81 FR 54187 - Privacy Act of 1974; Department of Transportation, Federal Aviation Administration, DOT/FAA-801; Aviation Registration Records System of Records Notice

DEPARTMENT OF TRANSPORTATION
Office of the Secretary

Federal Register Volume 81, Issue 157 (August 15, 2016)

In accordance with the Privacy Act of 1974, the United States Department of Transportation proposes to update and reissue a current Department of Transportation system of records titled, ``Department of Transportation Federal Aviation Administration; DOT/FAA-801, Aviation Registration Records System.'' This Privacy Act Systems of Records Notice (SORN) is being updated to reflect an additional system location, categories of records, authorities, storage, retrievability, and safeguarding related to implementation of the FAA General Aviation (GA) Automatic Dependent Surveillance-Broadcast (ADS-B) Rebate Program. This SORN is also being updated to add an additional location for the ADS-B Program. In addition, new categories of records, Rebate Reservation Code and Incentive Code, Public ADS-B Performance Reports (PAPR) are being added. The authorities section is being updated to reflect the new authority under Section 221(a) of the FAA Modernization and Reform Act of 2012 which authorizes the ADS-B incentive program. The storage, retrievability, and safeguarding procedures sections are being updated to reflect that ADS-B records are maintained and safeguarded separate from the Civil Aircraft Registry (CAR) records in FAA facilities. A previously published Routine Use is being updated to include the sharing of ADS-B summary reports with members of the public in order facilitate compliance with FAA equipage requirements and performance standards. The records retention section has been updated to include records created to support the ADS-B Out Final Rule and Rebate programs.

[Federal Register Volume 81, Number 157 (Monday, August 15, 2016)]
[Notices]
[Pages 54187-54190]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-19354]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-FAA-2016-1330]


Privacy Act of 1974; Department of Transportation, Federal 
Aviation Administration, DOT/FAA-801; Aviation 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 update and reissue a current 
Department of Transportation system of records titled, ``Department of 
Transportation Federal Aviation Administration; DOT/FAA-801, Aviation 
Registration Records System.'' This Privacy Act Systems of Records 
Notice (SORN) is being updated to reflect an additional system 
location, categories of records, authorities, storage, retrievability, 
and safeguarding related to implementation of the FAA General Aviation 
(GA) Automatic Dependent Surveillance-Broadcast (ADS-B) Rebate Program. 
This SORN is also being updated to add an additional location for the 
ADS-B Program. In addition, new categories of records, Rebate 
Reservation Code and Incentive Code, Public ADS-B Performance Reports 
(PAPR) are being added. The authorities section is being updated to 
reflect the new authority under Section 221(a) of the FAA Modernization 
and Reform Act of 2012 which authorizes the ADS-B incentive program. 
The storage, retrievability, and safeguarding procedures sections are 
being updated to reflect that ADS-B records are maintained and 
safeguarded separate from the Civil Aircraft Registry (CAR) records in 
FAA facilities. A previously published Routine Use is being updated to 
include the sharing of ADS-B summary reports with members of the public 
in order facilitate compliance with FAA equipage requirements and 
performance standards. The records retention section has been updated 
to include records created to support the ADS-B Out Final Rule and 
Rebate programs.

DATES: Written comments should be submitted on or before September 14, 
2016. The Department may publish an amended Systems of Records Notice 
in light of any comments received. This new system will be effective 
September 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-FAA-2016-13307. 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; [email protected]; 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 update and reissue a DOT system of records titled, 
``DOT/FAA-801 Aviation Registration Records.''
    In May of 2010, the FAA published a final rule titled Department of 
Transportation, Federal Aviation Administration, 14 CFR part 91, 
Automatic Dependent Surveillance-Broadcast (ADS-B) Out Performance 
Requirements. This rule mandates that aircraft flying in certain 
controlled airspace be equipped with ADS-B Out technology by Jan. 1, 
2020. In order to accelerate compliance with the 2010 ADS-B Out Final 
Rule, the FAA is offering a financial incentive to owners of general 
aviation aircraft to encourage compliance with the ADS-B Out Final 
Rule. Rebates are available to owners of U.S.-registered, fixed-wing, 
single-engine piston aircraft that purchase and install FAA Technical 
Standard Orders (TSO) certified avionics. The FAA will offer up to 
20,000 rebates of $500 on a first-come, first-served basis to owners of 
these aircraft; and so long as funding is available or one (1) year 
from the beginning of the program; whichever occurs first.
    In order for an aircraft owner to initiate the rebate claim 
process, they must access the GA ADS-B Rebate

[[Page 54188]]

Program web application, provide the aircraft registration number, 
their email address, signature and click statements acknowledging no 
liability to the FAA for their ADS-B equipment. The ADS-B rebate 
application will manage rebate reservation and claim records which 
includes a rebate code, incentive code, and the email address 
associated with every rebate reservation and claim. The purpose of the 
rebate reservation code and incentive code is to allocate one of the 
20,000 rebates available and to ensure the aircraft has completed the 
equipment installation. Once the reservation application process is 
complete, the owner is emailed a rebate reservation code. This unique 
code is used in the ADS-B rebate Web site application to ensure that 
only one aircraft and associated owner receives a rebate.
    ADS-B, Traffic Information Service--Broadcast (TIS-B), and Flight 
Information Service--Broadcast (FIS-B) 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 in order to communicate 
back to the reporting pilot about the issue or problem that they 
reported.
    The ADS-B Compliance Monitor (CM) enables FAA to assist aircraft 
owners, pilots and avionics installers to validate the performance of 
their ADS-B equipment installation upon request. This is communicated 
via the Public ADS-B Performance Report (PAPR).
    In order to complete the claim rebate process, no later than 60 
days after the scheduled installation date provided in the reservation, 
the aircraft owner must go to the GA ADS-B Rebate Web site and provide 
their aircraft registration number, rebate reservation code, incentive 
code and email address. If approved, the rebate payments will be 
processed by the third party vendor Aircraft Electronics Association 
(AEA). AEA will then issue the aircraft owner a rebate check based on 
the information provided by the FAA. The FAA will receive the check 
number and date of issuance from AEA to validate the process was 
completed.
    This system of records notice (SORN) is being updated to add the 
new categories of records held for operational implementation of the 
ADS-B Out Rulemaking including administration of the GA ADS-B Rebate 
program on-going compliance monitoring, and ADS-B/TIS-B/FIS-B problem 
report programs. The authorities for collection are being expanded to 
include Section 221(a) of the FAA Modernization Act of 2012 which 
provides for the establishment of the ADS-B incentive program which is 
in the interest of achieving next generation capabilities for such 
aircraft. The purpose section is being updated to reflect the data 
collected and used by the FAA necessary validate aircraft eligibility 
for the ADS-B rebate program and to send payment to the aircraft 
owner`s address of record. The data collected and utilized includes 
information previously provided by aircraft owners during aircraft 
registration process and maintained in the CAR as well as the separate 
collection of.name, home address and aircraft tail number. In addition, 
to support of the ADS-B Rebate program the information contained in 
these systems will be used by the FAA to provide program oversight and 
perform statistical analysis of various parameters of the FAA ADS-B 
Program in support of FAA's safety programs and agency management. The 
storage and safeguarding sections of this SORN are being updated to 
reflect that payment information is being stored at a third party 
vendor location to issue a rebate to aircraft owners in connection with 
the ADS-B rebate program.
    The records retention section is being updated to reflect the 
proposed records schedule for the ADS-B rebate, CM programs and ADS-B/
TIS-B/FIS-B Problem Reports. Finally the retrievability section is 
being updated because the ADS-B rebate program and ADS-B CM records are 
retrieved by the aircraft registration number. Additional non-
substantive modifications have been made to the SORN text to provide 
clarity.

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, Aviation 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.
    FAA ADS-B CM database, the GA ADS-B Rebate application database, 
the ADS-B/TIS-B/FIS-B Problem Report database, and associated records 
are located at FAA William J. Hughes Technical Center. 101 Atlantic 
City International Airport, Egg Harbor Township, New Jersey 08405.

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; 
Registered owner credit card information (FAA UAS Registration Service 
user only). ADS-B Rebate Reports (including but not limited to Rebate 
Reservation Code; Incentive Code, and user-specified date of validation 
flight); ADS-B/TIS-B/FIS-B Problem Reports including name, email 
address, and information about

[[Page 54189]]

the reported issue/problem, including location and aircraft avionics 
equipage from pilots.

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
    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
    x. Section 221(a) of the FAA Modernization and Reform Act of 2012

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. To aid in compliance with FAA standards 
including but not limited to agency enforcement regulations. Educate 
owners regarding safety requirements for operation. Receive and record 
payment of aircraft registration fee. Determining eligibility for and 
issuance of a rebate for equipage under the GA ADS-B Rebate Program. 
After January 1, 2020, the FAA Flight Standards organization will 
utilize the ADS-B Compliance Monitor in ongoing enforcement of agency 
regulations. To communicate with aircraft pilots and owners regarding 
reported ADS-B-related service issues.

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, 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. Email addresses, credit card information, and 
telephone numbers of small unmanned aircraft system (sUAS) owners 
registered under 14 CFR part 48 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 14 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. ADS-B Rebate Web site records, 
ADS-B/TIS-B/FIS-B Problem Report records, and ADS-B CM records are 
maintained on the Electronic Data Centers Oracle Real Application 
Clusters (RAC) Systems at FAA facilities. ADS-B rebate program payment 
records are stored on the FAA servers.

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. ADS-B rebate program and ADS-CM records are 
retrieved by the aircraft registration number. TIS-B/FIS-B records are 
retrieved by the reporting pilot's name.

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. Access to ADS-B CM Rebate and 
ADS-B/TIS-B/FIS-B Problem Report records 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.

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 has 
submitted to NARA a recommended retention period for aircraft 
registration records submitted under 14 CFR part 48 as permanent which 
is consistent with the registration of manned aircraft. Until small UAS 
registration records have been scheduled with NARA the FAA

[[Page 54190]]

will provide annual snapshots of the database to NARA to determine 
historical value. The FAA (DAA-0237-2016-0008) proposes to maintain 
most records created in support of the ADS-B Rebate Program for 3 years 
after the program ends; payment records will be retained for 6 years; 
The FAA will manage ADS-B related records as permanent records until 
the proposed schedule is approved by NARA.

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. Manager, Automatic Dependent Surveillance--
Broadcast (ADS B) Program, AJM-2323 800 Independence Ave. SW., 
Washington, DC 20591.

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 (OMB) under the referenced information 
collection requests; OMB control numbers, 2120-0024, 2120-0029, 2120-
0042, 2420-0043, 2120-0078, and 2120-0729.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

    Issued in Washington, DC.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2016-19354 Filed 8-12-16; 8:45 am]
BILLING CODE 4910-9X-P