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6 U.S. Department of Transportation 7

8 Privacy Impact Assessment 9
Federal Aviation Administration 10 Small Unmanned Aircraft Systems Notice of Proposed Rulem aking ( NPRM ) 11

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Responsible Official 14
Lance Nuckolls 15 Aviation Safety Inspector 16
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- 267

- 8447 17
UAS

- rule@faa.gov 18

Reviewing Official 19
Claire W. Barrett 20 Chief Privacy & Information Asset Officer 21
Office of the Chief Information Officer 22 privacy@dot.gov 23

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Claire W. Barrett DOT Chief Privacy & Information Asset Officer

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29FAA Small Unmanned Aircraft Systems NPRM

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- Executive Summary
In the Federal Aviation Administration ( FAA ) Modernization and Reform Act of 2012 (Public Law 112

- 95), Congress mandated that the Department of Transportation conduct a rulemaking to continue integrating small unmanned aircraft systems ( s mall UAS) into the National Airspace System (NAS). In response to this statutory mandate, the FAA 1 is publishing a notice of proposed rulemaking (NPRM) to allow certain small

U AS to operate commercially in the NAS. The proposed rule would address the operation of s mall UAS

, certification of their operators, registration of the small unmanned aircraft, and display of registration markings.

The proposed rule would create a new ai rman certificate for small UAS operators, which would be called an unmanned aircraft operator certificate with a small UAS rating. The process for granting this newly

- created
certificate w ould be in line with the process for granting traditional airman ce rtificates. Thus, the privacy implications of this rule to the privacy of the information that w ould be collected, maintained, stored, and disseminated by the FAA in accordance with this rule are the same as the privacy implications of the FAA’s

current a irman certification processes. These privacy impacts have been analyzed and documented by the FAA
in the Privacy Impact Assessments (PIAs) for the following systems which support the collection, processing, and management of personally identifiable infor mation (PII) necessary to support the granting of airmen certificates, and will be updated to be consistent with

, and prior to

, the implementation date of the Final Rule for this rulemaking : Civil Aviation Registry Applications (AVS Registry); the Integrated Airman Certification and Ratings Application (IACRA); and the Accident Investigation Database (AIDs). The PIAs for these
systems
, as well as th is PIA

, may be found on the DOT Privacy Progr am website www.dot.gov/privacy

.
The FAA also acknowledges that privacy concerns that have been raised about unmanned aircraft operations. Although these issues are beyond the scope of this rulemaking, recognizi ng the potential implications for privacy and civil rights and civil liberties from the use of this technology, and consistent with the direction set
forth in the Presidential Memor andum, Promoting Economic Competitiveness While Safeguarding Privacy,
Civil Rights, and Civil Liberties in Domestic Use of Unmanned Aircraft Systems (F ebruary 15 , 2015), the FAA will participate in the multi

- stakeholder engagement process led by the National Telecommunications and Information Administration (NTIA) to assist in fostering the discussion regarding privacy, accountability, and transparency issues regarding commercial and private UAS use in the NAS. We also no te that there exist state, and other legal protections that protect individual privacy, and that those laws may provide recourse for a person whose privacy may be affected through another person’s use of a UAS.

What is a Privacy Impact Assessment?

The Privacy Act of 1974 articulates concepts for how the federal government should treat individuals and their info rmation and imposes duties upon federal agencies regarding the collection, use, dissemination, and maintenance of personally identifiable information (PII). The E

- Government Act of 2002, Section 208,

1 The primary authority for this rulemaking is based on section 333 of Public Law 112

- 95 (Feb. 14, 2012). In addition, this rulemaking also relies on FAA statutory authorities. Thus, for the purposes of this rulemaking, the terms “FAA,” “the agency,” “DOT,” “Department of Transportation,” and “the Secretary,” are used synonymously throughout this document.FAA Small Unmanned Aircraft Systems NPRM

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- establishes the requirement for agencies to conduct priv acy impact assessments (PIAs) for electronic information systems and collections. The assessment is a practical method for evaluating privacy in information systems and collections, and documented assurance that privacy issues have been identified and adeq uately addressed. The PIA is an analysis of how information is handled to

— i) ensure handling conforms to applicable legal, regulatory, and policy requirements regarding privacy; ii) determine the risks and effects of collecting, maintaining and disseminat ing information in identifiable form in an electronic information system; and iii) examine and evaluate protections and alternative processes for handling information to mitigate potential privacy risks. 2

Conducting a PIA ensures compliance with laws and regulations governing privacy and demonstrates the DOT’s commitment to protect the privacy of any personal information we collect, store, retrieve, use and share. It is a comprehensive analysis of how the D OT’s electronic information systems and collections handle personally identifiable information (PII). The goals accomplished in completing a PIA include:

- Making informed policy and system design or procurement decisions. These decisions must be based on a n understanding of privacy risk, and of options available for mitigating that risk;

- Accountability for privacy issues;

- Analyzing both technical and legal compliance with applicable privacy law and regulations, as well as accepted privacy policy; and

- Providing documentation on the flow of personal information and information requirements within DOT systems.
Upon reviewing the PIA, you should have a broad understanding of the risks and potential effects associated with the Department activities, process es, and systems described and approaches taken to mitigate any potential privacy risks.

Introduction & NPRM Overview
The FAA has accommodated non

- recreational small UAS use through various mechanisms, such as special airworthiness certificates, exemptio ns, and certificates of authorization or waiver (COA). This proposed rule would be the next phase of integrating small UAS into the National Airspace System ( NAS ). Just a few examples of possible small UAS operations that could be conducted un der this prop osed framework are :

• Crop monitoring/inspection;

• Research and development;

• Educational/academic uses;

• Power

- line/pipeline inspection in hilly or mountainous terrain;

• Antenna inspections;

• Aiding rescue operations;

• Bridge inspections; and

2 Office of Management and Budget’s (OMB) definition of the PIA taken from guidance on implementing the privacy provisions of the E

- Government Act of 2002 (see OMB memo of M

- 03

- 22 dated September 26, 2003).FAA Small Unmanned Aircraft Systems NPRM

- 3

- • Wildlife nesting area evaluations.
Because of the potential societally

- beneficial applications of small UAS, the FAA has been seeking to incorporate these systems into the NAS since 2008.

On February 1, 2012, Congress passed the FAA Modernization and Reform Act of 2012, Public Law 112

- 95. Section 333 directed the Secretary of Transportation to determine whether UAS operations posing the least amount of public risk could safely be operated in the NAS and

, if so, to establish requirements for the safe operation of these sy stems in the NAS. As part of its ongoing efforts to integrate UAS operations in the NAS, and in accordance with Public Law 112

- 95, § 333, the Department of Transportation is proposing to adopt specific rules for the commercial operation of small UAS posin g the least amount of public risk in the NAS

, including the four components of the proposed rulemaking that trigger this PIA.

Broadly speaking, the FAA proposes to add a new part 107 to Title 14 Code of Federal Regulations (14 CFR) to allow for civil comme rcial operation of small UAS in the NAS within an acceptable set of safety parameters

. The proposed rule making would define small UAS as weighing less than 55 pounds, and it would limit such UAS to operate only during daylight , within a confined area

, and within visual

- line

- of

- sight. The confined area would prohibit small UAS from flying higher than 500 feet above ground level and from entering controlled airspace without permission from the local Air Traffic Control. The proposed rule would also impose other operational limits, including speed limitations and weather minimums that are necessary to maintain the safety of the NAS.

In addition, this proposed rule would require the person manipulating the controls of a small UAS to obtain a small unmanned ai rcraft operator certificate with a small UAS rating. This would be a new type of airman certificate created for small UAS operations. The small UAS rating would bestow on the certificate holder the privilege or limitations associated with operating a sma ll UAS. T o obtain this certificate and rating , an applicant would have to pass an aeronautical knowledge test administered in a similar manner as knowledge tests for other FAA

- issued airman certificates , and undergo security vetting by the Transportation Security Administration (TSA) . After obtaining the unmanned aircraft operator certificate, the certificate holder would then have to pass a recurrent knowledge test every 24 months to remain current on the certificate.

Finally, this proposed rule would re quire that all unmanned aircraft be registered to operate in the NAS. The registration process for small unmanned aircraft would be the existing process codified in 14 CFR part 47. The proposed rule would also require small unmanned aircraft to visibly d isplay their registration markings in accordance with 14 CFR part 45. We expect that this rulemaking, once final, would increase the number of commercial small UAS operating in the NAS to approximately 7,500 within five years.

T his PIA focuses on the four components of the FAA’s proposed rulemaking that would result in the government collection of PII: (1) operator certification applications ; (2) aircraft registration applications ; (3) administration of a knowledge test; and (4) accident reporting . Due to the substantial overlap between the privacy issues arising out of the operator certification component and aircraft registration component, the analyses of these two areas are frequently collapsed into a single section within this PIA.

Application for an Operator Certificate and Aircraft Registration
The primary mission of the FAA is to provide the safest, most efficient aerospace system in the world. One of the ways the FAA supports this mission is through the certification of airmen and registration of aircraft, asFAA Small Unmanned Aircraft Systems NPRM

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- required under 49 United States Code (U.S.C.) §§ 44703 and 44103, respectively. 3 Several of the privacy impacts analyzed here would be the result of the FAA’s proposal to extend these existing FAA safety data systems to accommodate the incorporation of small UAS into the NAS.

The proposed rule would define a small UAS “operator” as any person who manipulates the flight controls of a small UAS . Under the FAA’s statute, an operator is considered to be an airman, and therefore, a UAS operator would be statutorily prohibited from operating a small UAS in air commerce without an airman certificate. 4 As such, the proposed rule would, in several ways, treat the PII of small UAS operators similarly to the PII of airmen that are currently certificated by the FAA. Specifically, any individual seeking to serve as an operator on a commercial s mall UAS operation would be required to submit an application, including certain necessary PII, for FAA review and issuance of an operator certificate.

Another similarity between the proposed small UAS rule and the FAA’s existing regulatory scheme is the requirement to register aircraft. 5 T he FAA’s statute prohibits a person from operating a civil aircraft that is not registered, 6 and this proposed rule would codify this statutory requirement for small UAS

. In light of these similarities, the FAA’s NPR M would leverage existing aircraft and airmen certification processes and systems to address requirements in the NPRM for small UAS operators

- and vehicles

- related

. PII collected by the FAA for these purposes will be managed in accordance with the Departm ent’s existing systems of records

. Specifically, this information would be maintained within t he Civil Aviation Registry Applications (AVS Registry, also known as the Registry Modernization System (RMS)) , which was developed to help the FAA meet its respon sibilities under 49 U.S.C. §§ 44703 and 4 4103. The AVS Registry is used by the Airmen Certification Branch, AFS

- 760 and the Aircraft Registry Branch, AFS

- 750, which are responsible for the legally

- mandated certification and registration of airmen and airc raft, respectively , and i n accordance with DOT / FAA 847, Aviation Records on Individuals 7 and DOT/ FAA 801, Aircraft Registration System 8

.

The FAA's Office of Aviation Safety (AVS) is responsible for managing the FAA airman certification process. Airm e n or applicants may submit paper applications or submit an electronic application using the Integrated Airman Certification and Rating Application (IACRA) system. IACRA is a web

- based application that guides the user through the FAA’s airman application p rocess and serves as a temporary repository until applications are accepted into the official airman record in the AVS Registry. Pri vacy mitigations strategies for the IACRA application may be found in the IACRA PIA (see www.dot.gov/privacy ).

The AVS Registry serves as the national repository for airmen certification and aircraft registration records and provides the central services necessary for control of these records, which are used by FAA, the National Transp ortation Safety Board (NTSB), Department of Homeland Security (DHS), State and Federal law enforcement and may also be used in court litigation, employment, and insurance verification by the aviation industry and for other appropriate public needs. AVS Reg istry collects PII about airmen and aircraft owners,

3 Under the pertinent statutes, a person may not: (1) operate an aircraft that is not registered; and (2) serve as an airman wi th respect to a civil aircraft used in air commerce without an airman certi ficate. See 49 U.S.C. §§ 44101, 44711(a)(2)(A).

4 See 49 U.S.C. § 40102(a)(8)(A) (defining an airman to include an individual who is “in command, or as pilot, mechanic, or member of the crew, who navigates aircraft when under way” ); 49 U.S.C. § 44711(a)(2 )(A) (prohibiting a person from serving as an airman with regard to a civil aircraft being used in air commerce without an airman certificate)

. 5 See 14 CFR part 47.

6 49 U.S.C. § 44101(a).

7 DOT/FAA 847, Aviation Records on Individuals

– 75 FR 68849

- November 9, 2010

8 DOT/FAA 801 Aircraft Registration System

- 65 FR 19518

- April 11, 2000FAA Small Unmanned Aircraft Systems NPRM

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- including name, Social Security number (SSN), address, and date of birth. For more information about the data collection activities in the AVS Registry please see the AVS Registry PIA.

The FAA expects t hat applicants to the AVS Registry seeking an u nmanned a ircraft o perator c ertificate with a

s mall UAS r ating would use an application form similar to those forms currently used by other applicants and would require individuals to provide the following info rmation :

• Full name

• SSN (voluntary)

• Date of Birth

• Place of Birth

• Citizenship

• Vital Description (hair and eye color, height, weight, gender)

• Home Address

• Home Phone Number

• E

- mail address (for IACRA registration only)

• Security questions and answers (for IACR A registration only)

• Passwords (for IACRA registration only)

• Military Competence (Rank or grade and service number)

• Applicant ID

• Name and certificate number of either: Designated Examiner; Flight Instructor; or Airman Certification Representative

, Inspector Name, certificate number and Code

• Drug Convictions (Y/N, Date of Convictions)

• Electronic Signature

• Airman Certificate Date of Issuance

• English Proficiency (Y/N)

• Medical limitations preventing English Proficiency

We note that the scope of inform ation that is collected as part of the unmanned aircraft operator application may be changed in the final small UAS rule in response to comments received on the NPRM.

The Aircraft Registration (AR) system is used by the Aircraft Registry Branch, AFS

- 750, which is responsible for the national programs of aircraft registration, recording of encumbrances against U.S. civil aircraft, identification of registered aircraft, and law enforcement assistance as it involves the aircraft registration

program. FAA co llects the information necessary to establish and maintain the national repository of all
United States civil aircraft records. To register an aircraft, the aircraft owner(s) must file an application supported by evidence of ownership , together with the r egistration fee. Registering an aircraft results in the issuance of a certificate and the assignment of U.S. registration markings (N Numbers or tail numbers). AR has many uses and most information is publically available and may be used by individuals seeking information about an aircraft they are considering purchasing

, banks that finance such purchases, aviation
historians , and other interested individuals.

The information collected as part of the aircraft registration process and entered into the AR includes :FAA Small Unmanned Aircraft Systems NPRM

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- • The aircraft registration number assigned to or reserved for this aircraft’s registration

• Name of the aircraft manufacturer

• Aircraft model designation

• Aircraft serial number

• Full legal name of applicant(s)

• Type of Applicant (individu al, partnership, corporation, co

- ownership, Government, Non

- citizen corporation)

• Permanent mailing address for first applicant listed, (If PO Box is given, then street address or location is also required.)

• Data collected from the aircraft registration pro cess includes;

• Date of Registration

• Date Registration will expire

• Whether applicant is an aircraft dealer

• Whether a Registration Number change has been authorized

• The aircraft’s registration status

• Whether ownership appears to be part of a Fractional Ownership Management Arrangement

There is no required form for the recording of interests in aircraft (liens, mortgages, leases, etc.). However, sample or example forms have been published by the Aircraft Registration Branch for bills of sale, Security
A greements, conditional sales contracts, and repossession. The paperwork requirements for these transactions are governed by local laws, so the FAA examples provide only a basic format and terminology that would be acceptable in most jurisdictions across t he U.S. The information collect ed from these forms is limited to the names and addresses of the parties, the registration number of the affected aircraft, a description of the affected aircraft, engine(s) and propellers by manufacturer’s name, model desig nation and serial numbers, and the location of affected aircraft parts by city and s tate. Furthermore, t he Aircraft Registration Branch call s attention
to the fact that the recording of an interest (e.g., lien) in an aircraft is done voluntarily and becom e s part of records available for public review

, and that FAA policy is that any sensitive information included on the forms was provided with this knowledge. Nevertheless, if personal information such as social security numbers is found during the examina tion process, th at information is redacted. In addition, i f other sensitive information is discovered after a document has been recorded, the affected party may request in writing for the sensitive information to be redacted from a particular document by contacting the Aircraft Regist ration Branch (AFS

750) or by submitting an electronic request through the following website: http://www.faa.gov/licenses_certificates/aircraft_certification/aircraft_registry/contac t_aircraft_certification/ The images of these documents affecting an interest in an aircraft are filed in the aircraft’s record kept in the EDRS; no data is captured from these documents for entry into the AR

. During document receipt and preprocessing

, a computerized index of documents filed is created that captures data from recordable documents. The data collected for this index can be accessed by either the names of the parties shown on the documents and the registration number of the aircraft, or the description of engines, propellers and spare parts
locations. The data collected consists of:FAA Small Unmanned Aircraft Systems NPRM

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- • The n ames of the parties

• The date the document was received

• An abbrevia tion for the type of document (BOS, REL, S/A, DIS)

• The registration number for aircraft

• The manufacturer name, model, and serial number of engines and propellers

Typical outputs of routine aircraft registration and aircraft

- interest recordation would be the issuance of a Certificate of Aircraft Registration, AC Form 8050

- 3 , and/or Conveyance Recordation Notice, AC Form 8050

- 41 9

. All accessible forms can be found at https://employees.faa.gov/tools_resources/forms/

Administration of an Aeronautical Knowledge Test

The FAA also proposes to require applicants for an operator certificate to demonstrate sufficient aeronautical knowledge to safely operate a small UAS. As discussed above, part of the FAA’s safety mission , as required by statute, is to cer tificate qualified persons as airme n capable of operat ing aircraft in the NAS

. Under the current proposal, an applicant for a n unmanned aircraft operator certificate with a small UAS rating would be required to pass an FAA aeronautical knowledge written t est, focusing on knowledge areas specified in the proposed part 107.

The aeronautical knowledge test would be administered by the FAA’s Airman Knowledge Testing Organization Designation Authorization (commonly referred to as a Knowledge Testing Center or KTC). 10 An FAA KTC is currently authorized to give aeronautical knowledge tests for existing airman certificate applicants such as pilots (14 CFR part 61), flight engineers (part 63), and mechanics (part 65). As part of the existing requirements for taki ng the knowledge test, an applicant must provide the KTC facility with his or her name, mailing address, and date of birth and provide valid photo ID for the purposes of identity verification

. As with the airman application, an applicant may provide his or her social security number, but is not required to do so. The proposed rule would apply these requirements to applicants for an unmanned aircraft operator
certificate. As stated in FAA Order 8080.6G 11 , the FAA has established strict protocols regarding how a KTC accepts PII and photo ID verification information, how that information is transmitted to the FAA, how it must be safeguarded, and how long it must be kept by the KTC. These protocols would also apply to applicants for an unmanned aircraft oper ator certificate.

Accident Reporting

As part of its safety mission, the FAA collects and reviews aircraft accident data and uses that data to promulgate rules

, develop aviation safety outreach programs that improve aviation safety , and investigate potentia l violations of FAA regulations

. UAS is a relatively new industry and operators of small UAS may not have prior experience with aviation regulations or FAA oversight. Furthermore, b ecause of the newness of the small UAS industry, the FAA currently does n ot have the oversight experience with small UAS that it has with

9 http://www.faa.gov/forms/index.cfm/go/document.information/documentID/184100

10 See 14 CFR part 183 Subpart D.

11 http://www.faa.gov/documentLibrary/media/Order/FAA_Order_8080_6G.pdfFAA Small Unmanned Aircraft Systems NPRM

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- manned

- aircraft operations. Accordingly, the NPRM would require any FAA

- certificated small UAS operator to report certain types of accidents involving UAS to the nearest FAA Flight Standards District Office (FSDO) within 10 days of the accident

. T his proposed rule would require a small UAS operator to report to any small UAS operation that results in (1) any injury to a person

, or (2) damage to property other than the small unmanned aircraft , to the FAA FSDO closest to the accident site

. After receiving this report, the FAA may conduct further investigation to determine whether any FAA regulations were violated. Under this proposal, the only PII that an operator would need to provide to the FAA when reporting an accident would be his or her name and operator certificate number. 12 Upon receiving an accident report, the FAA would use the small UAS operator’s and small UAS registered owner’s PII collected d uring the airman certification and aircraft registration process to supplement the report , as necessary . The small UAS accident report w ould become part of the existing FAA aircraft accident database for the purpose of an FAA

- internal safety risk analysis , and would be shared with the NTSB. If the small UAS accident involved serious injury or death, the NTSB may investigate the cause of the accident (49 CFR 830.2). Though the FAA aircraft accident database may be accessed by the public, no sensitive PII is made publicly available. However,

on a case

- by

- case basis and depending on the circumstances, certain small UAS operator and/or small UAS owner PII information as it pertains to a small UAS accident might be made available through a Freedom o f Informati on Act (FOIA) request. For example, in certain circumstances, the FAA may, in response to a FOIA request, release the name of the individual who was involved in the accident, and, if a business is involved, the FAA may release the name and contact informa tion for that business. However, the FAA would not release the address or contact information of an individual who is involved in an accident. For more information about the data collection activities about accidents and incidents please see the AIDS PIA.

Fair Information Practice Principles (FIPPs) Analysis The DOT PIA template is based on the fair information practice principles (FIPPs). The FIPPs, rooted in the tenets of the Privacy Act, are mirrored in the laws of many U.S. states, as well as many for eign nations and international organizations. The FIPPs provide a framework that will support DOT efforts to appropriately identify and mitigate privacy risk. The FIPPs

- based analysis conducted by DOT is predicated on the privacy control families articulat ed in the Federal Enterprise Architecture Security and Privacy Profile (FEA

- SPP)
v3 13 , sponsored by the National Institute of Standards and Technology (NIST), the Office of Management and Budget (OMB), and the Federal Chief Information Officers Council and the Privacy Controls articulated in Appendix J of the NIST Special Publication 800

- 53 Security and Privacy Controls for Federal Information Systems and Organizations 14

.
Transparency

Sections 522a(e)(3) and (e)(4) of the Privacy Act and Section 208 of the E

- Government Act require public notice of an organization’s information practices and the privacy impact of government programs and activities. Accordingly, DOT is open and transparen t about policies, procedures, and technologies that directly

12 An operat or may choose to provide PII information concerning persons injured or property damage that occurred as a result of the accident. If an operator provides this information, it would be protected in the same manner as the operator’s

PII.

13 http://www.cio.gov/documents/FEA

- Security

- Privacy

- Profile

- v3

- 09

- 30

- 2010.pdf

14 http://csrc.nist.gov/publications/drafts/800

- 53

- Appdendix

- J/IPDraft_800

- 53

- privacy

- appendix

- J.pdfFAA Small Unmanned Aircraft Systems NPRM

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- affect individuals and/or their personally identifiable information (PII). Additionally, the Department should not maintain any system of records the existence of which is not known to the publi c.
Application for an Operator Certificat e and Aircraft Registration

DOT has published the following Privacy Act System of Records Notice s (SORNs)

, DOT/FAA 847, Aviation Record s on Individuals

– 75 FR 68849

- November 9, 2010

, and DOT/FAA 801 Aircraft Registration System

- 65 FR 19518

- April 11, 2000 that provide notice to the public of its privacy practices regarding the collection, use, sharing, safeguarding, maintenance and disposal of information that affects individuals and/or their Personally Identifiable Information (PII) which may be collected as part of the small UAS airmen certifica tion

processes. Notice to individuals concerning the collection of their PII is provided at the time of collection and is provided as a statement in accordance with the Privacy Act, 5 U.S.C. § 552a( e)(3), and included in the application process. Individua ls provide consent for the collection of their information by participating in the application process . The SORNs can be found at www.dot.gov/privacy

. The publication of this PIA demonstrates DOT’s commitment to providing appropriate transparency into the privacy risks and mitigation strategies associated with the collection of PII by the FAA in support of integrating small UAS into the NAS consistent with the NPRM.

Administrati on of an Aeronautical Knowledge Test

The public would be notified about the collection of PII necessary for administering a knowledge test through the provisions of the NPRM and a final rule codifying this process. These documents go through the notice

an d

- comment process applicable to a rulemaking, and the public will have an opportunity to weigh in on these provisions as part of the notice and comment process.

We also note that, as part of its day

- to

- day function, a Knowledge Testing Center may need to provide its data to the FAA. I nquiries made under the Freedom of Information Act (FOIA) may require the FAA to disclose certain PII and other test

- related information that is provided to the FAA by a Knowledge Testing Center. However, aside from providin g information necessary to comply with FOIA, no sensitive PII information collected by the FAA from a Knowledge Testing Center would be made public.

Accident Reporting
The public would be notified about the accident

- reporting component of the NPRM throug h the provisions of the NPRM and a final rule codifying these provisions. These documents will go through the notice

- and

comment process applicable to a rulemaking, and the public will have an opportunity to weigh in on these provisions as part of the not ice and comment process.

Except to the extent required by law , no sensitive PII data would be made public under the proposed accident

reporting provision of the NPRM. However, the PII for the small UAS operator and small UAS owner, as well as the informa tion contained in the small UAS accident report, may be used by the FAA to determine the following: 1) the performance of FAA facilities or functions; 2) the performance of non

- FAA

- owned and operated air traffic control (ATC) facilities or Navigational Aid s (NAVAID); 3) the airworthiness of small unmanned aircraft; 4) the competency of FAA

- certificated airman; 5) the adequacy of the applicable FAA regulations; 6) whether airport certification safety standards or operations were involved; 7) whether airport security standards or operations were involved; 8) whether a medical event occurred that resulted in an accident; and 9) whether there was a violation of the applicable FAA regulations.FAA Small Unmanned Aircraft Systems NPRM

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- Individual Participation and Redress

DOT should provide a reasonable opportunity and capability for individuals to make informed decisions about the collection, use, and disclosure of their PII. As required by the Privacy Act, individuals should be active participants in the decision making process regarding the collection and use of their PII and be provided reasonable access to their PII and the opportunity to have their PII corrected, amended, or deleted, as appropriate.

Application for an Operator Certificate and Aircraft Registration

Und er the provisions of the Privacy Act, individuals may request searches of IACRA and AR to determine if any records have been added that may pertain to them.
Individuals wishing to know if their records appear in this system may inquire in person or in wr iting to:

Federal Aviation Administration Privacy Office 800 Independence Ave. SW Washington DC, 20591
Included in the request must be the following:

• Name,

• Mailing address,

• Phone number or email address,

• A description of the records sought, and if possible, the location of the records and system(s) acronym(s).
Contesting records procedure: Individuals wanting to contest information about them that is contained in this system should make their requests in writing, detailing the reasons for why the r ecords should be corrected to the following address:

Federal Aviation Administration Privacy Office 800 Independence Ave. SW Washington DC, 20591
For questions relating to privacy, visit the DOT Privacy Program website at www.dot.gov.privacy

. Administration of an Aeronautical Knowledge Test

Under the proposed rule, the PII collected by the 14 CFR part 183 designated Knowledge Testing Center
would be the same as that being currently collected for other FAA aeronautical knowledge tests required for an airman certificate. Due to the nature of the application process, if PII is incorrect it would surface during the process when the FAA processes the oper ator certificate application. The FAA would contact the applicant if problems with the PII surface during this process and it would annotate and correct any information that an individual points out is incorrect. The PII and photo ID verification data co llected by a FAA Knowledge Test Center and the FAA to take the small UAS aeronautical knowledge test would also not be made publically
available.FAA Small Unmanned Aircraft Systems NPRM

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- Accident Reporting

The information collected in the s mall UAS accident would be the same as information that t he FAA currently processes for manned aircraft accidents. When a manned aircraft accident is investigated, the results of that investigation are entered into Air Traffic Quality Assurance secured system, which places that information into the AIDs secured database.
We also note that the FAA would make aircraft accident data publically available on its Accidents/Incidents Data Systems database, which can be accessed through the FAA’s Aviation Safety Information Analysis and Sharing (ASIAS) website ( http:/ /www.asias.faa.gov/ ). Though the FAA would collect certain PII for accident reporting purposes, that PII would not be published on ASIAS.

Purpose Specification

DOT should (i) identify the legal bases that authorize a particular PII collection, activit y, or technology that impacts privacy; and (ii) specify the purpose(s) for which its collects, uses, maintains, or disseminates PII.

Application for an Operator Certificate

The FAA would collect PII during the certification application process for the purpose of identifying the airman and to determine applicant eligibility for a certificate and/or rating. Data elements and airman information collected would be used to identify, verify, and determine eligibility and to contact identifie d individuals. Below, we provide a list of authorities based on which the FAA would collect and maintain PII under the NPRM.

The Registry currently collects and maintains PII based on the following authorities:

• Proposed 14 Code of Federal Regulations (C FR) Part 107, Subpart C

– Operator Certification (proposed in the NPRM) . An applicant for an unmanned aircraft operator certificate with a small UAS rating would be required to make an application to the FAA in a form and manner acceptable to the Administr ator.

• 49 United States Code (U.S.C.) § 40113, Administrative

– prescribing regulations, standards and procedures with respect to aviation safety.

• 49 U.S.C. § 44701

– promote safe flight of civil aircraft in air commerce by prescribing minimum standards required in the interest of safety for appliances.

• 49 U.S.C. § 44702

– used to provide guidance on issuing certificates (airman certificates, type certificates, production certificates, airworthiness certificates, air carrier operating certificates, airpor t operating certificates, air agency certificates, and air navigation facility certificates).

• 49 U.S.C. § 44703

– used to issue an airman certificate to an individual when the Administrator finds, after investigation, that the individual is qualified for, and physically able to perform the duties related to, the position to be authorized.

• 49 U.S.C. § 44709

– used by the Administrator of the Federal Aviation Administration when issues arise regarding the examination of an airman. This allows the administrat or to reinspect at any time or reexamine an airman holding a certificate issued under section 44703 of this title.FAA Small Unmanned Aircraft Systems NPRM

- 12

- • 49 U.S.C. § 45103

– provides the information regarding alcohol usage; prohibited services and rehabilitation that an individual must do in or der to resume or regain their certification.

Aircraft Registration

The FAA would collect PII during the aircraft registration process for the purpose of identifying the aircraft

owner (s) and to determine eligibility to register an aircraft. Data elements and information collected would be used to identify both the aircraft and its owner and for the FAA to contact identified aircraft owners in the course of managing the NAS and advancing aviation safety,
Under the proposed rule, the same PII would be coll ected and maintained for small unmanned aircraft as is currently collected and maintained for manned aircraft. These collections are based on the following authorities:

• 14 CFR part 47

– Aircraft Registration; Certificates of Aircraft Registration: No person may operate an aircraft that is eligible for registration under 49 U.S.C. 44101

- 44104, unless the aircraft has been registered by its owner. An aircraft may be registered under 49 U.S.C. 44 1 03 only when the aircraft is not registered under the laws of a foreign country, and is owned by a citizen, a permanent resident, a

non

- citizen corporation (with restrictions) when formed under U.S. or State law, an aircraft of the Unite d States Government; or a State, D istrict of Columbia, a U.S. territory or po ssession, or political subdivision of these.

• 14 CFR part 49

– Recording of Aircraft Titles and Security Documents: A document affecting title to or an interest in an aircraft, engine, propeller, or spare parts location is eligible for recording when the

c onveyance has been mailed to the FAA Aircraft Registry; it is signed in ink by the aircraft owner; it is in a form acceptable to the FAA; it describes the aircraft by its registration number; the aircraft

, e ngine and propeller by manufacturer name, model, and serial number; and air carrier maintained spare parts by specific locations.

• 49 U.S.C. § 40113,

-- Administrative

– prescribing regulations, standards and procedures with respect to aviation safety.

• 49 U.S.C. §§ 44101 through 44103

-- Registration Requ irement, a person may operate an aircraft only when the aircraft is registered under 44103. An aircraft may be registered under 44103 only when the aircraft is not registered under the laws of a foreign country and is owned by a citizen of the U.S., a

per manent resident, a non

- citizen corporation formed under U.S. or State law (with limitations), or an aircraft of the U.S. Government, State, District of Columbia, territory, possession; or political subdivision of these. On application of the owner of an ai rcraft that meets the requirements of 44102, the FAA shall register the aircraft; and issue a certificate of registration to its owner.

• 49 U.S.C. § 40107

– Recordation of conveyances, leases, and security instruments

. The FAA shall establish a system for recording conveyances that affect an interest in civil aircraft of the U.S., and certain specifically described aircraft engines, aircraft propellers, and spare parts locations maintained by air carriers, such as leases and instruments submitted for securi ty purposes, assignments, amendments, releases, cancellations, discharges, and satisfactions.

• 49 U.S.C. § 44111

– Modifications in registration and recordation system, The FAA shall make modifications to the aircraft registration and recording system nec essary to make the system moreFAA Small Unmanned Aircraft Systems NPRM

- 13

- effective in serving the needs of; buyers and sellers of aircraft, officials responsible for enforcing laws related to the regulation of controlled substances, and other users of the system such as: eliminating the use of P.O . Boxes and / or mail drops for registration to evade identifying a person’s address; and the submission of names of individuals on applications for registration that are not identifiable.

Administration of an Aeronautical Knowledge Test

Pursuant to its authority to certificate airmen, codified in 49 U.S.C. §§ 44701 and 44703, the FAA would use the PII data to assure that the person taking the aeronautical knowledge test is the same person that is applying
for an airman certificate. The FAA would not di sseminate PII collected for an aeronautical knowledge test to the public.

Accident Reporting

Pursuant to the FAA’s oversight authority, the proposed rule would use the s mall UAS operator and s mall UAS regi s tered owner PII data and information from the accident report to determine compliance with the applicable FAA regulations . The FAA’s oversight statutes, codified at 49 U.S.C. §§ 44709 and 46104, provide the agency with broad investigatory and inspection a uthority for matters within the FAA’s jurisdiction. Under § 46104, the FAA may subpoena witnesses and records, administer oaths, examine witnesses, and receive evidence at a place in the United States that the FAA designates. Under § 44709, the FAA may “ reinspect at any time a civil aircraft, aircraft engine, propeller, appliance, design organization, production certificate holder, air navigation facility, or agency, or reexamine an airman holding a certificate issued [by the FAA].”

In addition to determi ning compliance with FAA regulations , the FAA would also incorporate the accident report into its aircraft accident database for the purpose of aviation safety analyses. The FAA would not disseminate PII contained in the accident report to the public.

Dat a Minimization & Retention

DOT should collect, use, and retain only PII that is relevant and necessary for the specified purpose for which it was originally collected. DOT should retain PII for only as long as necessary to fulfill the specified purpose(s) and in accordance with a National Archives and Records Administration (NARA)

- approved record disposition schedule.

Application for an Operator Certificate

In accordance with the NARA

- approved records schedule N1

- 237

- 06

- 1 , airman certification files in the Registry are cut off annually and destroyed 60 years after the cutoff o r when no longer needed to conduct agency business, whichever is later. Records are retained indefinitely. The FAA maintains these records in accordance with 36 CFR 1234.30 and 1234.32. IACRA collects and temporarily 15 retains the PII of airmen

15 Since IACRA is not the authoritative source (only a means of an online application), if the applicant chooses to use IACRA, the images are retained for only 1 year when in a completed status, incomplete status, starts, and ones that have been abandoned or not completed and 2 years with an incomplete status if CFI recommendation is present. So the status of the IACRA application determines how long the image is retained in the IACRA system. A fter 1 or 2 years depending on the status, the image is deleted f rom IACRA system regardless of the submission to the Registry. Once the certificate is issued by AFS

- 760 (Airmen Certification) whether it be by the “paper” method or “IACRA” it becomes a part of the authoritative record and falls under the NARA records sc hedule N1

- 237

- 06

- 1.FAA Small Unmanned Aircraft Systems NPRM

- 14

- who are ap plying for airman certificates and/or ratings. The Registry picks up IACRA images of the applications submitted via IACRA on a daily basis. PII information is collected in accordance with 49 U.S.C. § 44703 in order to print a permanent airman certificat e from the authoritative record, which is the Comprehensive Airmen Information system (CAIS). Information is collected as part of the certification or additional ratings process for the authoritative record in accordance with the System of Records Notice, DOT/FAA 847, Aviation Records on Individuals

– 75 FR 68849

- November 9, 2010 . IACRA maintains its records in accordance with NARA Schedule N1

- 237

- 09

- 014 Approved March 10, 2009 ; “Disposition: Temporary, Delete/Des troy when form or related applications are superseded or obsolete.” This authority does not supersede any records of the Registry Modernization System: Airman Certification Records scheduled under N1

- 237

- 06

- 001. The business rules for IACRA retention of data and TIFF images of applications are as follows and are in accordance with N1

- 237

- 09

- 014:

• Retain images for 1 year from the date of “completed status”.

• Retain images with “incomplete status” for 1 year for “Starts” and “Abandoned” or not completed by a pplicant.

• Retain images with “incomplete status” for 2 years if a CFI recommendation is e

- signed.
Application for Aircraft Registration
For the Aircraft Registration Branch

, the basic tasks are to maintain a register of U.S. civil aircraft and to record documents that convey an interest in these aircraft. Neither of these requires the collection of much personal information. The aircraft registration statute only requires the legal name of the aircraft owner, the owner’s permanent address, and his or her affirmed status as a U.S. citizen or permanent resident. This allows the FAA to determine that the aircraft are registered in accordance with 49 U.S .C. § 44103; enables the FAA to contact the party responsible for the aircraft to provide safety

- related information, to summon aircraft able to aid in the national defense, to serve as a data source to management for production of summary descriptive

stat istics and analytical studies in support of agency functions for which these records are maintained; and by law enforcement when an issue in their purview arises. Since U.S. aircraft and those of other nationalities are located and operate around the w orl d, the U.S.

, like all signatory countries

, is required by International Civil Aviation Organization ( ICAO ) Conventions (treaties) to maintain a register of U.S. Civil Aircraft. This register is required to contain the name and address of the owners or res ponsible parties for all registered aircraft, with a copy of the register to be provided to ICAO.
The recording of documents that transfer or grant a claim or other interest in an aircraft are typically executed by the aircraft owner or persons to whom t he owner gives power of attorney. These documents are required to be the complete and original agreement between the parties to the agreement. Required information includes the names and addresses of these parties. Although an aircraft owner may use his or her s ocial s ecurity or account numbers , these are not requested, and are redacted when noticed and are not captured in the AR or other database. Proprietary information , such as, loan amounts or interest rates are not required to be shown on the docum ent copy filed with the Aircraft Registration Branch. The registration and recording documents kept in an aircraft’s record in the EDRS system: support investigative efforts of investigation and law enforcement agencies of Federal, State, and foreign gove rnments; serve as a repository of legal documents used by individuals and title search firms to determine legal ownership of aircraft in support the buying, selling, leasing, and financing of aircraft transactions; and provide supporting information in cou rt cases concerning liability of parties in lawsuits.

The information as collected is disclosed in System of Records Notice ( SORN )

, DOT/FAA 801 Aircraft Registration Sy stem

- 65 FR 19518

- April 11, 2000 and the purpose of the disclosure is to determine that aircraft are registered in accordance with the provisions of 49 U.S.C. § 44103, to maintain the register of U.S.FAA Small Unmanned Aircraft Systems NPRM

- 15

- Civil Aircraft to aid in the national defense; and s upport a safe and economically strong civil aviation system. The register supports agency functions like distributing safety information and conducting the annual survey of general aviation aircraft in support of the aircraft registration statistical syste m. The minimum PII is collected. The impact on individuals is further moderated when one notes that at any given time, a substantial number of aircraft are actually owned and registered to Corporations, Limited Liability Companies, Partnerships, Governm ent offices

, and entities such as trustees and colleges. Operators of

s mall UAS could choose to register their aircraft in a similar manner, so that the contact information in the system is that of the business entity rather than the operator’s personal contact information.
Aircraft Registration Records are maintained in accordance with the NARA Records Disposition Authority N1.237.04.3, issued on June 9, 2005. The registration and recordation document images maintained in individual aircraft case files in the EDRS and its electronic indexes, the AR database and certain historic listings of the AR database (the register sorted by State and county, manufacturer and model, registration number and alphabetically by owner name) are permanent records of the U nited States. While used and maintained by the FAA, they belong to NARA. The FAA maintains them in accordance with 36 CFR 1234.30, and 36 CFR 1234.32.

Administration of an Aeronautical Knowledge Test
The PII provided by a person during the airman cer tificate application process, which includes aeronautical knowledge testing, would be limited to that information necessary to confirm th e identity of the applicant. The SORN for this system can be found at DOT/FAA 847, Aviation Records on Individuals

– 75 FR 68849

- November 9, 2010

. In accordance with FAA Order 8080.6G, an individual 14 CFR part 183 designated Knowledge Testing Center must keep the test applicant’s identifica tion media (i.e. photo ID copy) in a secured, lockable cabinet. In addition, in the event of the closure of a KTC location, test applicant records, including copies of identification and authorization information and daily logs, both paper and electronic, must be maintained at the KTC’s home office for at least 5 years from the date of closure of the location. Pursuant to
the NARA Records Disposition Authority N1.237.0 6

. 1 approved December 12, 2005, information that is transmitted to the FAA is destroyed a fter 60 years.

Accident Reporting

The accident

- reporting provision of the NPRM would collect the minimum amount of PII necessary for the FAA to be able to: (1) determine what happened; and (2) know who to contact with follow

- up questions or as part of a follow

- up investigation. The PII co llected as part of the accident reporting requirements would be retained for not more than 5 years though not publically available. However, pursuant to the NARA Records Disposition Authority N1.237.0 5

. 2 approved August 18, 2005, the pertinent accident da ta excluding PII would be publically available on the FAA’s Accident/Incident Database system in perpetuity. The specific forms providing inputs into the system would be converted into an image file and destroyed after conversion. The image file would be deleted after three years.

Use Limitation

DOT shall limit the scope of its PII use to ensure that the Department does not use PII in any manner that is not specified in notices, incompatible with the specified purposes for which the information was colle cted, or for any purpose not otherwise permitted by law.FAA Small Unmanned Aircraft Systems NPRM

- 16

- Application for an Operator Certificate

The PII in AVS Registry is used for many different purposes, to include:

• The type of airman certificates and ratings held;

• Airman’s certificate number;

• The s tatus of the airman’s certificate (i.e., whether it is current or has been amended, modified, expired, suspended or revoked for any reason);

• The airman’s home address, unless requested by the airman to be withheld from public disclosure per 49 U.S.C. § 44703(c);

The FAA is required by law to make certain information about certificated airmen available to certain entities. AVS Registry provides the following:

• Contact information is used to inform airmen of meetings and seminars conducted by the FAA

rega rding aviation safety.

• Information can be disclosed to the National Transportation Safety Board (NTSB) in connection with its investigation responsibilities.

• I nformation about airmen provided to Federal, State, local and Tribal law enforcement agencies whe n engaged in an official investigation in which an airman is involved.

• R ecords of delinquent civil penalties owed to the FAA provided to the U.S. Department of the Treasury (Treasury) and the U.S. Department of Justice (DOJ) for collection pursuant to 31 U .S.C. § 3711(g).

• A irmen records available to users of FAA’s Safety Performance Analysis System (SPAS).

• I nformation about airmen provided to the Department of Health and Human Services, Office of Child Support Enforcement, and the Federal Parent Locator Ser vice that locates noncustodial parents who owe child support. Records in this system are used to identify airmen to the child support agencies nationwide in enforcing child support obligations, establishing paternities, establishing and modifying support orders and locati ng obligors.

• Make airman, aircraft and operator record elements provided to users of the FAA Skywatch system, including the Department of Defense (DOD), the Department of Homeland Security (DHS), the Department of Justice (DOJ) and other a uthorized government users, for their use in managing, tracking and reporting aviation

- related security events.

• I nformation about airmen provided to Federal, State, local, and Tribal law enforcement, national security or homeland security agencies whenever such agencies are engaged in the performance of threat assessments affecting the safety of transportation or national security.

IACRA limits its use of PII according to the purpose and routine uses specified in the System of Records Notice, DOT/FAA 847, Aviation Records on Individuals

– 75 FR 68849

- November 9, 2010 . A ll data elements are collected via the IACRA website ( http://iacra.faa.gov/iacra ) or by a paper FAA Forms. FAA uses contact information to follow up with authorized users. The airmen certification information is used to uniquely identify airmen and to determine the applicant eligibility for airman certificates and/or ratings and to ensure regulatory compliance.FAA Small Unmanned Aircraft Systems NPRM

- 17

- Aircraft Registration The aircraft registration and recording systems have been established by the statutes and regulations referenced above with appropriate notice given to the public by SORN DOT/FAA 801 Aircraft Registration System

- 65
FR 19518

- April 11, 2000 , and by Privacy Act notices that are a part of aircraft registration forms. These
systems are established to enable the FAA to manage today’s safe operation and appropriately plan for the future needs and growth in U.S. Civil Aviation; financial institutions and aircraft buyers and sellers to confidently enter and support aviation transactions ; and to support law enforcement activities for the general welfare. There is no doubt that the aircraft registration and recording systems are Public Records meant to be accessed and used by the FAA, other Federal and State agencies, law enforcement, the courts, and the general aviation community that buy, sell, maintain, and in some fashion support U.S. aviation.

The Aircraft Registration Database (AR) is available for download from the FAA website. The majority of AR
data consists of aircraft related descriptive and administrative information like the aircraft’s manufacturer, model designation, serial number, registration date, and assigned registration number (N

- number). Personally
identifiable information in the form of the aircraft owner’s name an d address is shown when the registered aircraft owner happens to be an individual.

The information contained on bills of sale, security agreements or other claim of interest documents is less
available th an data captured for the AR database. Aircraft regi stration bills of sale, security agreements, and claims of interest that are recorded and imaged to be stored as part of an aircraft record in the Electronic Document Retrieval System (EDRS) are entered only into a tracking index of recordable documents. This file captures only an abbreviation for the type of document, the names of the parties to the document, the date the document was filed, and a short description of the aircraft, engine, propeller, or air carrier spare parts location affected by the doc ument. This is used by the Aircraft Registration Branch to manage workflow and by title research firms and similar individuals to verify the correct filing of submitted documents. The document images retained in aircraft records by EDRS are available to the public when they request copy of a record of a particular aircraft record at a cost of $10.00. These records are typically reviewed by title firms or interested parties in preparation for an aircraft’s sale, its lease to another party, or the preparat ion and recording of a financing agreement. Because minimal data is captured from these documents, and their availability limited to specific requests for a particular aircraft record and subject to a copy fee, access to the information on these
documents is limited by the barriers of process, cost, time, time and effort.

Note Regarding Accessibility of Aircraft Registration As mentioned previously, t he Aircraft Registration Database (AR) is available for download from the FAA
website. This website is sea rchable by using the FAA

- issued registration number that is unique to each aircraft which must visibly be displayed on the aircraft. Personally identifiable information in the form of the aircraft
owner’s name and address is shown on the website when the registered aircraft owner happens to be anFAA Small Unmanned Aircraft Systems NPRM

- 18

- individual. Thus, the owner of a small unmanned aircraft can be easily located through identification of a small unmanned aircraft’s registration number. 16

Administration of an Aeronautical Knowledge Test

The PII would be collected for the sole purpose of taking the small UAS aeronautical knowledge test and assuring that it matches with the PII subsequently provided by the same person applying for the UAS operator
airman certificate. All small UAS operator airman certificate application PII is used in accordance with current FAA Orders and statutory requirements discussed previously.

Accident Reporting

The accident

- reporting provision of the NPRM would collect the minimum amount of PII necessary for the
FAA to be able to: (1) determine what happened; and (2) follow up with the parties involved. T hese would be the two purposes for which PII collected in an accident report would be used.

Data Quality and Integrity

In accordance with Section 552a(e)(2) of the Privacy Act of 1974, DOT should ensure that any PII collected and maintained by the organization is accurate, relevant, timely, and complete for the purpose for which it is to be used, as specified in the Department’s public notice(s).

Application for an Operator Certificate

The AVS Registry performs extensive edit checks on all data that is entered into the system.

Information is obtained from the airman, Designated Examiner or FAA Inspector that is captured on the Airmen Certificate or Rating Application, or by correspondence with the Airmen Certification Branch. Applicants who submit an electronic application enter their information directly into the IACRA web based application during the registration and certification process. Users with qualified roles revie w applicant certification information for accuracy. Data related to existing airmen certificates entered into IACRA by the applicant is compared or validated via the Registry databases. Legal Instruments Examiners and clerical/technical staff employed b y the branch enter information into CAIS. The information is inspected by Quality Control and Quality Assurance processes to ensure accuracy.
Under the provisions of the Privacy Act, individuals may request searches of AVS Registry to determine if any

reco rds have been added that may pertain to them. This is accomplished by the airman requesting a copy of his/her complete airman certification records. An airman can mail: A Request for Copies of My Complete Airman File form or a signed, written request stat ing his/her name, date of birth, social security number or certificate number. Requests can be mailed to:

Federal Aviation Administration Airmen Certification Branch, AFS

- 760 P.O. Box 25082 Oklahoma City, OK 73125

- 0082

16 The AR database is also searchable through a number of other ways. For example, the database can also be searched using the name of the registered owner or the make/model of the aircraft.FAA Small Unmanned Aircraft Systems NPRM

- 19

- Aircraft Registration

Data collected for aircraft registration is provided by the aircraft owner or other party to a document. Aircraft descriptive information is verified against official descriptions contained in the aircraft registration database. Data entry of new or corrective data is performed by trained staff that can rely on other FAA reference records and experienced supervisors. Addresses are e lectronically compared to a U.S. Postal Service listing of established addresses. When there is an inconsistency or a question regarding information provided to the Aircraft Registration Branch, the aircraft owner is contacted for clarification. Data fields auto fill certain fields like the dates of registration or expiration. Other fields are restricted by expected content, for example; allowing only numbers in a zip code field. A quality control process is included to check actions taken to receive and prepare all documents filed for registration and recordation. Verification practices to ensure a document is associated with the correc t aircraft record, the correct action is taken with each document, and each data entry was what was intended is built into the registration and recordation processes during training. This is reinforced with verification steps being written into employee r eferences for performing examination and recordation tasks. A sample of all registration and recordings is then reviewed to verify that necessary tasks were performed correctly and to monitor any issues that need to clarified, reinforced, or otherwise imp roved.

Aircraft owners are always welcome to review their information in the AR database or to order a copy of the aircraft record images in EDRS. Requests for records can be accomplished on

- line at http://www.faa.gov or by writing to:

Federal Aviation Administration Aircraft Registration Branch, AFS

- 750
P.O. Box 25504 Oklahoma City, OK 72125

Administration of an Aeronautical Knowledge Test As with its handling of PII collected for existing aeronautical knowledge tests, the FAA would use the same methodology to assure the quality and integrity of the PII collected for the small UAS aeronautical knowledge test. The PII collected, transmitted and retained by the FAA Knowledge Testing Center would be done in
accorda nce with FAA Order 8080.6G. The FAA would retain the aeronautical knowledge test PII as part of its airman certification authority and that PII is treated in the same manner as the PII provided by the same person subsequently applying for an airman certif icate.

Accident Reporting

T he FAA would use the same methodology to assure the quality and integrity of the PII collected that it uses
with manned

- aircraft accidents . The PII collected by the local FAA office as part of an accident report would
be done in accordance with FAA Order 8900.1. That accident report data would then be submitted to the FAA Office of Accident Investigation and Prevention, which would automatically strip PII as part of the process of entering the pertinent accident data into the FAA Accident/Incident Data system.FAA Small Unmanned Aircraft Systems NPRM

- 20

- Security DOT shall implement administrative, technical, and physical measures to protect PII collected or maintained by the Department against loss, unauthorized access, or disclosure, as required by the Privacy Act, and to ensure that organizational planning and responses to privacy incidents comply with OMB policies and guidance.

Sa feguards Applied to All UAS

- Related PII Systems

Several of the FAA’s PII

- protective security safeguards apply equally to all of the systems examined in this analysis. Most notable among these are the safeguards incorporating standards and practices requi red for federal information systems under the Federal Information Security Management Act (FISMA ) and are detailed in Federal Information Processing Standards (FIOS) Publication 200, Minimum Security Requirements for Federal Information and Information Sys tems, dated March 2006, and National Institute of Standards and Technology (NIST) Special Publication (SP) 800

- 53, Revision 4, Security and Privacy Controls for Federal Information Systems and Organizations, dated April 2013.

Application for an Operator Certificate and Aircraft Registration

AVS Registry protects PII with numerous reasonable security safeguards against loss

, unauthorized access, destruction, usage, modification, or disclosure. One element of the FAA’s registry

- specific safeguards includes controlled access by Resource Access Control Facility (RACF), Complete Security, and Natural Security. Role

- based security is defined within the AVS Registry applications. Roles are assigned based on job title and need. Users receive the least privileg es possible to perform their job duties.

Another registry

- specific security element is that IACRA protects PII with reasonable security safeguards against loss or unauthorized access, destruction, usage, modification, or disclosure. These safeguards incorporate standards and practices required for federal information systems under the Federal Inf ormation Security Management Act (FISMA) and are detailed in Federal Information Processing Standards (FIPS) Publication 200, Minimum Security Requirements for Federal Information and Information Systems, dated March 2006, and National Institute of Standar ds and Technology (NIST) Special Publication (SP) 800

- 53 Revision 4, Security and Privacy Controls for Federal Information Systems and Organizations, dated April 2013. The IACRA is approved through the Security Authorization Process under NIST. As of the date of publication of this PIA, the IACRA was last authorized on May 21, 2013.
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 IACRA is l imited to those individuals who have a need to know the information for the performance of their official duties and who have appropriate clearances and permissions. All records in IACRA are protected from unauthorized access through appropriate administr ative, physical, and technical safeguards.
IACRA is categorized as a high risk system in accordance with NIST Federal Information Processing Standards (FIPS) 199. Accordingly, access to the PII within IACRA is restricted to users based on their role and o nly after consent by the airman applicant. All IACRA users are required to have assigned user names and passwords. Usernames are associated with specific IACRA functions so only those functions that are authorized to a specific user are available. Annual security and privacy training is conducted and required of all employees.FAA Small Unmanned Aircraft Systems NPRM

- 21

- Knowledge Test Administration
The FAA would secure small UAS aeronautical knowledge test PII collected in the same manner that it protects PII collected as part of existing aeronauti cal knowledge tests. The PII is kept secure at the FAA Knowledge Testing Center in accordance with FAA Order 8080.6G. The PII w ould also be kept secure within

a secure FAA facility and within a secure FAA server, all which are only accessible by FAA pers onnel with the required access clearance.
Accident Reporting
The FAA would secure all PII collected as part of s mall UAS accident reporting in the same manner that it protects PII collected as part of manned aircraft accident reporting. The accident repor t PII is kept secure at the local FAA office to which the report was given and within a secure FAA server, all of which are only accessible by FAA personnel with the required access clearance.
Accountability and Auditing DOT shall implement effective gove rnance controls, monitoring controls, risk management, and assessment controls to demonstrate that the Department is complying with all applicable privacy protection requirements and minimizing the privacy risk to individuals.

FAA Order 1280.1, Protecting Personally Identifiable Information (PII), implements the various privacy laws based on the Privacy Act of 1974 (the Privacy Act), the E

- Government Act of 2002 (Public Law 107

- 347), the Federal Information Security Management Act (FISMA), Department of Tra nsportation (DOT) privacy regulations, Office of Management and Budget (OMB) mandates, and other applicable DOT and FAA Records Management procedures and guidance.
In addition to these practices, additional policies and procedures would be consistently a pplied, especially as they relate to protection, retention, and destruction of records. Federal and contract employees would be given clear guidance regarding their duties as they relate to collecting, using, processing, and securing privacy data. Guidance would be provided in the form of mandatory annual security and privacy awareness training as well as FAA Privacy Rules of Behavior.
Application for an Opera tor Certificate and Aircraft Registration

The FAA would conduct periodic privacy compliance reviews of the Integrated Airmen Certification and Ratings Application (IACRA) with the requirements of the Office of Management and Budget (OMB) Circular A

- 130. Ac cess to data submitted via IACRA is through authenticated accounts. Users must register through IACRA to receive a login name and password and an assigned FAA Tracking Number (FTN). The FTN is a permanent and unique number. The system also limits access to PII according to job function. IACRA captures date, time, client IP and user name in the audit logs. During the security assessment, independent assessors evaluated the security controls to ensure their compliance. Input validation is used to ensure accuracy and completeness of user entries into the system. IACRA utilizes a Secure Socket Layer (SSL) protocol to protect the integrity of transmitted information.

Knowledge Test Administration

Only those persons with the required job function and data access would have access to the aeronautical knowledge test PII. In addition, the integrity of the PII received by the FAA would be protected in the same manner at that PII provided when applying for an airman certificate.FAA Small Unmanned Aircraft Systems NPRM

- 22

- Accident Reporting Small UAS operator and owner PII would be treated the same way as that for manned aircraft pilots and

owners. Only those persons with the required job function and data access would have access to the collec ted small UAS accident reporting PII. In addition, the integrity of the small UAS accident reporting PII given to the FAA using an online reporting system would be protected using FAA website and internal server security protocols.

Responsible Official
Lance Nuckolls Aviation Safety Inspector

202

- 267

- 8447

UAS

- rule@faa.gov Approval and Signature

Original signed and on file with the DOT Privacy Office

Claire W. Barrett Chief Privacy & Information Asset Officer
Office o f the Chief Information Off icer