Document ID: DOT-OST-2016-0131-0001
Agency: dot
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2016-08-02T04:00Z

[Federal Register Volume 81, Number 148 (Tuesday, August 2, 2016)]
[Notices]
[Pages 50789-50792]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-18208]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST-2016-0131]

Privacy Act of 1974; Department of Transportation, Federal 
Aviation Administration, DOT/FAA854 Requests for Waivers and 
Authorizations Under 14 CFR Part 107 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 issue a Department of 
Transportation system of records titled, ``Department of Transportation 
Federal Aviation Administration; DOT/FAA854 Requests for Waivers and 
Authorizations Under 14 CFR part 107.'' On June 28, 2016 the FAA issued 
a Final Rule setting forth standards for operation and certification of 
small unmanned aircraft systems (hereinafter, ``small UAS''). RIN 2120-
AJ60.
    Small UAS operators may request waivers of operational rules 
applicable to small UAS, requirements such as the requirement to 
maintain visual line of sight and yield right of way to manned 
aircraft, as well as prohibitions on operations over people and in 
certain airspace. Small UAS operators who determine to seek a waiver or 
authorization must request such by electronically completing a form on 
the FAA Web site or by mailing a completed paper form to the FAA. The 
forms will contain: aircraft operator name; aircraft owner name; name 
of person requesting a waiver or authorization; contact information for 
person applying for waiver or authorization: mailing address, telephone 
number, and email address of person submitting application for waiver 
or authorization; responses to inquiries concerning the applicant's 
previous and current waivers; remote pilot in command name; contact 
information for remote pilot in command: address and telephone number; 
remote pilot in command certificate number; aircraft manufacturer name 
and model; aircraft registration number; regulations subject to waiver 
or authorization; requested date and time operations will commence and 
conclude under waiver or authorization; requested altitude applicable 
to the waiver or authorization; description of proposed operations. In 
addition to the entries on the completed form, the applicant may 
provide additional information, such as maps, illustrations, 
specifications, or other items the applicant would like the FAA to 
consider. After reviewing the information the applicant provides, the 
FAA will determine whether it can assure safety in the national 
airspace when granting the waiver; often, such grants will include 
provisions to which the requester must adhere, to mitigate the risk 
associated with the waiver.
    The final rule prohibits operation of small UAS in Class B, Class 
C, or Class D airspace, as well as operation within the lateral 
boundaries of the surface area of Class E airspace designated for an 
airport unless the person has prior

[[Page 50790]]

authorization from Air Traffic Control. To obtain this authorization, 
operators may complete and submit an electronic form available on the 
FAA's Web site. This system will consist of records (1) relevant to 
waivers of certain provisions of 14 CFR part 107 and (2) airspace 
authorization requests.

DATES: Written comments should be submitted on or before September 1, 
2016. The Department may publish an amended Systems of Records Notice 
in light of any comments received. This new system will be effective 
September 1, 2016.

ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2016-0131 by any of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Ave. SE., West Building Ground Floor, 
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building Ground Floor, Room 
W12-140, 1200 New Jersey Ave. SE., between 9 a.m. and 5 p.m. ET, Monday 
through Friday, except Federal Holidays.
     Fax: (202) 493-2251.
    Instructions: You must include the agency name and docket number 
DOT-OST-2016-0131. All comments received will be posted without change 
to http://www.regulations.gov, including any personal information 
provided.
    Privacy Act: Anyone is able to search the electronic form of all 
comments received in any of our dockets by the name of the individual 
submitting the comment (or signing the comment, if submitted on behalf 
of an association, business, labor union, etc.). You may review the 
Department of Transportation's complete Privacy Act statement in the 
Federal Register published on April 11, 2000 (65 FR 19477-78), or you 
may visit http://DocketsInfo.dot.gov.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov or to the street 
address listed above. Follow the online instructions for accessing the 
docket.

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

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Transportation (DOT)/Federal Aviation Administration 
(FAA) proposes to issue a DOT system of records titled, ``DOT/FAA854 
Requests for Waivers and Authorizations Under 14 CFR part 107.'' This 
SORN results from the FAA's recent decision issue a final rule to 
integrate small UAS operations into the national airspace, setting 
forth standards for operations and certification of small UAS 
operations. 81 FR 42063 (June 28, 2016).

A. Description of Records

    The FAA's rule governing operation of small UAS permits operators 
to apply for certificates of waiver to allow a small UAS operation to 
deviate from certain provisions of 14 CFR part 107 if the Administrator 
finds the operator can conduct safely the proposed operation under the 
terms of a certificate of waiver. The rule also permits operators to 
request authorizations to enter controlled airspace (Class B, Class C, 
or Class D airspace, as well as the lateral boundaries of the surface 
area of Class E airspace designated for an airport). The process of the 
FAA issuing certificates of waiver will allow the FAA to assess case-
specific information concerning a small UAS operation that takes place 
in a unique operating environment and consider allowing additional 
operating flexibility that recognizes safety mitigations provided by 
the specific operating environment. Accordingly, this SORN covers 
documents relevant to both waivers of certain provisions of part 107 as 
well as airspace authorizations, as described in 14 CFR 107.41.
1. Waivers
    To obtain a certificate of waiver, an applicant must submit a 
request containing a complete description of the proposed operation and 
a justification, including supporting data and documentation as 
necessary, to establish the proposed operation can safely be conducted 
under the terms of the requested certificate of waiver. As stated in 
the preamble describing the FAA's final rule provisions, the FAA 
expects the amount of data and analysis required as part of the 
application will be proportional to the specific relief that is 
requested. Similarly, the FAA anticipates that the time required for it 
to make a determination regarding waiver requests will vary based on 
the complexity of the request. For example, a request for a major 
deviation from part 107 for an operation that takes place in a 
congested metropolitan area with heavy air traffic will likely require 
significantly more data and analysis than a request for a minor 
deviation for an operation that takes place in a sparsely populated 
area with minimal air traffic. If a certificate of waiver is granted, 
that certificate may include additional conditions and limitations 
designed to ensure that the small UAS operation can be conducted 
safely.
    The certificate-of-waiver process will allow the FAA to assess 
case-specific information concerning a small UAS operation that takes 
place in a unique operating environment and consider allowing 
additional operating flexibility that recognizes safety mitigations 
provided by the specific operating environment. The FAA anticipates 
that this process will also serve as a bridging mechanism for new and 
emerging technologies; allowing the FAA to permit testing and use of 
those technologies, as appropriate, before the pertinent future 
rulemaking is complete.
2. Airspace Authorizations
    This SORN covers two methods by which a remote pilot in command may 
request FAA authorization for a small unmanned aircraft to operate in 
Class B, C, D, and the lateral boundaries of the surface area of Class 
E airspace designated for an airport. First, a remote pilot in command 
may seek approval from air traffic control (ATC). The second, 
alternative method allows a remote pilot to request a waiver from this 
provision in order to operate in Class B through E airspace. The 
appropriate ATC facility has the best understanding of local airspace, 
its usage, and traffic patterns and is in the best position to 
ascertain whether the proposed small UAS operation would pose a hazard 
to other users or the efficiency of the airspace, and procedures to 
implement to mitigate such hazards. The ATC facility has the authority 
to approve or deny aircraft operations based on traffic density, 
controller workload, communications issues, or any other type of 
operational issues that could potentially impact the safe and efficient 
flow of air traffic in that airspace. If necessary to approve a small 
UAS operation, ATC may require mitigations such as altitude constraints 
and direct communication. ATC may deny requests that pose an 
unacceptable risk to the national airspace system (NAS) and cannot be 
mitigated.

B. System of Records

    As described below in the Routine Uses section of this notice, all 
records the FAA maintains in connection with waivers (approvals and 
denials) may be made available to the public, except email addresses 
and personal telephone numbers. Such availability is compatible with 
the purposes of this

[[Page 50791]]

system because this system is intended, in part, to educate small UAS 
operators who seek to apply for a waiver, as operators will be able to 
review prior grants of waivers and the accompanying special provisions 
in their efforts to replicate successful waiver applications. The FAA, 
however, does not plan to post records relevant to airspace 
authorizations on its Web site because airspace authorizations are 
unique to each operation. Each airspace authorization is specific to 
the location and time of the planned operation; therefore, posting of 
airspace authorizations would not prove advantageous to prospective 
applicants who seek to operate in airspace listed as prohibited in 14 
CFR 107.41.
    In addition, the FAA may share records with law enforcement as 
necessary to ensure safe operations in the NAS. To provide for safety 
of the NAS, the FAA may consider enforcement action against a person 
who violates FAA regulations; such action could involve disclosing 
information from this system of records, or derived from this system of 
records, to law enforcement. In addition, the FAA may disclose 
information to law enforcement as needed for purposes of accident/
incident investigations. Overall, the FAA will correspond with law 
enforcement as needed to ensure operators do not endanger the NAS; such 
collaboration may entail the sharing of information in this system of 
records.

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:
    DOT/FAA--854 Requests for Waivers and Authorizations Under 14 CFR 
part 107.

SYSTEM NAME:
    DOT/FAA--854 Requests for Waivers and Authorizations Under 14 CFR 
part 107.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    For waivers, the system will be located in the Commercial 
Operations Branch, Flight Standards Service (AFS-820), Federal Aviation 
Administration, 800 Independence Avenue SW., Washington, DC 20024.
    For airspace authorizations, the system will be located in the 
Emerging Technologies Team (AJV-115), Air Traffic Organization, Federal 
Aviation Administration, 800 Independence Avenue SW., Washington, DC 
20024.

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

CATEGORIES OF RECORDS IN THE SYSTEM:
    Aircraft operator name; Aircraft owner name; Name of person 
requesting a waiver or authorization; Contact information for person 
applying for waiver or authorization: mailing address, telephone 
number, and email address of person submitting application for waiver 
or authorization; Responses to inquiries concerning the applicant's 
previous and current waivers; Remote pilot in command name; Airmen 
Certification Number (in those individuals certificated under another 
program prior to 2013 and have not requested a change of certificate 
number the airmen certificate number may be the individual's Social 
Security Number); Contact information for remote pilot in command: 
address and telephone number; Remote pilot in command certificate 
number; Aircraft manufacturer name and model; Aircraft registration 
number; Regulations subject to waiver or authorization; Requested date 
and time operations will commence and conclude under waiver or 
authorization; Requested altitude applicable to the waiver or 
authorization; Description of proposed operations.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    i. 49 U.S.C. 106(g), Duties and powers of Administrator
    ii. 49 U.S.C. 40101, Policy
    iii. 49 U.S.C. 40103, Sovereignty and use of airspace
    iv. 49 U.S.C. 40106, Emergency powers
    v. 49 U.S.C. 40113, Administrative
    vi. 49 U.S.C. 44701, General requirements
    vii. FAA Modernization and Reform Act of 2012, Pub. L. 112-95 
(``FMRA'') Sec.  333, Special Rules for Certain Unmanned Aircraft 
Systems
    viii. 14 CFR part 107, subpart D, ``Waivers''
    ix. 14 CFR 107.41, ``Operation in certain airspace''

PURPOSE(S):
    The purpose of this system is to receive, evaluate, and respond to 
requests for authorization to operate a small UAS, pursuant to 14 CFR 
part 107, in Class B, C, or D airspace or within the lateral boundaries 
of the surface area of Class E airspace designated for an airport, and 
evaluate requests for a certificate of waiver to deviate safely from 
one or more small UAS operational requirements specified in part 107. 
The FAA also will use this system to support FAA safety programs and 
agency management, including safety studies and assessments. The FAA 
may use contact information provided with requests for waiver or 
authorization to provide small UAS owners and operators information 
about potential unsafe conditions and educate small UAS owners and 
operators regarding safety requirements for operation. The FAA also 
will use this system to maintain oversight of FAA-issued waiver or 
authorizations and records from this system may be used by FAA for 
enforcement purposes.

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, waiver and airspace authorization applications 
and decisions, including any history of previous, pending, existing, or 
denied requests for waivers and authorizations applicable to the small 
UAS at issue for purposes of the waiver, and special provisions 
applicable to the small UAS operation that is the subject of the 
request. Email addresses and telephone numbers will not be disclosed 
pursuant to this Routine Use. Airspace

[[Page 50792]]

authorizations the FAA issues pursuant to 14 CFR 107.41 also will not 
be disclosed pursuant to this Routine Use, except to the extent that an 
airspace authorization is listed or summarized in the terms of a 
waiver.
    2. To law enforcement, when necessary and relevant to a FAA 
enforcement activity.
    3. The Department has also published general 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 relevant to both waivers and airspace 
authorizations under 14 CFR part 107 are maintained in an electronic 
database system.

RETRIEVABILITY:
    Records of applications for waivers and authorizations in the 
electronic database system may be retrieved by small UAS registration 
number, the manufacturer's name and model, the name of the current 
registered owner and/or organization, the name of the remote pilot in 
command, the airmen certification number, the name of the applicant 
and/or organization that submitted the request for waiver or 
authorization, the special provisions (if any) to which the FAA and the 
applicant agreed for purposes of the waiver or authorization, and the 
location and altitude, class of airspace and area of operations that is 
the subject of the request. Records may also be sorted by regulation 
section that is the subject of the request for waiver or authorization.

SAFEGUARDS:
    Records in this system for waivers and airspace authorizations 
under 14 CFR part 107 are safeguarded in accordance with applicable 
rules and policies, including all applicable DOT automated systems 
security and access policies. Strict controls have been imposed to 
minimize the risk of compromising the information that is being stored. 
Access to the computer system containing the records in this system is 
limited to individuals who have a need to know the information for the 
performance of their official duties and who have appropriate 
clearances or permissions.

RETENTION AND DISPOSAL:
    The FAA will retain records in this system of records, which covers 
both waivers and airspace authorizations under 14 CFR part 107, as 
permanent government records until it receives record disposition 
authority from the National Archives and Records Administration (NARA), 
pursuant to 36 CFR 1225.16 and 1225.18. The FAA has requested from NARA 
authority to dispose of waiver and authorization records after two 
years following the expiration of the waiver or authorization.

SYSTEM MANAGER(S) AND ADDRESS:
    For waivers: Manager, Commercial Operations Branch, Flight 
Standards Service (AFS-820), Federal Aviation Administration, 800 
Independence Avenue SW., Washington, DC 20024.
    For airspace authorizations: Manager, UAS Tactical Operations 
Section, Air Traffic Organization, Federal Aviation Administration, 800 
Independence Avenue SW., Washington, DC 20024.

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

RECORD ACCESS PROCEDURES:
    Individuals seeking access to records in this system of records 
should follow the same procedures described in the section 
``Notification Procedure,'' above.

CONTESTING RECORD PROCEDURES:
    Individuals seeking amendment to records in this system of records 
should follow the same procedures described in the section 
``Notification Procedure,'' above.

RECORD SOURCE CATEGORIES:
    Records are obtained from individuals, manufacturers of aircraft, 
maintenance inspectors, mechanics, and FAA officials.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2016-18208 Filed 8-1-16; 8:45 am]
 BILLING CODE 4910-9X-P