS at issue for purposes of the waiver, and special 
provisions applicable to the sUAS operation that is the subject of the 
request. Email addresses and telephone numbers will not be disclosed 
pursuant to this Routine Use. Airspace authorizations the FAA issues 
also will not be disclosed pursuant to this Routine Use, except to the 
extent that an airspace authorization is listed or summarized in the 
terms of a waiver.
    2. To law enforcement, when necessary and relevant to a FAA 
enforcement activity.
    3. To the National Transportation Safety Board (NTSB) in connection 
with its investigation responsibilities.
    4. 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 responsible for threat detection in 
connection with critical infrastructure protection.
    Departmental Routine Uses:
    5. 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.
    6. 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 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.
    7. 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.
    8a. 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.
    8b. 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

[[Page 59571]]

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.
    9. 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.
    10. 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 alleged 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).
    11. 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.
    12. Routine Use for disclosure to the Coast Guard and to 
Transportation Security Administration. A record from this system of 
records may be disclosed as a routine use to the Coast Guard and to the 
Transportation Security Administration 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.
    13. 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.
    14. 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.
    15a. 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.
    15b. 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 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:
    Individual records relevant to both waivers and airspace 
authorizations are maintained in electronic database systems.

 POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records of applications for waivers and authorizations in the 
electronic database systems may be retrieved by UAS registration 
number, unique

[[Page 59572]]

generated number (including, but not limited to, application number and 
COA number), the manufacturer's name and model, the name of the current 
registered owner and/or organization, the name of the applicant and/or 
organization that submitted the request for waiver or authorization, 
the special provisions (if any) to which the FAA and the applicant 
agreed for purposes of the waiver or authorization, and the location 
and altitude, class of airspace and area of operations that is the 
subject of the request.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The FAA will retain LAANC waivers and airspace authorization 
records in this system of records in accordance with DAA-0237-2019-0011 
(which covers anyone who wishes to fly a sUAS under the provisions of 
Sec.  44809 or part 107). The FAA will destroy the records three years 
after authorization is revoked or canceled. Records Schedule 0237-2023-
0004 for records maintained in CAPS and CADZ is currently pending NARA 
approval. The FAA is proposing to retain these records for three years 
after authorization is revoked or canceled. FAA will maintain the 
records indefinitely until NARA has approved the applicable schedule.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in this system for waivers and airspace authorizations 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.

RECORD ACCESS PROCEDURES:
    Individuals seeking notification of whether this system of records 
contains information about them may contact the System Manager 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 with 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 RECORDS PROCEDURE:
    See ``Record Access Procedures'' above.

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

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    A full notice of this system of records, DOT/FAA854 Requests for 
Waivers and Authorizations was published in the Federal Register on 
August 2, 2016 (81 FR 5078) and July 8, 2019 (84 FR 52512).

    Issued in Washington, DC.
Karyn Gorman,
Departmental Chief Privacy Officer.
[FR Doc. 2023-18289 Filed 8-28-23; 8:45 am]
BILLING CODE 4910-9X-P


