Pia

Privacy Impact Assessment
for the

AIRSPACE WAIVERS AND FLIGHT

AUTHORIZATIONS FOR CERTAIN AVIATION

OPERATIONS (INCLUDING DCA)

July 19, 2005
Contact Point
Lisa S. Dean
Privacy Officer
Transportation Security Administration
(571) 227-3947
Reviewing Official
Nuala O’Connor Kelly
Chief Privacy Officer
Department of Homeland Security
(571) 227-3813

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INTRODUCTION
Program Overview
After the September 11, 2001 terrorist attacks, the Federal Aviation Administration (FAA)
immediately curtailed all aircraft operations within the National Airspace System (NAS), except certain
military, law enforcement, and emergency related aircraft operations. On September 13, 2001, the FAA
took action to allow additional aircraft operations in some areas of the NAS. However, the FAA maintained
flight restrictions over certain cities and sensitive sites. Although most specific temporary flight restrictions
over particular cities or sites have been rescinded, some flight restrictions are occasionally reinstated in
response to specific and general intelligence information regarding terrorist threats. These flight
restrictions were issued via the U.S. Notice to Airmen (NOTAM) System. Further, while many aspects of
the initial flight restrictions were cancelled, in the Washington, DC Metropolitan Area for Ronald Reagan
National Airport (DCA), the FAA continues to impose several temporary flight restrictions at the request of
the Departments of Homeland Security (DHS) and Defense (DoD) to assist them in their counter-terrorism
mission. While operations of commercial aircraft operators with full TSA security programs have been
permitted to resume at DCA, commercial operators that do not have full programs and general aviation
operators largely have continued to be prohibited from operating into and out of DCA.
In order to fly into these restricted airspace areas certain aircraft operators must seek a waiver. The
Transportation Security Administration (TSA) provides an analysis of the security aspects of requests for
waivers, and established the Office of Airspace Waivers in October 2002 to manage this waiver process. A
significant part of the waiver process consists of vetting individuals who will be on aircraft operated under
a waiver into restricted airspace.
TSA shares responsibility for managing the waiver process with the FAA. The FAA manages the
safety requirements for aircraft operators who apply to operate in restricted airspace, while TSA manages
the security requirements. TSA collects the required information and conducts a security threat assessment.
If TSA approves the waiver request, TSA forwards the request to FAA, and FAA reviews the request to
ensure that it comports with applicable safety requirements. If FAA approves the waiver request, FAA issues
the waiver, which TSA forwards to the requester. Both agencies work together to ensure safety and security
of aircraft operations are met while seamlessly providing the freedom of flight and commerce within U.S.
airspace.
In coordination with the FAA, the Office of Airspace Waivers currently issues several types of
waivers, to include waivers for:
•

Access for certain operations to Ronald Reagan Washington National Airport

•

Access to the Washington, DC Flight Restricted Zone

•

Major Sporting Events

•

Disney Theme Parks

•

Flight Training

•

International Operations

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•

Special Events

In addition, TSA issues flight authorizations for certain operations into and out of DCA. TSA has
reassessed the decision to prohibit flights into DCA of the smaller aircraft operated by commercial aircraft
operators, and flights by general aviation aircraft. TSA has determined that the economic impact of closing
DCA to these operations was unnecessarily severe, but that restrictions are nevertheless required as a matter
of security. After discussions with the United States Secret Service, the Federal Air Marshal Service (FAMS),
the Department of Defense, the Homeland Security Council, and other Federal agencies, it has been
determined that the national security concerns surrounding operations at DCA can be addressed effectively
by authorizing these operations at DCA provided that aircraft operators comply with certain security
procedures. These procedures are: Each aircraft operator and each fixed base operator that supports the
operation must have appointed a security coordinator (see definitions below). For each flight into and out
of DCA the aircraft operator must carry an armed security officer. Each security coordinator, armed
security officer, flight crewmember, and all passengers must have been vetted by TSA by undergoing a
security threat assessment. TSA has contemporaneously issued a rule, insert Title, setting out how an
operator may obtain a flight authorization for such operations, which TSA issues in coordination with the
FAA. 49 CFR part 1562 subpart B, 70 FR 41586 (July 19, 2005).
As part of these procedures and in support of vetting requirements, TSA collects personal
information from each individual affected by these procedures.
The purpose of this Privacy Impact Assessment (PIA) is to provide details about this collection of
information and how the airspace waiver and flight authorization programs impact the privacy of security
coordinators, flight crewmembers, and passengers, including armed security officers, who apply for or are
identified on an application for an airspace waiver or flight authorization to operate in restricted airspace,
and the steps that TSA will take to minimize the burden on these aircraft operators and protect their
information.
The collection of information will differ slightly depending on the type of
waiver/authorization requested and this PIA highlights the particular procedures for DCA flight
authorizations throughout this document.

Definitions
Armed Security Officer ..................... Security officers authorized to carry a firearm under 49 C.F.R.
§1562.29.
DASSP ............................................... means the aircraft operator security program (DCA Access Standard

Security Program) approved by TSA under 49 CFR part 1562 for
aircraft operating into and out of DCA.
Fixed Base Operator .......................... means an airport-based commercial enterprise that provides support

services to aircraft operators, such as maintenance, overnight parking,
fueling and deicing.
FBO Security Program....................... means the security program approved by TSA under 49 CFR part 1562
for FBOs to serve flights into or out of DCA.

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Flight Crewmember .......................... means a pilot, flight engineer, or flight navigator assigned to duty in

an aircraft during flight time. This does not include an armed security
officer.
Gateway airport ................................ means an airport that has been approved by TSA under 49 CFR part
1562 as a last point of departure for flights into DCA.
Passenger .......................................... means any person on an aircraft other than a flight crewmember.

Security Coordinator ......................... the individual responsible for implementing the DASSP or FBO

Security Program and other security requirements under 49 CFR part
1562.

System Overview
What information will be collected and used for this security threat
assessment?
For airspace waivers, through aircraft operators, TSA collects and retains personal information that
is used to conduct a security threat assessment on the flight crewmembers and passengers who will be
onboard the aircraft while it is operating in restricted airspace. This information includes: (1) first name,
(2) last name, (3) middle name (if applicable), (4) social security number (submission is voluntary,
although recommended), (5) passport number (if applicable), (6) passport country of issuance (if
applicable), (7) date of birth, and (8) place of birth. Although provision of one’s social security number is
voluntary, failure to provide a social security number may result in delays in processing the waiver
application.
Special procedures apply for aircraft operators seeking flight authorizations for operations into or
out of DCA. Under this program, aircraft operators and fixed base operators will be required to designate a
security coordinator who is responsible for implementing the applicable security measures as outlined in
the rule. TSA will collect fingerprints and the following information to conduct a fingerprint-based criminal
history record check and a security threat assessment on the security coordinator: (1) first, middle, and last
name, any applicable suffix, and any other names used; (2) current mailing address, including residential
address if different than current mailing address; (3) date and place of birth; (4) social security number
(submission is voluntary, although recommended); (5) citizenship status and date of naturalization (if
applicable); and (6) alien registration number (if applicable). Although provision of one’s social security
number is voluntary, failure to provide a social security number may result in delays in processing the
security threat assessment. TSA also will collect fingerprints and the information listed above from each
flight crewmember and armed security officer who will be on board any aircraft operated under a flight
authorization into or out of DCA. Finally, TSA will collect the information listed above, but not
fingerprints, from each passenger who is not an armed security officer but who will be on board any
affected aircraft operations into or out of DCA.
For individuals serving as armed security officers onboard flights into and out of DCA, additional
information will be collected including address, citizenship, employment history, personal history,
education and training, experience including sworn law enforcement and military experience, and

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references. This information will be used to verify the individual’s qualifications to perform the duties
required of armed security officers onboard flights into and out of DCA.

Why is the information being collected and who is affected by the
collection of this data?
The collection of this information is necessary in order to grant waivers and flight authorizations to
aircraft operators who request to operate in restricted airspace. Individuals including flight crewmembers,
security coordinators and passengers, including armed security officers, who wish to enter into restricted
airspace will be affected by the collection of information. The information that is collected will be used to
conduct a security threat assessment on flight crewmembers, security coordinators, and passengers,
including armed security officers, and may preclude participation in operations depending on the results of
the security threat assessment.

What information technology system(s) will be used for this program and
how will they be integrated?
For domestic airspace waiver requests, TSA uses the information submitted to check each flight
crewmember and passenger against relevant databases maintained by the National Crime Information
Center (NCIC). In addition to the NCIC check, information from flight crewmembers and passengers,
including armed security officers, is checked against other Federal databases, including the Terrorist
Screening Center Database (TSDB) and TSA Selectee lists. If a positive name match is found, the waiver
request may be denied, or the particular flight crewmember or passenger may not be allowed on the
aircraft.
For international airspace waiver requests, TSA uses the information submitted to check each flight
crewmember and passenger against Federal databases, including the TSDB and TSA Selectee lists. If a
positive name match is found, the waiver request may be denied, or the particular flight crewmember or
passenger may not be allowed on the aircraft.
For requests to operate into or out of DCA under a flight authorization, TSA uses the information
submitted to conduct a fingerprint-based Federal Bureau of Investigation (FBI) criminal history records
check (CHRC) for each flight crewmember, security coordinator, and armed security officer. The CHRC is
conducted at least one time, but may be repeated. In addition, TSA uses the information submitted to
check each flight crewmember, security coordinator, and passenger, including armed security officer,
against Federal databases, including the NCIC, TSDB and TSA Selectee lists to identify potential threats to
aviation security. TSA checks flight crewmembers and passengers, including armed security officers,
against Federal databases each time they fly into or out of DCA.

What notice or opportunities for consent are provided to individuals
regarding what information is collected, and how that information is
shared?
The application for an airspace waiver or flight authorization includes a Privacy Act statement as
required by the Privacy Act of 1974 (5 U.S.C. 552a (e)(3)). The Privacy Act statement informs individuals
of the reasons their personal information is being collected, the authority for the collection, and how their

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information will be used. The statement also informs individuals that the collection of information is
voluntary, but that those who are not willing to provide the required information may not be eligible to
board a flight that requires an airspace waiver or flight authorization.

Does this program create a new system of records under the Privacy Act?
No. The information collected for airspace waivers or flight authorizations is part of an existing
TSA Privacy Act system of records known as the Transportation Security Threat Assessment System
(DHS/TSA 002). The collection, maintenance, and disclosure of information are in compliance with the
Privacy Act and the System of Records Notice for DHS/TSA 002.

What is the intended use of the information collected?
TSA will use the collected information to conduct a security threat assessment on individuals
applying for approval as a security coordinator for an approved fixed base operator at a TSA approved
gateway airport or for an aircraft operator authorized to receive flight authorizations into DCA, or as flight
crewmembers or passengers, including armed security officers, onboard aircraft operating in restricted
airspace pursuant to an airspace waiver or flight authorization. The information will be maintained and
stored for use by TSA when adjudicating subsequent requests for an airspace waiver or flight authorization.
TSA will reevaluate each passenger and flight crewmember’s personal information upon receipt of a new
waiver or flight authorization application. TSA also will store and use the data for comparison to future
application requests. A submitted name that results in a match to any of the databases used to conduct a
security threat assessment will also be maintained. This information will be annotated for denied
operations.

How will individuals be able to seek redress?
TSA is developing redress procedures for individuals who have applied for and failed to
successfully complete a threat assessment pursuant to a waiver request or a special flight authorization.
Aircraft operators and individuals may contact TSA to resolve any questions or concerns they may have.

With whom will the collected information be shared?
The personal information collected from security coordinators, flight crewmembers, and
passengers, including armed security officers, will be shared with TSA staff and contractors on a need to
know basis. It is also shared with the FAA. Once the FAA grants final approval of an airspace waiver, TSA
electronically enters the aircraft operator’s information (e.g., company name (if applicable), phone
number, and address) into a Master Waiver List database. This database is distributed to FAA Air Traffic
Control Towers. Any information collected also may be provided to governmental agencies when relevant
for criminal and civil investigations concerning threats to civil aviation security or violations of law, rule, or
regulations.

How will the information be secured against unauthorized use? (What
technological mechanism will be used to ensure security against hackers
or malicious intent?)

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TSA will secure personal information against unauthorized use through a layered security approach
involving procedural and information security safeguards. The data will be encrypted using National
Institute of Science and Technology (NIST) and Federal Information Security Management Act (FISMA)
standards and industry best practices when being transferred between secure workstations. Only TSA
employees and contractors with proper security credentials and passwords will have access to this
information to conduct the security threat assessment. Moreover, all TSA and assigned contractor staff
receive DHS-mandated privacy training on the use and disclosure of personal data.
Specific privacy safeguards can be categorized by the following means:
•

Technical limitations on, and tracking of, data access and use;

•

Use of secure telecommunications techniques; and

•

Limitation of physical access to system databases and workstations.

This approach protects the information in accordance with the following requirements:
The Privacy Act of 1974, as amended (5 U.S.C 552a), which requires Federal agencies to establish
appropriate administrative, technical, and physical safeguards to insure the security and confidentiality of
information protected by the Act.
Federal Information Security Management Act of 2002 (Pub. L. 107-347), which establishes
minimum security practices for Federal security systems.

Will the information be retained and if so, for what period of time?
Information will be stored and retained until the National Archives and Records Administration
(NARA) approves a record retention schedule for the information. Until such a schedule is approved by
NARA, TSA is required to retain the information.
TSA will retain the applications and waiver/authorization approval letters indefinitely in locked file
cabinets. The FAA also will securely store copies of the approval letters at FAA Headquarters indefinitely.
The indefinite time period is necessary for retrieval, comparison, and solving data discrepancies in future
waiver, flight authorization applications, and renewals.

What databases will the names be run against?
TSA will run names against Federal databases, including the NCIC, TSDB and TSA Selectee lists to
identify potential threats to aviation security. These are national databases used by government agencies to
determine and deter potential security threats and terrorist activity.

What is the step-by-step process of how the systems will work once the
data has been collected for a flight?
The following step-by-step process is applied to each airspace waiver request TSA receives. TSA has
highlighted differences in the DCA flight authorization process. TSA will process all the flight
crewmembers and passengers identified on the application through the same security threat assessment. All
personnel involved have been trained on the procedures for handling sensitive material. The following is
the actual step-by-step process:

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Airspace Waiver
• TSA receives an application and sorts according to flight date.
• A TSA program analyst reviews all information on the application to determine if the required
information has been submitted.
• After the initial review of the application, the individual’s information is checked against the
TSDB and TSA Selectee list and submitted for an NCIC check.
• If all the flight crewmembers and passengers are cleared, TSA submits the application to FAA
for final approval. If a flight crewmember or passenger is not cleared (i.e., name match to a
person contained in one of the national databases), TSA informs the applicant that that
individual is not approved to serve as a flight crewmember or passenger on the operation until
further investigation has been completed.
• After the security threat assessment has been completed and cleared, the individual’s personal
information and date of approval are stored in a TSA database for future reference.

DCA Flight Authorization Process
To be eligible to apply for flight authorizations into or out of DCA, an aircraft operator first must
adopt and implement a DCA Standard Security Program (DASSP). As part of the DASSP, the aircraft
operator must designate a security coordinator, who must undergo a TSA security threat assessment,
including a fingerprint-based CHRC. In addition, each flight crewmember who will operate on any aircraft
into or out of DCA must undergo a TSA security threat assessment, including a fingerprint-based CHRC.
Once the aircraft operator has complied with these requirements, the operator will be eligible to apply for
flight authorizations to operate specific flights into or out of DCA. On each flight the aircraft operator will
have to ensure that it has on board an armed security officer who meets the requirements of 49 CFR part
1562, which include that the officer has undergone a TSA security threat assessment that includes a
fingerprint-based CHRC.
The following step-by-step process will be applied to each request for a flight authorization:
• TSA receives an application from an aircraft operator to operate a flight into or out of DCA.
• A TSA program analyst reviews all information on the application to determine if the required
information has been submitted.
• After the initial review of the application, the individual’s information is checked against TSA
databases.
• The fingerprints are run against the NCIC to check for disqualifying criminal offenses, as set
forth in 49 C.F.R. §1542.209.
• If all the flight crewmembers and passengers are cleared, TSA approves the application. If a
flight crewmember or passenger is not cleared (i.e., name match to a person contained in one
of the national databases) after the initial security threat assessment is conducted, TSA informs
the applicant that that individual is not approved to serve as a flight crewmember or passenger
on the operation until further investigation has been completed.

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• After the security threat assessment has been completed and cleared, the applicant’s name,
social security number (if voluntarily provided), and date of approval are stored in a TSA
database for future reference.
• Will the staff working with the data have appropriate training and security clearances to handle
the sensitivity of the information?
All TSA personnel and contractors will be properly trained and evaluated on the process of issuing
airspace waivers and flight authorizations. This training will include how to correctly and efficiently
handle sensitive as well as Privacy Act protected material. All staff members will also complete the TSA
mandated privacy training.
In addition to the training, all TSA personnel and contractors must possess the appropriate
credentials and clearances to access various databases, files, and other sensitive material. As described
above, TSA will secure and lock all sensitive material at all times. Only trained and cleared personnel will
be authorized the use of these documents.
FOR QUESTIONS OR COMMENTS, PLEASE CONTACT:
Lisa S. Dean, Privacy Officer, Transportation Security Administration, 571-227-3947
Nuala O'Connor Kelly, Chief Privacy Officer, Department of Homeland Security, 571-227-3813

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