Nomenclature changes to chapter XII appear at 68 FR 49720, Aug. 19, 2003.
49 U.S.C. 114, 5103, 40113, 44901-44907, 44913-44914, 44916-44918, 44935-44936, 44942, 46105.
This chapter, this subchapter, and this part apply to all matters regulated by the Transportation Security Administration.
As used in this chapter:
(a) In this chapter, unless the context requires otherwise:
(1) Words importing the singular include the plural.
(2) Words importing the plural include the singular.
(3) Words importing the masculine gender include the feminine.
(b) In this chapter, the word:
(1) “Must” is used in an imperative sense;
(2) “May” is used in a permissive sense to state authority or permission to do the act prescribed, and the words “no person may * * *” or “a person may not * * *” mean that no person is required, authorized, or permitted to do the act prescribed; and
(3) “Includes” means “includes but is not limited to”.
5 U.S.C. 3345, 49 U.S.C. 114, 40113, 44901-44907, 44913-44914, 44916-44920, 44935-44936, 44942, 46101-46105, 45107, 46110.
(a) The Administrator is responsible for the planning, direction, and control of the Transportation Security Administration (TSA) and for security in all modes of transportation. The Administrator's responsibility includes carrying out chapter 449 of title 49, United States Code, relating to civil aviation security, and related research and development activities, and security responsibilities over other modes of transportation that are exercised by the Department of Transportation.
(b) The Deputy Administrator is the “first assistant” to the Administrator for purposes of the Federal Vacancies Reform Act of 1998, and shall, in the event the Administrator dies, resigns, or is otherwise unable to perform the functions and duties of the office, serve as the Acting Administrator, subject to the limitations in the Federal Vacancies Reform Act of 1998. In the event of the absence or disability of both the
6 U.S.C. 1142; 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 114, 20109, 31105, 40113-40114, 40119, 44901-44907, 46101-46107, 46109-46110, 46301, 46305, 46311, 46313-46314.
This part provides information on TSA's investigative and enforcement procedures.
This section prescribes the reporting mechanisms that persons may use in order to obtain a receipt for reports to TSA regarding transportation-related security problems, deficiencies, and vulnerabilities.
(a) Any person who reports to TSA a transportation security-related problem, deficiency, or vulnerability—including the security of aviation, commercial motor vehicle, maritime, pipeline, any mode of public transportation, or railroad transportation—will receive a receipt for their report if they provide valid contact information and report through one of the following:
(1) U.S. mail to Transportation Security Administration HQ, TSA-2; Attn: 49 CFR 1503.3 Reports; 601 South 12th Street; Arlington, VA 20598-6002;
(2) Internet at
(3) Telephone (toll-free) at 1-866-289-9673.
(b) Reports submitted by mail will receive a receipt through the mail, reports submitted by the Internet will receive an e-mail receipt, and reports submitted by phone will receive a call identifier number linked to TSA documents held according to published record schedules. To obtain a paper copy of reports provided by phone, the person who made the report, or their authorized representative, must contact TSA at the address identified in (a)(1) of this section within that period and provide the identifier number.
(c) TSA will review and consider the information provided in any report submitted under this section and take appropriate steps to address any problems, deficiencies, or vulnerabilities identified.
(d) Nothing in this section relieves a person of a separate obligation to report information to TSA under another provision of this title, a security program, or a security directive, or to another Government agency under other law.
(e) Immediate or emergency security or safety concerns should be reported to the appropriate local emergency services operator, such as by telephoning 911. Alleged waste, fraud, and abuse in TSA programs should be reported to the Department of Homeland Security Inspector General: telephone (toll-free) 1-800-323-8603, or e-mail
(a) The investigative and enforcement procedures in this part apply to TSA's investigation and enforcement of violations of TSA requirements.
(b) For purposes of this part, the term
(1) Those provisions of title 49 U.S.C. administered by the Administrator; and
(2) 46 U.S.C. chapter 701.
In addition to the terms in § 1500.3 of this chapter, the following definitions apply in this part:
(1) Any attorney in the Office of the Chief Counsel who advises the TSA decision maker regarding an initial decision or any appeal to the TSA decision maker; or
(2) Any attorney who is supervised in a civil penalty action by a person who provides such advice to the TSA decision maker in that action or a factually related action.
(a) Any person who knows of a violation of a TSA requirement should report it to appropriate personnel of any TSA office.
(b) TSA will review each report made under this section, together with any other information TSA may have that is relevant to the matter reported, to determine the appropriate response, including additional investigation or administrative or legal enforcement action.
(a)
(b)
Each record, document, and report that regulations issued by the Transportation Security Administration require to be maintained, exhibited, or submitted to the Administrator may be used in any investigation conducted by the Administrator; and, except to the extent the use may be specifically limited or prohibited by the section that imposes the requirement, the records, documents, and reports may be used in any civil penalty action or other legal proceeding.
(a) If TSA determines that a violation or an alleged violation of a TSA requirement does not require the assessment of a civil penalty, an appropriate official of the TSA may take administrative action in disposition of the case.
(b) An administrative action under this section does not constitute a formal adjudication of the matter, and may be taken by issuing the alleged violator—
(1) A “Warning Notice” that recites available facts and information about the incident or condition and indicates that it may have been a violation; or
(2) A “Letter of Correction” that confirms the TSA decision in the matter and states the necessary corrective action the alleged violator has taken or agrees to take. If the agreed corrective action is not fully completed, legal enforcement action may be taken.
(c) The issuance of a Warning Notice or Letter of Correction is not subject to appeal under this part.
(d) In the case of a public transportation agency that is determined to be in violation of a TSA requirement, an appropriate TSA official will seek correction of the violation through a written “Notice of Noncompliance” to the public transportation agency giving the public transportation agency reasonable opportunity to correct the violation or propose an alternative means of compliance acceptable to TSA.
(e) TSA will not take legal enforcement action against a public transportation agency under subpart E unless it has provided the Notice of Noncompliance described in paragraph (d) of this section and the public transportation agency fails to correct the violation or propose an alternative means of compliance acceptable to TSA within the timeframe provided in the notice.
(f) TSA will not initiate civil enforcement action for violations of administrative and procedural requirements pertaining to the application for, and the expenditure of, funds awarded pursuant to transportation security grant programs under Public Law 110-53.
(a)
(b)
(1) $10,000 per violation, up to a total of $50,000 per civil penalty action, in the case of an individual or small business concern, as defined in section 3 of the Small Business Act (15 U.S.C. 632); and
(2) $10,000 per violation, up to a total of $400,000 per civil penalty action, in the case of any other person.
(c)
(1) $10,000 per violation, up to a total of $50,000 per civil penalty action, in the case of an individual (except an airman serving as an airman), any person not operating an aircraft for the transportation of passengers or property for compensation, or a small business concern, as defined in section 3 of the Small Business Act (15 U.S.C. 632).
(2) $25,000 per violation, up to a total of $400,000 per civil penalty action, in the case of a person operating an aircraft for the transportation of passengers or property for compensation (except an individual serving as an airman).
(d)
The Administrator delegates the following authority to the Chief Counsel and the Deputy Chief Counsel for Enforcement, which authority may be redelegated as necessary:
(a) To initiate and assess civil penalties under 49 U.S.C. 114 and 46301 and this subpart for a violation a TSA requirement;
(b) To compromise civil penalties initiated under this subpart; and
(c) To refer cases to the Attorney General of the United States, or the delegate of the Attorney General, for the collection of civil penalties.
Whenever it is determined that a person has engaged, or is about to engage,
If a report made under this part indicates that, while performing official duties, a member of the Armed Forces, or a civilian employee of the Department of Defense who is subject to the Uniform Code of Military Justice (10 U.S.C. chapter 47), has violated a TSA requirement, an agency official will send a copy of the report to the appropriate military authority for such disciplinary action as that authority considers appropriate and a report to the Administrator thereon.
(a)
(b)
(1) Personal delivery;
(2) Mail, or
(3) Electronic mail or facsimile transmission, if consented to in writing by the person served, except that such service is not effective if the party making service receives credible information indicating that the attempted service did not reach the person to be served.
(c) If a party serves a pleading on another party during the course of hearing proceedings by electronic mail or facsimile transmission, the party making service must file with the Enforcement Docket Clerk a copy of the consent of the receiving party to accept such method of service.
(d)
(1) The date of personal delivery.
(2) If mailed, the mailing date stated on the certificate of service, the date shown on the postmark if there is no certificate of service, or other mailing date shown by other evidence if there is no certificate of service or postmark.
(3) If sent by electronic mail or facsimile transmission, the date of transmission.
(e)
(f)
(g)
(h)
(i)
(j)
(a) This section applies to any period of time prescribed or allowed by this part, or by notice or order of an ALJ.
(b) The date of an act, event, or default, after which a designated time period begins to run, is not included in a computation of time under this subpart.
(c) The last day of a time period is included in a computation of time unless it is a Saturday, Sunday, a legal holiday, or a day on which the enforcement docket is officially closed. If the last day of the time period is a Saturday, Sunday, legal holiday, or a day on which the enforcement docket is officially closed, the time period runs until the end of the next day that is not a Saturday, Sunday, legal holiday, or a day on which the enforcement docket is officially closed.
(a)
(b)
(c)
(1) Submit a certified check or money order in the amount of the proposed civil penalty made payable to Transportation Security Administration, at the address specified in the Notice of Proposed Civil Penalty, or make payment electronically through
(2) Submit to the agency attorney who issued the Notice of Proposed Civil Penalty one of the following:
(i) A written request that TSA issue an Order Assessing Civil Penalty in the amount stated in the Notice of Proposed Civil Penalty without further notice, in which case the person waives the right to request a Formal Hearing, and payment is due within 30 days of receipt of the Order.
(ii) Written information and other evidence, including documents and witness statements, demonstrating that a violation of the regulations did not occur as alleged, or that the proposed penalty is not warranted by the circumstances.
(iii) A written request to reduce the proposed civil penalty, the amount of requested reduction, together with any documents supporting a reduction of the proposed civil penalty, which reflect a current financial inability to pay or records showing that payment of the proposed civil penalty would prevent the person from continuing in business.
(iv) A written request for an Informal Conference, at a date to be determined by the agency attorney, to discuss the matter with the agency attorney and to submit supporting evidence and information to the agency attorney before the date of the Informal Conference.
(3) Submit to the agency attorney and to TSA's Enforcement Docket Clerk a written request for a Formal Hearing before an ALJ in accordance with subpart G of this part. TSA's Enforcement Docket Clerk is currently located at the United States Coast Guard (USCG) ALJ Docketing Center, 40 S. Gay Street, Room 412, Baltimore, Maryland 21202-4022. If this location changes, TSA will provide notice of the change by notice in the
(a) Upon receipt of a Notice of Proposed Civil Penalty, a person charged with a violation of a TSA requirement, or a representative designated in writing by that person, may request from the agency attorney who issued the Notice of Proposed Civil Penalty portions of the relevant EIR that are not privileged (
(b) Any person not listed in paragraph (a) of this section that is interested in obtaining a copy of the EIR must submit a FOIA request pursuant to 5 U.S.C. 552,
(a)
(1) The person has failed to respond to a Notice of Proposed Civil Penalty within 30 days after receipt of that notice.
(2) The person requested an Informal Conference under § 1503.413(c)(2), but failed to attend the conference or continuation of the conference or provide the agency attorney with a written request showing good cause for rescheduling of the informal conference to a specified alternate date.
(3) The parties have participated in an Informal Conference or other informal proceedings as provided in § 1503.413(c)(2) and the parties have not agreed to compromise the action or the agency attorney has not agreed to withdraw the notice of proposed civil penalty.
(b)
(a)
(b)
(1) The person charged with a violation submits a certified check or money order in the amount reflected in the Final Notice and Order to Transportation Security Administration, to the address specified in the Final Notice and Order, or makes such payment electronically through
(2) The person fails to respond to the Final Notice and Order or request a formal hearing within 15 days after receipt of that notice.
(a)
(b)
(c)
(1) Submit a certified check or money order for the lesser specified penalty amount in the Notice of Violation, made payable to Transportation Security Administration and sent to the address specified in the Notice of Violation, or make such payment electronically through
(2) Submit to the office identified in the Notice of Violation one of the following:
(i) Written information and other evidence, including documents and witness statements, demonstrating that a violation of the regulations did not occur as alleged, or that the proposed penalty is not warranted by the circumstances.
(ii) A written request to reduce the proposed civil penalty, the amount of requested reduction, together with any documents supporting a reduction of the proposed civil penalty, which reflect a current financial inability to pay or records showing that payment of the proposed civil penalty would prevent the person from continuing in business.
(iii) A written request for an Informal Conference, at a date to be determined by an agency official, to discuss the matter with the agency official and to submit supporting evidence and information to the agency official before the date of the Informal Conference.
(3) Submit to the office identified in the Notice of Violation and to TSA's Enforcement Docket Clerk a written request for a formal hearing before an ALJ in accordance with subpart G. A request for a formal hearing before an ALJ must be submitted to the address provided in § 1503.413(c)(3).
(d)
(1) The individual has failed to respond to a Notice of Violation within 30 days after receipt of that notice.
(2) The individual requested an Informal Conference under § 1503.421(c)(2)(iii) but failed to attend the conference or continuation of the conference or provide the agency official with a written request showing good cause for rescheduling the informal conference to a specified alternate date.
(3) The parties have participated in an Informal Conference or other informal proceedings as provided in § 1503.421(c)(2) and the parties have not agreed to compromise the action or the agency official has not agreed to withdraw the Notice of Violation.
(e)
(1) The individual charged with a violation submits a certified check or money order in the amount reflected in the Final Notice and Order to Transportation Security Administration at the address specified in the Final Notice and Order, or makes such payment electronically through
(2) The individual fails to respond to the Final Notice and Order or request a formal hearing within 15 days after receipt of that notice.
(f)
(a)
(b)
(1) An admission of all jurisdictional facts.
(2) An admission of agreed-upon allegations.
(3) A statement of the law violated.
(4) A finding of violation.
(5) An express waiver of the right to further procedural steps and of all rights to administrative and judicial review.
(a)
(b)
(1) All jurisdictional facts.
(2) All allegations.
(3) A statement that the person agrees to pay the civil penalty specified.
(4) A statement that TSA makes no finding of a violation.
(5) A statement that the compromise order will not be used as evidence of a prior violation in any subsequent civil penalty proceeding.
(a)
(b)
(c)
(a)
(b)
(1) By personal delivery or mail, to United States Coast Guard (USCG) ALJ Docketing Center, ATTN: Enforcement Docket Clerk, at the address specified in § 1503.413(c)(3).
(2) By electronic mail, to
(3) By facsimile transmission, to 410-962-1746. If this number changes, TSA will provide notice of the change by notice in the
(c)
(d)
(1) The date of personal delivery.
(2) If mailed, the mailing date stated on the certificate of service, the date shown on the postmark if there is no certificate of service, or other mailing date shown by other evidence if there is no certificate of service or postmark.
(3) If sent by electronic mail or facsimile transmission, the date of transmission.
(e)
(a)
(b)
(c)
(1) Consistent with the rules in this part;
(2) Warranted by existing law or that a good faith and nonfrivolous argument exists for extension, modification, or reversal of existing law;
(3) Not unreasonable or unduly burdensome or expensive, not made to harass any person, not made to cause unnecessary delay, not made to cause needless increase in the cost of the proceedings, or for any other improper purpose; and
(4) Supported by evidence, and any denials of factual contentions are warranted on the evidence.
(d)
(1) Strike the pleading signed in violation of this section.
(2) Strike the request for discovery or the discovery response signed in violation of this section and preclude further discovery by the party.
(3) Deny the motion or request signed in violation of this section.
(4) Exclude the document signed in violation of this section from the record.
(5) Dismiss the interlocutory appeal and preclude further appeal on that issue by the party who filed the appeal until an initial decision has been entered on the record.
(6) Dismiss the appeal of the ALJ's initial decision to the TSA decision maker.
(a) This subpart applies to a civil penalty action in which the requirements of paragraphs (a)(1) through (a)(3) of this section are satisfied.
(1) There is an alleged violation of a TSA requirement.
(2) The amount in controversy does not exceed—
(i) $50,000 if the violation was committed by an individual or a small business concern;
(ii) $400,000 if the violation was committed by any other person.
(3) The person charged with the violation has requested a hearing in accordance with § 1503.427 of this part.
(b) This subpart does not apply to the adjudication of the validity of any TSA rule or other requirement under the U.S. Constitution, the Administrative Procedure Act, or any other law.
(a) Civil penalty proceedings, including hearings, will be prosecuted only by an agency attorney, except to the extent another agency official is permitted to issue and prosecute civil penalties under § 1503.421 of this part.
(b) An agency employee engaged in the performance of investigative or prosecutorial functions in a civil penalty action must not, in that case or a factually related case, participate or give advice in a decision by the ALJ or by the TSA decision maker on appeal, except as counsel or a witness in the public proceedings.
(c) The Chief Counsel or an agency attorney not covered by paragraph (b)
(a) Any party may appear and be heard in person.
(b) Any party may be accompanied, represented, or advised by an attorney or representative designated by the party and may be examined by that attorney or representative in any proceeding governed by this subpart. An attorney or representative who represents a respondent and has not previously filed a pleading in the matter must file a notice of appearance in the action, in the manner provided in § 1503.429, and must serve a copy of the notice of appearance on each party, in the manner provided in § 1503.409, before participating in any proceeding governed by this subpart. The attorney or representative must include the name, address, and telephone number of the attorney or representative in the notice of appearance.
(a)
(1) Give notice of, and hold, prehearing conferences and hearings.
(2) Issue scheduling orders and other appropriate orders regarding discovery or other matters that come before him or her consistent with the rules of this subpart.
(3) Administer oaths and affirmations.
(4) Issue subpoenas authorized by law.
(5) Rule on offers of proof.
(6) Receive relevant and material evidence.
(7) Regulate the course of the hearing in accordance with the rules of this subpart.
(8) Hold conferences to settle or to simplify the issues on his or her own motion or by consent of the parties.
(9) Rule on procedural motions and requests.
(10) Make findings of fact and conclusions of law, and issue an initial decision.
(11) Strike unsigned documents unless omission of the signature is corrected promptly after being called to the attention of the attorney or party.
(12) Order payment of witness fees in accordance with § 1503.649.
(b)
(i) Issue an order of contempt.
(ii) Award costs to any party.
(iii) Impose any sanction not specified in this subpart.
(iv) Adopt or follow a standard of proof or procedure contrary to that set forth in this subpart.
(v) Decide issues involving the validity of a TSA regulation, order, or other requirement under the U.S. Constitution, the Administrative Procedure Act, or other law.
(2) If the ALJ imposes any sanction not specified in this subpart, a party may file an interlocutory appeal of right pursuant to § 1503.631(c)(3).
(3) This section does not preclude an ALJ from issuing an order that bars a person from a specific proceeding based on a finding of obstreperous or disruptive behavior in that specific proceeding.
(c)
(a)
(b)
(a)
(b)
(c)
(d)
(a)
(1) Order a joint hearing or trial on any or all such questions.
(2) Order the consolidation of such actions.
(3) Otherwise make such orders concerning the proceedings as may tend to avoid unnecessary costs or delay.
(b)
(c)
(a)
(b)
(a)
(b)
(c)
(d)
(a) A person may file a motion for leave to intervene as a party in a civil penalty action. The person must file a motion for leave to intervene not later than 10 days before the hearing unless the person shows good cause for the late filing.
(b) If the ALJ finds that intervention will not unduly broaden the issues or delay the proceedings, the ALJ may grant a motion for leave to intervene if the person will be bound by any order or decision entered in the action or the person has a property, financial, or other legitimate interest that may not be addressed adequately by the parties. The ALJ may determine the extent to which an intervenor may participate in the proceedings.
(a)
(b)
(1) Not later than 15 days before the scheduled date of a hearing, a party may amend a complaint or an answer without the consent of the ALJ.
(2) Less than 15 days before the scheduled date of a hearing, the ALJ may allow amendment of a complaint or an answer only for good cause shown in a motion to amend.
(c)
At any time before or during a hearing, an agency attorney may withdraw a complaint or a respondent may withdraw a request for a hearing without the consent of the ALJ. If an agency attorney withdraws the complaint or a party withdraws the request for a hearing and the answer, the ALJ must dismiss the proceedings under this subpart with prejudice, unless the withdrawing party shows good cause for dismissal without prejudice, except that a party may withdraw a request for hearing without prejudice at any time before a complaint has been filed.
Waivers of any rights provided by statute or regulation must be in writing or by stipulation made at a hearing and entered into the record. The parties must set forth the precise terms of the waiver and any conditions.
(a)
(b)
(1) The joint schedule may include, but need not be limited to, requests for discovery, any objections to discovery requests, responses to discovery requests to which there are no objections, submission of prehearing motions, responses to prehearing motions,
(2) Each party must sign the original joint schedule to be filed with the Enforcement Docket Clerk.
(c)
(d)
(e)
(f)
(1) Strike that portion of a party's pleadings.
(2) Preclude prehearing or discovery motions by that party.
(3) Preclude admission of that portion of a party's evidence at the hearing.
(4) Preclude that portion of the testimony of that party's witnesses at the hearing.
(a)
(b)
(c)
(d)
(e)
(1)
(2)
(3)
(f)
(1)
(2)
(i)
(ii)
(iii)
(3)
(i)
(ii)
(4)
(5)
(6)
(i)
(ii)
(iii)
(iv)
(a)
(b)
(c)
(1) A ruling or order by the ALJ barring a person from the proceedings.
(2) Failure of the ALJ to dismiss the proceedings in accordance with § 1503.623.
(3) A ruling or order by the ALJ in violation of § 1503.607(b).
(4) A ruling or order by the ALJ regarding public access to a particular docket or documents.
(d)
(e)
(a)
(b)
(c)
(d)
(e)
(f)
(1) The information requested is cumulative or repetitious;
(2) The information requested can be obtained from another less burdensome and more convenient source;
(3) The party requesting the information has had ample opportunity to obtain the information through other discovery methods permitted under this section; or
(4) The method or scope of discovery requested by the party is unduly burdensome or expensive.
(g)
(h)
(1) The party or person making the motion must show that the confidential order is necessary to protect the information from disclosure to the public.
(2) If the ALJ determines that the requested material is not necessary to decide the case, the ALJ must preclude any inquiry into the matter by any party.
(3) If the ALJ determines that the requested material may be disclosed during discovery, the ALJ may order that the material may be discovered and disclosed under limited conditions or may be used only under certain terms and conditions.
(4) If the ALJ determines that the requested material is necessary to decide the case and that a confidential order is warranted, the ALJ must provide the following:
(i) An opportunity for review of the document by the parties off the record.
(ii) Procedures for excluding the information from the record.
(iii) An order that the parties must not disclose the information in any manner and the parties must not use the information in any other proceeding.
(i)
(1) Deny the discovery request.
(2) Order that discovery be conducted only on specified terms and conditions, including a designation of the time or place for discovery or a determination of the method of discovery.
(3) Limit the scope of discovery or preclude any inquiry into certain matters during discovery.
(j)
(1) A party must supplement or amend any response to a question requesting the identity and location of any person having knowledge of discoverable matters.
(2) A party must supplement or amend any response to a question requesting the identity of each person who will be called to testify at the hearing as an expert witness and the subject matter and substance of that witness' testimony.
(3) A party must supplement or amend any response that was incorrect when made or any response that was correct when made but is no longer correct, accurate, or complete.
(k)
(1)
(2)
(3)
(4)
(l)
(1) A party must not serve more than 30 interrogatories to each other party. Each subpart of an interrogatory will be counted as a separate interrogatory.
(2) Before serving additional interrogatories on a party, a party must file a motion for leave to serve additional interrogatories on a party with the ALJ and must serve a copy on each party before serving additional interrogatories on a party. The ALJ may grant the motion only if the party shows good cause for the party's failure to inquire about the information previously and that the information cannot reasonably be obtained using less burdensome discovery methods or be obtained from other sources.
(m)
(1)
(2)
(3)
(n)
(o)
(1) Strike that portion of a party's pleadings.
(2) Preclude prehearing or discovery motions by that party.
(3) Preclude admission of that portion of a party's evidence at the hearing.
(4) Preclude that portion of the testimony of that party's witnesses at the hearing.
(a)
(b)
(c)
The ALJ may issue an initial decision or may rule in a party's favor only if the decision or ruling is supported by a preponderance of the evidence contained in the record. In order to prevail, the party with the burden of proof must prove the party's case or defense by a preponderance of the evidence.
(a) Except in the case of an affirmative defense, the burden of proof is on the agency.
(b) Except as otherwise provided by statute or rule, the proponent of a motion, request, or order has the burden of proof.
(c) A party who has asserted an affirmative defense has the burden of proving the affirmative defense.
A party whose evidence has been excluded by a ruling of the ALJ may offer the evidence for the record on appeal.
This section applies to information other than Sensitive Security Information (SSI). All release of SSI is governed by § 1503.415 and 49 CFR part 1520.
(a) The ALJ may order that any other information contained in the record be withheld from public disclosure. Any person may object to disclosure of information in the record by filing a written motion to withhold specific information with the ALJ and serving a copy of the motion on each party. The party must state the specific grounds for nondisclosure in the motion.
(b) The ALJ must grant the motion to withhold information in the record if, based on the motion and any response to the motion, the ALJ determines that disclosure would be detrimental to transportation safety, disclosure would not be in the public interest, or that the information is not otherwise required to be made available to the public.
An employee of the agency may not be called as an expert or opinion witness, for any party other than TSA, in any proceeding governed by this subpart. An employee of a respondent may not be called by an agency attorney as an expert or opinion witness for TSA in any proceeding governed by this subpart to which the respondent is a party.
(a)
(b)
(c)
(a)
(b)
(a)
(b)
(2)
(A) Parties to the proceedings.
(B) Their designated representatives.
(C) Persons who have a need to know as determined by the Administrator.
(ii) Those persons with permission to review these documents or docket files may view the materials at the TSA Headquarters, 601 South 12th Street, Arlington, Virginia 20598-6002. Persons with access to these records may have a copy of the records after payment of reasonable costs.
(a)
(b)
(c)
(a)
(b)
(c)
(d)
(a)
(b)
(1) Whether each finding of fact is supported by a preponderance of the evidence.
(2) Whether each conclusion of law is made in accordance with applicable law, precedent, and public policy.
(3) Whether the ALJ committed any prejudicial errors during the hearing that support the appeal.
(c)
(1)
(2)
(d)
(1) In the appeal brief, a party must set forth, in detail, the party's specific
(2) The TSA decision maker may dismiss an appeal, on the TSA decision maker's own initiative or upon motion of any other party, where a party has filed a notice of appeal but fails to perfect the appeal by timely filing an appeal brief.
(e)
(1)
(2)
(f)
(g)
(h)
(i)
(j)
(1) The TSA decision maker may raise any issue, on the TSA decision maker's own initiative, that is required for proper disposition of the proceedings. The TSA decision maker will give the parties a reasonable opportunity to submit arguments on the new issues before making a decision on appeal. If an issue raised by the TSA decision maker requires the consideration of additional testimony or evidence, the TSA decision maker will remand the case to the ALJ for further proceedings and an initial decision related
(2) The TSA decision maker will issue the final decision and order of the Administrator on appeal in writing and will serve a copy of the decision and order on each party. Unless a petition for review is filed pursuant to § 1503.659, a final decision and order of the Administrator will be considered an order assessing civil penalty if the TSA decision maker finds that an alleged violation occurred and a civil penalty is warranted.
(3) A final decision and order of the Administrator after appeal is binding precedent in any other civil penalty action unless appealed and reversed by a court of competent jurisdiction.
(4) The TSA decision maker will determine whether the decision and order of the TSA decision maker, with the ALJ's initial decision or order attached, may be released to the public, either in whole or in redacted form. In making this determination, the TSA decision maker will consider whether disclosure of any of the information in the decision and order would be detrimental to transportation security, would not be in the public interest, or should not otherwise be required to be made available to the public.
(a)
(b)
(c)
(1) If the petition is based, in whole or in part, on allegations regarding the consequences of the TSA decision maker's decision, the party must describe and support those allegations.
(2) If the petition is based, in whole or in part, on new material not previously raised in the proceedings, the party must set forth the new material and include affidavits of prospective witnesses and authenticated documents that would be introduced in support of the new material. The party must explain, in detail, why the new material was not discovered through due diligence prior to the hearing.
(d)
(e)
(f)
(g)
For violations of a TSA requirement, a party may petition for review of a final order of the Administrator only to the courts of appeals of the United States or the United States Court of Appeals for the District of Columbia pursuant to 49 U.S.C. 46110. A party seeking judicial review of a final order must file a petition for review not later than 60 days after the final order has been served on the party.
(a)
(b)
(1) $50,000, in the case of violation by an individual or small business concern, as defined in section 3 of the Small Business Act (15 U.S.C. 632).
(2) $400,000, in the case of violation by any other person.
(c)
(1) $50,000, in the case of violation by an individual (except an airman serving as an airman), any person not operating an aircraft for the transportation of passengers or property for compensation, or a small business concern, as defined in section 3 of the Small Business Act (15 U.S.C. 632).
(2) $400,000, in the case of violation by a person operating an aircraft for the transportation of passengers or property for compensation (except an individual serving as an airman).
(a)
(b)
(c)
(d)
(e)
(f) The Administrator delegates to the Chief Counsel and the Deputy Chief Counsel for Enforcement the authority to carry out any function of the Administrator described in this § 1503.703.
(a) Any person may file a complaint with the Administrator with respect to any act or omission by any person in contravention of 49 U.S.C., subtitle VII, part A, (except sections 44902, 44903(d), 44907(a)-(d)(1)(A), 44907(d)(1)(C)-(f), 44908, and 44909) administered by the Administrator, or a regulation prescribed or order issued under any of those provisions. This section does not apply to complaints against the Administrator or employees of the TSA acting within the scope of their employment.
(b) Complaints filed under this section must—
(1) Be submitted in writing and identified as a complaint filed for the purpose of seeking an appropriate order or other enforcement action;
(2) Be submitted to the U.S. Department of Homeland Security, Transportation Security Administration, by following the instructions to complete a “complaint” contact form by following the instructions on the TSA Web site, currently accessible at
(3) Set forth the name and address, if known, of each person who is the subject of the complaint and, with respect to each person, the specific provisions of the statute, regulation, or order that the person filing the complaint believes were violated;
(4) Contain a concise, but complete, statement of the facts relied upon to substantiate each allegation;
(5) State the name, address, and telephone number of the person filing the complaint; and
(6) Be signed by the person filing the complaint or a duly authorized representative.
(c) TSA will consider complaints that do not meet the requirements of paragraph (b) of this section as reports under § 1503.1.
(d) TSA will place complaints that meet the requirements of paragraph (b) of this section in the docket and will mail a copy to each person named in the complaint.
(e) TSA will refer any complaint against a member of the Armed Forces of the United States acting in the performance of official duties to the Secretary of the Department concerned in accordance with the procedures set forth in § 1503.407.
(f) The person named in the complaint must file an answer within 20 days after service of a copy of the complaint.
(g) After the complaint has been answered or after the allotted time in which to file an answer has expired, the Administrator, or a designated official, will determine if there are reasonable grounds for investigating the complaint.
(h) If the Administrator, or a designated official, determines that a complaint does not state facts that warrant an investigation or action, the Administrator or designated official may dismiss the complaint without a hearing and, if so, will provide the reason for the dismissal, in writing, to the person who filed the complaint and the person(s) named in the complaint.
(i) If the Administrator, or a designated official, determines that reasonable grounds exist, an informal investigation may be initiated. Each person named in the complaint will be advised which official has been delegated the responsibility under § 1503.203 for conducting the investigation.
(j) If the investigation substantiates the allegations set forth in the complaint, a notice of proposed order may be issued or other enforcement action taken in accordance with this part.
(k) The complaint and other pleadings and official TSA records relating to the disposition of the complaint are maintained in current docket form at: U.S. Department of Homeland Security, Transportation Security Administration, Office of the Chief Counsel, TSA-2, Complaint Docket, 601 South 12th Street, Arlington, VA 20598-6002. If this location changes, TSA will give notice of the change by publishing a notice in the
(1)
(2)
(A) Parties to the proceedings.
(B) Representatives designated in writing by a party.
(C) Persons who have a need to know as determined by the Administrator.
(ii) Those persons with permission to review these documents or docket files may view the materials at the Complaint Docket, TSA Headquarters, Visitor Center, 601 South 12th Street, Arlington, Virginia 20598-6002, Attn: Office of Chief Counsel. If this address changes, TSA will give notice by publishing a notice in the
49 U.S.C. 114(l)(1), 40113, 5 U.S.C. 552a(j) and (k).
This part implements provisions of the Privacy Act of 1974 (the Act) that permit TSA to exempt any system of records within the agency from certain requirements of the Act. The procedures governing access to, and correction of, records in a TSA system of records are set forth in 6 CFR part 5, subpart B.
The following TSA systems of records are exempt from certain provisions of the Privacy Act of 1974 pursuant to 5 U.S.C. 552a(j), (k), or both, as set forth in this section. During the course of normal agency functions, exempt materials from one system of records may become part of one or more other systems of records. To the extent that any portion of system of records becomes part of another Privacy Act system of records, TSA hereby claims the same exemptions as were claimed in the original primary system of which they are a part and claims any additional exemptions in accordance with this part.
(a)
(1) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal investigative interest on the part of TSA, as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to transportation security, law enforcement efforts, and efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the investigation and avoid detection or
(2) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of an investigation of an actual or potential criminal, civil, or regulatory violation to the existence of the investigation and reveal investigative interest on the part of TSA, as well as the recipient agency. Access to the records would permit the individual who is the subject of a record to impede the investigation and avoid detection or apprehension. Amendment of the records would interfere with ongoing investigations and law enforcement activities, and impose an impossible administrative burden by requiring investigations to be continuously reinvestigated. The information contained in the system may also include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information also could disclose sensitive security information, which could be detrimental to transportation security.
(3) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of investigations into potential violations of transportation security laws, the accuracy of information obtained or introduced occasionally may be unclear or the information may not be strictly relevant or necessary to a specific investigation. In the interests of effective enforcement of transportation security laws, it is appropriate to retain all information that may aid in establishing patterns of unlawful activity.
(4) From subsection (e)(3) (Privacy Act Statement) because disclosing the authority, purpose, routine uses, and potential consequences of not providing information could reveal the investigative interests of TSA, as well as the nature and scope of an investigation, the disclosure of which could enable individuals to circumvent agency regulations or statutes.
(5) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d).
(b)
(1) From subsection (c)(3) (Accounting for Disclosures), because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would learn of third-agency investigate interests and thereby avoid detection or apprehension.
(2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigate techniques and procedures in the transportation workers employment investigation process, as well as the nature and scope of the employment investigation, the disclosure of which could enable individuals to circumvent agency regulations or statutes and obtain access to sensitive information and restricted areas in the transportation industry. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrimental to the security of transportation.
(3) From subsection (e)(1) (Relevancy and Necessity of Information), because third-agency records obtained or made available to TSA during the course of
(4) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d).
(c)
(d)
(1) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could, therefore, present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would learn of third-agency investigative interests and thereby avoid detection or apprehension, as well as to TSA investigative efforts.
(2) From subsection (d) (Access to Records) because access to the records contained in this system could reveal investigative techniques and procedures of the investigators, as well as the nature and scope of the investigation, the disclosure of which could enable individuals to circumvent agency regulations or statutes. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such records could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrimental to the security of transportation.
(3) From subsection (e)(1) (Relevancy and Necessity of Information) because third agency records obtained or made available to TSA during the course of
(4) From subsection (e)(3) (Privacy Act Statement) because disclosing the authority, purpose, routine uses, and potential consequences of not providing information could reveal the targets of interests of the investigating office, as well as the nature and scope of an investigation, the disclosure of which could enable individuals to circumvent agency regulations or statutes.
(5) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d).
(e)
(1) From subsection (c)(3) (Accounting for Disclosures), because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would lean of third-agency investigative interests and thereby avoid detection or apprehension.
(2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigative interest on the part of TSA or other agency and the nature of that interest, the disclosure of which could enable individuals to circumvent agency regulations or statutes. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrimental to transportation security.
(3) From subsection (e)(1) (Relevancy and necessity of Information), because third-agency records obtained or made available to TSA during the course of an investigation may occasionally contain information that is not strictly relevant or necessary to a specific investigation. In the interests of administering an effective and comprehensive investigation program, it is appropriate and necessary for TSA to retain all such information that may aid in that process.
(4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency rules), because this system is exempt from the access provisions of subsection (d).
(f)
(1) From subsection (c)(3) (Accounting for Disclosures), because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would learn of third-agency investigative interests and thereby avoid detection or apprehension.
(2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigative interest on the part of TSA or other agency and the nature of that interest, the disclosure of which could enable individuals to circumvent agency regulations or statutes. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which would be detrimental to transportation security.
(3) From subsection (e)(1) (Relevancy and necessity of Information), because third-agency records obtained or made available to TSA during the course of an investigation may occasionally contain information that is not strictly relevant or necessary to a specific investigation. In the interests of administering an effective and comprehensive investigation program, it is appropriate and necessary for TSA to retain all such information that may aid in that process.
(4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access provisions of subsection (d).
(g)
(1) From subsection (c)(3) (Accounting for Disclosures), because release of the accounting of disclosures could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency, as the individual who is the subject of a record would learn of third-agency investigative interests and thereby avoid detection or apprehension.
(2) From subsection (d) (Access to Records), because access to the records contained in this system could reveal investigative interest on the part of TSA or other agency and the nature of that interest, the disclosure of which would enable individuals to circumvent agency regulations or statutes. The information contained in the system might include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information could reveal sensitive security information protected pursuant to 49 U.S.C. 114(s), the disclosure of which could be detrimental to transportation security.
(3) From subsection (e)(1) (Relevancy and Necessity of Information), because third-agency records obtained or made available to TSA during the course of an investigation may occasionally contain information that is not strictly relevant or necessary to a specific investigation. In the interests of administering an effective and comprehensive investigation program, it is appropriate and necessary for TSA to retain all such information that may aid in that process.
(4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because this system is
(h)
(1) From (c)(3) (Accounting of Certain Disclosures) and (d) (Access to Records), because access to the accounting of disclosures in this system could reveal the identity of a confidential source that provided information during the background check process. Without the ability to protect the identity of a confidential source, the agency's ability to gather pertinent information about candidates for the program may be limited. In addition, the system might contain information that is properly classified, the release of which would pose a threat to national security and/or foreign policy, or information the disclosure of which could be detrimental to the security of transportation pursuant to 49 U.S.C. 114(s). Finally, the agency must be able to protect against access to testing or examination material as release of this material could compromise the effectiveness of the testing and examination procedure itself. The examination material contained in this system is so similar in form and content to the examination material used in the selection process for TSA security screeners, or potential selection processes that TSA may utilize in the future, that release of the material would compromise the objectivity or fairness of the testing or examination process of those TSA employees.
(2) From (e)(1) (Relevancy and Necessity of Information), because information obtained or made available to TSA from other agencies and other sources during the evaluation of an individual's suitability for an FFDO position may occasionally include information that is not strictly relevant or necessary to the specific determination regarding that individual. In the interests of effective program administration, it is appropriate and necessary for TSA to collect all such information that may aid in the FFDO selection process.
(i)
(1) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of heightened security concerns relating to an actual or potential criminal, civil, or regulatory violation to the existence of an investigative interest on the part of the Department of Homeland Security or another Federal law enforcement or other recipient agency. Disclosure of the accounting would therefore present a serious impediment to transportation security law enforcement efforts and efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede the program suitability determination, which undermines the entire system.
(2) From subsection (d) (Access to Records) because access to some of the records contained in this system of records could permit the individual who is the subject of a record to impede the program suitability determination. Amendment of the records would interfere with ongoing security assessment investigations and program suitability determinations and impose an impossible administrative burden by requiring such investigations to be
(3) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of screening applicants for program suitability, TSA must be able to review information from a variety of sources. What information is relevant and necessary may not always be apparent until after the evaluation is completed. In the interests of transportation security, it is appropriate to include a broad range of information that may aid in determining an applicant's suitability for the Registered Traveler program.
(4) From subsections (e)(4)(G), (H) and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access and amendment provisions of subsection (d).
(j)
(1) From subsection (c)(3) (Accounting for Disclosures) because release of the accounting of disclosures could alert the subject of intelligence gather operations and reveal investigative interest on the part of the Transportation Security Administration, as well as the recipient agency. Disclosure of the accounting would therefore present a serious impediment to transportation security law enforcement efforts and efforts to preserve national security. Disclosure of the accounting would also permit the individual who is the subject of a record to impede operations and avoid detection and apprehension, which undermined the entire system. Disclosure of the accounting may also reveal the existence of information that is classified or sensitive security information, the release of which would be detrimental to the security of transportation.
(2) From subsection (d) (Access to Records) because access to the records contained in this system of records could inform the subject of intelligence gathering operations and reveal investigative interest on the part of the Transportation Security Administration. Access to the records would permit the individual who is the subject of a record to impede operations and possibly avoid detection or apprehension. Amendment of the records would interfere with ongoing intelligence and law enforcement activities and impose an impossible administrative burden by requiring investigations to be continually reinvestigated. The information contained in the system may also include properly classified information, the release of which would pose a threat to national defense and/or foreign policy. In addition, permitting access and amendment to such information also could disclose sensitive security information, which could be detrimental to transportation security if released. This system may also include information necessary to make a determination as to an individual's qualifications, eligibility, or suitability for access to classified information, the release of which would reveal the identity of a source who received an express or implied assurance that their identity would not be revealed to the subject of the record.
(3) From subsection (e)(1) (Relevancy and Necessity of Information) because in the course of gathering and analyzing information about potential threats to transportation security, the accuracy of information obtained or introduced occasionally may be unclear
(4) From subsections (e)(4)(G), (H), and (I) (Agency Requirements), and (f) (Agency Rules), because this system is exempt from the access and amendment provisions of subsection (d).
(k)
(2) In addition to records under the control of TSA, the Secure Flight system of records may include records originating from systems of records of other law enforcement and intelligence agencies which may be exempt from certain provisions of the Privacy Act. However, TSA does not assert exemption to any provisions of the Privacy Act with respect to information submitted by or on behalf of individual passengers or non-travelers in the course of making a reservation or seeking access to a secured area under the Secure Flight program.
(3) To the extent the Secure Flight system contains records originating from other systems of records, TSA will rely on the exemptions claimed for those records in the originating system of records. Exemptions for certain records within the Secure Flight Records system from particular subsections of the Privacy Act are justified for the following reasons:
(i) From subsection (c)(3) (Accounting for Disclosures) because giving a record subject access to the accounting of disclosures from records concerning him or her could reveal investigative interest on the part of the recipient agency that obtained the record pursuant to a routine use. Disclosure of the accounting could therefore present a serious impediment to law enforcement efforts on the part of the recipient agency because the individual who is the subject of the record would learn of third agency investigative interests and could take steps to evade detection or apprehension. Disclosure of the accounting also could reveal the details of watch list matching measures under the Secure Flight program, as well as capabilities and vulnerabilities of the watch list matching process, the release of which could permit an individual to evade future detection and thereby impede efforts to ensure transportation security.
(ii) From subsection (c)(4) because portions of this system are exempt from the access and amendment provisions of subsection (d).
(iii) From subsections (d)(1), (2), (3), and (4) because these provisions concern individual access to and amendment of certain records contained in this system, including law enforcement counterterrorism, investigatory and intelligence records. Compliance with these provisions could alert the subject of an investigation of the fact and nature of the investigation, and/or the investigative interest of intelligence or law enforcement agencies; compromise sensitive information related to national security; interfere with the overall law enforcement process by leading to the destruction of evidence, improper influencing of witnesses, fabrication of testimony, and/or flight of the subject; identify a confidential source or disclose information which would constitute an unwarranted invasion of another's personal privacy; reveal a sensitive investigative or intelligence technique; or constitute a potential danger to the health or safety of law enforcement personnel, confidential informants, and witnesses. Amendment of these records would interfere with ongoing counterterrorism, law enforcement, or intelligence investigations and analysis activities and impose an impossible administrative burden by requiring investigations, analyses, and reports to be continuously reinvestigated and revised.
(iv) From subsection (e)(1) because it is not always possible for TSA or other agencies to know in advance what information is both relevant and necessary for it to complete an identity comparison between aviation passengers or certain non-travelers and a known or suspected terrorist. In addition, because TSA and other agencies may not always know what information about an encounter with a known or suspected terrorist will be relevant to law enforcement for the purpose of conducting an operational response.
(v) From subsection (e)(2) because application of this provision could present a serious impediment to counterterrorism, law enforcement, or intelligence efforts in that it would put the subject of an investigation, study or analysis on notice of that fact, thereby permitting the subject to engage in conduct designed to frustrate or impede that activity. The nature of counterterrorism, law enforcement, or intelligence investigations is such that vital information about an individual frequently can be obtained only from other persons who are familiar with such individual and his/her activities. In such investigations, it is not feasible to rely upon information furnished by the individual concerning his own activities.
(vi) From subsection (e)(3), to the extent that this subsection is interpreted to require TSA to provide notice to an individual if TSA or another agency receives or collects information about that individual during an investigation or from a third party. Should the subsection be so interpreted, exemption from this provision is necessary to avoid impeding counterterrorism, law enforcement, or intelligence efforts by putting the subject of an investigation, study or analysis on notice of that fact, thereby permitting the subject to engage in conduct intended to frustrate or impede that activity.
(vii) From subsections (e)(4)(G) and (H) (Agency Requirements) and (f) (Agency Rules), because this system is exempt from the access provisions of 5 U.S.C. 552a(d).
(viii) From subsection (e)(5) because many of the records in this system coming from other system of records are derived from other domestic and foreign agency record systems and therefore it is not possible for TSA to ensure their compliance with this provision, however, TSA has implemented internal quality assurance procedures to ensure that data used in the watch list matching process is as thorough, accurate, and current as possible. In addition, in the collection of information for law enforcement, counterterrorism, and intelligence purposes, it is impossible to determine in advance what information is accurate, relevant, timely, and complete. With the passage of time, seemingly irrelevant or untimely information may acquire new significance as further investigation brings new details to light. The restrictions imposed by (e)(5) would limit the ability of those agencies' trained investigators and intelligence analysts to exercise their judgment in conducting investigations and impede the development of intelligence necessary for effective law enforcement and counterterrorism efforts. However, TSA has implemented internal quality assurance procedures to ensure that the data used in the watch list matching process is as thorough, accurate, and current as possible.
(ix) From subsection (e)(8) because to require individual notice of disclosure of information due to compulsory legal process would pose an impossible administrative burden on TSA and other agencies and could alert the subjects of counterterrorism, law enforcement, or intelligence investigations to the fact of those investigations when not previously known.
(x) From subsection (f) (Agency Rules) because portions of this system are exempt from the access and amendment provisions of subsection (d).
(xi) From subsection (g) to the extent that the system is exempt from other specific subsections of the Privacy Act.
49 U.S.C. 114, 40113, and 44940.
This part prescribes a uniform fee to be paid by passengers of direct air carriers and foreign air carriers in air transportation, foreign air transportation, and intrastate air transportation originating at airports in the United States to pay for the costs of providing civil aviation security services as described in 49 U.S.C. 44940.
The following definitions apply in this part:
(a) The security service fee will be $2.50 per passenger enplanement. The security service fee is imposed only on passengers of direct air carriers and foreign air carrier described in § 1510.9(a). Passengers may not be charged for more than two enplanements per one-way trip or four enplanements per round trip.
(b) The security service fee will be imposed on all flight segments originating at an airport in the United States.
(c) The security service fee must be imposed on passengers who obtained the ticket for air transportation with a frequent flyer award, but may not be imposed on any other nonrevenue passengers.
(d) Passengers enplaning a flight segment outside of the United States are not subject to the security service fee for that enplanement.
A direct air carrier and foreign air carrier must identify the security service fee imposed by this part as “September 11th Security Fee” in all its advertisements and solicitations for air transportation.
(a) The following direct air carriers and foreign air carriers must collect security service fees from passengers enplaning:
(1) A scheduled passenger or public charter passenger operation with an aircraft having passenger seating configuration of more than 60 seats.
(2) A scheduled passenger or public charter passenger operation with an aircraft having a passenger seating configuration of less than 61 seats when passengers are enplaned from or deplaned into a sterile area.
(b) Direct air carriers and foreign air carriers must collect from each passenger, to the extent provided in § 1510.5, a security service fee on air transportation sold on or after February 1, 2002. The security service fee must be based on the air travel itinerary at the time the air transportation is sold. Any changes by the passenger to the itinerary that alter the number of enplanements are subject to additional collection or refund of the security service fee by the direct air carrier or foreign air carrier as appropriate. Direct air carriers and foreign air carriers are solely liable to TSA for additional security service fees imposed because of involuntary enplanement changes to the itinerary.
(c) Whether or not the security service fee is collected as required by this part, the direct air carrier or foreign air carrier selling the air transportation is solely liable to TSA for the fee and must remit the fee as required in § 1510.13.
(d) Direct air carriers and foreign air carriers may not collect security service fees not imposed by this part.
(a) Direct air carriers and foreign air carriers are responsible for the safekeeping of all security service fees from the time of collection to remittance.
(b) Security service fees collected by a direct air carrier or foreign air carrier are held in trust by that direct carrier for the beneficial interest of the United States in paying for the costs of providing civil aviation security services described in 49 U.S.C. 44940. The direct air carrier or foreign air carrier holds neither legal nor equitable interest in the security service fees except for the right to retain any accrued interest on the principal amounts collected pursuant to § 1510.13(b).
(c) Direct air carriers and foreign air carriers must account for security service fees separately, but the fees may be commingled with the carriers' other sources of revenue.
(d) Direct air carriers and foreign air carriers must disclose in their financial statements the existence and the amount of security service fee held in trust.
(a) Each direct air carrier and foreign air carrier must remit all security service fees imposed each calendar month to TSA, as directed by the Administrator, by the last calendar day of the month following the imposition.
(b) Direct air carriers and foreign air carriers may retain any interest that accrues on the principal amounts collected between the date of collection and the date the fee is remitted to TSA in accordance with paragraph (a) of this section.
(c) Direct air carriers and foreign air carriers are prohibited from retaining
(d) Security service fees are payable to the “Transportation Security Administration” in U.S. currency and drawn on a U.S. bank.
(1) Fees of $1,000 or more must be remitted by electronic funds transfer.
(2) Fees under $1,000 may be remitted by electronic funds transfer, check, money order, wire transfer, or draft.
(e) Direct air carriers and foreign air carriers are responsible for paying any bank processing charges on the security service fees collected or remitted under this part when such charges are assessed on the U.S. government.
(a) Direct air carriers and foreign air carriers must establish and maintain an accounting system to account for the security service fees imposed, collected, refunded and remitted. The accounting records must identify the airports at which the passengers were enplaned.
(b) Each direct air carrier and foreign air carrier that collects security services fees from more than 50,000 passengers annually must provide for an audit at least annually of its security service fee activities or accounts.
(c) Audits pursuant to paragraph (b) of this section must be performed by an independent certified public accountant and may be of limited scope. The accountant must express an opinion on the fairness and reasonableness of the direct air carrier's and foreign air carrier's procedures for collecting, holding, and remitting the fees. The opinion must also address whether the quarterly reports required in § 1510.17 fairly represent the net transactions in the security service fee accounts.
(a) Each direct air carrier and foreign air carrier collecting security service fees must provide TSA with quarterly reports that provide an accounting of fees imposed, collected, refunded and remitted.
(b) Quarterly reports must state:
(1) The direct air carrier or foreign air carrier involved;
(2) The total amount of September 11th Security Fees imposed on passengers in U.S. currency for each month during the previous quarter of the calendar year;
(3) The net amount of September 11th Security Fees collected in U.S. currency by the direct air carrier or foreign air carrier for each month during the previous quarter of the calendar year;
(4) The total amount of September 11th Security Fees refunded in U.S. currency by the direct air carrier or foreign air carrier for each month during the previous quarter of the calendar year; and
(5) The total amount of September 11th Security Fees remitted in U.S. currency by the direct air carrier or foreign air carrier for each month during the previous quarter of the calendar year.
(c) The report must be filed by the last day of the calendar month following the quarter of the calendar year in which the fees were imposed.
Direct air carriers and foreign air carriers must allow any authorized representative of the Administrator, the Secretary of Transportation, the Secretary of Homeland Security, the Inspector General of the Department of Transportation, the Inspector General of the Department of Homeland Security, or the Comptroller General of the United States to audit or review any of its books and records and provide any other information necessary to verify that the security service fees were properly collected and remitted consistent with this part.
A direct air carrier's or foreign air carrier's failure to comply with the requirements 49 U.S.C. 44940 or the provisions of this part may be considered to be an unfair and deceptive practice in violation of 49 U.S.C. 41712 and may also result in a claim due the United
49 U.S.C. 114, 40113, 44901, and 44940.
(a) This part prescribes the imposition of a fee on air carriers and foreign air carriers in air transportation to pay for the costs of providing U.S. civil aviation security services as described in 49 U.S.C. 44940.
(b) For purposes of this part, the fee will be described as the “Aviation Security Infrastructure Fee.”
The following definitions apply for purposes of this part. For other definitions that may be applicable to this part refer to 49 U.S.C. 40102.
(a) Effective February 18, 2002, an Aviation Security Infrastructure Fee will be imposed on air carriers and foreign air carriers engaged in air transportation.
(b) The amount of the Aviation Security Infrastructure Fee for each fiscal year will not exceed, in the aggregate, the amounts paid in calendar year 2000 by air carriers and foreign air carriers for the screening of passengers and property transported by passenger aircraft in the United States, as determined by the Administrator.
(c) For fiscal years 2002, 2003 and 2004, the amount of the Aviation Security Infrastructure Fee imposed on each air carrier and foreign air carrier will not exceed the amount each such carrier paid for the screening of passengers and property transported by passenger aircraft in the United States during calendar year 2000, as determined by the Administrator.
(d) Each air carrier and foreign air carrier that paid for the screening of passengers and property in calendar year 2000 must fully complete the form set forth in Appendix A to this part titled, “Calendar Year 2000 Costs Paid
(e) In the case of a merger, acquisition, corporate restructuring, reorganization, or name change involving an air carrier or foreign air carrier that paid for the screening of passengers and property transported by passenger aircraft in the United States during calendar year 2000, the successor entity must include those screening costs in Appendix A of this part and submit those costs together with its own costs on one form in accordance with paragraph (d) of this section. Any other air carrier or foreign air carrier that paid for the screening of passengers and property transported by passenger aircraft in the United States during calendar year 2000 but is no longer providing air transportation must also complete the form set forth in Appendix A and submit the form in accordance with paragraph (d) of this section.
(f) The Administrator has determined that the information submitted pursuant to this part and 49 U.S.C. 44940(a)(2)(B) is Sensitive Security Information and is subject to the non-disclosure requirements of 49 U.S.C. 40119(b).
(g) The amount of the Aviation Security Infrastructure Fee imposed on each air carrier and foreign air carrier will be redetermined for fiscal years 2005 and beyond, and such redeterminations may be based on the carrier's respective market share or any other appropriate measure in lieu of the measure provided in paragraph (c) of this section.
(a) No later than May 31, 2002, each air carrier and foreign air carrier engaged in air transportation must remit to TSA.
(1) 3.273 percent of the total amount the carrier has indicated in Appendix A of this part, or an amount as otherwise determined by the Administrator, which will represent the Aviation Security Infrastructure Fee due for the period running from February 18 through February 28, 2002; and,
(2) 16.666 percent of the total amount the carrier has indicated in Appendix A of this part, or an amount as otherwise determined by the Administrator, which will represent the Aviation Security Infrastructure Fee due for period running from March 1 through April 30, 2002.
(b) Each air carrier and foreign air carrier engaged in air transportation must remit to TSA 8.333 percent of the total amount the carrier has indicated in Appendix A of this part, or an amount as otherwise determined by the Administrator, by the last calendar day of each month following May 2002 up to and including September 2004.
(c) Each air carrier and foreign air carrier engaged in air transportation must remit to TSA 8.333 percent of the total amount as determined by the Administrator pursuant to section 1511.5(g) of this part by the last calendar day of each month following September 2004.
(d) Aviation Security Infrastructure Fees must be payable to the “Transportation Security Administration” in U.S. currency and drawn on a U.S. bank.
(1) Aviation Security Infrastructure Fees of $1,000 or more must be remitted by electronic funds transfer.
(2) Aviation Security Infrastructure Fees under $1,000 may be remitted by electronic funds transfer, check, money order, wire transfer, or draft.
(e) Air carriers and foreign air carriers are responsible for paying any bank processing charges on Aviation Security Infrastructure Fees remitted under this part when such charges are assessed on the U.S. government.
(a) Each air carrier and foreign air carrier must submit an audit performed by an independent certified public accountant of the information provided pursuant to this part to the Transportation Security Administration by July 1, 2002. The cost of the audit will be borne by the carrier. The accountant must express an opinion as to the fairness and reasonableness of
(b) Each air carrier and foreign air carrier must maintain and retain any and all documents, records, or information related to the amount of the Aviation Security Infrastructure Fees imposed on the carrier pursuant to this part, including all information applicable to the costs submitted in Appendix A, and information that is reasonably necessary to complete an audit.
(a) Upon request, air carriers and foreign air carriers must allow any authorized representative of the Administrator, the Secretary of Transportation, the Secretary of Homeland Security, the Inspector General of the Department of Transportation, the Inspector General of the Department of Homeland Security, or the Comptroller General of the United States to audit or review any of the books and records and provide any other information necessary to verify that:
(1) The information submitted pursuant to 49 U.S.C. 44940(a)(2)(B) and this part, including that provided in Appendix A, is true and correct; or
(2) The Aviation Security Infrastructure Fees were remitted consistent with this part.
(a) In addition to any other remedies allowed by law, willful falsification by any party, directly or indirectly, of information provided by an air carrier or foreign air carrier pursuant to this part, including information submitted in Appendix A as required by section 1511.5 of this part, may be prosecuted criminally resulting in a fine and/or imprisonment under 18 U.S.C 1001.
(b) An air carrier's or foreign air carrier's failure to comply with the requirements of 49 U.S.C. 44940 or the provisions of this part may result in a claim due the United States by the carrier, which claim shall be collectable pursuant to 31 U.S.C. Chapter 37 and the Department of Transportation's implementing regulations at 49 CFR part 89.
When filling out this form, the responding air carrier or foreign air carrier shall include all costs incurred in calendar year 2000 by that air carrier for the screening of passengers and property. Costs are those attributed to the screening of passengers and property in the United States for both flights within the United States and flights from the United States to foreign destinations. Reported costs must be consistent with the air carrier's financial accounting information reported in accordance with generally accepted accounting principles.
Where actual costs of screening passengers and property cannot be directly identified through an air carrier's accounting system, the air carrier shall use an appropriate alternate cost assignment methodology. Documentation that explains and supports the assignment methodology used, the applicable pool and the allocation basis must be made available upon request. For costs related to capitalized property, please report the associated depreciation expense incurred during calendar year 2000. Capitalization policy must also be made available upon request.
To the extent necessary, the reporting air carrier may aggregate those specific costs that have been incurred but cannot be stated in the detailed cost categories requested by this form. However, all of the costs identified by this form must be included in the total calculations. In addition, explanations regarding costs that have been aggregated need to be provided. Costs reported in Appendix A do not need to include costs that may have been incurred for a position higher than those of the air carrier's director of security (or equivalent). Costs incurred for higher positions, such as those of the air carrier's chief executive officer, do not need to be included.
When including cost information on acquired and/or merged air carriers, the successor air carrier must specify the names of all of such entities whose calendar year 2000 passenger and property screening costs are included in that air carrier's submission as Appendix A.
The costs listed below are to be in US dollars, rounded to the nearest dollar. Place a zero in the appropriate box to indicate cost categories in which the air carrier did not incur costs for passenger and property screening in calendar year 2000.
Examples of cost types that appear in the supporting notes below are for illustrative purposes only and are not intended to set forth all relevant costs that must be reported by air carriers and foreign air carriers. In submitting information to TSA, air carriers and foreign air carriers must submit all of their relevant costs, regardless of whether those costs have been specifically illustrated in the notes.
This form will be available electronically from the Department of Transportation's website at
Consistent with 49 CFR § 1511.5(f), information submitted in Appendix A is deemed to be Sensitive Security Information and will be so protected from public disclosure under 49 U.S.C. 40119(b). In addition, confidential business information and economic information provided in Appendix A will be protected from public disclosure, as appropriate, under 5 U.S.C. § 552 (the Freedom of Information Act), 14 CFR § 302.12, and 18 U.S.C. § 1905. Requests for confidentiality must be filed with the Office of the General Counsel, Department of Transportation (C-10), 400 Seventh Street, SW, Room 10102, Washington, DC 20590.
a. These are costs that the air carrier incurred directly. Includes costs incurred for air carrier personnel salaries and benefits, equipment owned, leased or rented directly by that air carrier and any other costs directly incurred.
b. These are costs that the air carrier incurred through contracts with security firms. Includes personnel, equipment and other costs incurred through contracts with third party security companies.
c. These are costs that the air carrier incurred through other means. Includes costs incurred through air carrier security consortiums.
1. Salary, benefits, overtime, retirement and other costs of checkpoint screening personnel.
2. Salary, benefits, overtime, retirement and other costs of exit lane monitors.
3. Salary, benefits, overtime, retirement and other costs of cargo screeners.
4. Salary, benefits, overtime, retirement and other costs of checked baggage screeners.
5. Salary, benefits, overtime, retirement and other costs of all baggage runners who move property such as baggage to and from screening areas.
6. Salary, benefits, overtime, retirement and other costs of all supervisory personnel, including Checkpoint Screening Supervisors.
7. All associated expensed non-labor costs including computers, communications equipment, time management systems, supplies, parking, identification badging, furniture, fixtures, and travel.
8. All costs of performing required background investigations on all screening personnel and supervisors. Screening personnel and supervisors includes checkpoint screening personnel, exit lane monitors, cargo screeners, checked baggage screeners, baggage runners, and their supervisors.
9. All costs incurred for the training and testing of all screening personnel and supervisors, including initial, recurrent and remedial training. Includes any computer-based training and the development of training programs for the screening of persons and property as well as any travel, room and board, and all other such expenses related to training.
10. The costs of implementing and maintaining training records for all screening personnel and supervisors.
11. The costs of completing evaluations for all screening personnel and supervisors.
12. All costs for drug and alcohol testing as well as any associated counseling and/or treatment for all screening personnel and supervisors.
13. All costs of renting, purchasing, maintaining, and/or cleaning of uniforms and any related equipment such as flashlights and batons for all screening personnel and supervisors.
14. All costs incurred by air carriers for the use of canines and their handlers used for the screening of persons and property.
15. All costs associated with obtaining security clearances for personnel relating to the screening of persons and property.
16. All costs associated with the purchase, installation, and testing of all screening equipment. In instances where the equipment is capitalized, provide the depreciation expense in lieu of costs associated with purchase, installation, and final acceptance testing. This includes such equipment as Metal Detection Devices, Hand Wands, X-ray screening machines, Explosives Trace Detection Devices, Explosives Detection Systems, or any other such similar technologies. Includes any costs incurred or depreciation costs recognized in calendar year 2000 for the modification and/or construction of any facility needed to accommodate screening, including architecture and engineering. Also includes the costs of any refurbishment and/or modernization of the equipment.
17. Costs of operating, maintaining, and calibrating installed screening equipment. This includes such equipment as Metal Detection Devices, Hand Wands, X-ray screening machines, Explosives Trace Detection Devices, Explosives Detection Systems, or any other such similar technologies. Includes such costs as test objects and X-ray radiation surveys, electricity costs and maintenance contract costs incurred for the operations of such equipment.
18. Costs of maintaining integrity of sterile areas. Includes costs of opening sterile areas, emergency evacuations of sterile areas, and re-screenings not included elsewhere.
19. The cost of purchase or rent, installation, testing, and maintenance of checkpoint signs, barriers, lane markers, and exit lane doors.
20. Any additional costs for special screening such as for disabled passengers, VIP passengers, classified and/or high value items.
21. All security company contract costs for the screening of persons and property that cannot be detailed into any other cost category.
22. All direct costs for the real estate utilized for the screening of persons and property. Includes space at airports for the performance of these functions, as well as such space used for break rooms, private screening rooms, storages space, training rooms, and office space. Also includes appropriate space for the oversight of the screening functions outside of airports such as in headquarters or regional offices.
23. All costs for utilities used for screening. Includes electricity, heating/ventilation/cooling, and telecommunications costs not elsewhere specified.
24. All costs incurred for the Ground Security Coordinator's oversight of the screening functions. Includes personnel salaries, benefits, retirement, training, and non-labor costs.
25. All air carrier head office, regional, or airport specific costs associated with the administration and oversight of screening not elsewhere specified. Includes personnel salaries, benefits, retirement, training, and non-labor costs.
26. All costs associated with the administration and oversight of screening contracts. Includes personnel, benefits, retirement, training, and non-labor costs.
27. All costs not elsewhere specified for background audit checks for all screeners and supervisors.
28. All legal support costs incurred during calendar year 2000 relating to aviation security screening. Includes legal assistance for
29. All costs for accounting and financial services incurred for the support of the screening functions.
30. Includes all labor and non-labor costs for such items as human resource administration, clerical assistance, information technology, and other support functions related to screening.
31. All insurance costs relating to screening. Includes worker's compensation and general liability insurance.
32. All costs incurred by the air carriers for law enforcement personnel costs that were reimbursed by the air carriers for services performed in connection with the screening of persons and property.
33. All costs associated with the recruitment of screening personnel and supervisors. Includes signing bonuses, travel, and other recruitment expenses.
34. Any costs incurred for fees charged by other organizations for the management of contracts for the screening of persons and property.
35. Any costs incurred not elsewhere specified during calendar year 2000 for the screening of passengers and property. These costs should be itemized on a separate sheet. Includes any fines or monetary penalties incurred for screening as well as any profit/bonuses paid to contractors for screening services not included elsewhere on the form.
46 U.S.C. 70105; 49 U.S.C. 114, 5103a, 40113, and 46105; 18 U.S.C. 842, 845; 6 U.S.C. 469.
(a)
(1) 49 CFR part 1572 for a hazardous materials endorsement (HME) or a Transportation Worker Identification Credential (TWIC).
(2) 49 CFR part 1540, subpart C, which includes individuals engaged in air cargo operations who work for certain aircraft operators, foreign air carriers, indirect air carriers (IACs), or certified cargo screening facilities.
(b)
The terms used in 49 CFR parts 1500, 1540, 1570, and 1572 also apply in this part. In addition, the following terms are used in this part:
(1) In the case of personal service, the date of personal delivery to the residential address listed on the application;
(2) In the case of mailing with a certificate of service, the date shown on the certificate of service;
(3) In the case of mailing and there is no certificate of service, 10 days from the date mailed to the address designated on the application as the mailing address;
(4) In the case of mailing with no certificate of service or postmark, the date mailed to the address designated on the application as the mailing address shown by other evidence; or
(5) The date on which an electronic transmission occurs.
(a)
(1) TSA has determined that an applicant for an HME or a TWIC has a disqualifying criminal offense described in 49 CFR 1572.103.
(2) TSA has determined that an applicant for an HME or a TWIC does not meet the immigration status requirements as described in 49 CFR 1572.105.
(3) TSA has determined that an applicant for an HME or a TWIC is lacking mental capacity as described in 49 CFR 1572.109.
(b)
(1)
(i) In the case of an HME, TSA also serves a Final Determination of Threat Assessment on the licensing State.
(ii) In the case of a mariner applying for TWIC, TSA also serves a Final Determination of Threat Assessment on the Coast Guard.
(iii) In the case of a TWIC, TSA serves a Final Determination of Threat Assessment on the appropriate Federal Maritime Security Coordinator (FMSC).
(2)
(3)
(ii) Within 60 days of receiving the applicant's request for materials or written reply, TSA may request additional information or documents from the applicant that TSA believes are necessary to make a Final Determination.
(4)
(i) The applicant contacts the jurisdiction or entity responsible for the information and attempts to correct or complete information contained in his or her record.
(ii) The applicant provides TSA with the revised record, or a certified true copy of the information from the appropriate entity, before TSA determines that the applicant meets the standards for the security threat assessment.
(5)
(ii) In an applicant's reply, TSA will consider only material that is relevant to whether the applicant meets the standards applicable for the security threat assessment for which the applicant is applying.
(6)
(c)
(i) In the case of an HME, TSA serves a Final Determination of Threat Assessment on the licensing State.
(ii) In the case of a TWIC, TSA serves a Final Determination of Threat Assessment on the Coast Guard.
(2) The Final Determination includes a statement that the Assistant Administrator has reviewed the Initial Determination, the applicant's reply and any accompanying information, and any other materials or information available to him or her, and has determined that the applicant poses a security threat warranting denial of the security threat assessment for which the applicant has applied.
(d)
(e)
(f)
(g)
(h)
(1) If TSA directs a State to revoke an HME pursuant to 49 CFR 1572.13(a).
(2) If TSA invalidates a TWIC by issuing an Initial Determination of Threat Assessment and Immediate Revocation pursuant to 49 CFR 1572.21(d)(3).
(a)
(i) An applicant for an HME or TWIC who has a disqualifying criminal offense described in 49 CFR 1572.103(a)(5) through (a)(12) or 1572.103(b) and who requests a waiver.
(ii) An applicant for an HME or TWIC who is an alien under temporary protected status as described in 49 CFR 1572.105 and who requests a waiver.
(iii) An applicant applying for an HME or TWIC who lacks mental capacity as described in 49 CFR 1572.109 and who requests a waiver.
(b)
(c)
(i) Providing to TSA the information required in 49 CFR 1572.9 for an HME or 49 CFR 1572.17 for a TWIC.
(ii) Paying the fees required in 49 CFR 1572.405 for an HME or in 49 CFR 1572.501 for a TWIC.
(iii) Sending a written request to TSA for a waiver at any time, but not later than 60 days after the date of service of the Final Determination of Threat Assessment. The applicant may request a waiver during the application process, or may first pursue some or all of the appeal procedures in 49 CFR 1515.5 to assert that he or she does not have a disqualifying condition.
(2) In determining whether to grant a waiver, TSA will consider the following factors, as applicable to the disqualifying condition:
(i) The circumstances of the disqualifying act or offense.
(ii) Restitution made by the applicant.
(iii) Any Federal or State mitigation remedies.
(iv) Court records or official medical release documents indicating that the applicant no longer lacks mental capacity.
(v) Other factors that indicate the applicant does not pose a security
(d)
(2) In the case of an HME, if the Assistant Administrator grants the waiver, the Assistant Administrator will send a Determination of No Security Threat to the licensing State within 60 days of service of the applicant's request for a waiver, or longer period as TSA may determine for good cause.
(3) In the case of a mariner applying for a TWIC, if the Assistant Administrator grants the waiver, the Assistant Administrator will send a Determination of No Security Threat to the Coast Guard within 60 days of service of the applicant's request for a waiver, or longer period as TSA may determine for good cause.
(4) If the Assistant Administrator denies the waiver the applicant may seek review in accordance with 49 CFR 1515.11. A denial of a waiver under this section does not constitute a final order of TSA as provided in 49 U.S.C. 46110.
(e)
(a)
(1) TSA has determined that the applicant for an HME or TWIC poses a security threat as provided in 49 CFR 1572.107.
(2) TSA had determined that an air cargo worker poses a security threat as provided in 49 CFR 1540.205.
(3) TSA had determined that an individual engaged in air cargo operations who works for certain aircraft operators, foreign air carriers, IACs, or certified cargo screening facilities, poses a security threat as provided in 49 CFR 1549.109.
(b)
(c)
(i) In the case of an HME, TSA serves a Final Determination of Threat Assessment on the licensing State.
(ii) In the case of a TWIC, TSA serves a Final Determination of Threat Assessment on the Coast Guard.
(iii) In the case of an air cargo worker, TSA serves a Final Determination of Threat Assessment on the operator.
(iv) In the case of a certified cargo screening facilities worker, TSA serves a Final Determination of Threat Assessment on the operator.
(2) The Final Determination includes a statement that the Assistant Administrator has reviewed the Initial Determination, the applicant's reply and any accompanying information, and any other materials or information available to him or her, and has determined that the applicant poses a security threat warranting denial of the security threat assessment for which the applicant has applied.
(d)
(e)
(f)
(1) If TSA directs a State to revoke an HME pursuant to 49 CFR 1572.13(a).
(2) If TSA invalidates a TWIC by issuing an Initial Determination of Threat Assessment and Immediate Revocation pursuant to 49 CFR 1572.21(d)(3).
(3) If TSA withdraws a Determination of No Security Threat for an individual engaged in air cargo operations who works for certain aircraft operators, foreign air carriers, IACs, or certified cargo screening facilities.
(a)
(1) An applicant who seeks review of a decision by TSA denying a request for a waiver under 49 CFR 1515.7.
(2) An applicant for an HME or a TWIC who has been issued a Final Determination of Threat Assessment on the grounds that he or she poses a security threat after an appeal as described in 49 CFR 1515.9.
(3) An individual engaged in air cargo operations who works for certain aircraft operators, foreign air carriers, IACs, or certified cargo screening facilities who has been issued a Final Determination of Threat Assessment after an appeal as described in 49 CFR 1515.9.
(b)
(1) The request for review must clearly state the issue(s) to be considered by the administrative law judge (ALJ), and include the following documents in support of the request:
(i) In the case of a review of a denial of waiver, a copy of the applicant's request for a waiver under 49 CFR 1515.7, including all materials provided by the applicant to TSA in support of the waiver request; and a copy of the decision issued by TSA denying the waiver request. The request for review may not include evidence or information that was not presented to TSA in the request for a waiver under 49 CFR 1515.7. The ALJ may consider only evidence or information that was presented to TSA in the waiver request. If the applicant has new evidence or information, the applicant must file a new request for a waiver under § 1515.7 and the pending request for review of a denial of a waiver will be dismissed.
(ii) In the case of a review of a Final Determination of Threat Assessment, a copy of the Initial Notification of Threat Assessment and Final Notification of Threat Assessment; and a copy of the applicant's appeal under 49 CFR 1515.9, including all materials provided by the applicant to TSA in support of the appeal. The request for review may not include evidence or information that was not presented to TSA in the appeal under § 1515.9. The ALJ may consider only evidence or information that was presented to TSA in the appeal. If the applicant has new evidence or information, the applicant must file a new appeal under § 1515.9 and the pending request for review of the Final Determination will be dismissed.
(2) The applicant may include in the request for review a request for an in-person hearing before the ALJ.
(3) The applicant must file the request for review with the ALJ Docketing Center, U.S. Coast Guard, 40 S. Gay Street, Room 412, Baltimore, Maryland 21202-4022, ATTN: Hearing Docket Clerk.
(c)
(d)
(1) Receive information and evidence presented to TSA in the request for a waiver under 49 CFR 1515.7 or an appeal under 49 CFR 1515.9.
(2) Consider the following criteria to determine whether a request for an in-person hearing is warranted:
(i) The credibility of evidence or information submitted in the applicant's request for a waiver; and
(ii) Whether TSA's waiver denial was made in accordance with the governing regulations codified at 49 CFR part 1515 and 49 CFR part 1572.
(3) Give notice of and hold conferences and hearings;
(4) Administer oaths and affirmations;
(5) Examine witnesses;
(6) Regulate the course of the hearing including granting extensions of time limits; and
(7) Dispose of procedural motions and requests, and issue a decision.
(e)
(1) If applicable and upon request, TSA will provide to the applicant requesting a review an unclassified summary of classified evidence upon which the denial of the waiver or Final Determination was based.
(i) TSA will not disclose to the applicant, or the applicant's counsel, classified information, as defined in E.O. 12968 section 1.1(d).
(ii) TSA reserves the right not to disclose any other information or material not warranting disclosure or protected from disclosure by law or regulation.
(2) The applicant may present the case by oral testimony, documentary, or demonstrative evidence, submit rebuttal evidence, and conduct cross-examination, as permitted by the ALJ. Oral testimony is limited to the evidence or information that was presented to TSA in the request for a waiver or during the appeal. The Federal Rules of Evidence may serve as guidance, but are not binding.
(3) The ALJ will review any classified information on an ex parte, in camera basis, and may consider such information in rendering a decision if the information appears to be material and relevant.
(4) The standard of proof is substantial evidence on the record.
(5) The parties may submit proposed findings of fact and conclusions of law.
(6) If the applicant fails to appear, the ALJ may issue a default judgment.
(7) A verbatim transcript will be made of the hearing and will be provided upon request at the expense of the requesting party. In cases in which classified or otherwise protected evidence is received, the transcript may require redaction of the classified or otherwise protected information.
(8) The hearing will be held at TSA's Headquarters building or, on request of a party, at an alternate location selected by the administrative law judge for good cause shown.
(f)
(2) The ALJ issues an unclassified written decision to the applicant no later than 30 calendar days from the close of the record and serves the decision on the parties. The ALJ may issue a classified decision to TSA.
(3) The ALJ's decision may be appealed by either party to the TSA Final Decision Maker in accordance with paragraph (g).
(i) In the case of review of a waiver denial, unless appealed to the TSA
(ii) In the case of review of a waiver denial, unless appealed to the TSA Final Decision Maker, if the ALJ reverses the denial of the applicant's request for waiver, TSA will issue a Final Order granting a waiver to the applicant; and
(A) In the case of an HME, send a Determination of No Security Threat to the licensing State.
(B) In the case applicant for a TWIC, send a Determination of No Security Threat to the Coast Guard.
(C) In the case of an air cargo worker, send a Determination of No Security Threat to the operator.
(iii) In the case of review of an appeal under 49 CFR 1515.9, unless appealed to the TSA Final Decision Maker, if the ALJ determines that the applicant poses a security threat, TSA will issue a Final Order of Threat Assessment to the applicant.
(iv) In the case of review of an appeal under 49 CFR 1515.9, unless appealed to the TSA Final Decision Maker, if the ALJ determines that the applicant does not pose a security threat, TSA will issue a Withdrawal of the Final Determination to the applicant, and to the applicant's employer where applicable.
(g)
(i) The request must be in writing, served on the other party, and may only address whether the decision is supported by substantial evidence on the record.
(ii) No later than 30 calendar days after receipt of the request, the other party may file a response.
(2) The ALJ will provide the TSA Final Decision Maker with a certified transcript of the hearing and all unclassified documents and material submitted for the record. TSA will provide any classified materials previously submitted.
(3) No later than 60 calendar days after receipt of the request, or if the other party files a response, 30 calendar days after receipt of the response, or such longer period as may be required, the TSA Final Decision Maker issues an unclassified decision and serves the decision on the parties. The TSA Final Decision Maker may issue a classified opinion to TSA, if applicable. The decision of the TSA Final Decision Maker is a final agency order.
(i) In the case of review of a waiver denial, if the TSA Final Decision Maker upholds the denial of the applicant's request for waiver, TSA issues a Final Order Denying a Waiver to the applicant.
(ii) In the case of review of a waiver denial, if the TSA Final Decision Maker reverses the denial of the applicant's request for waiver, TSA will grant the waiver; and
(A) In the case of an HME, send a Determination of No Security Threat to the applicant and to the licensing State.
(B) In the case of a TWIC, send a Determination of No Security Threat to the applicant and to the Coast Guard.
(C) In the case of an air cargo worker, send a Determination of No Security Threat to the applicant and the operator.
(iii) In the case of review of an appeal under 49 CFR 1515.9, if the TSA Final Decision Maker determines that the applicant poses a security threat, TSA will issue a Final Order of Threat Assessment to the applicant.
(iv) In the case of review of an appeal under 49 CFR 1515.9, if the TSA Final Decision Maker determines that the applicant does not pose a security threat, TSA will issue a Withdrawal of the Final Determination to the applicant, and to the applicant's employer where applicable.
(h)
46 U.S.C. 70102-70106, 70117; 49 U.S.C. 114, 40113, 44901-44907, 44913-44914, 44916-44918, 44935-44936, 44942, 46105.
(a)
(b)
In addition to the terms in § 1500.3 of this chapter, the following terms apply in this part:
(a)
(1) Constitute an unwarranted invasion of privacy (including, but not limited to, information contained in any personnel, medical, or similar file);
(2) Reveal trade secrets or privileged or confidential information obtained from any person; or
(3) Be detrimental to the security of transportation.
(b)
(1)
(i) Any aircraft operator, airport operator, fixed base operator, or air cargo security program, or security contingency plan under this chapter;
(ii) Any vessel, maritime facility, or port area security plan required or directed under Federal law;
(iii) Any national or area security plan prepared under 46 U.S.C. 70103; and
(iv) Any security incident response plan established under 46 U.S.C. 70104.
(2)
(i) Issued by TSA under 49 CFR 1542.303, 1544.305, 1548.19, or other authority;
(ii) Issued by the Coast Guard under the Maritime Transportation Security Act, 33 CFR part 6, or 33 U.S.C. 1221
(iii) Any comments, instructions, and implementing guidance pertaining thereto.
(3)
(i) Information circular issued by TSA under 49 CFR 1542.303, 1544.305, 1548.19, or other authority; and
(ii) Navigation or Vessel Inspection Circular issued by the Coast Guard related to maritime security.
(4)
(i) Any device used by the Federal Government or any other person pursuant to any aviation or maritime transportation security requirements of Federal law for the detection of any person, and any weapon, explosive, incendiary, or destructive device, item, or substance; and
(ii) Any communications equipment used by the Federal government or any other person in carrying out or complying with any aviation or maritime transportation security requirements of Federal law.
(5)
(6)
(ii) In the case of inspections or investigations performed by TSA, this includes the following information as to events that occurred within 12 months of the date of release of the information: the name of the airport where a violation occurred, the airport identifier in the case number, a description of the violation, the regulation allegedly violated, and the identity of any aircraft operator in connection with specific locations or specific security procedures. Such information will be released after the relevant 12-month period, except that TSA will not release the specific gate or other location on an airport where an event occurred, regardless of the amount of time that has passed since its occurrence. During the period within 12 months of the date of release of the information, TSA may release summaries of an aircraft operator's, but not an airport operator's, total security violations in a specified time range without identifying specific violations or locations. Summaries may include total enforcement actions, total proposed civil penalty amounts, number of cases opened, number of cases referred to TSA or FAA counsel for legal enforcement action, and number of cases closed.
(7)
(8)
(i) Security measures or protocols recommended by the Federal government;
(ii) Information concerning the deployments, numbers, and operations of Coast Guard personnel engaged in maritime security duties and Federal Air Marshals, to the extent it is not classified national security information; and
(iii) Information concerning the deployments and operations of Federal Flight Deck Officers, and numbers of Federal Flight Deck Officers aggregated by aircraft operator.
(iv) Any armed security officer procedures issued by TSA under 49 CFR part 1562.
(9)
(i) Any procedures, including selection criteria and any comments, instructions, and implementing guidance pertaining thereto, for screening of persons, accessible property, checked baggage, U.S. mail, stores, and cargo, that is conducted by the Federal government or any other authorized person.
(ii) Information and sources of information used by a passenger or property
(iii) Detailed information about the locations at which particular screening methods or equipment are used, only if determined by TSA to be SSI.
(iv) Any security screener test and scores of such tests.
(v) Performance or testing data from security equipment or screening systems.
(vi) Any electronic image shown on any screening equipment monitor, including threat images and descriptions of threat images for threat image projection systems.
(10)
(11)
(A) Having unescorted access to a secure area of an airport, a rail secure area, or a secure or restricted area of a maritime facility, port area, or vessel;
(B) Holding a position as a security screener employed by or under contract with the Federal government pursuant to aviation or maritime transportation security requirements of Federal law, where such lists are aggregated by airport;
(C) Holding a position with the Coast Guard responsible for conducting vulnerability assessments, security boardings, or engaged in operations to enforce maritime security requirements or conduct force protection;
(D) Holding a position as a Federal Air Marshal; or
(ii) The name or other identifying information that identifies a person as a current, former, or applicant for Federal Flight Deck Officer.
(12)
(i) Prepared by DHS or DOT; or
(ii) Prepared by a State or local government agency and submitted by the agency to DHS or DOT.
(13)
(14)
(ii) Trade secret information, including information required or requested by regulation or Security Directive, obtained by DHS or DOT in carrying out aviation or maritime transportation security responsibilities; and
(iii) Commercial or financial information, including information required or requested by regulation or Security Directive, obtained by DHS or DOT in carrying out aviation or maritime transportation security responsibilities, but only if the source of the information does not customarily disclose it to the public.
(15)
(16)
(c)
Persons subject to the requirements of part 1520 are:
(a) Each airport operator, aircraft operator, and fixed base operator subject to the requirements of subchapter C of this chapter, and each armed security officer under subpart B of part 1562.
(b) Each indirect air carrier (IAC), as described in 49 CFR part 1548; and each certified cargo screening facility and its personnel, as described in 49 CFR part 1549.
(c) Each owner, charterer, or operator of a vessel, including foreign vessel owners, charterers, and operators, required to have a security plan under Federal or International law.
(d) Each owner or operator of a maritime facility required to have a security plan under the Maritime Transportation Security Act, (Pub.L. 107-295), 46 U.S.C. 70101
(e) Each person performing the function of a computer reservation system or global distribution system for airline passenger information.
(f) Each person participating in a national or area security committee established under 46 U.S.C. 70112, or a port security committee.
(g) Each industry trade association that represents covered persons and has entered into a non-disclosure agreement with the DHS or DOT.
(h) DHS and DOT.
(i) Each person conducting research and development activities that relate to aviation or maritime transportation security and are approved, accepted, funded, recommended, or directed by DHS or DOT.
(j) Each person who has access to SSI, as specified in § 1520.11.
(k) Each person employed by, contracted to, or acting for a covered person, including a grantee of DHS or DOT, and including a person formerly in such position.
(l) Each person for which a vulnerability assessment has been directed, created, held, funded, or approved by the DOT, DHS, or that has prepared a vulnerability assessment that will be provided to DOT or DHS in support of a Federal security program.
(m) Each person receiving SSI under § 1520.15(d) or (e).
(n) Each railroad carrier, rail hazardous materials shipper, rail hazardous materials receiver, and rail transit system subject to the requirements of part 1580 of this chapter.
(a)
(1) Take reasonable steps to safeguard SSI in that person's possession or control from unauthorized disclosure. When a person is not in physical possession of SSI, the person must store it a secure container, such as a locked desk or file cabinet or in a locked room.
(2) Disclose, or otherwise provide access to, SSI only to covered persons who have a need to know, unless otherwise authorized in writing by TSA, the Coast Guard, or the Secretary of DOT.
(3) Refer requests by other persons for SSI to TSA or the applicable component or agency within DOT or DHS.
(4) Mark SSI as specified in § 1520.13.
(5) Dispose of SSI as specified in § 1520.19.
(b)
(1) Mark the record as specified in § 1520.13; and
(2) Inform the sender of the record that the record must be marked as specified in § 1520.13.
(c)
(d)
(a)
(1) When the person requires access to specific SSI to carry out transportation security activities approved, accepted, funded, recommended, or directed by DHS or DOT.
(2) When the person is in training to carry out transportation security activities approved, accepted, funded, recommended, or directed by DHS or DOT.
(3) When the information is necessary for the person to supervise or otherwise manage individuals carrying out transportation security activities approved, accepted, funded, recommended, or directed by the DHS or DOT.
(4) When the person needs the information to provide technical or legal advice to a covered person regarding transportation security requirements of Federal law.
(5) When the person needs the information to represent a covered person in connection with any judicial or administrative proceeding regarding those requirements.
(b)
(2) A person acting in the performance of a contract with or grant from a Federal, State, local, or tribal government agency has a need to know SSI if access to the information is necessary to performance of the contract or grant.
(c)
(d)
(a)
(1) The outside of any front and back cover, including a binder cover or folder, if the document has a front and back cover;
(2) Any title page; and
(3) Each page of the document.
(b)
(c)
(d)
(a)
(b)
(c)
(d)
(2)
(e)
(f)
(g)
(h)
Violation of this part is grounds for a civil penalty and other enforcement or corrective action by DHS, and appropriate personnel actions for Federal employees. Corrective action may include issuance of an order requiring retrieval of SSI to remedy unauthorized disclosure or an order to cease future unauthorized disclosure.
(a)
(b)
(2)
49 U.S.C. 114, 5103, 40113, 44901-44907, 44913-44914, 44916-44918, 44935-44936, 44942, 46105.
This subchapter and this part apply to persons engaged in aviation-related activities.
(a) Where the Administrator is named in this subchapter as exercising authority over a function, the authority is exercised by the Administrator or the Deputy Administrator, or any individual formally designated to act as the Administrator or the Deputy Administrator.
(b) Where TSA or the designated official is named in this subchapter as exercising authority over a function, the authority is exercised by the official designated by the Administrator to perform that function.
In addition to the terms in part 1500 of this chapter, the following terms are used in this subchapter:
(1) For which the charterer engages the total passenger capacity of the aircraft for the carriage of passengers; the passengers are invited by the charterer; the cost of the flight is
(2) For which the total passenger capacity of the aircraft is used for the purpose of civilian or military air movement conducted under contract with the Government of the United States or the government of a foreign country.
This subpart applies to individuals and other persons.
No person may make, or cause to be made, any of the following:
(a) Any fraudulent or intentionally false statement in any application for any security program, access medium, or identification medium, or any amendment thereto, under this subchapter.
(b) Any fraudulent or intentionally false entry in any record or report that is kept, made, or used to show compliance with this subchapter, or exercise any privileges under this subchapter.
(c) Any reproduction or alteration, for fraudulent purpose, of any report, record, security program, access medium, or identification medium issued under this subchapter.
(a) No person may:
(1) Tamper or interfere with, compromise, modify, attempt to circumvent, or cause a person to tamper or interfere with, compromise, modify, or attempt to circumvent any security system, measure, or procedure implemented under this subchapter.
(2) Enter, or be present within, a secured area, AOA, SIDA or sterile area without complying with the systems, measures, or procedures being applied to control access to, or presence or movement in, such areas.
(3) Use, allow to be used, or cause to be used, any airport-issued or airport-approved access medium or identification medium that authorizes the access, presence, or movement of persons or vehicles in secured areas, AOA's, or SIDA's in any other manner than that for which it was issued by the appropriate authority under this subchapter.
(b) The provisions of paragraph (a) of this section do not apply to conducting inspections or tests to determine compliance with this part or 49 U.S.C. Subtitle VII authorized by:
(1) TSA, or
(2) The airport operator, aircraft operator, or foreign air carrier, when acting in accordance with the procedures described in a security program approved by TSA.
(a) No individual may enter a sterile area or board an aircraft without submitting to the screening and inspection of his or her person and accessible property in accordance with the procedures being applied to control access to that area or aircraft under this subchapter.
(b) An individual must provide his or her full name, as defined in § 1560.3 of this chapter, date of birth, and gender when—
(1) The individual, or a person on the individual's behalf, makes a reservation for a covered flight, as defined in § 1560.3 of this chapter, or
(2) The individual makes a request for authorization to enter a sterile area.
(c) An individual may not enter a sterile area or board an aircraft if the individual does not present a verifying identity document as defined in § 1560.3 of this chapter, when requested for purposes of watch list matching under § 1560.105(c), unless otherwise authorized by TSA on a case-by-case basis.
No person may interfere with, assault, threaten, or intimidate screening personnel in the performance of their screening duties under this subchapter.
(a)
(1) When performance has begun of the inspection of the individual's person or accessible property before entering a sterile area, or before boarding an aircraft for which screening is conducted under this subchapter;
(2) When the individual is entering or in a sterile area; or
(3) When the individual is attempting to board or onboard an aircraft for which screening is conducted under §§ 1544.201, 1546.201, or 1562.23 of this chapter.
(b)
(1) Law enforcement personnel required to carry a firearm or other weapons while in the performance of law enforcement duty at the airport.
(2) An individual authorized to carry a weapon in accordance with §§ 1544.219, 1544.221, 1544.223, 1546.211, or subpart B of part 1562 of this chapter.
(3) An individual authorized to carry a weapon in a sterile area under a security program.
(c)
(1) Any loaded firearm(s).
(2) Any unloaded firearm(s) unless—
(i) The passenger declares to the aircraft operator, either orally or in writing, before checking the baggage, that the passenger has a firearm in his or her bag and that it is unloaded;
(ii) The firearm is unloaded;
(iii) The firearm is carried in a hard-sided container; and
(iv) The container in which it is carried is locked, and only the passenger retains the key or combination.
(3) Any unauthorized explosive or incendiary.
(d)
Each individual who holds an airman certificate, medical certificate, authorization, or license issued by the FAA must present it for inspection upon a request from TSA.
(a)
(b)
(1) The date of personal delivery in the case of personal service;
(2) The mailing date shown on the certificate of service;
(3) The date shown on the postmark if there is no certificate of service; or
(4) Another mailing date shown by other evidence if there is no certificate of service or postmark.
(c)
(1) A threat to transportation or national security;
(2) A threat of air piracy or terrorism;
(3) A threat to airline or passenger security; or
(4) A threat to civil aviation security.
(d)
(e)
(i) A statement that the Assistant Administrator personally has reviewed the materials upon which the Initial Notification was based; and
(ii) A statement that the Assistant Administrator has determined that the individual poses a security threat.
(2)
(3)
(4)
(5)
(f)
(2)
(3)
(g)
(a) Applicability. This section applies when TSA has determined that an individual who is not a citizen of the United States and who holds, or is applying for, an airman certificate, rating, or authorization issued by the FAA Administrator, poses a security threat.
(b)
(1) The date of personal delivery in the case of personal service;
(2) The mailing date shown on the certificate of service;
(3) The date shown on the postmark if there is no certificate of service; or
(4) Another mailing date shown by other evidence if there is no certificate of service or postmark.
(c)
(1) A threat to transportation or national security;
(2) A threat of air piracy or terrorism;
(3) A threat to airline or passenger security; or
(4) A threat to civil aviation security.
(d)
(e)
(i) A statement that the Assistant Administrator personally has reviewed the materials upon which the Initial Notification was based; and
(ii) A statement that the Assistant Administrator has determined that the individual poses a security threat.
(2)
(3)
(4)
(5)
(f)
(2)
(3)
(g)
(a) This subpart includes the procedures that certain aircraft operators, foreign air carriers, indirect air carriers, and certified cargo screening facilities must use to have security threat assessments performed on certain individuals pursuant to 49 CFR 1544.228, 1546.213, 1548.7, 1548.15, 1548.16 and 1549.111. This subpart applies to the following:
(1) Each aircraft operator operating under a full program or full all-cargo program described in 49 CFR 1544.101(a) or (h).
(2) Each foreign air carrier operating under a program described in 49 CFR 1546.101(a), (b), or (e).
(3) Each indirect air carrier operating under a security program described in 49 CFR part 1548.
(4) Each applicant applying for unescorted access to cargo under one of the programs described in (a)(1) through (a)(3) of this section.
(5) Each proprietor, general partner, officer, director, or owner of an indirect air carrier as described in 49 CFR 1548.16.
(6) Each certified cargo screening facility described in 49 CFR part 1549.
(7) Each individual a certified cargo screening facility authorizes to perform screening or supervise screening.
(8) Each individual the certified cargo screening facility authorizes to have unescorted access to cargo at any time from the time it is screened until the time it is tendered to an indirect air carrier under 49 CFR part 1548, an aircraft operator under part 1544, or a foreign air carrier under part 1546.
(9) The senior manager or representative of its facility in control of the operations of a certified cargo screening facility under 49 CFR part 1549.
(b) For purposes of this subpart—
(c) An applicant poses a security threat under this subpart when TSA determines that he or she is known to pose or is suspected of posing a threat—
(1) To national security;
(2) To transportation security; or
(3) Of terrorism.
(a) Each operator subject to this subpart must ensure that each of the following undergoes a security threat assessment or a comparable security threat assessment described in § 1540.205:
(1) Cargo personnel in the United States, as described in § 1544.228.
(2) Cargo personnel in the United States, as described in § 1546.213.
(3) Individuals with unescorted access to cargo, as described in § 1548.15.
(4) Proprietors, general partners, officers, directors, and owners of an indirect air carrier, as described in § 1548.16.
(5) Personnel of certified cargo screening facilities, as described in § 1549.111.
(b) Each operator must verify the identity and work authorization of each applicant and examine the document(s) presented by the applicant to prove identity and work authorization to determine whether they appear to be genuine and relate to the applicant presenting them.
(c) Each operator must submit to TSA a security threat assessment application for each applicant that is dated and signed by the applicant and that includes the following:
(1) Legal name, including first, middle, and last; any applicable suffix; and any other names used previously.
(2) Current mailing address, including residential address if it differs from the current mailing address; all other residential addresses for the previous five years; and e-mail address if the applicant has an e-mail address.
(3) Date and place of birth.
(4) Social security number (submission is voluntary, although failure to
(5) Gender.
(6) Country of citizenship.
(7) If the applicant is a U.S. citizen born abroad or a naturalized U.S. citizen, their U.S. passport number; or the 10-digit document number from the applicant's Certificate of Birth Abroad, Form DS-1350.
(8) If the applicant is not a U.S. citizen, the applicant's Alien Registration Number.
(9) The applicant's daytime telephone number.
(10) The applicant's current employer(s), and the address and telephone number of the employer(s).
(11) A Privacy Notice as required in the security program and the following statement:
The information I have provided on this application is true, complete, and correct to the best of my knowledge and belief and is provided in good faith. I understand that a knowing and willful false statement, or an omission of a material fact, on this application can be punished by fine or imprisonment or both (
I acknowledge that if I do not successfully complete the security threat assessment, the Transportation Security Administration may notify my employer. If TSA or other law enforcement agency becomes aware that I may pose an imminent threat to an operator or facility, TSA may provide limited information necessary to reduce the risk of injury or damage to the operator or facility.
(d) Each operator must retain the following for 180 days following the end of the applicant's service to the operator:
(1) The applicant's signed security threat assessment application.
(2) Copies of the applicant's document(s) used to verify identity and work authorization.
(3) Any notifications or documents sent to or received from TSA relating to the applicant's application and security threat assessment.
(4) As applicable, a copy of the applicant's credential evidencing completion of a threat assessment deemed comparable under paragraph (f) of this section.
(e) Records under this section may include electronic documents with electronic signature or other means of personal authentication, where accepted by TSA.
(f) TSA may determine that a security threat assessment conducted by another governmental agency is comparable to a security threat assessment conducted under this subpart. Individuals who have successfully completed a comparable security threat assessment are not required to undergo the security threat assessments described in this subpart. If TSA makes a comparability determination under this section, TSA will so notify the public. In making a comparability determination, TSA will consider—
(i) The minimum standards used for the security threat assessment;
(ii) The frequency of the security threat assessment;
(iii) The date of the most recent threat assessment; and
(iv) Other factors TSA deems appropriate.
(g) To apply for a comparability determination, the agency seeking the determination must contact the Assistant Program Manager, Attn: Federal Agency Comparability Check, Hazmat Threat Assessment Program, Transportation Security Administration, 601 South 12th Street, Arlington, VA 20598-6019.
(h) TSA has determined that each of the following are comparable to the security threat assessment required in this subpart:
(1) A CHRC conducted in accordance with §§ 1542.209, 1544.229, or 1544.230 that includes a name-based check conducted by TSA.
(2) A security threat assessment conducted under 49 CFR part 1572 for the Transportation Worker Identification Credential or Hazardous Materials Endorsement programs.
(3) A security threat assessment conducted for the Free and Secure Trade (FAST) program administered by U.S. Customs and Border Protection.
(i) If asserting completion of a comparable threat assessment listed in paragraph (h) of this section, an individual must—
(1) Present the credential that corresponds to successful completion of
(2) Notify the operator when the credential that corresponds to successful completion of the comparable assessment expires or is revoked for any reason.
(j) A security threat assessment conducted under this subpart remains valid for five years from the date that TSA issues a Determination of No Security Threat or a Final Determination of Threat Assessment, except—
(1) If the applicant is no longer authorized to be in the United States, the security threat assessment and the privileges it conveys expire on the date lawful presence expires; or
(2) If the applicant asserts completion of a comparable threat assessment, it expires five years from the date of issuance of the credential that corresponds to the comparable assessment, or the date on which the credential is revoked for any reason.
(a)
(b)
(1) Reviews the applicant information required in 49 CFR 1540.203.
(2) Searches domestic and international government databases to determine if an applicant meets the requirements of 49 CFR 1540.201(c) or to confirm an applicant's identity.
(3) Adjudicates the results in accordance with 49 CFR 1540.201(c).
(c)
(d)
(1) TSA serves a Determination of No Security Threat on the applicant and operator if TSA determines that the applicant meets the security threat assessment standards in 49 CFR 1540.201(c).
(2) TSA serves an Initial Determination of Threat Assessment on the applicant, if TSA determines that the applicant does not meet the security threat assessment standards in 49 CFR 1540.201(c). The Initial Determination of Threat Assessment includes—
(i) A statement that TSA has determined that the applicant is suspected of posing or poses a security threat;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as described in 49 CFR 1515.9; and
(iv) A statement that if the applicant chooses not to appeal TSA's determination within 60 days of receipt of the Initial Determination, or does not request an extension of time within 60 days of the Initial Determination of Threat Assessment in order to file an appeal, the Initial Determination becomes a Final Determination of Security Threat Assessment.
(3) TSA serves an Initial Determination of Threat Assessment and Immediate Revocation on the applicant and the applicant's operator or other operator as approved by TSA, where appropriate, if TSA determines that the applicant does not meet the security threat assessment standards in 49 CFR 1540.201(c) and may pose an imminent threat to transportation or national security, or of terrorism. The Initial Determination of Threat Assessment and Immediate Revocation includes—
(i) A statement that TSA has determined that the applicant is suspected of posing or poses an imminent security threat;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as described in 49 CFR 1515.5(h) or 1515.9(h), as applicable; and
(iv) A statement that if the applicant chooses not to appeal TSA's determination within 60 days of receipt of the
(4) If the applicant does not appeal the Initial Determination of Threat Assessment or Initial Determination of Threat Assessment and Immediate Revocation, or if TSA does not grant the appeal, TSA serves a Final Determination of Threat Assessment on the individual and the applicant.
(5) If the applicant appeals an Initial Determination of Threat Assessment, the procedures in 49 CFR 1515.5 or 1515.9 apply.
This section describes the payment process for completion of the security threat assessments required under this subpart.
(a)
(2) TSA will publish fee amounts and any revisions to the fee amounts as a notice in the
(b) [Reserved]
(c)
(2) Fees remitted to TSA under this subpart must be payable to the “Transportation Security Administration” in U.S. currency and drawn on a U.S. bank.
(3) TSA will not issue any fee refunds, unless a fee was paid in error.
(a)
(b)
(1)
(2)
(3)
(4)
(5)
(6)
(c)
(1)
(2)
(i) The date of personal delivery;
(ii) If served by certified mail, the mailing date shown on the certificate of service, the date shown on the postmark if there is no certificate of service, or other mailing date shown by other evidence if there is no certificate of service or postmark; or
(iii) If served by express courier, the service date shown on the certificate of service, or by other evidence if there is no certificate of service.
(d)
49 U.S.C. 114, 5103, 40113, 44901-44905, 44907, 44913-44914, 44916-44917, 44935-44936, 44942, 46105.
This part describes aviation security rules governing:
(a) The operation of airports regularly serving aircraft operations required to be under a security program under part 1544 of this chapter, as described in this part.
(b) The operation of airport regularly serving foreign air carrier operations required to be under a security program under part 1546 of this chapter, as described in this part.
(c) Each airport operator that receives a Security Directive or Information Circular and each person who receives information from a Security Directive or Information Circular issued by the Designated official for Civil Aviation Security.
(d) Each airport operator that does not have a security program under this part that serves an aircraft operator operating under a security program under part 1544 of this chapter, or a foreign air carrier operating under a security program under part 1546 of this chapter. Such airport operators must comply with § 1542.5(e).
(a) Each airport operator must designate one or more Airport Security Coordinator(s) (ASC) in its security program.
(b) The airport operator must ensure that one or more ASCs:
(1) Serve as the airport operator's primary and immediate contact for security-related activities and communications with TSA. Any individual designated as an ASC may perform other duties in addition to those described in this paragraph (b).
(2) Is available to TSA on a 24-hour basis.
(3) Review with sufficient frequency all security-related functions to ensure that all are effective and in compliance with this part, its security program, and applicable Security Directives.
(4) Immediately initiate corrective action for any instance of non-compliance with this part, its security program, and applicable Security Directives.
(5) Review and control the results of employment history, verification, and criminal history records checks required under § 1542.209.
(6) Serve as the contact to receive notification from individuals applying for unescorted access of their intent to seek correction of their criminal history record with the FBI.
(c) After July 17, 2003, no airport operator may use, nor may it designate any person as, an ASC unless that individual has completed subject matter training, as specified in its security program, to prepare the individual to assume the duties of the position. The airport operator must maintain ASC training documentation until at least
(d) An individual's satisfactory completion of initial ASC training required under paragraph (c) of this section satisfies that requirement for all future ASC designations for that individual, except for site specific information, unless there has been a two or more year break in service as an active and designated ASC.
(a) Each airport operator must allow TSA, at any time or place, to make any inspections or tests, including copying records, to determine compliance of an airport operator, aircraft operator, foreign air carrier, indirect air carrier, or other airport tenants with—
(1) This subchapter and any security program under this subchapter, and part 1520 of this chapter; and
(2) 49 U.S.C. Subtitle VII, as amended.
(b) At the request of TSA, each airport operator must provide evidence of compliance with this part and its airport security program, including copies of records.
(c) TSA may enter and be present within secured areas, AOA's, and SIDA's without access media or identification media issued or approved by an airport operator or aircraft operator, in order to inspect or test compliance, or perform other such duties as TSA may direct.
(d) At the request of TSA and upon the completion of SIDA training as required in a security program, each airport operator promptly must issue to TSA personnel access and identification media to provide TSA personnel with unescorted access to, and movement within, secured areas, AOA's, and SIDA's.
(e) TSA may enter and be present at an airport that does not have a security program under this part, without access media or identification media issued or approved by an airport operator or aircraft operator, to inspect an aircraft operator operating under a security program under part 1544 of this chapter, or a foreign air carrier operating under a security program under part 1546 of this chapter.
(a) No person may operate an airport subject to § 1542.103 unless it adopts and carries out a security program that—
(1) Provides for the safety and security of persons and property on an aircraft operating in air transportation or intrastate air transportation against an act of criminal violence, aircraft piracy, and the introduction of an unauthorized weapon, explosive, or incendiary onto an aircraft;
(2) Is in writing and is signed by the airport operator;
(3) Includes the applicable items listed in § 1542.103;
(4) Includes an index organized in the same subject area sequence as § 1542.103; and
(5) Has been approved by TSA.
(b) Each airport operator subject to § 1542.103 must maintain one current and complete copy of its security program and provide a copy to TSA upon request.
(c) Each airport operator subject to § 1542.103 must—
(1) Restrict the distribution, disclosure, and availability of sensitive security information (SSI), as defined in part 1520 of this chapter, to persons with a need to know; and
(2) Refer all requests for SSI by other persons to TSA.
(a)
(1) The name, means of contact, duties, and training requirements of the ASC required under § 1542.3.
(2) [Reserved]
(3) A description of the secured areas, including—
(i) A description and map detailing boundaries and pertinent features;
(ii) Each activity or entity on, or adjacent to, a secured area that affects security;
(iii) Measures used to perform the access control functions required under § 1542.201(b)(1);
(iv) Procedures to control movement within the secured area, including identification media required under § 1542.201(b)(3); and
(v) A description of the notification signs required under § 1542.201(b)(6).
(4) A description of the AOA, including—
(i) A description and map detailing boundaries, and pertinent features;
(ii) Each activity or entity on, or adjacent to, an AOA that affects security;
(iii) Measures used to perform the access control functions required under § 1542.203(b)(1);
(iv) Measures to control movement within the AOA, including identification media as appropriate; and
(v) A description of the notification signs required under § 1542.203(b)(4).
(5) A description of the SIDA's, including—
(i) A description and map detailing boundaries and pertinent features; and
(ii) Each activity or entity on, or adjacent to, a SIDA.
(6) A description of the sterile areas, including—
(i) A diagram with dimensions detailing boundaries and pertinent features;
(ii) Access controls to be used when the passenger-screening checkpoint is non-operational and the entity responsible for that access control; and
(iii) Measures used to control access as specified in § 1542.207.
(7) Procedures used to comply with § 1542.209 regarding fingerprint-based criminal history records checks.
(8) A description of the personnel identification systems as described in § 1542.211.
(9) Escort procedures in accordance with § 1542.211(e).
(10) Challenge procedures in accordance with § 1542.211(d).
(11) Training programs required under §§ 1542.213 and 1542.217(c)(2), if applicable.
(12) A description of law enforcement support used to comply with § 1542.215(a).
(13) A system for maintaining the records described in § 1542.221.
(14) The procedures and a description of facilities and equipment used to support TSA inspection of individuals and property, and aircraft operator or foreign air carrier screening functions of parts 1544 and 1546 of this chapter.
(15) A contingency plan required under § 1542.301.
(16) Procedures for the distribution, storage, and disposal of security programs, Security Directives, Information Circulars, implementing instructions, and, as appropriate, classified information.
(17) Procedures for posting of public advisories as specified in § 1542.305.
(18) Incident management procedures used to comply with § 1542.307.
(19) Alternate security procedures, if any, that the airport operator intends to use in the event of natural disasters, and other emergency or unusual conditions.
(20) Each exclusive area agreement as specified in § 1542.111.
(21) Each airport tenant security program as specified in § 1542.113.
(b)
(1) Name, means of contact, duties, and training requirements of the ASC, as required under § 1542.3.
(2) A description of the law enforcement support used to comply with § 1542.215(a).
(3) Training program for law enforcement personnel required under § 1542.217(c)(2), if applicable.
(4) A system for maintaining the records described in § 1542.221.
(5) The contingency plan required under § 1542.301.
(6) Procedures for the distribution, storage, and disposal of security programs, Security Directives, Information Circulars, implementing instructions, and, as appropriate, classified information.
(7) Procedures for public advisories as specified in § 1542.305.
(8) Incident management procedures used to comply with § 1542.307.
(c)
(1) Name, means of contact, duties, and training requirements of the ASC as required under § 1542.3.
(2) A description of the law enforcement support used to comply with § 1542.215(b).
(3) Training program for law enforcement personnel required under § 1542.217(c)(2), if applicable.
(4) A system for maintaining the records described in § 1542.221.
(5) Procedures for the distribution, storage, and disposal of security programs, Security Directives, Information Circulars, implementing instructions, and, as appropriate, classified information.
(6) Procedures for public advisories as specified in § 1542.305.
(7) Incident management procedures used to comply with § 1542.307.
(d)
(a)
(1) The designated official, within 30 days after receiving the proposed security program, will either approve the program or give the airport operator written notice to modify the program to comply with the applicable requirements of this part.
(2) The airport operator may either submit a modified security program to the designated official for approval, or petition the Administrator to reconsider the notice to modify within 30 days of receiving a notice to modify. A petition for reconsideration must be filed with the designated official.
(3) The designated official, upon receipt of a petition for reconsideration, either amends or withdraws the notice, or transmits the petition, together with any pertinent information, to the Administrator for reconsideration. The Administrator disposes of the petition within 30 days of receipt by either directing the designated official to withdraw or amend the notice to modify, or by affirming the notice to modify.
(b)
(1) The request for an amendment must be filed with the designated official at least 45 days before the date it proposes for the amendment to become effective, unless a shorter period is allowed by the designated official.
(2) Within 30 days after receiving a proposed amendment, the designated official, in writing, either approves or denies the request to amend.
(3) An amendment to a security program may be approved if the designated official determines that safety and the public interest will allow it, and the proposed amendment provides the level of security required under this part.
(4) Within 30 days after receiving a denial, the airport operator may petition the Administrator to reconsider the denial.
(5) Upon receipt of a petition for reconsideration, the designated official either approves the request to amend or transmits the petition within 30
(c)
(1) The designated official sends to the airport operator a notice, in writing, of the proposed amendment, fixing a period of not less than 30 days within which the airport operator may submit written information, views, and arguments on the amendment.
(2) After considering all relevant material, the designated official notifies the airport operator of any amendment adopted or rescinds the notice. If the amendment is adopted, it becomes effective not less than 30 days after the airport operator receives the notice of amendment, unless the airport operator petitions the Administrator to reconsider no later than 15 days before the effective date of the amendment. The airport operator must send the petition for reconsideration to the designated official. A timely petition for reconsideration stays the effective date of the amendment.
(3) Upon receipt of a petition for reconsideration, the designated official either amends or withdraws the notice, or transmits the petition, together with any pertinent information to the Administrator for reconsideration. The Administrator disposes of the petition within 30 days of receipt by either directing the designated official to withdraw or amend the amendment, or by affirming the amendment.
(d)
(a) After approval of the security program, each airport operator must notify TSA when changes have occurred to the—
(1) Measures, training, area descriptions, or staffing, described in the security program;
(2) Operations of an aircraft operator or foreign air carrier that would require modifications to the security program as required under § 1542.103; or
(3) Layout or physical structure of any area under the control of the airport operator, airport tenant, aircraft operator, or foreign air carrier used to support the screening process, access, presence, or movement control functions required under part 1542, 1544, or 1546 of this chapter.
(b) Each airport operator must notify TSA no more than 6 hours after the discovery of any changed condition described in paragraph (a) of this section, or within the time specified in its security program, of the discovery of any changed condition described in paragraph (a) of this section. The airport operator must inform TSA of each interim measure being taken to maintain adequate security until an appropriate amendment to the security program is approved. Each interim measure must be acceptable to TSA.
(c) For changed conditions expected to be less than 60 days duration, each airport operator must forward the information required in paragraph (b) of this section in writing to TSA within 72 hours of the original notification of the change condition(s). TSA will notify the airport operator of the disposition of the notification in writing. If approved by TSA, this written notification becomes a part of the airport security program for the duration of the changed condition(s).
(d) For changed conditions expected to be 60 days or more duration, each
If in TSA's judgment, the overall safety and security of the airport, and aircraft operator or foreign air carrier operations are not diminished, TSA may approve a security program that provides for the use of alternate measures. Such a program may be considered only for an operator of an airport at which service by aircraft operators or foreign air carriers under part 1544 or 1546 of this chapter is determined by TSA to be seasonal or infrequent.
(a) TSA may approve an amendment to an airport security program under which an aircraft operator or foreign air carrier that has a security program under part 1544 or 1546 of this chapter assumes responsibility for specified security measures for all or portions of the secured area, AOA, or SIDA, including access points, as provided in § 1542.201, § 1542.203, or § 1542.205. The assumption of responsibility must be exclusive to one aircraft operator or foreign air carrier, and shared responsibility among aircraft operators or foreign air carriers is not permitted for an exclusive area.
(b) An exclusive area agreement must be in writing, signed by the airport operator and aircraft operator or foreign air carrier, and maintained in the airport security program. This agreement must contain the following:
(1) A description, a map, and, where appropriate, a diagram of the boundaries and pertinent features of each area, including individual access points, over which the aircraft operator or foreign air carrier will exercise exclusive security responsibility.
(2) A description of the measures used by the aircraft operator or foreign air carrier to comply with § 1542.201, § 1542.203, or § 1542.205, as appropriate.
(3) Procedures by which the aircraft operator or foreign air carrier will immediately notify the airport operator and provide for alternative security measures when there are changed conditions as described in § 1542.103(a).
(c) Any exclusive area agreements in effect on November 14, 2001, must meet the requirements of this section and § 1544.227 no later than November 14, 2002.
(a) TSA may approve an airport tenant security program as follows:
(1) The tenant must assume responsibility for specified security measures of the secured area, AOA, or SIDA as provided in §§ 1542.201, 1542.203, and 1542.205.
(2) The tenant may not assume responsibility for law enforcement support under § 1542.215.
(3) The tenant must assume the responsibility within the tenant's leased areas or areas designated for the tenant's exclusive use. A tenant may not assume responsibility under a tenant security program for the airport passenger terminal.
(4) Responsibility must be exclusive to one tenant, and shared responsibility among tenants is not permitted.
(5) TSA must find that the tenant is able and willing to carry out the airport tenant security program.
(b) An airport tenant security program must be in writing, signed by the airport operator and the airport tenant, and maintained in the airport security program. The airport tenant security program must include the following:
(1) A description and a map of the boundaries and pertinent features of each area over which the airport tenant will exercise security responsibilities.
(2) A description of the measures the airport tenant has assumed.
(3) Measures by which the airport operator will monitor and audit the tenant's compliance with the security program.
(4) Monetary and other penalties to which the tenant may be subject if it
(5) Circumstances under which the airport operator will terminate the airport tenant security program for cause.
(6) A provision acknowledging that the tenant is subject to inspection by TSA in accordance with § 1542.5.
(7) A provision acknowledging that individuals who carry out the tenant security program are contracted to or acting for the airport operator and are required to protect sensitive information in accordance with part 1520 of this chapter, and may be subject to civil penalties for failing to protect sensitive security information.
(8) Procedures by which the tenant will immediately notify the airport operator of and provide for alternative security measures for changed conditions as described in § 1542.103(a).
(c) If TSA has approved an airport tenant security program, the airport operator may not be found to be in violation of a requirement of this part in any case in which the airport operator demonstrates that:
(1) The tenant or an employee, permittee, or invitee of the tenant, is responsible for such violation; and
(2) The airport operator has complied with all measures in its security program to ensure the tenant has complied with the airport tenant security program.
(d) TSA may amend or terminate an airport tenant security program in accordance with § 1542.105.
(a) Each airport operator required to have a security program under § 1542.103(a) must establish at least one secured area.
(b) Each airport operator required to establish a secured area must prevent and detect the unauthorized entry, presence, and movement of individuals and ground vehicles into and within the secured area by doing the following:
(1) Establish and carry out measures for controlling entry to secured areas of the airport in accordance with § 1542.207.
(2) Provide for detection of, and response to, each unauthorized presence or movement in, or attempted entry to, the secured area by an individual whose access is not authorized in accordance with its security program.
(3) Establish and carry out a personnel identification system described under § 1542.211.
(4) Subject each individual to employment history verification as described in § 1542.209 before authorizing unescorted access to a secured area.
(5) Train each individual before granting unescorted access to the secured area, as required in § 1542.213(b).
(6) Post signs at secured area access points and on the perimeter that provide warning of the prohibition against unauthorized entry. Signs must be posted by each airport operator in accordance with its security program not later than November 14, 2003.
(a) Each airport operator required to have a security program under § 1542.103(a) must establish an AOA, unless the entire area is designated as a secured area.
(b) Each airport operator required to establish an AOA must prevent and detect the unauthorized entry, presence, and movement of individuals and ground vehicles into or within the AOA by doing the following:
(1) Establish and carry out measures for controlling entry to the AOA of the airport in accordance with § 1542.207.
(2) Provide for detection of, and response to, each unauthorized presence or movement in, or attempted entry to, the AOA by an individual whose access is not authorized in accordance with its security program.
(3) Provide security information as described in § 1542.213(c) to each individual with unescorted access to the AOA.
(4) Post signs on AOA access points and perimeters that provide warning of the prohibition against unauthorized entry to the AOA. Signs must be posted by each airport operator in accordance with its security program not later than November 14, 2003.
(5) If approved by TSA, the airport operator may designate all or portions
(a) Each airport operator required to have a complete program under § 1542.103(a) must establish at least one SIDA, as follows:
(1) Each secured area must be a SIDA.
(2) Each part of the air operations area that is regularly used to load cargo on, or unload cargo from, an aircraft that is operated under a full program or a full all-cargo program as provided in § 1544.101(a) or (h) of this chapter, or a foreign air carrier under a security program as provided in § 1546.101(a), (b), or (e), must be a SIDA.
(3) Each area on an airport where cargo is present after an aircraft operator operating under a full program or a full all-cargo program under § 1544.101(a) or (h) of this chapter, or a foreign air carrier operating under a security program under § 1546.101(a), (b), or (e) of this chapter, or an indirect air carrier, accepts it must be a SIDA. This includes areas such as: Cargo facilities; loading and unloading vehicle docks; and areas where an aircraft operator, foreign air carrier, or indirect air carrier sorts, stores, stages, consolidates, processes, screens, or transfers cargo.
(4) Other areas of the airport may be SIDAs.
(b) Each airport operator required to establish a SIDA must establish and carry out measures to prevent the unauthorized presence and movement of individuals in the SIDA and must do the following:
(1) Establish and carry out a personnel identification system described under § 1542.211.
(2) Subject each individual to a criminal history records check as described in § 1542.209 before authorizing unescorted access to the SIDA.
(3) Train each individual before granting unescorted access to the SIDA, as required in § 1542.213(b).
(c) An airport operator that is not required to have a complete program under § 1542.103(a) is not required to establish a SIDA under this section.
(a)
(1) Ensure that only those individuals authorized to have unescorted access to the secured area are able to gain entry;
(2) Ensure that an individual is immediately denied entry to a secured area when that person's access authority for that area is withdrawn; and
(3) Provide a means to differentiate between individuals authorized to have access to an entire secured area and individuals authorized access to only a particular portion of a secured area.
(b)
(c)
(d)
(1) Verifies the authorization of the individual to have unescorted access to secured areas or AOAs;
(2) Restricts the time period of entry with the second access medium;
(3) Retrieves the second access medium when expired;
(4) Deactivates or invalidates the original access medium until the individual returns the second access medium; and
(5) Provides that any second access media that is also used as identification media meet the criteria of § 1542.211(b).
(a)
(1) Each airport operator and airport user.
(2) Each individual currently having unescorted access to a SIDA, and each individual with authority to authorize others to have unescorted access to a SIDA (referred to as unescorted access authority).
(3) Each individual seeking unescorted access authority.
(4) Each airport user and aircraft operator making a certification to an airport operator pursuant to paragraph (n) of this section, or 14 CFR 108.31(n) in effect prior to November 14, 2001 (see 14 CFR Parts 60 to 139 revised as of January 1, 2001). An airport user, for the purposes of this section only, is any person other than an aircraft operator subject to § 1544.229 of this chapter making a certification under this section.
(b)
(c)
(2) When a CHRC discloses a disqualifying criminal offense for which the conviction or finding of not guilty by reason of insanity was on or after December 6, 1991, the airport operator must immediately suspend that individual's authority.
(d)
(1) Forgery of certificates, false marking of aircraft, and other aircraft registration violation; 49 U.S.C. 46306.
(2) Interference with air navigation; 49 U.S.C. 46308.
(3) Improper transportation of a hazardous material; 49 U.S.C. 46312.
(4) Aircraft piracy; 49 U.S.C. 46502.
(5) Interference with flight crew members or flight attendants; 49 U.S.C. 46504.
(6) Commission of certain crimes aboard aircraft in flight; 49 U.S.C. 46506.
(7) Carrying a weapon or explosive aboard aircraft; 49 U.S.C. 46505.
(8) Conveying false information and threats; 49 U.S.C. 46507.
(9) Aircraft piracy outside the special aircraft jurisdiction of the United States; 49 U.S.C. 46502(b).
(10) Lighting violations involving transporting controlled substances; 49 U.S.C. 46315.
(11) Unlawful entry into an aircraft or airport area that serves air carriers or foreign air carriers contrary to established security requirements; 49 U.S.C. 46314.
(12) Destruction of an aircraft or aircraft facility; 18 U.S.C. 32.
(13) Murder.
(14) Assault with intent to murder.
(15) Espionage.
(16) Sedition.
(17) Kidnapping or hostage taking.
(18) Treason.
(19) Rape or aggravated sexual abuse.
(20) Unlawful possession, use, sale, distribution, or manufacture of an explosive or weapon.
(21) Extortion.
(22) Armed or felony unarmed robbery.
(23) Distribution of, or intent to distribute, a controlled substance.
(24) Felony arson.
(25) Felony involving a threat.
(26) Felony involving—
(i) Willful destruction of property;
(ii) Importation or manufacture of a controlled substance;
(iii) Burglary;
(iv) Theft;
(v) Dishonesty, fraud, or misrepresentation;
(vi) Possession or distribution of stolen property;
(vii) Aggravated assault;
(viii) Bribery; or
(ix) Illegal possession of a controlled substance punishable by a maximum term of imprisonment of more than 1 year.
(27) Violence at international airports; 18 U.S.C. 37.
(28) Conspiracy or attempt to commit any of the criminal acts listed in this paragraph (d).
(e)
(i) The disqualifying criminal offenses described in paragraph (d) of this section.
(ii) A statement that the individual signing the application does not have a disqualifying criminal offense.
(iii) A statement informing the individual that Federal regulations under 49 CFR 1542.209 (l) impose a continuing obligation to disclose to the airport operator within 24 hours if he or she is convicted of any disqualifying criminal offense that occurs while he or she has unescorted access authority. After February 17, 2002, the airport operator may use statements that have already been printed referring to 14 CFR 107.209 until stocks of such statements are used up.
(iv) A statement reading, “The information I have provided on this application is true, complete, and correct to the best of my knowledge and belief and is provided in good faith. I understand that a knowing and willful false statement on this application can be punished by fine or imprisonment or both. (See section 1001 of Title 18 United States Code.)”
(v) A line for the printed name of the individual.
(vi) A line for the individual's signature and date of signature.
(2) Each individual must complete and sign the application prior to submitting his or her fingerprints.
(3) The airport operator must verify the identity of the individual through two forms of identification prior to fingerprinting, and ensure that the printed name on the fingerprint application is legible. At least one of the two forms of identification must have been issued by a government authority, and at least one must include a photo.
(4) The airport operator must advise the individual that:
(i) A copy of the criminal record received from the FBI will be provided to the individual, if requested by the individual in writing; and
(ii) The ASC is the individual's point of contact if he or she has questions about the results of the CHRC.
(5) The airport operator must collect, control, and process one set of legible and classifiable fingerprints under direct observation of the airport operator or a law enforcement officer.
(6) Fingerprints may be obtained and processed electronically, or recorded on fingerprint cards approved by the FBI and distributed by TSA for that purpose.
(7) The fingerprint submission must be forwarded to TSA in the manner specified by TSA.
(f)
(g)
(2) When a CHRC on an individual with unescorted access authority discloses an arrest for any disqualifying criminal offense without indicating a disposition, the airport operator must suspend the individual's unescorted access authority not later than 45 days after obtaining the CHRC unless the airport operator determines, after investigation, that the arrest did not result in a disqualifying criminal offense. If there is no disposition, or if the disposition did not result in a conviction or in a finding of not guilty by reason of insanity of one of the offenses listed in paragraph (d) of this section, the individual is not disqualified under this section.
(3) The airport operator may only make the determinations required in paragraphs (g)(1) and (g)(2) of this section for individuals for whom it is issuing, or has issued, unescorted access authority, and who are not covered by a certification from an aircraft operator under paragraph (n) of this section. The airport operator may not make determinations for individuals described in § 1544.229 of this chapter.
(h)
(2) The airport operator must notify an individual that a final decision has been made to grant or deny unescorted access authority.
(3) Immediately following the suspension of unescorted access authority of an individual, the airport operator must advise him or her that the FBI criminal record discloses information that disqualifies him or her from retaining unescorted access authority and provide the individual with a copy of the FBI record if he or she requests it.
(i)
(1) For an individual seeking unescorted access authority on or after December 6, 2001, the following applies:
(i) Within 30 days after being advised that the criminal record received from the FBI discloses a disqualifying criminal offense, the individual must notify the airport operator in writing of his or her intent to correct any information he or she believes to be inaccurate. The airport operator must obtain a copy, or accept a copy from the individual, of the revised FBI record, or a certified true copy of the information from the appropriate court, prior to granting unescorted access authority.
(ii) If no notification, as described in paragraph (h)(1) of this section, is received within 30 days, the airport operator may make a final determination to deny unescorted access authority.
(2) For an individual with unescorted access authority before December 6, 2001, the following applies: Within 30 days after being advised of suspension because the criminal record received from the FBI discloses a disqualifying criminal offense, the individual must notify the airport operator in writing of his or her intent to correct any information he or she believes to be inaccurate. The airport operator must obtain a copy, or accept a copy from the individual, of the revised FBI record, or a certified true copy of the information from the appropriate court, prior to reinstating unescorted access authority.
(j)
(1) The individual to whom the record pertains, or that individual's authorized representative.
(2) Officials of other airport operators who are determining whether to grant unescorted access to the individual under this part.
(3) Aircraft operators who are determining whether to grant unescorted access to the individual or authorize the individual to perform screening functions under part 1544 of this chapter.
(4) Others designated by TSA.
(k)
(1)
(2)
(3)
(4)
(5)
(l)
(2) Each individual with unescorted access authority who has a disqualifying criminal offense must report the offense to the airport operator and surrender the SIDA access medium to the issuer within 24 hours of the conviction or the finding of not guilty by reason of insanity.
(3) If information becomes available to the airport operator or the airport user indicating that an individual with unescorted access authority has a disqualifying criminal offense, the airport operator must determine the status of the conviction. If a disqualifying offense is confirmed the airport operator must immediately revoke any unescorted access authority.
(m)
(1) An employee of the Federal, state, or local government (including a law enforcement officer) who, as a condition of employment, has been subjected to an employment investigation that includes a criminal records check.
(2) Notwithstanding the requirements of this section, an airport operator may authorize the following individuals to have unescorted access authority:
(i) An individual who has been continuously employed in a position requiring unescorted access authority by another airport operator, airport user, or aircraft operator, or contractor to such an entity, provided the grant for his or her unescorted access authority was based upon a fingerprint-based CHRC through TSA or FAA.
(ii) An individual who has been continuously employed by an aircraft operator or aircraft operator contractor, in a position with authority to perform screening functions, provided the grant for his or her authority to perform screening functions was based upon a fingerprint-based CHRC through TSA or FAA.
(n)
(o)
(1) Designate the ASC, in the security program, or a direct employee if the ASC is not a direct employee, to be responsible for maintaining, controlling, and destroying the criminal record files when their maintenance is no longer required by paragraph (k) of this section.
(2) Designate the ASC, in the security program, to serve as the contact to receive notification from individuals applying for unescorted access authority of their intent to seek correction of their FBI criminal record.
(3) Audit the employment history investigations performed by the airport operator in accordance with this section and 14 CFR 107.31 in effect prior to November 14, 2001 (see 14 CFR Parts 60 through 139 revised as of January 1, 2001), and those investigations conducted by the airport users who provided certification to the airport operator. The audit program must be set forth in the airport security program.
(p)
(2) The airport user must maintain and control, in compliance with paragraph (k) of this section, the employment history investigation files for investigations conducted before December 6, 2001, unless the airport operator decides to maintain and control the employment history investigation file.
(3) The airport user must provide the airport operator with either the name or title of the individual acting as custodian of the files described in this paragraph (p), the address of the location where the files are maintained, and the phone number of that location. The airport user must provide the airport operator and TSA with access to these files.
(a)
(1) Personnel identification media that—
(i) Convey a full-face image, full name, employer, and identification number of the individual to whom the identification medium is issued;
(ii) Indicate clearly the scope of the individual's access and movement privileges;
(iii) Indicate clearly an expiration date; and
(iv) Are of sufficient size and appearance as to be readily observable for challenge purposes.
(2) Procedures to ensure that each individual in the secured area or SIDA continuously displays the identification medium issued to that individual on the outermost garment above waist level, or is under escort.
(3) Procedures to ensure accountability through the following:
(i) Retrieving expired identification media and media of persons who no longer have unescorted access authority.
(ii) Reporting lost or stolen identification media.
(iii) Securing unissued identification media stock and supplies.
(iv) Auditing the system at a minimum of once a year or sooner, as necessary, to ensure the integrity and accountability of all identification media.
(v) As specified in the security program, revalidate the identification system or reissue identification media if a portion of all issued, unexpired identification media are lost, stolen, or otherwise unaccounted for, including identification media that are combined with access media.
(vi) Ensure that only one identification medium is issued to an individual at a time, except for personnel who are employed with more than one company and require additional identification media to carry out employment duties.
(b)
(1) Retrieve temporary identification media;
(2) Authorize the use of a temporary media for a limited time only;
(3) Ensure that temporary media are distinct from other identification media and clearly display an expiration date; and
(4) Ensure that any identification media also being used as an access media meet the criteria of § 1542.207(d).
(c)
(d)
(1) Apply uniformly in secured areas, SIDAs, and exclusive areas;
(2) Describe how to challenge an individual directly or report any individual not visibly displaying an authorized identification medium, including procedures to notify the appropriate authority; and
(3) Describe support of challenge procedures, including law enforcement and any other responses to reports of individuals not displaying authorized identification media.
(e)
(1) Ensure that only individuals with unescorted access authority are permitted to escort;
(2) Ensure that the escorted individuals are continuously accompanied or monitored while within the secured area or SIDA in a manner sufficient to identify whether the escorted individual is engaged in activities other than those for which escorted access was granted, and to take action in accordance with the airport security program;
(3) Identify what action is to be taken by the escort, or other authorized individual, should individuals under escort engage in activities other than those for which access was granted;
(4) Prescribe law enforcement support for escort procedures; and
(5) Ensure that individuals escorted into a sterile area without being screened under § 1544.201 of this chapter remain under escort until they exit the sterile area, or submit to screening pursuant to § 1544.201 or § 1546.201 of this chapter.
(f)
(a) Each airport operator must ensure that individuals performing security-related functions for the airport operator are briefed on the provisions of this part, Security Directives, and Information Circulars, and the security program, to the extent that such individuals need to know in order to perform their duties.
(b) An airport operator may not authorize any individual unescorted access to the secured area or SIDA, except as provided in § 1542.5, unless that individual has successfully completed training in accordance with TSA-approved curriculum specified in the security program. This curriculum must detail the methods of instruction, provide attendees with an opportunity to ask questions, and include at least the following topics—
(1) The unescorted access authority of the individual to enter and be present in various areas of the airport;
(2) Control, use, and display of airport-approved access and identification media;
(3) Escort and challenge procedures and the law enforcement support for these procedures;
(4) Security responsibilities as specified in § 1540.105;
(5) Restrictions on divulging sensitive security information as described in part 1520 of this chapter; and
(6) Any other topics specified in the security program.
(c) An airport operator may not authorize any individual unescorted access to the AOA, except as provided in § 1542.5, unless that individual has been provided information in accordance with the security program, including—
(1) The unescorted access authority of the individual to enter and be present in various areas of the airport;
(2) Control, use, and display of airport-approved access and identification media, if appropriate;
(3) Escort and challenge procedures and the law enforcement support for these procedures, where applicable;
(4) Security responsibilities as specified in § 1540.105;
(5) Restrictions on divulging sensitive security information as described in part 1520 of this chapter; and
(6) Any other topics specified in the security program.
(d) Each airport operator must maintain a record of all training and information given to each individual under paragraphs (b) and (c) of this section for 180 days after the termination of that person's unescorted access authority.
(e) As to persons with unescorted access to the SIDA on November 14, 2001, training on responsibility under § 1540.105 can be provided by making relevant security information available.
(f) Training described in paragraph (c) of this section must be implemented by each airport operator not later than November 14, 2002.
(a) In accordance with § 1542.217, each airport operator required to have a security program under § 1542.103(a) or (b) must provide:
(1) Law enforcement personnel in the number and manner adequate to support its security program.
(2) Uniformed law enforcement personnel in the number and manner adequate to support each system for screening persons and accessible property required under part 1544 or 1546 of this chapter, except to the extent that TSA provides Federal law enforcement support for the system.
(b) Each airport required to have a security program under § 1542.103(c) must ensure that:
(1) Law enforcement personnel are available and committed to respond to an incident in support of a civil aviation security program when requested by an aircraft operator or foreign air carrier that has a security program under part 1544 or 1546 of this chapter.
(2) The procedures by which to request law enforcement support are provided to each aircraft operator or foreign air carrier that has a security program under part 1544 or 1546 of this chapter.
(a) Each airport operator must ensure that law enforcement personnel used to meet the requirements of § 1542.215, meet the following qualifications while on duty at the airport—
(1) Have arrest authority described in paragraph (b) of this section;
(2) Are identifiable by appropriate indicia of authority;
(3) Are armed with a firearm and authorized to use it; and
(4) Have completed a training program that meets the requirements of paragraphs (c) and (d) of this section.
(b) Each airport operator must ensure that each individual used to meet the requirements of § 1542.215 have the authority to arrest, with or without a warrant, while on duty at the airport for the following violations of the criminal laws of the State and local jurisdictions in which the airport is located—
(1) A crime committed in the presence of the individual; and
(2) A felony, when the individual has reason to believe that the suspect has committed it.
(c) The training program required by paragraph (a)(4) of this section must—
(1) Meet the training standard for law enforcement officers prescribed by either the State or local jurisdiction in which the airport is located for law enforcement officers performing comparable functions.
(2) Specify and require training standards for private law enforcement personnel acceptable to TSA, if the State and local jurisdictions in which the airport is located do not prescribe training standards for private law enforcement personnel that meets the standards in paragraph (a) of this section.
(3) Include training in—
(i) The use of firearms;
(ii) The courteous and efficient treatment of persons subject to inspection, detention, search, arrest, and other aviation security activities;
(iii) The responsibilities of law enforcement personnel under the security program; and
(iv) Any other subject TSA determines is necessary.
(d) Each airport operator must document the training program required by paragraph (a)(4) of this section and maintain documentation of training at a location specified in the security program until 180 days after the departure or removal of each person providing law enforcement support at the airport.
(a) When TSA decides, after being notified by an airport operator as prescribed in this section, that not enough qualified State, local, and private law enforcement personnel are available to carry out the requirements of § 1542.215, TSA may authorize the airport operator to use, on a reimbursable basis, personnel employed by TSA, or by another department, agency, or instrumentality of the Government with the consent of the head of the department, agency, or instrumentality to supplement State, local, and private law enforcement personnel.
(b) Each request for the use of Federal personnel must be submitted to TSA and include the following information:
(1) The number of passengers enplaned at the airport during the preceding calendar year and the current calendar year as of the date of the request.
(2) The anticipated risk of criminal violence, sabotage, aircraft piracy, and other unlawful interference to civil aviation operations.
(3) A copy of that portion of the security program which describes the law enforcement support necessary to comply with § 1542.215.
(4) The availability of law enforcement personnel who meet the requirements of § 1542.217, including a description of the airport operator's efforts to obtain law enforcement support from State, local, and private agencies and the responses of those agencies.
(5) The airport operator's estimate of the number of Federal personnel needed to supplement available law enforcement personnel and the period of time for which they are needed.
(6) A statement acknowledging responsibility for providing reimbursement for the cost of providing Federal personnel.
(7) Any other information TSA considers necessary.
(c) In response to a request submitted in accordance with this section, TSA may authorize, on a reimbursable basis, the use of personnel employed by a Federal agency, with the consent of the head of that agency.
(a) Each airport operator must ensure that—
(1) A record is made of each law enforcement action taken in furtherance of this part; and
(2) The record is maintained for a minimum of 180 days.
(b) Data developed in response to paragraph (a) of this section must include at least the following, except as authorized by TSA:
(1) The number and type of weapons, explosives, or incendiaries discovered during any passenger-screening process, and the method of detection of each.
(2) The number of acts and attempted acts of aircraft piracy.
(3) The number of bomb threats received, real and simulated bombs found, and actual detonations on the airport.
(4) The number of arrests, including—
(i) Name, address, and the immediate disposition of each individual arrested;
(ii) Type of weapon, explosive, or incendiary confiscated, as appropriate; and
(iii) Identification of the aircraft operators or foreign air carriers on which the individual arrested was, or was scheduled to be, a passenger or which screened that individual, as appropriate.
(a) Each airport operator required to have a security program under § 1542.103(a) and (b) must adopt a contingency plan and must:
(1) Implement its contingency plan when directed by TSA.
(2) Conduct reviews and exercises of its contingency plan as specified in the security program with all persons having responsibilities under the plan.
(3) Ensure that all parties involved know their responsibilities and that all information contained in the plan is current.
(b) TSA may approve alternative implementation measures, reviews, and exercises to the contingency plan which will provide an overall level of security equal to the contingency plan under paragraph (a) of this section.
(a) TSA may issue an Information Circular to notify airport operators of security concerns. When TSA determines that additional security measures are necessary to respond to a threat assessment or to a specific threat against civil aviation, TSA issues a Security Directive setting forth mandatory measures.
(b) Each airport operator must comply with each Security Directive issued to the airport operator within the time prescribed in the Security Directive.
(c) Each airport operator that receives a Security Directive must—
(1) Within the time prescribed in the Security Directive, verbally acknowledge receipt of the Security Directive to TSA.
(2) Within the time prescribed in the Security Directive, specify the method by which the measures in the Security Directive have been implemented (or will be implemented, if the Security Directive is not yet effective).
(d) In the event that the airport operator is unable to implement the measures in the Security Directive, the airport operator must submit proposed alternative measures and the basis for submitting the alternative measures to TSA for approval. The airport operator must submit the proposed alternative measures within the time prescribed in the Security Directive. The airport operator must implement any alternative measures approved by TSA.
(e) Each airport operator that receives a Security Directive may comment on the Security Directive by submitting data, views, or arguments in writing to TSA. TSA may amend the Security Directive based on comments received. Submission of a comment does not delay the effective date of the Security Directive.
(f) Each airport operator that receives a Security Directive or an Information Circular and each person who receives information from a Security Directive or an Information Circular must:
(1) Restrict the availability of the Security Directive or Information Circular, and information contained in either document, to those persons with an operational need-to-know.
(2) Refuse to release the Security Directive or Information Circular, and information contained in either document, to persons other than those who have an operational need to know without the prior written consent of TSA.
When advised by TSA, each airport operator must prominently display and maintain in public areas information concerning foreign airports that, in the judgment of the Secretary of Transportation, do not maintain and administer effective security measures. This information must be posted in the manner specified in the security program and
(a) Each airport operator must establish procedures to evaluate bomb threats, threats of sabotage, aircraft piracy, and other unlawful interference to civil aviation operations.
(b) Immediately upon direct or referred receipt of a threat of any of the incidents described in paragraph (a) of this section, each airport operator must—
(1) Evaluate the threat in accordance with its security program;
(2) Initiate appropriate action as specified in the Airport Emergency Plan under 14 CFR 139.325; and
(3) Immediately notify TSA of acts, or suspected acts, of unlawful interference to civil aviation operations, including specific bomb threats to aircraft and airport facilities.
(c) Airport operators required to have a security program under § 1542.103(c) but not subject to 14 CFR part 139, must develop emergency response procedures to incidents of threats identified in paragraph (a) of this section.
(d) To ensure that all parties know their responsibilities and that all procedures are current, at least once every 12 calendar months each airport operator must review the procedures required in paragraphs (a) and (b) of this section with all persons having responsibilities for such procedures.
49 U.S.C. 114, 5103, 40113, 44901-44905, 44907, 44913-44914, 44916-44918, 44932, 44935-44936, 44942, 46105.
(a) This part prescribes aviation security rules governing the following:
(1) The operations of aircraft operators holding operating certificates under 14 CFR part 119 for scheduled passenger operations, public charter passenger operations, private charter passenger operations; the operations of aircraft operators holding operating certificates under 14 CFR part 119 operating aircraft with a maximum certificated takeoff weight of 12,500 pounds or more; and other aircraft operators adopting and obtaining approval of an aircraft operator security program.
(2) Each law enforcement officer flying armed aboard an aircraft operated by an aircraft operator described in paragraph (a)(1) of this section.
(3) Each aircraft operator that receives a Security Directive or Information Circular and each person who receives information from a Security Directive or Information Circular issued by TSA.
(b) As used in this part, “aircraft operator” means an aircraft operator subject to this part as described in § 1544.101.
(a) Each aircraft operator must allow TSA, at any time or place, to make any inspections or tests, including copying records, to determine compliance of an airport operator, aircraft operator, foreign air carrier, indirect air carrier, or other airport tenants with—
(1) This subchapter and any security program under this subchapter, and part 1520 of this chapter; and
(2) 49 U.S.C. Subtitle VII, as amended.
(b) At the request of TSA, each aircraft operator must provide evidence of compliance with this part and its security program, including copies of records.
(c) TSA may enter and be present within secured areas, AOAs, SIDAs, and other areas where security measures required by TSA are carried out, without access media or identification media issued or approved by an airport operator or aircraft operator, in order to inspect or test compliance, or perform other such duties as TSA may direct.
(d) At the request of TSA and the completion of SIDA training as required in a security program, each aircraft operator must promptly issue to TSA personnel access and identification media to provide TSA personnel with unescorted access to, and movement within, areas controlled by the aircraft operator under an exclusive area agreement.
(a)
(1) A scheduled passenger or public charter passenger operation with an aircraft having a passenger seating configuration of 61 or more seats.
(2) A scheduled passenger or public charter passenger operation with an aircraft having a passenger seating configuration of 60 or fewer seats when passengers are enplaned from or deplaned into a sterile area.
(b)
(1) A scheduled passenger or public charter passenger operation with an aircraft having a passenger-seating configuration of 31 or more but 60 or fewer seats that does not enplane from or deplane into a sterile area.
(2) A scheduled passenger or public charter passenger operation with an aircraft having a passenger-seating configuration of 60 or fewer seats engaged in operations to, from, or outside the United States that does not enplane from or deplane into a sterile area.
(c)
(1) The requirements of §§ 1544.215, 1544.217, 1544.219, 1544.223, 1544.230, 1544.235, 1544.237, 1544.301, 1544.303, and 1544.305.
(2) Other provisions of subparts C, D, and E of this part that TSA has approved upon request.
(3) The remaining requirements of subparts C, D, and E when TSA notifies the aircraft operator in writing that a security threat exists concerning that operation.
(d)
(1) Is an aircraft with a maximum certificated takeoff weight of more than 12,500 pounds;
(2) Is in scheduled or charter service;
(3) Is carrying passengers or cargo or both; and
(4) Is not under a full program, partial program, or full all-cargo program under paragraph (a), (b), or (h) of this section.
(e)
(1) The requirements of §§ 1544.215, 1544.217, 1544.219, 1544.223, 1544.230, 1544.235, 1544.237, 1544.301(a) and (b), 1544.303, and 1544.305; and in addition, for all-cargo operations of §§ 1544.202, 1544.205(a), (b), (d), and (f).
(2) Other provisions of subparts C, D, and E that TSA has approved upon request.
(3) The remaining requirements of subparts C, D, and E when TSA notifies the aircraft operator in writing that a security threat exists concerning that operation.
(f)
(1) Must adopt and carry out a security program that meets the applicable requirements of § 1544.103 for each private charter passenger operation in which—
(i) The passengers are enplaned from or deplaned into a sterile area; or
(ii) The aircraft has a maximum certificated takeoff weight greater than 45,500 kg (100,309.3 pounds), or a passenger-seating configuration of 61 or more, and is not a government charter under paragraph (2) of the definition of private charter in § 1540.5 of this chapter.
(2) The Administrator may authorize alternate procedures under paragraph (f)(1) of this section as appropriate.
(g)
(1) Carry out selected provisions of subparts C, D, and E;
(2) Carry out the provisions of § 1544.305, as specified in its security program; and
(3) Adopt and carry out a security program that meets the applicable requirements of § 1544.103 (c).
(h)
(1) In an aircraft with a maximum certificated takeoff weight of more than 45,500 kg (100,309.3 pounds); and
(2) Carrying cargo and authorized persons and no passengers.
(i)
(1) The requirements of §§ 1544.202, 1544.205, 1544.207, 1544.209, 1544.211, 1544.215, 1544.217, 1544.219, 1544.225, 1544.227, 1544.228, 1544.229, 1544.230,
(2) Other provisions of subpart C of this part that TSA has approved upon request.
(3) The remaining requirements of subpart C of this part when TSA notifies the aircraft operator in writing that a security threat exists concerning that operation.
(a)
(1) Provide for the safety of persons and property traveling on flights provided by the aircraft operator against acts of criminal violence and air piracy, and the introduction of explosives, incendiaries, or weapons aboard an aircraft.
(2) Be in writing and signed by the aircraft operator or any person delegated authority in this matter.
(3) Be approved by TSA.
(b)
(1) Maintain an original copy of the security program at its corporate office.
(2) Have accessible a complete copy, or the pertinent portions of its security program, or appropriate implementing instructions, at each airport served. An electronic version of the program is adequate.
(3) Make a copy of the security program available for inspection upon request of TSA.
(4) Restrict the distribution, disclosure, and availability of information contained in the security program to persons with a need-to-know as described in part 1520 of this chapter.
(5) Refer requests for such information by other persons to TSA.
(c)
(1) The procedures and description of the facilities and equipment used to comply with the requirements of § 1544.201 regarding the acceptance and screening of individuals and their accessible property, including, if applicable, the carriage weapons as part of State-required emergency equipment.
(2) The procedures and description of the facilities and equipment used to comply with the requirements of § 1544.203 regarding the acceptance and screening of checked baggage.
(3) The procedures and description of the facilities and equipment used to comply with the requirements of § 1544.205 regarding the acceptance and screening of cargo.
(4) The procedures and description of the facilities and equipment used to comply with the requirements of § 1544.207 regarding the screening of individuals and property.
(5) The procedures and description of the facilities and equipment used to comply with the requirements of § 1544.209 regarding the use of metal detection devices.
(6) The procedures and description of the facilities and equipment used to comply with the requirements of § 1544.211 regarding the use of x-ray systems.
(7) The procedures and description of the facilities and equipment used to comply with the requirements of § 1544.213 regarding the use of explosives detection systems.
(8) The procedures used to comply with the requirements of § 1544.215 regarding the responsibilities of security coordinators. The names of the Aircraft Operator Security Coordinator (AOSC) and any alternate, and the means for contacting the AOSC(s) on a 24-hour basis, as provided in § 1544.215.
(9) The procedures used to comply with the requirements of § 1544.217 regarding the requirements for law enforcement personnel.
(10) The procedures used to comply with the requirements of § 1544.219 regarding carriage of accessible weapons.
(11) The procedures used to comply with the requirements of § 1544.221 regarding carriage of prisoners under the control of armed law enforcement officers.
(12) The procedures used to comply with the requirements of § 1544.223 regarding transportation of Federal Air Marshals.
(13) The procedures and description of the facilities and equipment used to perform the aircraft and facilities control function specified in § 1544.225.
(14) The specific locations where the air carrier has entered into an exclusive area agreement under § 1544.227.
(15) The procedures used to comply with the applicable requirements of §§ 1544.229 and 1544.230 regarding fingerprint-based criminal history records checks.
(16) The procedures used to comply with the requirements of § 1544.231 regarding personnel identification systems.
(17) The procedures and syllabi used to accomplish the training required under § 1544.233.
(18) The procedures and syllabi used to accomplish the training required under § 1544.235.
(19) An aviation security contingency plan as specified under § 1544.301.
(20) The procedures used to comply with the requirements of § 1544.303 regarding bomb and air piracy threats.
(21) The procedures used to comply with § 1544.237 regarding flight deck privileges.
(22) The Aircraft Operator Implementation Plan (AOIP) as required under 49 CFR 1560.109.
(a)
(1) The designated official, within 30 days after receiving the proposed aircraft operator security program, will either approve the program or give the aircraft operator written notice to modify the program to comply with the applicable requirements of this part.
(2) The aircraft operator may either submit a modified security program to the designated official for approval, or petition the Administrator to reconsider the notice to modify within 30 days of receiving a notice to modify. A petition for reconsideration must be filed with the designated official.
(3) The designated official, upon receipt of a petition for reconsideration, either amends or withdraws the notice, or transmits the petition, together with any pertinent information, to the Administrator for reconsideration. The Administrator disposes of the petition within 30 days of receipt by either directing the designated official to withdraw or amend the notice to modify, or by affirming the notice to modify.
(b)
(1) The request for an amendment must be filed with the designated official at least 45 days before the date it proposes for the amendment to become effective, unless a shorter period is allowed by the designated official.
(2) Within 30 days after receiving a proposed amendment, the designated official, in writing, either approves or denies the request to amend.
(3) An amendment to an aircraft operator security program may be approved if the designated official determines that safety and the public interest will allow it, and the proposed amendment provides the level of security required under this part.
(4) Within 30 days after receiving a denial, the aircraft operator may petition the Administrator to reconsider the denial. A petition for reconsideration must be filed with the designated official.
(5) Upon receipt of a petition for reconsideration, the designated official either approves the request to amend or transmits the petition, together with any pertinent information, to the Administrator for reconsideration. The Administrator disposes of the petition within 30 days of receipt by either directing the designated official to approve the amendment, or affirming the denial.
(6) Any aircraft operator may submit a group proposal for an amendment
(c)
(1) The designated official notifies the aircraft operator, in writing, of the proposed amendment, fixing a period of not less than 30 days within which the aircraft operator may submit written information, views, and arguments on the amendment.
(2) After considering all relevant material, the designated official notifies the aircraft operator of any amendment adopted or rescinds the notice. If the amendment is adopted, it becomes effective not less than 30 days after the aircraft operator receives the notice of amendment, unless the aircraft operator petitions the Administrator to reconsider no later than 15 days before the effective date of the amendment. The aircraft operator must send the petition for reconsideration to the designated official. A timely petition for reconsideration stays the effective date of the amendment.
(3) Upon receipt of a petition for reconsideration, the designated official either amends or withdraws the notice or transmits the petition, together with any pertinent information, to the Administrator for reconsideration. The Administrator disposes of the petition within 30 days of receipt by either directing the designated official to withdraw or amend the amendment, or by affirming the amendment.
(d)
(a)
(b)
(c)
(1) Any individual who does not consent to a search or inspection of his or her person in accordance with the system prescribed in this part; and
(2) Any property of any individual or other person who does not consent to a search or inspection of that property in accordance with the system prescribed by this part.
(d)
(e)
Each aircraft operator operating under a full all-cargo program, or a twelve-five program in an all-cargo operation, must apply the security measures in its security program for persons who board the aircraft for transportation, and for their property, to prevent or deter the carriage of any unauthorized persons, and any unauthorized weapons, explosives, incendiaries, and other destructive devices, items, or substances.
(a)
(b)
(c)
(d)
(1) Prevents the unauthorized carriage of any explosive or incendiary aboard the aircraft.
(2) Prevents access by persons other than an aircraft operator employee or its agent.
(e)
(f)
(1) Any loaded firearm(s).
(2) Any unloaded firearm(s) unless—
(i) The passenger declares to the aircraft operator, either orally or in writing before checking the baggage that any firearm carried in the baggage is unloaded;
(ii) The firearm is carried in a hard-sided container;
(iii) The container in which it is carried is locked, and only the individual checking the baggage retains the key or combination; and
(iv) The checked baggage containing the firearm is carried in an area that is inaccessible to passengers, and is not carried in the flightcrew compartment,.
(3) Any unauthorized explosive or incendiary.
(g)
(a)
(b)
(c)
(1) Prevents the carriage of any unauthorized person, and any unauthorized explosive, incendiary, and other destructive substance or item in cargo onboard an aircraft.
(2) Prevents unescorted access by persons other than an authorized aircraft operator employee or agent, or persons authorized by the airport operator or host government.
(d)
(e)
(f)
(g)
(1)
(ii) Not later than August 3, 2010, each operator under a full program must ensure that 100 percent of its cargo is screened prior to transport on a passenger aircraft.
(2)
(3)
(4)
(a)
(b)
(c)
(d)
(a) No aircraft operator may use a metal detection device within the United States or under the aircraft operator's operational control outside the United States to inspect persons, unless specifically authorized under a security program under this part. No aircraft operator may use such a device contrary to its security program.
(b) Metal detection devices must meet the calibration standards established by TSA.
(a)
(1) The system meets the standards for cabinet X-ray systems primarily for the inspection of baggage issued by the Food and Drug Administration (FDA) and published in 21 CFR 1020.40;
(2) A program for initial and recurrent training of operators of the system is established, which includes training in radiation safety, the efficient use of X-ray systems, and the identification of weapons, explosives, and incendiaries; and
(3) The system meets the imaging requirements set forth in its security program using the step wedge specified in American Society for Testing Materials (ASTM) Standard F792-88 (Reapproved 1993). This standard is incorporated by reference in paragraph (g) of this section.
(b)
(c)
(d)
(e)
(2) At locations at which an aircraft operator or TSA uses an X-ray system to inspect checked baggage the aircraft
(3) The signs required under this paragraph (e) must notify individuals that such items are being inspected by an X-ray and advise them to remove all X-ray, scientific, and high-speed film from accessible property and checked baggage before inspection. This sign must also advise individuals that they may request that an inspection be made of their photographic equipment and film packages without exposure to an X-ray system. If the X-ray system exposes any accessible property or checked baggage to more than one milliroentgen during the inspection, the sign must advise individuals to remove film of all kinds from their articles before inspection.
(4) If requested by individuals, their photographic equipment and film packages must be inspected without exposure to an X-ray system.
(f)
(1) The aircraft operator's principal business office; and
(2) The place where the X-ray system is in operation.
(g)
(h)
(a)
(b)
(2) If the explosives detection system exposes any checked baggage to more than one milliroentgen during the inspection the aircraft operator must post a sign which advises individuals to remove film of all kinds from their articles before inspection. If requested by
(a)
(b)
(1) A review of all security-related functions for which the aircraft operator is responsible, for effectiveness and compliance with this part, the aircraft operator's security program, and applicable Security Directives.
(2) Immediate initiation of corrective action for each instance of noncompliance with this part, the aircraft operator's security program, and applicable Security Directives. At foreign airports where such security measures are provided by an agency or contractor of a host government, the aircraft operator must notify TSA for assistance in resolving noncompliance issues.
(c)
(a) The following applies to operations at airports within the United States that are not required to hold a security program under part 1542 of this chapter.
(1) For operations described in § 1544.101(a) each aircraft operator must provide for law enforcement personnel meeting the qualifications and standards specified in §§ 1542.215 and 1542.217 of this chapter.
(2) For operations under a partial program under § 1544.101(b) and (c), a twelve-five program under § 1544.101(d) and (e), a private charter program under § 1544.101(f), or a full all-cargo program under § 1544.101(h) and (i), each aircraft operator must—
(i) Arrange for law enforcement personnel meeting the qualifications and standards specified in § 1542.217 of this chapter to be available to respond to an incident; and
(ii) Provide its employees, including crewmembers, current information regarding procedures for obtaining law enforcement assistance at that airport.
(b) The following applies to operations at airports required to hold security programs under part 1542 of this chapter. For operations under a partial program under § 1544.101(b) and (c), a twelve-five program under § 1544.101(d) and (e), a private charter program under § 1544.101(f), or a full all-cargo program under § 1544.101(h) and (i), each aircraft operator must—
(1) Arrange with TSA and the airport operator, as appropriate, for law enforcement personnel meeting the qualifications and standards specified in § 1542.217 of this chapter to be available to respond to incidents, and
(2) Provide its employees, including crewmembers, current information regarding procedures for obtaining law enforcement assistance at that airport.
(a)
(1) Unless otherwise authorized by TSA, the armed LEO must meet the following requirements:
(i) Be a Federal law enforcement officer or a full-time municipal, county, or state law enforcement officer who is a direct employee of a government agency.
(ii) Be sworn and commissioned to enforce criminal statutes or immigration statutes.
(iii) Be authorized by the employing agency to have the weapon in connection with assigned duties.
(iv) Has completed the training program “Law Enforcement Officers Flying Armed.”
(2) In addition to the requirements of paragraph (a)(1) of this section, the armed LEO must have a need to have the weapon accessible from the time he or she would otherwise check the weapon until the time it would be claimed after deplaning. The need to have the weapon accessible must be determined by the employing agency, department, or service and be based on one of the following:
(i) The provision of protective duty, for instance, assigned to a principal or advance team, or on travel required to be prepared to engage in a protective function.
(ii) The conduct of a hazardous surveillance operation.
(iii) On official travel required to report to another location, armed and prepared for duty.
(iv) Employed as a Federal LEO, whether or not on official travel, and armed in accordance with an agency-wide policy governing that type of travel established by the employing agency by directive or policy statement.
(v) Control of a prisoner, in accordance with § 1544.221, or an armed LEO on a round trip ticket returning from escorting, or traveling to pick up, a prisoner.
(vi) TSA Federal Air Marshal on duty status.
(3) The armed LEO must comply with the following notification requirements:
(i) All armed LEOs must notify the aircraft operator of the flight(s) on which he or she needs to have the weapon accessible at least 1 hour, or in an emergency as soon as practicable, before departure.
(ii) Identify himself or herself to the aircraft operator by presenting credentials that include a clear full-face picture, the signature of the armed LEO, and the signature of the authorizing official of the agency, service, or department or the official seal of the agency, service, or department. A badge, shield, or similar device may not be used, or accepted, as the sole means of identification.
(iii) If the armed LEO is a State, county, or municipal law enforcement officer, he or she must present an original letter of authority, signed by an authorizing official from his or her employing agency, service or department, confirming the need to travel armed and detailing the itinerary of the travel while armed.
(iv) If the armed LEO is an escort for a foreign official then this paragraph (a)(3) may be satisfied by a State Department notification.
(4) The aircraft operator must do the following:
(i) Obtain information or documentation required in paragraphs (a)(3)(ii), (iii), and (iv) of this section.
(ii) Advise the armed LEO, before boarding, of the aircraft operator's procedures for carrying out this section.
(iii) Have the LEO confirm he/she has completed the training program “Law Enforcement Officers Flying Armed” as required by TSA, unless otherwise authorized by TSA.
(iv) Ensure that the identity of the armed LEO is known to the appropriate personnel who are responsible for security during the boarding of the aircraft.
(v) Notify the pilot in command and other appropriate crewmembers, of the location of each armed LEO aboard the aircraft. Notify any other armed LEO of the location of each armed LEO, including FAM's. Under circumstances described in the security program, the aircraft operator must not close the doors until the notification is complete.
(vi) Ensure that the information required in paragraphs (a)(3)(i) and (ii) of this section is furnished to the flight crew of each additional connecting
(b)
(c)
(2) No armed LEO may:
(i) Consume any alcoholic beverage while aboard an aircraft operated by an aircraft operator.
(ii) Board an aircraft armed if they have consumed an alcoholic beverage within the previous 8 hours.
(d)
(i) Concealed and out of view, either on their person or in immediate reach, if the armed LEO is not in uniform.
(ii) On their person, if the armed LEO is in uniform.
(2) No individual may place a weapon in an overhead storage bin.
(a) This section applies as follows:
(1) This section applies to the transport of prisoners under the escort of an armed law enforcement officer.
(2) This section does not apply to the carriage of passengers under voluntary protective escort.
(3) This section does not apply to the escort of non-violent detainees of the Immigration and Naturalization Service. This section does not apply to individuals who may be traveling with a prisoner and armed escort, such as the family of a deportee who is under armed escort.
(b) For the purpose of this section:
(1) “High risk prisoner” means a prisoner who is an exceptional escape risk, as determined by the law enforcement agency, and charged with, or convicted of, a violent crime.
(2) “Low risk prisoner” means any prisoner who has not been designated as “high risk.”
(c) No aircraft operator may carry a prisoner in the custody of an armed law enforcement officer aboard an aircraft for which screening is required unless, in addition to the requirements in § 1544.219, the following requirements are met:
(1) The agency responsible for control of the prisoner has determined whether the prisoner is considered a high risk or a low risk.
(2) Unless otherwise authorized by TSA, no more than one high risk prisoner may be carried on the aircraft.
(d) No aircraft operator may carry a prisoner in the custody of an armed law enforcement officer aboard an aircraft for which screening is required unless the following staffing requirements are met:
(1) A minimum of one armed law enforcement officer must control a low risk prisoner on a flight that is scheduled for 4 hours or less. One armed law enforcement officer may control no more than two low risk prisoners.
(2) A minimum of two armed law enforcement officers must control a low risk prisoner on a flight that is scheduled for more than 4 hours. Two armed law enforcement officers may control no more than two low risk prisoners.
(3) For high-risk prisoners:
(i) For one high-risk prisoner on a flight: A minimum of two armed law enforcement officers must control a high risk prisoner. No other prisoners may be under the control of those two armed law enforcement officers.
(ii) If TSA has authorized more than one high-risk prisoner to be on the flight under paragraph (c)(2) of this section, a minimum of one armed law enforcement officer for each prisoner and one additional armed law enforcement officer must control the prisoners. No other prisoners may be under the control of those armed law enforcement officers.
(e) An armed law enforcement officer who is escorting a prisoner—
(1) Must notify the aircraft operator at least 24 hours before the scheduled departure, or, if that is not possible as far in advance as possible of the following—
(i) The identity of the prisoner to be carried and the flight on which it is proposed to carry the prisoner; and
(ii) Whether or not the prisoner is considered to be a high risk or a low risk.
(2) Must arrive at the check-in counter at least 1 hour before to the scheduled departure.
(3) Must assure the aircraft operator, before departure, that each prisoner under the control of the officer(s) has been searched and does not have on or about his or her person or property anything that can be used as a weapon.
(4) Must be seated between the prisoner and any aisle.
(5) Must accompany the prisoner at all times, and keep the prisoner under control while aboard the aircraft.
(f) No aircraft operator may carry a prisoner in the custody of an armed law enforcement officer aboard an aircraft unless the following are met:
(1) When practicable, the prisoner must be boarded before any other boarding passengers and deplaned after all other deplaning passengers.
(2) The prisoner must be seated in a seat that is neither located in any passenger lounge area nor located next to or directly across from any exit and, when practicable, the aircraft operator should seat the prisoner in the rearmost seat of the passenger cabin.
(g) Each armed law enforcement officer escorting a prisoner and each aircraft operator must ensure that the prisoner is restrained from full use of his or her hands by an appropriate device that provides for minimum movement of the prisoner's hands, and must ensure that leg irons are not used.
(h) No aircraft operator may provide a prisoner under the control of a law enforcement officer—
(1) With food or beverage or metal eating utensils unless authorized to do so by the armed law enforcement officer.
(2) With any alcoholic beverage.
(a) A Federal Air Marshal on duty status may have a weapon accessible while aboard an aircraft for which screening is required.
(b) Each aircraft operator must carry Federal Air Marshals, in the number and manner specified by TSA, on each scheduled passenger operation, and public charter passenger operation designated by TSA.
(c) Each Federal Air Marshal must be carried on a first priority basis and without charge while on duty, including positioning and repositioning flights. When a Federal Air Marshal is assigned to a scheduled flight that is canceled for any reason, the aircraft operator must carry that Federal Air Marshal without charge on another flight as designated by TSA.
(d) Each aircraft operator must assign the specific seat requested by a Federal Air Marshal who is on duty status. If another LEO is assigned to that seat or requests that seat, the aircraft operator must inform the Federal Air Marshal. The Federal Air Marshal will coordinate seat assignments with the other LEO.
(e) The Federal Air Marshal identifies himself or herself to the aircraft operator by presenting credentials that include a clear, full-face picture, the signature of the Federal Air Marshal, and the signature of the FAA Administrator. A badge, shield, or similar device may not be used or accepted as the sole means of identification.
(f) The requirements of § 1544.219(a) do not apply for a Federal Air Marshal on duty status.
(g) Each aircraft operator must restrict any information concerning the presence, seating, names, and purpose of Federal Air Marshals at any station or on any flight to those persons with an operational need to know.
(h) Law enforcement officers authorized to carry a weapon during a flight will be contacted directly by a Federal Air Marshal who is on that same flight.
Each aircraft operator must use the procedures included, and the facilities and equipment described, in its security program to perform the following control functions with respect to each aircraft operation:
(a) Prevent unauthorized access to areas controlled by the aircraft operator under an exclusive area agreement
(b) Prevent unauthorized access to each aircraft.
(c) Conduct a security inspection of each aircraft before placing it into passenger operations if access has not been controlled in accordance with the aircraft operator security program and as otherwise required in the security program.
(d) When operating under a full program or a full all-cargo program, prevent unauthorized access to the operational area of the aircraft while loading or unloading cargo.
(a) An aircraft operator that has entered into an exclusive area agreement with an airport operator, under § 1542.111 of this chapter must carry out that exclusive area agreement.
(b) The aircraft operator must list in its security program the locations at which it has entered into exclusive area agreements with an airport operator.
(c) The aircraft operator must provide the exclusive area agreement to TSA upon request.
(d) Any exclusive area agreements in effect on November 14, 2001, must meet the requirements of this section and § 1542.111 of this chapter no later than November 14, 2002.
This section applies in the United States to each aircraft operator operating under a full program under § 1544.101(a) or a full all-cargo program under § 1544.101(h).
(a) Before an aircraft operator authorizes and before an individual performs a function described in paragraph (b) of this section—
(1) Each individual must successfully complete a security threat assessment or comparable security threat assessment described in part 1540 subpart C of this chapter; and
(2) Each aircraft operator must complete the requirements in part 1540 subpart C.
(b) The security threat assessment required in paragraph (a) of this section applies to the following:
(1) Each individual who has unescorted access to cargo and access to information that such cargo will be transported on a passenger aircraft; or who has unescorted access to cargo that has been screened for transport on a passenger aircraft; or who performs certain functions related to the transportation, dispatch, or security of cargo for transport on a passenger aircraft or all-cargo aircraft, as specified in the aircraft operator's security program; from the time—
(i) The cargo reaches a location where an aircraft operator with a full all-cargo program consolidates or inspects it pursuant to security program requirements until the cargo enters an airport Security Identification Display Area or is transferred to another TSA-regulated aircraft operator, foreign air carrier, or indirect air carrier; or
(ii) An aircraft operator with a full program accepts the cargo until the cargo—
(A) Enters an airport Security Identification Display Area;
(B) Is removed from the destination airport; or
(C) Is transferred to another TSA-regulated aircraft operator, foreign air carrier, or indirect air carrier.
(2) Each individual the aircraft operator authorizes to screen cargo or to supervise the screening of cargo under § 1544.205.
This section applies to each aircraft operator operating under a full program, a private charter program, or a full all-cargo program.
(a)
(1)
(ii) Each individual issued on or after December 6, 2001, an aircraft operator identification media that one or more airports accepts as airport-approved media for unescorted access authority within a security identification display area (SIDA), as described in § 1542.205 of this chapter (referred to as “unescorted access authority”).
(iii) Each individual granted authority to perform the following screening functions at locations within the United States (referred to as “authority to perform screening functions”):
(A) Screening passengers or property that will be carried in a cabin of an aircraft of an aircraft operator required to screen passengers under this part.
(B) Serving as an immediate supervisor (checkpoint security supervisor (CSS)), and the next supervisory level (shift or site supervisor), to those individuals described in paragraphs (a)(1)(iii)(A) or (a)(1)(iii)(C) of this section.
(C) Screening cargo that will be carried on an aircraft of an aircraft operator with a full all-cargo program.
(2)
(ii) Each individual who holds on December 6, 2001, an aircraft operator identification media that one or more airports accepts as airport-approved media for unescorted access authority within a security identification display area (SIDA), as described in § 1542.205 of this chapter.
(iii) Each individual who is performing on December 6, 2001, a screening function identified in paragraph (a)(1)(iii) of this section.
(3)
(i) Screening of checked baggage or cargo of an aircraft operator required to screen passengers under this part, or serving as an immediate supervisor of such an individual.
(ii) Accepting checked baggage for transport on behalf of an aircraft operator required to screen passengers under this part.
(4)
(b)
(1) Making a certification to an airport operator regarding that individual;
(2) Issuing an aircraft operator identification medium to that individual;
(3) Authorizing that individual to perform screening functions; or
(4) Authorizing that individual to perform checked baggage or cargo functions.
(c)
(i) No individual retains unescorted access authority, whether obtained as a result of a certification to an airport operator under 14 CFR 107.31(n) in effect prior to November 14, 2001 (see 14 CFR parts 60 to 139 revised as of January 1, 2001), or under 14 CFR 107.209(n) in effect prior to December 6, 2001 (see 14 CFR Parts 60 to 139 revised as of January 1, 2001), or obtained as a result of the issuance of an aircraft operator's identification media, unless the individual has been subject to a fingerprint-based CHRC for unescorted access authority under this part.
(ii) No individual continues to have authority to perform screening functions described in paragraph (a)(1)(iii) of this section, unless the individual has been subject to a fingerprint-based CHRC under this part.
(iii) No individual continues to have authority to perform checked baggage or cargo functions described in paragraph (a)(3) of this section, unless the individual has been subject to a fingerprint-based CHRC under this part.
(2)
(3)
(d)
(1) Forgery of certificates, false marking of aircraft, and other aircraft registration violation; 49 U.S.C. 46306.
(2) Interference with air navigation; 49 U.S.C. 46308.
(3) Improper transportation of a hazardous material; 49 U.S.C. 46312.
(4) Aircraft piracy; 49 U.S.C. 46502.
(5) Interference with flight crew members or flight attendants; 49 U.S.C. 46504.
(6) Commission of certain crimes aboard aircraft in flight; 49 U.S.C. 46506.
(7) Carrying a weapon or explosive aboard aircraft; 49 U.S.C. 46505.
(8) Conveying false information and threats; 49 U.S.C. 46507.
(9) Aircraft piracy outside the special aircraft jurisdiction of the United States; 49 U.S.C. 46502(b).
(10) Lighting violations involving transporting controlled substances; 49 U.S.C. 46315.
(11) Unlawful entry into an aircraft or airport area that serves air carriers or foreign air carriers contrary to established security requirements; 49 U.S.C. 46314.
(12) Destruction of an aircraft or aircraft facility; 18 U.S.C. 32.
(13) Murder.
(14) Assault with intent to murder.
(15) Espionage.
(16) Sedition.
(17) Kidnapping or hostage taking.
(18) Treason.
(19) Rape or aggravated sexual abuse.
(20) Unlawful possession, use, sale, distribution, or manufacture of an explosive or weapon.
(21) Extortion.
(22) Armed or felony unarmed robbery.
(23) Distribution of, or intent to distribute, a controlled substance.
(24) Felony arson.
(25) Felony involving a threat.
(26) Felony involving—
(i) Willful destruction of property;
(ii) Importation or manufacture of a controlled substance;
(iii) Burglary;
(iv) Theft;
(v) Dishonesty, fraud, or misrepresentation;
(vi) Possession or distribution of stolen property;
(vii) Aggravated assault;
(viii) Bribery; or
(ix) Illegal possession of a controlled substance punishable by a maximum term of imprisonment of more than 1 year.
(27) Violence at international airports; 18 U.S.C. 37.
(28) Conspiracy or attempt to commit any of the criminal acts listed in this paragraph (d).
(e)
(i) The disqualifying criminal offenses described in paragraph (d) of this section.
(ii) A statement that the individual signing the application does not have a disqualifying criminal offense.
(iii) A statement informing the individual that Federal regulations under 49 CFR 1544.229 impose a continuing obligation to disclose to the aircraft operator within 24 hours if he or she is convicted of any disqualifying criminal offense that occurs while he or she has authority to perform a covered function.
(iv) A statement reading, “The information I have provided on this application is true, complete, and correct to the best of my knowledge and belief and is provided in good faith. I understand that a knowing and willful false statement on this application can be punished by fine or imprisonment or both. (See section 1001 of Title 18 United States Code.)”
(v) A line for the printed name of the individual.
(vi) A line for the individual's signature and date of signature.
(2) Each individual must complete and sign the application prior to submitting his or her fingerprints.
(3) The aircraft operator must verify the identity of the individual through two forms of identification prior to fingerprinting, and ensure that the printed name on the fingerprint application is legible. At least one of the two forms of identification must have been issued by a government authority, and at least one must include a photo.
(4) The aircraft operator must:
(i) Advise the individual that a copy of the criminal record received from the FBI will be provided to the individual, if requested by the individual in writing; and
(ii) Identify a point of contact if the individual has questions about the results of the CHRC.
(5) The aircraft operator must collect, control, and process one set of legible and classifiable fingerprints under direct observation by the aircraft operator or a law enforcement officer.
(6) Fingerprints may be obtained and processed electronically, or recorded on fingerprint cards approved by the FBI and distributed by TSA for that purpose.
(7) The fingerprint submission must be forwarded to TSA in the manner specified by TSA.
(f)
(g)
(2) When a CHRC on an individual described in paragraph (a)(2) or (4) of this section discloses an arrest for any disqualifying criminal offense without indicating a disposition, the aircraft operator must suspend the individual's
(3) The aircraft operator may only make the determinations required in paragraphs (g)(1) and (g)(2) of this section for individuals for whom it is issuing, or has issued, authority to perform a covered function; and individuals who are covered by a certification from an aircraft operator under § 1542.209(n) of this chapter. The aircraft operator may not make determinations for individuals described in § 1542.209(a) of this chapter.
(h)
(2) The aircraft operator must notify an individual that a final decision has been made to grant or deny authority to perform a covered function.
(3) Immediately following the suspension of authority to perform a covered function, the aircraft operator must advise the individual that the FBI criminal record discloses information that disqualifies him or her from retaining his or her authority, and provide the individual with a copy of the FBI record if he or she requests it.
(i)
(1) For an individual seeking unescorted access authority or authority to perform screening functions on or after December 6, 2001; or an individual seeking authority to perform checked baggage or cargo functions on or after February 17, 2002; the following applies:
(i) Within 30 days after being advised that the criminal record received from the FBI discloses a disqualifying criminal offense, the individual must notify the aircraft operator in writing of his or her intent to correct any information he or she believes to be inaccurate. The aircraft operator must obtain a copy, or accept a copy from the individual, of the revised FBI record or a certified true copy of the information from the appropriate court, prior to authority to perform a covered function.
(ii) If no notification, as described in paragraph (h)(1) of this section, is received within 30 days, the aircraft operator may make a final determination to deny authority to perform a covered function.
(2) For an individual with unescorted access authority or authority to perform screening functions before December 6, 2001; or an individual with authority to perform checked baggage or cargo functions before February 17, 2002; the following applies: Within 30 days after being advised of suspension because the criminal record received from the FBI discloses a disqualifying criminal offense, the individual must notify the aircraft operator in writing of his or her intent to correct any information he or she believes to be inaccurate. The aircraft operator must obtain a copy, or accept a copy from the individual, of the revised FBI record, or a certified true copy of the information from the appropriate court, prior to reinstating authority to perform a covered function.
(j)
(1) The individual to whom the record pertains, or that individual's authorized representative.
(2) Officials of airport operators who are determining whether to grant unescorted access to the individual under part 1542 of this chapter when the determination is not based on the aircraft operator's certification under § 1542.209(n) of this chapter.
(3) Other aircraft operators who are determining whether to grant authority to perform a covered function under this part.
(4) Others designated by TSA.
(k)
(1)
(2)
(3)
(4)
(l)
(2) Each individual with authority to perform a covered function who has a disqualifying criminal offense must report the offense to the aircraft operator and surrender the SIDA access medium to the issuer within 24 hours of the conviction or the finding of not guilty by reason of insanity.
(3) If information becomes available to the aircraft operator indicating that an individual with authority to perform a covered function has a possible conviction for any disqualifying criminal offense in paragraph (d) of this section, the aircraft operator must determine the status of the conviction. If a disqualifying criminal offense is confirmed the aircraft operator must immediately revoke any authority to perform a covered function.
(4) Each individual with authority to perform checked baggage or cargo functions on February 17, 2002, who had a disqualifying criminal offense in paragraph (d) of this section on or after February 17, 1992, must, by March 25 2002, report the conviction to the aircraft operator and cease performing check baggage or cargo functions.
(m)
(1) Designate an individual(s) to be responsible for maintaining and controlling the employment history investigations for those whom the aircraft operator has made a certification to an airport operator under 14 CFR 107.209(n) in effect prior to November 14, 2001 (see 14 CFR parts 60 to 139 revised as of January 1, 2001), and for those whom the aircraft operator has issued identification media that are airport-accepted. The aircraft operator must designate a direct employee to maintain, control, and, as appropriate, destroy criminal records.
(2) Designate an individual(s) to maintain the employment history investigations of individuals with authority to perform screening functions whose files must be maintained at the location or station where the screener is performing his or her duties.
(3) Designate an individual(s) at appropriate locations to serve as the contact to receive notification from individuals seeking authority to perform covered functions of their intent to
(4) Audit the employment history investigations performed in accordance with this section and 14 CFR 108.33 in effect prior to November 14, 2001 (see 14 CFR parts 60 to 139 revised as of January 1, 2001). The aircraft operator must set forth the audit procedures in its security program.
(a)
(b)
(c)
(d)
(2) When a CHRC on an individual described in paragraph (a) of this section discloses an arrest for any disqualifying criminal offense listed in § 1544.229(d) without indicating a disposition, the aircraft operator must suspend the individual's flightcrew member privileges not later than 45 days after obtaining a CHRC, unless the aircraft operator determines, after investigation, that the arrest did not result in a disqualifying criminal offense. If there is no disposition, or if the disposition did not result in a conviction or in a finding of not guilty by reason of insanity of one of the offenses listed in § 1544.229(d), the flight crewmember is not disqualified under this section.
(3) The aircraft operator may only make the determinations required in paragraphs (d)(1) and (d)(2) of this section for individuals whom it is using, or will use, as a flightcrew member. The aircraft operator may not make determinations for individuals described in § 1542.209(a) of this chapter.
(e)
(2) The aircraft operator must notify the individual that a final decision has been made to allow or deny the individual flightcrew member status.
(3) Immediately following the denial of flightcrew member status, the aircraft operator must advise the individual that the FBI criminal record discloses information that disqualifies him or her from retaining his or her flightcrew member status, and provide the individual with a copy of the FBI record if he or she requests it.
(f)
(1) Within 30 days after being advised that the criminal record received from the FBI discloses a disqualifying criminal offense, the individual must notify the aircraft operator in writing of his
(2) If no notification, as described in paragraph (f)(1) of this section, is received within 30 days, the aircraft operator may make a final determination to deny the individual flightcrew member status.
(g)
(1) The individual to whom the record pertains, or that individual's authorized representative.
(2) Others designated by TSA.
(h)
(2)
(3)
(i)
(2) If information becomes available to the aircraft operator indicating that a flightcrew member identified in paragraph (a) of this section has a possible conviction for any disqualifying criminal offense in § 1544.229 (d), the aircraft operator must determine the status of the conviction. If a disqualifying criminal offense is confirmed, the aircraft operator may not assign that individual to flightcrew duties in operations identified in paragraph (a).
(j)
(2) Designate an individual(s) to maintain the CHRC results.
(3) Designate an individual(s) at appropriate locations to receive notification from individuals of their intent to seek correction of their FBI criminal record.
(k)
(a) Each aircraft operator must establish and carry out a personnel identification system for identification media that are airport-approved, or identification media that are issued for use in an exclusive area. The system must include the following:
(1) Personnel identification media that—
(i) Convey a full face image, full name, employer, and identification number of the individual to whom the identification medium is issued;
(ii) Indicate clearly the scope of the individual's access and movement privileges;
(iii) Indicate clearly an expiration date; and
(iv) Are of sufficient size and appearance as to be readily observable for challenge purposes.
(2) Procedures to ensure that each individual in the secured area or SIDA continuously displays the identification medium issued to that individual
(3) Procedures to ensure accountability through the following:
(i) Retrieving expired identification media.
(ii) Reporting lost or stolen identification media.
(iii) Securing unissued identification media stock and supplies.
(iv) Auditing the system at a minimum of once a year, or sooner, as necessary to ensure the integrity and accountability of all identification media.
(v) As specified in the aircraft operator security program, revalidate the identification system or reissue identification media if a portion of all issued, unexpired identification media are lost, stolen, or unretrieved, including identification media that are combined with access media.
(vi) Ensure that only one identification medium is issued to an individual at a time. A replacement identification medium may only be issued if an individual declares in writing that the medium has been lost or stolen.
(b) The aircraft operator may request approval of a temporary identification media system that meets the standards in § 1542.211(b) of this chapter, or may arrange with the airport to use temporary airport identification media in accordance with that section.
(c) Each aircraft operator must submit a plan to carry out this section to TSA no later than May 13, 2002. Each aircraft operator must fully implement its plan no later than November 14, 2003.
(a) No aircraft operator may use any individual as a Ground Security Coordinator unless, within the preceding 12-calendar months, that individual has satisfactorily completed the security training as specified in the aircraft operator's security program.
(b) No aircraft operator may use any individual as an in-flight security coordinator or crewmember on any domestic or international flight unless, within the preceding 12-calendar months or within the time period specified in an Advanced Qualifications Program approved under SFAR 58 in 14 CFR part 121, that individual has satisfactorily completed the security training required by 14 CFR 121.417(b)(3)(v) or 135.331(b)(3)(v), and as specified in the aircraft operator's security program.
(c) With respect to training conducted under this section, whenever an individual completes recurrent training within one calendar month earlier, or one calendar month after the date it was required, that individual is considered to have completed the training in the calendar month in which it was required.
(a) No aircraft operator may use any direct or contractor employee to perform any security-related duties to meet the requirements of its security program unless that individual has received training as specified in its security program including their individual responsibilities in § 1540.105 of this chapter.
(b) Each aircraft operator must ensure that individuals performing security-related duties for the aircraft operator have knowledge of the provisions of this part, applicable Security Directives and Information Circulars, the approved airport security program applicable to their location, and the aircraft operator's security program to the extent that such individuals need to know in order to perform their duties.
(a) For each aircraft that has a door to the flight deck, each aircraft operator must restrict access to the flight deck as provided in its security program.
(b) This section does not restrict access for an FAA air carrier inspector, an authorized representative of the National Transportation Safety Board, or for an Agent of the United States Secret Service, under 14 CFR parts 121, 125, or 135. This section does not restrict access for a Federal Air Marshal under this part.
This section applies to each aircraft operator operating under a full program under § 1544.101(a) of this part and to each aircraft operator with a TSA security program approved for transfer of cargo to an aircraft operator with a full program or a foreign air carrier under paragraphs § 1546.101(a) or (b) of this chapter.
(a) For cargo to be loaded on its aircraft in the United States, each aircraft operator must have and carry out a known shipper program in accordance with its security program. The program must—
(1) Determine the shipper's validity and integrity as provided in the security program;
(2) Provide that the aircraft operator will separate known shipper cargo from unknown shipper cargo; and
(3) Provide for the aircraft operator to ensure that cargo is screened or inspected as set forth in its security program.
(b) When required by TSA, each aircraft operator must submit in a form and manner acceptable to TSA—
(1) Information identified in its security program regarding a known shipper, or an applicant for that status; and
(2) Corrections and updates of this information upon learning of a change to the information specified in paragraph (b)(1) of this section.
Each aircraft operator must adopt a contingency plan and must:
(a) Implement its contingency plan when directed by TSA.
(b) Ensure that all information contained in the plan is updated annually and that appropriate persons are notified of any changes.
(c) Participate in an airport-sponsored exercise of the airport contingency plan or its equivalent, as provided in its security program.
(a)
(1) Immediately notify the ground and in-flight security coordinators of the threat, any evaluation thereof, and any measures to be applied; and
(2) Ensure that the in-flight security coordinator notifies all crewmembers of the threat, any evaluation thereof, and any measures to be applied; and
(3) Immediately notify the appropriate airport operator.
(b)
(1) Conduct a security inspection on the ground before the next flight or, if the aircraft is in flight, immediately after its next landing.
(2) If the aircraft is on the ground, immediately deplane all passengers and submit that aircraft to a security search.
(3) If the aircraft is in flight, immediately advise the pilot in command of all pertinent information available so that necessary emergency action can be taken.
(c)
(1) Immediately notify the appropriate airport operator.
(2) Inform all other aircraft operators and foreign air carriers at the threatened facility.
(3) Conduct a security inspection.
(d)
(a) TSA may issue an Information Circular to notify aircraft operators of security concerns. When TSA determines that additional security measures are necessary to respond to a threat assessment or to a specific threat against civil aviation, TSA issues a Security Directive setting forth mandatory measures.
(b) Each aircraft operator required to have an approved aircraft operator security program must comply with each Security Directive issued to the aircraft operator by TSA, within the time prescribed in the Security Directive for compliance.
(c) Each aircraft operator that receives a Security Directive must—
(1) Within the time prescribed in the Security Directive, verbally acknowledge receipt of the Security Directive to TSA.
(2) Within the time prescribed in the Security Directive, specify the method by which the measures in the Security Directive have been implemented (or will be implemented, if the Security Directive is not yet effective).
(d) In the event that the aircraft operator is unable to implement the measures in the Security Directive, the aircraft operator must submit proposed alternative measures and the basis for submitting the alternative measures to TSA for approval. The aircraft operator must submit the proposed alternative measures within the time prescribed in the Security Directive. The aircraft operator must implement any alternative measures approved by TSA.
(e) Each aircraft operator that receives a Security Directive may comment on the Security Directive by submitting data, views, or arguments in writing to TSA. TSA may amend the Security Directive based on comments received. Submission of a comment does not delay the effective date of the Security Directive.
(f) Each aircraft operator that receives a Security Directive or Information Circular and each person who receives information from a Security Directive or Information Circular must:
(1) Restrict the availability of the Security Directive or Information Circular, and information contained in either document, to those persons with an operational need-to-know.
(2) Refuse to release the Security Directive or Information Circular, and information contained in either document, to persons other than those with an operational need-to-know without the prior written consent of TSA.
This subpart applies when the aircraft operator is conducting inspections as provided in § 1544.207.
(a) No individual subject to this subpart may perform a screening function unless that individual has the qualifications described in §§ 1544.405 through 1544.411. No aircraft operator may use such an individual to perform a screening function unless that person complies with the requirements of §§ 1544.405 through 1544.411.
(b) A screener must have a satisfactory or better score on a screener selection test administered by TSA.
(c) A screener must be a citizen of the United States.
(d) A screener must have a high school diploma, a General Equivalency Diploma, or a combination of education and experience that the TSA has determined to be sufficient for the individual to perform the duties of the position.
(e) A screener must have basic aptitudes and physical abilities including color perception, visual and aural acuity, physical coordination, and motor skills to the following standards:
(1) Screeners operating screening equipment must be able to distinguish on the screening equipment monitor the appropriate imaging standard specified in the aircraft operator's security program.
(2) Screeners operating any screening equipment must be able to distinguish each color displayed on every type of
(3) Screeners must be able to hear and respond to the spoken voice and to audible alarms generated by screening equipment at an active screening location.
(4) Screeners who perform physical searches or other related operations must be able to efficiently and thoroughly manipulate and handle such baggage, containers, cargo, and other objects subject to screening.
(5) Screeners who perform pat-downs or hand-held metal detector searches of individuals must have sufficient dexterity and capability to thoroughly conduct those procedures over an individual's entire body.
(f) A screener must have the ability to read, speak, and write English well enough to—
(1) Carry out written and oral instructions regarding the proper performance of screening duties;
(2) Read English language identification media, credentials, airline tickets, documents, air waybills, invoices, and labels on items normally encountered in the screening process;
(3) Provide direction to and understand and answer questions from English-speaking individuals undergoing screening; and
(4) Write incident reports and statements and log entries into security records in the English language.
(g) At locations outside the United States where the aircraft operator has operational control over a screening function, the aircraft operator may use screeners who do not meet the requirements of paragraph (f) of this section, provided that at least one representative of the aircraft operator who has the ability to functionally read and speak English is present while the aircraft operator's passengers are undergoing security screening. At such locations the aircraft operator may use screeners who are not United States citizens.
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(a)
(i) Copy or intentionally remove a test under this part;
(ii) Give to another or receive from another any part or copy of that test;
(iii) Give help on that test to or receive help on that test from any person during the period that the test is being given; or
(iv) Use any material or aid during the period that the test is being given.
(2) No person may take any part of that test on behalf of another person.
(3) No person may cause, assist, or participate intentionally in any act prohibited by this paragraph (a).
(b)
(2) Either TSA or the aircraft operator must administer and monitor the screener readiness test. Where more than one aircraft operator or foreign air carrier uses a screening location, TSA may authorize an employee of one or more of the aircraft operators or foreign air carriers to monitor the test for a trainee who will screen at that location.
(3) If TSA or a representative of TSA is not available to administer and monitor a screener readiness test, the aircraft operator must provide a direct employee to administer and monitor the screener readiness test.
(4) An aircraft operator employee who administers and monitors a screener readiness test must not be an instructor, screener, screener-in-charge, checkpoint security supervisor, or other screening supervisor. The employee must be familiar with the procedures for administering and monitoring the test and must be capable of observing whether the trainee or others are engaging in cheating or other unauthorized conduct.
(a)
(b)
(1) Is closely supervised; and
(2) Does not make independent judgments as to whether individuals or property may enter a sterile area or aircraft without further inspection.
(c)
(d)
(1) Continues to meet all qualifications and standards required to perform a screening function;
(2) Has a satisfactory record of performance and attention to duty based on the standards and requirements in the aircraft operator's security program; and
(3) Demonstrates the current knowledge and skills necessary to courteously, vigilantly, and effectively perform screening functions.
49 U.S.C. 114, 5103, 40113, 44901-44905, 44907, 44914, 44916-44917, 44935-44936, 44942, 46105.
This part prescribes aviation security rules governing the following:
(a) The operation within the United States of each foreign air carrier holding a permit issued by the Department of Transportation under 49 U.S.C. 41302 or other appropriate authority issued by the former Civil Aeronautics Board or the Department of Transportation.
(b) Each law enforcement officer flying armed aboard an aircraft operated by a foreign air carrier described in paragraph (a) of this section.
(a) Each foreign air carrier must allow TSA, at any time or place, to make any inspections or tests, including copying records, to determine compliance of an airport operator, aircraft operator, foreign air carrier, indirect air carrier, or other airport tenants with—
(1) This subchapter and any security program under this subchapter, and part 1520 of this chapter; and
(2) 49 U.S.C. Subtitle VII, as amended.
(b) At the request of TSA, each foreign air carrier must provide evidence of compliance with this subchapter and its security program, including copies of records.
(c) TSA may enter and be present within secured areas, AOAs, SIDAs, and other areas where security measures required by TSA are carried out, without access media or identification media issued or approved by an airport operator or aircraft operator, in order to inspect or test compliance, or perform other such duties as TSA may direct.
Each foreign air carrier landing or taking off in the United States must adopt and carry out, for each scheduled and public charter passenger operation or all-cargo operation, a security program that meets the requirements of—
(a) Section 1546.103(b) and subparts C, D, and E of this part for each operation with an aircraft having a passenger seating configuration of 61 or more seats;
(b) Section 1546.103(b) for each operation that will provide deplaned passengers access to a sterile area, or enplane passengers from a sterile area, when that access is not controlled by an aircraft operator using a security program under part 1544 of this chapter or a foreign air carrier using a security program under this part;
(c) Section 1546.103(b) for each operation with an airplane having a passenger seating configuration of 31 or more seats but 60 or fewer seats for which TSA has notified the foreign air carrier in writing that a threat exists; and
(d) Section 1546.103(c) for each operation with an airplane having a passenger seating configuration of 31 or more seats but 60 or fewer seats, when TSA has not notified the foreign air carrier in writing that a threat exists with respect to that operation.
(e) Sections 1546.103(b)(2) and (b)(4), 1546.202, 1546.205(a), (b), (c), (d), (e), and (f), 1546.207, 1546.211, 1546.213, and 1546.301 for each all-cargo operation with an aircraft having a maximum certificated take-off weight more than 45,500 kg (100,309.3 lbs.); and
(f) Sections 1546.103(b)(2) and (b)(4), 1546.202, 1546.205(a), (b), (d), and (f), 1546.211, and 1546.301 for each all-cargo operation with an aircraft having a maximum certificated take-off weight more than 12,500 pounds but not more than 45,500 kg (100,309.3 lbs.).
(a)
(1)
(2) In English unless TSA requests that the program be submitted in the official language of the foreign air carrier's country.
(b)
(1) Prevent or deter the carriage aboard airplanes of any unauthorized explosive, incendiary, or weapon on or about each individual's person or accessible property, except as provided in § 1546.201(d), through screening by weapon-detecting procedures or facilities;
(2) Prohibit unauthorized access to airplanes;
(3) Ensure that checked baggage is accepted by a responsible agent of the foreign air carrier; and
(4) Prevent cargo and checked baggage from being loaded aboard its airplanes unless handled in accordance with the foreign air carrier's security procedures.
(c)
(d)
(1) Restrict the distribution, disclosure, and availability of sensitive security information, as defined in part 1520 of this chapter, to persons with a need to know; and
(2) Refer requests for sensitive security information by other persons to TSA.
(a)
(b)
(1) The proposed amendment must be filed with the designated official at least 45 calendar days before the date it proposes for the amendment to become effective, unless a shorter period is allowed by the designated official.
(2) Within 30 calendar days after receiving a proposed amendment, the designated official, in writing, either approves or denies the request to amend.
(3) An amendment to a foreign air carrier security program may be approved if the designated official determines that safety and the public interest will allow it, and the proposed amendment provides the level of security required under this part.
(4) Within 45 calendar days after receiving a denial, the foreign air carrier may petition the Administrator to reconsider the denial. A petition for reconsideration must be filed with the designated official.
(5) Upon receipt of a petition for reconsideration, the designated official either approves the request to amend or transmits the petition, together with any pertinent information, to the Administrator for reconsideration. The Administrator disposes of the petition within 30 calendar days of receipt by either directing the designated official to approve the amendment, or affirming the denial.
(6) Any foreign air carrier may submit a group proposal for an amendment that is on behalf of it and other aircraft operators that co-sign the proposal.
(c)
(1) The designated official notifies the foreign air carrier, in writing, of the proposed amendment, fixing a period of not less than 45 calendar days within which the foreign air carrier may submit written information, views, and arguments on the amendment.
(2) After considering all relevant material, the designated official notifies the foreign air carrier of any amendment adopted or rescinds the notice. If the amendment is adopted, it becomes effective not less than 30 calendar days after the foreign air carrier receives the notice of amendment, unless the foreign air carrier petitions the Administrator to reconsider no later than 15 calendar days before the effective date of the amendment. The foreign air carrier must send the petition for reconsideration to the designated official. A timely petition for reconsideration stays the effective date of the amendment.
(3) Upon receipt of a petition for reconsideration, the designated official either amends or withdraws the notice or transmits the petition, together with any pertinent information, to the Administrator for reconsideration. The Administrator disposes of the petition within 30 calendar days of receipt by either directing the designated official to withdraw or amend the amendment, or by affirming the amendment.
(d)
(a)
(b)
(c)
(1) Any individual who does not consent to a search or inspection of his or her person in accordance with the system prescribed in this part; and
(2) Any property of any individual or other person who does not consent to a search or inspection of that property in accordance with the system prescribed by this part.
(d)
(1) Officials or employees of the state of registry of the aircraft who are authorized by that state to carry arms; and
(2) Crewmembers and other individuals authorized by the foreign air carrier to carry arms.
Each foreign air carrier operating under § 1546.101(e) or (f) must apply the security measures in its security program for persons who board the aircraft for transportation, and for their property, to prevent or deter the carriage of any unauthorized persons, and any unauthorized weapons, explosives, incendiaries, and other destructive devices, items, or substances.
(a)
(b)
(c)
(1) The person has notified the foreign air carrier before checking the baggage that the firearm is in the baggage; and
(2) The baggage is carried in an area inaccessible to passengers.
(a)
(b)
(c)
(1) Prevents the carriage of any unauthorized person, and any unauthorized explosive, incendiary, and other destructive substance or item onboard the aircraft.
(2) Prevents access by unauthorized persons other than an authorized foreign air carrier employee or agent, or persons authorized by the airport operator or host government.
(d)
(e)
(f)
(g)
(1)
(ii) Not later than August 3, 2010, each foreign air carrier must ensure that 100 percent of its cargo is screened prior to transport on a passenger aircraft.
(2)
(3)
(4) The foreign air carrier must verify that the chain of custody measures for the screened cargo are intact prior to loading such cargo on aircraft, or must ensure that the cargo is re-screened in accordance with this chapter.
(a)
(b)
(c)
(a)
(1) The system meets the standards for cabinet X-ray systems primarily for the inspection of baggage issued by the Food and Drug Administration (FDA) and published in 21 CFR 1020.40;
(2) A program for initial and recurrent training of operators of the system is established, which includes training in radiation safety, the efficient use of X-ray systems, and the identification of weapons, explosives, and incendiaries; and
(3) The system meets the imaging requirements set forth in its security program using the step wedge specified in American Society for Testing Materials (ASTM) Standard F792-88 (Reapproved 1993). This standard is incorporated by reference in paragraph (g) of this section.
(b)
(c)
(d)
(e)
(2) At locations at which a foreign air carrier or TSA uses an X-ray system to inspect checked baggage the foreign air carrier must ensure that a sign is posted in a conspicuous place where the foreign air carrier accepts checked baggage.
(3) The signs required under this paragraph must notify individuals that such items are being inspected by an X-ray and advise them to remove all X-ray, scientific, and high-speed film from accessible property and checked baggage before inspection. This sign must also advise individuals that they may request that an inspection be made of their photographic equipment and film packages without exposure to an X-ray system. If the X-ray system exposes any accessible property or checked baggage to more than one milliroentgen during the inspection, the sign must advise individuals to remove film of all kinds from their articles before inspection.
(4) If requested by individuals, their photographic equipment and film packages must be inspected without exposure to an X-ray system.
(f)
(1) The foreign air carrier's principal business office; and
(2) The place where the X-ray system is in operation.
(g)
(h) Each foreign air carrier must comply with the X-ray operator duty time limitations specified in its security program.
(a) At airports within the United States not governed by part 1542 of this chapter, each foreign air carrier engaging in public charter passenger operations must—
(1) When using a screening system required by § 1546.101(a), (b), or (c), provide for law enforcement officers meeting the qualifications and standards, and in the number and manner, specified in part 1542; and
(2) When using an airplane having a passenger seating configuration of 31 or more but 60 or fewer seats for which a screening system is not required by § 1546.101(a), (b), or (c), arrange for law enforcement officers meeting the qualifications and standards specified in part 1542 of this chapter to be available to respond to an incident and provide to appropriate employees, including crewmembers, current information with respect to procedures for obtaining law enforcement assistance at that airport.
(b) At airports governed by part 1542 of this chapter, each foreign air carrier engaging in scheduled passenger operations or public charter passenger operations when using an airplane with a passenger seating configuration of 31 or more and 60 or fewer seats under § 1546.101(c), must arrange for law enforcement personnel meeting the qualifications and standards specified in part 1542 of this chapter to be available to respond to an incident and provide to appropriate employees, including crewmembers, current information with respect to procedures for obtaining law enforcement assistance at that airport.
This section applies in the United States to each foreign air carrier operating under § 1546.101(a), (b), or (e).
(a) Before a foreign air carrier authorizes and before an individual performs a function described in paragraph (b) of this section—
(1) Each individual must successfully complete a security threat assessment or comparable security threat assessment described in part 1540 subpart C of this chapter; and
(2) Each aircraft operator must complete the requirements in part 1540 subpart C.
(b) The security threat assessment required in paragraph (a) of this section applies to the following:
(1) Each individual who has unescorted access to cargo and access to information that such cargo will be transported on a passenger aircraft; or who has unescorted access to cargo that has been screened for transport on a passenger aircraft; or who performs certain functions related to the transportation, dispatch or security of cargo for transport on a passenger aircraft or all-cargo aircraft, as specified in the foreign air craft operator's or foreign
(i) The cargo reaches a location where a foreign air carrier operating under § 1546.101(e) consolidates or inspects it pursuant to security program requirements, until the cargo enters an airport Security Identification Display Area or is transferred to another TSA-regulated aircraft operator, foreign air carrier, or indirect air carrier; or
(ii) A foreign air carrier under §§ 1546.101(a) or (b) accepts the cargo, until the cargo—
(A) Enters an airport Security Identification Display Area;
(B) Is removed from the destination airport; or
(C) Is transferred to another TSA-regulated aircraft operator, foreign air carrier, or indirect air carrier.
(2) Each individual the foreign air carrier authorizes to screen cargo or to supervise the screening of cargo under § 1546.205.
This section applies to each foreign air carrier operating a program under § 1546.101(a) or (b).
(a) For cargo to be loaded on its aircraft in the United States, each foreign air carrier must have and carry out a known shipper program in accordance with its security program. The program must—
(1) Determine the shipper's validity and integrity as provided in the foreign air carrier's security program;
(2) Provide that the foreign air carrier will separate known shipper cargo from unknown shipper cargo; and
(3) Provide for the foreign air carrier to ensure that cargo is screened or inspected as set forth in its security program.
(b) When required by TSA, each foreign air carrier must submit in a form and manner acceptable to TSA—
(1) Information identified in its security program regarding an applicant to be a known shipper or a known shipper; and
(2) Corrections and updates to the information upon learning of a change to the information specified in paragraph (b)(1) of this section.
No foreign air carrier may land or take off an airplane in the United States after receiving a bomb or air piracy threat against that airplane, unless the following actions are taken:
(a) If the airplane is on the ground when a bomb threat is received and the next scheduled flight of the threatened airplane is to or from a place in the United States, the foreign air carrier ensures that the pilot in command is advised to submit the airplane immediately for a security inspection and an inspection of the airplane is conducted before the next flight.
(b) If the airplane is in flight to a place in the United States when a bomb threat is received, the foreign air carrier ensures that the pilot in command is advised immediately to take the emergency action necessary under the circumstances and a security inspection of the airplane is conducted immediately after the next landing.
(c) If information is received of a bomb or air piracy threat against an airplane engaged in an operation specified in paragraph (a) or (b) of this section, the foreign air carrier ensures that notification of the threat is given to the appropriate authorities of the State in whose territory the airplane is located or, if in flight, the appropriate authorities of the State in whose territory the airplane is to land.
This subpart applies when the aircraft operator is conducting inspections as provided in § 1546.207.
(a) No individual subject to this subpart may perform a screening function unless that individual has the qualifications described in §§ 1546.405 through 1546.411. No foreign air carrier may use such an individual to perform a screening function unless that person complies with the requirements of §§ 1546.405 through 1546.411.
(b) A screener must have a satisfactory or better score on a screener selection test administered by TSA.
(c) A screener must be a citizen of the United States.
(d) A screener must have a high school diploma, a General Equivalency Diploma, or a combination of education and experience that TSA has determined to be sufficient for the individual to perform the duties of the position.
(e) A screener must have basic aptitudes and physical abilities including color perception, visual and aural acuity, physical coordination, and motor skills to the following standards:
(1) Screeners operating screening equipment must be able to distinguish on the screening equipment monitor the appropriate imaging standard specified in the foreign air carrier's security program.
(2) Screeners operating any screening equipment must be able to distinguish each color displayed on every type of screening equipment and explain what each color signifies.
(3) Screeners must be able to hear and respond to the spoken voice and to audible alarms generated by screening equipment at an active screening location.
(4) Screeners who perform physical searches or other related operations must be able to efficiently and thoroughly manipulate and handle such baggage, containers, cargo, and other objects subject to screening.
(5) Screeners who perform pat-downs or hand-held metal detector searches of individuals must have sufficient dexterity and capability to thoroughly conduct those procedures over an individual's entire body.
(f) A screener must have the ability to read, speak, and write English well enough to—
(1) Carry out written and oral instructions regarding the proper performance of screening duties;
(2) Read English language identification media, credentials, airline tickets, documents, air waybills, invoices, and labels on items normally encountered in the screening process;
(3) Provide direction to and understand and answer questions from English-speaking individuals undergoing screening; and
(4) Write incident reports and statements and log entries into security records in the English language.
(g) At locations outside the United States that are the last point of departure to the United States, and where the foreign air carrier has operational control over a screening function, the foreign air carrier may use screeners who do not meet the requirements of paragraph (f) of this section. At such locations the foreign air carrier may use screeners who are not United States citizens.
(a)
(b)
(c)
(d)
(e)
(f)
(a)
(i) Copy or intentionally remove a test under this part;
(ii) Give to another or receive from another any part or copy of that test;
(iii) Give help on that test to or receive help on that test from any person during the period that the test is being given; or
(iv) Use any material or aid during the period that the test is being given.
(2) No person may take any part of that test on behalf of another person.
(3) No person may cause, assist, or participate intentionally in any act prohibited by this paragraph (a).
(b)
(2) Either TSA or the foreign air carrier must administer and monitor the screener readiness test. Where more than one foreign air carrier or foreign air carrier uses a screening location, TSA may authorize an employee of one or more of the foreign air carriers or foreign air carriers to monitor the test for a trainee who will screen at that location.
(3) If TSA or a representative of TSA is not available to administer and monitor a screener readiness test, the foreign air carrier must provide a direct employee to administer and monitor the screener readiness test.
(4) An foreign air carrier employee who administers and monitors a screener readiness test must not be an instructor, screener, screener-in-charge, checkpoint security supervisor, or other screening supervisor. The employee must be familiar with the procedures for administering and monitoring the test and must be capable of observing whether the trainee or others are engaging in cheating or other unauthorized conduct.
(a)
(b)
(1) Is closely supervised; and
(2) Does not make independent judgments as to whether individuals or property may enter a sterile area or aircraft without further inspection.
(c)
(d)
(1) Continues to meet all qualifications and standards required to perform a screening function;
(2) Has a satisfactory record of performance and attention to duty based on the standards and requirements in the foreign air carrier's security program; and
(3) Demonstrates the current knowledge and skills necessary to courteously, vigilantly, and effectively perform screening functions.
49 U.S.C. 114, 5103, 40113, 44901-44905, 44913-44914, 44916-44917, 44932, 44935-44936, 46105.
This part prescribes aviation security rules governing each indirect air carrier engaged indirectly in the air transportation of property on aircraft.
(a) Each indirect air carrier must allow TSA, at any time or place, to make any inspections or tests, including copying records, to determine compliance of an airport operator, aircraft operator, foreign air carrier, indirect air carrier, or airport tenant with—
(1) This subchapter, and any security program approved under this subchapter, and part 1520 of this chapter; and
(2) 49 U.S.C. Subtitle VII, as amended.
(b) At the request of TSA, each indirect air carrier must provide evidence of compliance with this subchapter and its indirect air carrier security program, including copies of records.
(c) TSA may enter and be present within areas where security measures required by TSA are carried out without access media or identification media issued or approved by the indirect air carrier, an airport operator, or aircraft operator, in order to inspect or test compliance, or perform other such duties as TSA may direct.
(a)
(b)
(i) From the time the indirect air carrier accepts the cargo to the time it transfers the cargo to an entity that is not an employee or agent of the indirect air carrier;
(ii) While the cargo is stored, en route, or otherwise being handled by an employee or agent of the indirect air carrier; and
(iii) Regardless of whether the indirect air carrier has or ever had physical possession of the cargo.
(2) The indirect air carrier must ensure that its employees and agents carry out the requirements of this chapter and the indirect air carrier's security program.
(c)
(1) Be designed to prevent or deter the introduction of any unauthorized person, and any unauthorized explosive, incendiary, and other destructive substance or item onto an aircraft.
(2) Include the procedures and description of the facilities and equipment used to comply with the requirements of §§ 1548.9 and 1548.17 regarding the acceptance and offering of cargo.
(3) Include the procedures and syllabi used to accomplish the training required under § 1548.11 of persons who accept, handle, transport, or deliver cargo on behalf of the indirect air carrier.
(d)
(1) Maintain an original of the security program at its corporate office.
(2) Have accessible a complete copy, or the pertinent portions of its security program, or appropriate implementing instructions, at each office where cargo is accepted. An electronic version is adequate.
(3) Make a copy of the security program available for inspection upon the request of TSA.
(4) Restrict the distribution, disclosure, and availability of information contained in its security program to persons with a need to know, as described in part 1520 of this chapter.
(5) Refer requests for such information by other persons to TSA.
(a)
(i) The business name; other names, including doing business as; state of incorporation, if applicable; and tax identification number.
(ii) The applicant names, addresses, and dates of birth of each proprietor, general partner, officer, director, and owner identified under § 1548.16.
(iii) A signed statement from each person listed in paragraph (a)(1)(ii) of this section stating whether he or she has been a proprietor, general partner, officer, director, or owner of an IAC that had its security program withdrawn by TSA.
(iv) Copies of government-issued identification of persons listed in paragraph (a)(1)(ii) of this section.
(v) Addresses of all business locations in the United States.
(vi) A statement declaring whether the business is a “'small business”' pursuant to section 3 of the Small Business Act (15 U.S.C. 632).
(vii) A statement acknowledging and ensuring that each employee and agent of the indirect air carrier, who is subject to training under § 1548.11, will have successfully completed the training outlined in its security program before performing security-related duties.
(viii) Other information requested by TSA concerning Security Threat Assessments.
(ix) A statement acknowledging and ensuring that each employee and agent will successfully complete a Security Threat Assessment under § 1548.15 before authorizing the individual to have unescorted access to cargo.
(2)
(i) The indirect air carrier has met the requirements of this part, its security program, and any applicable Security Directive;
(ii) The approval of its security program is not contrary to the interests of security and the public interest; and
(iii) The indirect air carrier has not held a security program that was withdrawn within the previous year, unless otherwise authorized by TSA.
(3)
(4)
(5)
(i) This notification must be submitted to the designated official not later than 30 days after the date the change occurred.
(ii) Changes included in the requirement of this paragraph include, but are not limited to, changes in the indirect air carrier's contact information, owners, business addresses and locations, and form of business entity.
(b)
(1) Unless otherwise authorized by TSA, each indirect air carrier that has a security program under this part must timely submit to TSA, at least 30 calendar days prior to the first day of the anniversary month of initial approval of its security program, an application for renewal of its security program in a form and a manner approved by TSA.
(2) The application for renewal must be in writing and include a signed statement that the indirect air carrier has reviewed and ensures the continuing accuracy of the contents of its initial application for a security program, subsequent renewal applications, or other submissions to TSA confirming a change of information and noting the date such applications and submissions were sent to TSA, including the following certification:
[Name of indirect air carrier] (hereinafter “the IAC”) has adopted and is currently carrying out a security program in accordance with the Transportation Security Regulations as originally approved on [Insert date of TSA initial approval]. In accordance with TSA regulations, the IAC has notified TSA of any new or changed information required for the IAC's initial security program. If new or changed information is being submitted to TSA as part of this application for reapproval, that information is stated in this filing.
The IAC understands that intentional falsification of certification to an air carrier or to TSA may be subject to both civil and criminal penalties under 49 CFR 1540 and 1548 and 18 U.S.C. 1001. Failure to notify TSA of any new or changed information required for initial approval of the IAC's security program in a timely fashion and in a form acceptable to TSA may result in withdrawal by TSA of approval of the IAC's security program.
(3) TSA will renew approval of the security program if TSA determines that—
(i) The indirect air carrier has met the requirements of this chapter, its security program, and any Security Directive; and
(ii) The renewal of its security program is not contrary to the interests of security and the public interest.
(4) If TSA determines that the indirect air carrier meets the requirements of paragraph (b)(3) of this section, it will renew the indirect air carrier's security program. The security program will remain effective until the end of the calendar month one year after the month it was renewed.
(c)
(1) Within 30 calendar days after receiving a proposed amendment, the designated official, in writing, either approves or denies the request to amend.
(2) An amendment to an indirect air carrier security program may be approved, if the designated official determines that safety and the public interest will allow it, and if the proposed amendment provides the level of security required under this part.
(3) Within 30 calendar days after receiving a denial of the proposed amendment, the indirect air carrier may petition TSA to reconsider the denial. A petition for reconsideration must be filed with the designated official.
(4) Upon receipt of a petition for reconsideration, the designated official either approves the request to amend or transmits the petition, together with any pertinent information, to the TSA for reconsideration. TSA will dispose of the petition within 30 calendar days of receipt by either directing the designated official to approve the amendment or by affirming the denial.
(d)
(1) TSA notifies the indirect air carrier, in writing, of the proposed amendment, fixing a period of not less than 30 calendar days within which the indirect air carrier may submit written information, views, and arguments on the amendment.
(2) After considering all relevant material, the designated official notifies the indirect air carrier of any amendment adopted or rescinds the notice of amendment. If the amendment is adopted, it becomes effective not less than 30 calendar days after the indirect air carrier receives the notice of amendment, unless the indirect air carrier disagrees with the proposed amendment and petitions the TSA to reconsider, no later than 15 calendar days before the effective date of the amendment. The indirect air carrier must send the petition for reconsideration to the designated official. A timely petition for reconsideration stays the effective date of the amendment.
(3) Upon receipt of a petition for reconsideration, the designated official either amends or withdraws the notice of amendment, or transmits the petition, together with any pertinent information, to TSA for reconsideration. TSA disposes of the petition within 30 calendar days of receipt, either by directing the designated official to withdraw or amend the notice of amendment, or by affirming the notice of amendment.
(e)
(2) The emergency amendment is effective without stay on the date the indirect air carrier receives notification. TSA will incorporate in the notification a brief statement of the reasons and findings for the emergency amendment to be adopted.
(3) The indirect air carrier may file a petition for reconsideration with the TSA no later than 15 calendar days after TSA issued the emergency amendment. The indirect air carrier must send the petition for reconsideration to the designated official; however, the filing does not stay the effective date of the emergency amendment.
(f)
(g)
(1)
(2)
(i) The date of personal delivery;
(ii) If served by certified mail, the mailing date shown on the certificate of service, the date shown on the postmark, if there is no certificate of service, or other mailing date shown by other evidence if there is no certificate of service or postmark; or
(iii) If served by express courier, the service date shown on the certificate of service, or by other evidence if there is no certificate of service.
(h)
(a)
(b)
(a) No indirect air carrier may use an employee or agent to perform any security-related duties to meet the requirements of its security program, unless that individual has received training, as specified in its security program, including his or her personal responsibilities in § 1540.105 of this chapter.
(b) Each indirect air carrier must ensure that each of its authorized employees or agents who accept, handle, transport, or deliver cargo have knowledge of the—
(1) Applicable provisions of this part;
(2) Applicable Security Directives and Information Circulars;
(3) The approved airport security program(s) applicable to their location(s); and
(4) The aircraft operator's or indirect air carrier's security program, to the extent necessary in order to perform their duties.
(c) Each indirect air carrier must ensure that each of its authorized employees or agents under paragraph (b) of this section successfully completes recurrent training at least annually on their individual responsibilities in—
(1) Section 1540.105 of this chapter;
(2) The applicable provisions of this part;
(3) Applicable Security Directives and Information Circulars;
(4) The approved airport security program(s) applicable to their location(s); and
(5) The aircraft operator's or indirect air carrier's security program, to the extent that such individuals need to know in order to perform their duties.
(d) Operators must comply with the requirements of this section not later than November 22, 2006, for direct employees and not later than June 15, 2007, for agents.
Each indirect air carrier must designate and use an Indirect Air Carrier
(a) Before an indirect air carrier authorizes and before an individual performs a function described in paragraph (b) of this section—
(1) Each individual must successfully complete a security threat assessment or comparable security threat assessment described in part 1540 subpart C of this chapter; and
(2) Each indirect air carrier must complete the requirements in part 1540 subpart C.
(b) The security threat assessment required in paragraph (a) of this section applies to the following:
(1) Each individual who has unescorted access to cargo and access to information that such cargo will be transported on a passenger aircraft; or who has unescorted access to cargo screened for transport on a passenger aircraft; or who performs certain functions related to the transportation, dispatch or security of cargo for transport on a passenger aircraft or all-cargo aircraft, as specified in the indirect air carrier's security program; from the time—
(i) Cargo to be transported on an all-cargo aircraft operated by an aircraft operator with a full all-cargo program under § 1544.101(h) of this chapter, or by a foreign air carrier under § 1546.101(e) of this chapter, reaches an indirect air carrier facility where the indirect air carrier consolidates or holds the cargo, until the indirect air carrier transfers the cargo to an aircraft operator or foreign air carrier; or
(ii) Cargo to be transported on a passenger aircraft operated by an aircraft operator with a full program under § 1544.101(a) or by a foreign air carrier under § 1546.101(a) or (b) of this chapter, is accepted by the indirect air carrier, until the indirect air carrier transfers the cargo to an aircraft operator or foreign air carrier.
(2) Each individual the indirect air carrier authorizes to screen cargo or to supervise the screening of cargo under § 1548.21.
(a) Before an indirect air carrier permits a proprietor, general partner, officer, director, or owner of the entity to perform those functions—
(1) The proprietor, general partner, officer, director, or owner of the entity must successfully complete a security threat assessment or comparable security threat assessment described in part 1540 subpart C of this chapter; and
(2) Each indirect air carrier must complete the requirements in 49 CFR part 1540, subpart C.
(b) For purposes of this section,
(1) A person who directly or indirectly owns, controls, or has power to vote 25 percent or more of any class of voting securities or other voting interests of an IAC or applicant to be an IAC; or
(2) A person who directly or indirectly controls in any manner the election of a majority of the directors (or individuals exercising similar functions) of an IAC, or applicant to be an IAC.
(c) For purposes of this definition of
(1) Members of the same family must be considered to be one person.
(i)
(ii) Each member of the same family, who has an ownership interest in an IAC, or an applicant to be an IAC, must be identified if the family is an owner as a result of aggregating the ownership interests of the members of the family.
(iii) In determining the ownership of interests of the same family, any voting interest of any family member must be taken into account.
(2)
(d) Each indirect air carrier, or applicant to be an indirect air carrier, must ensure that each proprietor, general partner, officer, director and owner of the entity has successfully completed a Security Threat Assessment under part 1540, subpart C, of this chapter not later than a date to be specified by TSA in a future rule in the
This section applies to cargo that an indirect air carrier offers to an aircraft operator operating under a full program under § 1544.101(a) of this chapter, or to a foreign air carrier operating under § 1546.101(a) or (b) of this chapter.
(a) For cargo to be loaded on aircraft in the United States, each indirect air carrier must have and carry out a known shipper program in accordance with its security program. The program must—
(1) Determine the shipper's validity and integrity as provided in its security program;
(2) Provide that the indirect air carrier will separate known shipper cargo from unknown shipper cargo.
(b) When required by TSA, each indirect air carrier must submit to TSA, in a form and manner acceptable to TSA—
(1) Information identified in its security program regarding an applicant to be a known shipper or a known shipper; and
(2) Corrections and updates of this information upon learning of a change to the information specified in paragraph (b)(1) of this section.
(a) TSA may issue an Information Circular to notify indirect air carriers of security concerns.
(b) When TSA determines that additional security measures are necessary to respond to a threat assessment, or to a specific threat against civil aviation, TSA issues a Security Directive setting forth mandatory measures.
(1) Each indirect air carrier that is required to have an approved indirect air carrier security program must comply with each Security Directive that TSA issues to it, within the time prescribed in the Security Directive for compliance.
(2) Each indirect air carrier that receives a Security Directive must comply with the following:
(i) Within the time prescribed in the Security Directive, acknowledge in writing receipt of the Security Directive to TSA.
(ii) Within the time prescribed in the Security Directive, specify the method by which the measures in the Security Directive have been implemented (or will be implemented, if the Security Directive is not yet effective).
(3) In the event that the indirect air carrier is unable to implement the measures in the Security Directive, the indirect air carrier must submit proposed alternative measures and the basis for submitting the alternative measures to TSA for approval.
(i) The indirect air carrier must submit the proposed alternative measures within the time prescribed in the Security Directive.
(ii) The indirect air carrier must implement any alternative measures approved by TSA.
(4) Each indirect air carrier that receives a Security Directive may comment on it by submitting data, views, or arguments in writing to TSA.
(i) TSA may amend the Security Directive based on comments received.
(ii) Submission of a comment does not delay the effective date of the Security Directive.
(5) Each indirect air carrier that receives a Security Directive or Information Circular, and each person who receives information from a Security Directive or Information Circular, must:
(i) Restrict the availability of the Security Directive or Information Circular, and information contained in either document, to those persons with a need-to-know.
(ii) Refuse to release the Security Directive or Information Circular, and information contained in either document, to persons other than those with a need-to-know without the prior written consent of TSA.
An IAC may only screen cargo for transport on a passenger aircraft under §§ 1544.205 and 1546.205 if the IAC is a certified cargo screening facility as provided in part 1549.
49 U.S.C. 114, 5103, 40113, 44901-44905, 44913-44914, 44916-44917, 44932, 44935-44936, 46105.
This part applies to each facility applying for or certified by TSA as a certified cargo screening facility to screen cargo that will be transported on a passenger aircraft operated under a full program under 49 CFR 1544.101(a), or a foreign air carrier operating under a program under 49 CFR 1546.101(a) or (b).
(a) Each certified cargo screening facility must allow TSA, at any time or place, in a reasonable manner, without advance notice, to enter the facility and make any inspections or tests, including copying records, to—
(1) Determine compliance of a certified cargo screening facility, airport operator, foreign air carrier, indirect air carrier, or airport tenant with this chapter and 49 U.S.C. 114 and Subtitle VII, as amended; or
(2) Carry out TSA's statutory or regulatory authorities, including its authority to—
(i) Assess threats to transportation;
(ii) Enforce security-related regulations, directives, and requirements:
(iii) Inspect, maintain, and test the security of facilities, equipment, and systems;
(iv) Ensure the adequacy of security measures for the transportation of passengers and cargo;
(v) Oversee the implementation, and ensure the adequacy, of security measures at airports and other transportation facilities;
(vi) Review security plans; and
(vii) Carry out such other duties, and exercise such other powers, relating to transportation security as the Assistant Secretary of Homeland Security for the TSA considers appropriate, to the extent authorized by law.
(b) At the request of TSA, each certified cargo screening facility must provide evidence of compliance with this chapter, including copying records.
(c) TSA and DHS officials working with TSA may conduct inspections under this section without access media or identification media issued or approved by a certified cargo screening facility or other person, except that the TSA and DHS officials will have identification media issued by TSA or DHS.
(a)
(b)
(1) Provide for the security of the aircraft, as well as that of persons and property traveling in air transportation against acts of criminal violence and air piracy and against the introduction into the aircraft of any unauthorized explosive, incendiary, and other destructive substance or item as provided in the certified cargo screening facility's security program;
(2) Be designed to prevent or deter the introduction of any unauthorized explosive, incendiary, and other destructive substance or item onto an aircraft; and
(3) Include the procedures and description of the facilities and equipment used to comply with the requirements of this part.
(c)
(d)
(e)
(1) Maintain an original of the security program at its corporate office.
(2) Have accessible a complete copy, or the pertinent portions of its security program, or appropriate implementing instructions, at its facility. An electronic version is adequate.
(3) Make a copy of the security program available for inspection upon the request of TSA.
(4) Restrict the distribution, disclosure, and availability of information contained in its security program to persons with a need to know, as described in part 1520 of this chapter.
(5) Refer requests for such information by other persons to TSA.
(a)
(i) The business name; other names, including doing business as; state of incorporation, if applicable; and tax identification number.
(ii) The name of the senior manager or representative of the applicant in control of the operations at the facility.
(iii) A signed statement from each person listed in paragraph (a)(1)(ii) of this section stating whether he or she has been a senior manager or representative of a facility that had its security program withdrawn by TSA.
(iv) Copies of government-issued identification of persons listed in paragraph (a)(1)(ii) of this section.
(v) The street address of the facility where screening will be conducted.
(vi) A statement acknowledging and ensuring that each individual and agent of the applicant, who is subject to training under § 1549.11, will have successfully completed the training outlined in its security program before performing security-related duties.
(vii) Other information requested by TSA concerning Security Threat Assessments.
(viii) A statement acknowledging and ensuring that each individual will successfully complete a Security Threat Assessment under § 1549.111 before the
(2)
(ii) An applicant must successfully undergo an assessment by TSA.
(3)
(i) The applicant has met the requirements of this part, its security program, and any applicable Security Directive;
(ii) The applicant has successfully undergone an assessment by TSA;
(iii) The applicant is able and willing to carry out the requirements of this part, its security program, and an applicable Security Directive;
(iv) The approval of such applicant's security program is not contrary to the interests of security and the public interest;
(v) The applicant has not held a security program that was withdrawn within the previous year, unless otherwise authorized by TSA; and
(vi) TSA determines that the applicant is qualified to be a certified cargo screening facility.
(4)
(5)
(6)
(7)
(i) The CCSF must submit this notification to TSA not later than 30 days prior to the date the change is expected to occur.
(ii) Changes included in the requirement of this paragraph include, but are not limited to, changes in the certified cargo screening facility's contact information, senior manager or representative, business addresses and locations, and form of business facility.
(iii) If the certified cargo screening facility relocates, TSA will withdraw the existing certification and require the new facility to undergo a validation and certification process.
(b)
(1) Unless otherwise authorized by TSA, each certified cargo screening facility must timely submit to TSA, at least 30 calendar days prior to the first day of the 36th anniversary month of initial approval of its security program, an application for renewal of its security program in a form and a manner approved by TSA.
(2) The certified cargo screening facility must demonstrate that it has successfully undergone a revalidation of its operations by TSA prior to the first day of the 36th anniversary month of initial approval of its security program.
(3) The application for renewal must be in writing and include a signed statement that the certified cargo screening facility has reviewed and ensures the continuing accuracy of the contents of its initial application for a security program, subsequent renewal applications, or other submissions to TSA confirming a change of information and noting the date such applications and submissions were sent to TSA, including the following certification:
[Name of certified cargo screening facility] (hereinafter “the CCSF”) has adopted and is currently carrying out a security program in accordance with the Transportation Security Regulations as originally approved on [Insert date of TSA initial approval]. In accordance with TSA regulations, the CCSF has notified TSA of any new or changed information required for the CCSF's initial security program. If new or changed information is being submitted to TSA as part of this application for reapproval, that information is stated in this filing.
The CCSF understands that intentional falsification of certification to an aircraft operator, foreign air carrier, indirect air carrier, or to TSA may be subject to both civil and criminal penalties under 49 CFR part 1540 and 18 U.S.C. 1001. Failure to notify TSA of any new or changed information required for initial approval of the CCSF's security program in a timely fashion and in a form acceptable to TSA may result in withdrawal by TSA of approval of the CCSF's security program.
(4) TSA will renew approval of the security program if TSA determines that—
(i) The CCSF has met the requirements of this chapter, its security program, and any Security Directive; and
(ii) The renewal of its security program is not contrary to the interests of security and the public interest.
(5) If TSA determines that the certified cargo screening facility meets the requirements of paragraph (b)(3) of this section, it will renew the certified cargo screening facility's security program and certification. The security program and certification will remain effective until the end of the calendar month three years after the month it was renewed.
(c)
(1) Within 30 calendar days after receiving a proposed amendment, the designated official, in writing, either approves or denies the request to amend.
(2) TSA may approve an amendment to a certified cargo screening facility's security program, if the TSA designated official determines that safety and the public interest will allow it, and if the proposed amendment provides the level of security required under this part.
(3) Within 30 calendar days after receiving a denial of the proposed amendment, the certified cargo screening facility may petition TSA to reconsider the denial. The CCSF must file the Petition for Reconsideration with the designated official.
(4) Upon receipt of a Petition for Reconsideration, the designated official either approves the request to amend or transmits the petition, together with any pertinent information, to TSA for reconsideration. TSA will dispose of the petition within 30 calendar days of receipt by either directing the designated official to approve the amendment or by affirming the denial.
(d)
(1) TSA notifies the certified cargo screening facility, in writing, of the proposed amendment, fixing a period of not less than 30 calendar days within which the certified cargo screening facility may submit written information, views, and arguments on the amendment.
(2) After considering all relevant material, the designated official notifies the certified cargo screening facility of any amendment adopted or rescinds the notice of amendment. If the
(3) Upon receipt of a Petition for Reconsideration, the designated official either amends or withdraws the notice of amendment, or transmits the Petition, together with any pertinent information, to TSA for reconsideration. TSA disposes of the Petition within 30 calendar days of receipt, either by directing the designated official to withdraw or amend the notice of amendment, or by affirming the notice of amendment.
(e)
(2) The emergency amendment is effective without stay on the date the certified cargo screening facility receives notification. TSA will incorporate in the notification a brief statement of the reasons and findings for the emergency amendment to be adopted.
(3) The certified cargo screening facility may file a Petition for Reconsideration with the TSA no later than 15 calendar days after TSA issued the emergency amendment. The certified cargo screening facility must send the Petition for Reconsideration to the designated official; however, the filing does not stay the effective date of the emergency amendment.
(a)
(b)
(c)
(d)
(a)
(b)
(c)
(1) Applicable provisions of this chapter, including this part, part 1520, and § 1540.105;
(2) The certified cargo screening facility's security program, to the extent that such individuals need to know in order to perform their duties;
(3) Applicable Security Directives and Information Circulars; and
(4) The applicable portions of approved airport security program(s) and aircraft operator security program(s).
(d)
(1) Is a citizen or national of the United States, or an alien lawfully admitted for permanent residence;
(2) Has a high school diploma, a General Equivalency Diploma, or a combination of education and experience that the certified cargo screening facility has determined to have equipped the person to perform the duties of the position;
(3) Has basic aptitudes and physical abilities including color perception, visual and aural acuity, physical coordination, and motor skills to the extent required to effectively operate cargo screening technologies that the facility is authorized to use. These include:
(i) The ability to operate x-ray equipment and to distinguish on the x-ray monitor the appropriate imaging standard specified in the certified cargo screening facility security program. Wherever the x-ray system displays colors, the operator must be able to perceive each color.
(ii) The ability to distinguish each color displayed on every type of screening equipment and explain what each color signifies.
(iii) The ability to hear and respond to the spoken voice and to audible alarms generated by screening equipment.
(4) Has the ability to read, write and understand English well enough to carry out written and oral instructions regarding the proper performance of screening duties or be under the direct supervision of someone who has this ability, including reading labels and shipping papers, and writing log entries into security records in English.
(a) Each certified cargo screening facility must maintain records demonstrating compliance with all statutes, regulations, directives, orders, and security programs that apply to operation as a certified cargo screening facility, including the records listed below, at the facility location or other location as approved by TSA:
(1) Records of all training and instructions given to each individual under § 1549.103. The CCSF must retain these records for 180 days after the individual is no longer employed by the certified cargo screening facility or is no longer acting as the facility's agent.
(2) Copies of all documents related to applications for, or renewals of, TSA certification to operate under part 1549.
(3) Documents establishing TSA's certification and renewal of certification as required by part 1549.
(4) Records demonstrating that each individual has complied with the security threat assessment provisions of § 1549.111.
(b) Unless otherwise stated, records must be retained until the next re-certification.
Each certified cargo screening facility must have a Security Coordinator and designated alternate Security Coordinator appointed at the corporate level. In addition, each certified cargo screening facility must have a facility Security Coordinator and alternate facility Security Coordinator appointed at the facility level. The facility Security Coordinator must serve as the certified cargo screening facility's primary contact for security-related activities and communications with TSA, as set forth in the security program. The Security Coordinator and alternate appointed at the corporate level, as well as the facility Security Coordinator and alternate, must be available on a 24-hour, 7-days a week basis.
(a) TSA may issue an Information Circular to notify certified cargo screening facilities of security concerns.
(b) When TSA determines that additional security measures are necessary to respond to a threat assessment, or to a specific threat against civil aviation, TSA issues a Security Directive setting forth mandatory measures.
(1) Each certified cargo screening facility must comply with each Security Directive that TSA issues to it, within the time prescribed in the Security Directive for compliance.
(2) Each certified cargo screening facility that receives a Security Directive must comply with the following:
(i) Within the time prescribed in the Security Directive, acknowledge in writing receipt of the Security Directive to TSA.
(ii) Within the time prescribed in the Security Directive, specify the method by which the measures in the Security Directive have been implemented (or will be implemented, if the Security Directive is not yet effective).
(3) In the event that the certified cargo screening facility is unable to implement the measures in the Security Directive, the certified cargo screening facility must submit proposed alternative measures and the basis for submitting the alternative measures to TSA for approval.
(i) The certified cargo screening facility must submit the proposed alternative measures within the time prescribed in the Security Directive.
(ii) The certified cargo screening facility must implement any alternative measures approved by TSA.
(4) Each certified cargo screening facility that receives a Security Directive may comment on it by submitting data, views, or arguments in writing to TSA.
(i) TSA may amend the Security Directive based on comments received.
(ii) Submission of a comment does not delay the effective date of the Security Directive.
(5) Each certified cargo screening facility that receives a Security Directive or Information Circular, and each person who receives information from a Security Directive or Information Circular, must—
(i) Restrict the availability of the Security Directive or Information Circular, and information contained in either document, to those persons with a need-to-know; and
(ii) Refuse to release the Security Directive or Information Circular, and information contained in either document, to persons other than those with a need-to-know without the prior written consent of TSA.
(a)
(1) Each individual the certified cargo screening facility authorizes to perform cargo screening or supervise cargo screening.
(2) Each individual the certified cargo screening facility authorizes to have unescorted access to cargo at any time from the time it is screened until
(3) The senior manager or representative of its facility in control of the operations.
(4) The security coordinators and their alternates.
(b)
(1) Each individual must successfully complete a security threat assessment or comparable security threat assessment described in part 1540, subpart C of this chapter; and
(2) Each certified screening facility must complete the requirements in 49 CFR part 1540, subpart C.
49 U.S.C. 114, 5103, 40113, 44901-44907, 44913-44914, 44916-44918, 44935-44936, 44942, 46105.
This part applies to the operation of aircraft for which there are no security requirements in other parts of this subchapter.
(a) Each aircraft operator subject to this part must allow TSA, at any time or place, to make any inspections or tests, including copying records, to determine compliance with—
(1) This subchapter and any security program or security procedures under this subchapter, and part 1520 of this chapter; and
(2) 49 U.S.C. Subtitle VII, as amended.
(b) At the request of TSA, each aircraft operator must provide evidence of compliance with this part and its security program or security procedures, including copies of records.
(a)
(b)
(c)
(d)
(e)
(a)
(b)
(c)
(d)
49 U.S.C. 114, 44939.
(a)
(b)
This section describes the procedures a flight school must follow before providing flight training.
(a)
(1) The flight school has first notified TSA that the candidate has requested such flight training.
(2) The candidate has submitted to TSA, in a form and manner acceptable to TSA, the following:
(i) The candidate's full name, including any aliases used by the candidate or variations in the spelling of the candidate's name;
(ii) A unique candidate identification number created by TSA;
(iii) A copy of the candidate's current, unexpired passport and visa;
(iv) The candidate's passport and visa information, including all current and previous passports and visas held by the candidate and all the information necessary to obtain a passport and visa;
(v) The candidate's country of birth, current country or countries of citizenship, and each previous country of citizenship, if any;
(vi) The candidate's actual date of birth or, if the candidate does not know his or her date of birth, the approximate date of birth used consistently by the candidate for his or her passport or visa;
(vii) The candidate's requested dates of training and the location of the training;
(viii) The type of training for which the candidate is applying, including the aircraft type rating the candidate would be eligible to obtain upon completion of the training;
(ix) The candidate's current U.S. pilot certificate, certificate number, and type rating, if any;
(x) Except as provided in paragraph (k) of this section, the candidate's fingerprints, in accordance with paragraph (f) of this section;
(xi) The candidate's current address and phone number and each address for the 5 years prior to the date of the candidate's application;
(xii) The candidate's gender; and
(xiii) Any fee required under this part.
(3) The flight school has submitted to TSA, in a form and manner acceptable to TSA, a photograph of the candidate taken when the candidate arrives at the flight school for flight training.
(4) TSA has informed the flight school that the candidate does not pose a threat to aviation or national security, or more than 30 days have elapsed since TSA received all of the information specified in paragraph (a)(2) of this section.
(5) The flight school begins the candidate's flight training within 180 days of either event specified in paragraph (a)(4) of this section.
(b)
(i) The flight school has first notified TSA that the candidate has requested such flight training.
(ii) The candidate has submitted to TSA, in a form and manner acceptable to TSA:
(A) The information and fee required under paragraph (a)(2) of this section; and
(B) The reason the candidate is eligible for expedited processing under
(iii) The flight school has submitted to TSA, in a form and manner acceptable to TSA, a photograph of the candidate taken when the candidate arrives at the flight school for flight training.
(iv) TSA has informed the flight school that the candidate does not pose a threat to aviation or national security or more than 5 days have elapsed since TSA received all of the information specified in paragraph (a)(2) of this section.
(v) The flight school begins the candidate's flight training within 180 days of either event specified in paragraph (b)(1)(iv) of this section.
(2) A candidate is eligible for expedited processing if he or she—
(i) Holds an airman's certificate from a foreign country that is recognized by the Federal Aviation Administration or a military agency of the United States, and that permits the candidate to operate a multi-engine aircraft that has a certificated takeoff weight of more than 12,500 pounds;
(ii) Is employed by a foreign air carrier that operates under 14 CFR part 129 and has a security program approved under 49 CFR part 1546;
(iii) Has unescorted access authority to a secured area of an airport under 49 U.S.C. 44936(a)(1)(A)(ii), 49 CFR 1542.209, or 49 CFR 1544.229;
(iv) Is a flightcrew member who has successfully completed a criminal history records check in accordance with 49 CFR 1544.230; or
(v) Is part of a class of individuals that TSA has determined poses a minimal threat to aviation or national security because of the flight training already possessed by that class of individuals.
(c)
(1) The flight school has first notified TSA that the candidate has requested such flight training.
(2) The candidate has submitted to TSA, in a form and manner acceptable to TSA:
(i) The information required under paragraph (a)(2) of this section; and
(ii) Any other information required by TSA.
(3) The flight school has submitted to TSA, in a form and manner acceptable to TSA, a photograph of the candidate taken when the candidate arrives at the flight school for flight training.
(4) The flight school begins the candidate's flight training within 180 days of the date the candidate submitted the information required under paragraph (a)(2) of this section to TSA.
(d)
(1) Notify TSA that the candidate has requested such recurrent training; and
(2) Submit to TSA, in a form and manner acceptable to TSA:
(i) The candidate's full name, including any aliases used by the candidate or variations in the spelling of the candidate's name;
(ii) Any unique student identification number issued to the candidate by the Department of Justice or TSA;
(iii) A copy of the candidate's current, unexpired passport and visa;
(iv) The candidate's current U.S. pilot certificate, certificate number, and type rating(s);
(v) The type of training for which the candidate is applying;
(vi) The date of the candidate's prior recurrent training, if any, and a copy of the training form documenting that recurrent training;
(vii) The candidate's requested dates of training; and
(viii) A photograph of the candidate taken when the candidate arrives at the flight school for flight training.
(e)
(f)
(i) By United States Government personnel at a United States embassy or consulate; or
(ii) By another entity approved by TSA.
(2) A candidate must confirm his or her identity to the individual or agency collecting his or her fingerprints under paragraph (f)(1) of this section by providing the individual or agency his or her:
(i) Passport;
(ii) Resident alien card; or
(iii) U.S. driver's license.
(3) A candidate must pay any fee imposed by the agency taking his or her fingerprints.
(g)
(i) Subject to fine or imprisonment or both under 18 U.S.C. 1001;
(ii) Denied approval for flight training under this section; and
(iii) Subject to other enforcement action, as appropriate.
(2)
(h)
(1)
(i) Valid, unexpired United States passport;
(ii) Original or government-issued certified birth certificate of the United States, American Samoa, or Swains Island, together with a government-issued picture identification of the individual;
(iii) Original United States naturalization certificate with raised seal, or a Certificate of Naturalization issued by the U.S. Citizenship and Immigration Services (USCIS) or the U.S. Immigration and Naturalization Service (INS) (Form N-550 or Form N-570), together with a government-issued picture identification of the individual;
(iv) Original certification of birth abroad with raised seal, U.S. Department of State Form FS-545, or U.S. Department of State Form DS-1350, together with a government-issued picture identification of the individual;
(v) Original certificate of United States citizenship with raised seal, a Certificate of United States Citizenship issued by the USCIS or INS (Form N-560 or Form N-561), or a Certificate of Repatriation issued by the USCIS or INS (Form N-581), together with a government-issued picture identification of the individual; or
(vi) In the case of flight training provided to a Federal employee (including military personnel) pursuant to a contract between a Federal agency and a flight school, the agency's written certification as to its employee's United States citizenship or nationality, together with the employee's government-issued credentials or other Federally-issued picture identification.
(2)
(i)
(1) Maintain the following information for a minimum of 5 years:
(i) For each candidate:
(A) A copy of the photograph required under paragraph (a)(3), (b)(1)(iii), (c)(3), or (d)(2)(viii) of this section; and
(B) A copy of the approval sent by TSA confirming the candidate's eligibility for flight training.
(ii) For a Category 1, Category 2, or Category 3 candidate, a copy of the information required under paragraph (a)(2) of this section, except the information in paragraph (a)(2)(x).
(iii) For a Category 4 candidate, a copy of the information required under paragraph (d)(2) of this section.
(iv) For an individual who is a United States citizen or national, a copy of the information required under paragraph (h)(1) of this section.
(v) For an individual who has been endorsed by the U.S. Department of Defense for flight training, a copy of the information required under paragraph (h)(2) of this section.
(vi) A record of all fees paid to TSA in accordance with this part.
(2) Permit TSA and the Federal Aviation Administration to inspect the records required by paragraph (i)(1) of this section during reasonable business hours.
(j)
(k)
(i) Submits all other information required in paragraph (a)(2) of this section, including the fee; and
(ii) Waits for TSA approval or until the applicable waiting period expires before initiating the additional flight training.
(2) A Category 1, 2, or 3 candidate who is approved for flight training by TSA, but does not initiate that flight training within 180 days, may reapply for flight training without submitting fingerprints as specified in paragraph (a)(2)(x) of this section if the candidate submits all other information required in paragraph (a)(2) of this section, including the fee.
(a)
(b)
(2) TSA will not issue any fee refunds, unless a fee was paid in error.
(a)
(b)
(a)
(1) Each of its flight school employees receives initial and recurrent security awareness training in accordance with this subpart; and
(2) If an instructor is conducting the initial security awareness training program, the instructor has first successfully completed the initial flight school security awareness training program offered by TSA or an alternative initial flight school security awareness training program that meets the criteria of paragraph (c) of this section.
(b)
(i) Each flight school employee employed on January 18, 2005 receives initial security awareness training in accordance with this subpart by January 18, 2005; and
(ii) Each flight school employee hired after January 18, 2005 receives initial security awareness training within 60 days of being hired.
(2) In complying with paragraph (b)(2) of this section, a flight school may use either:
(i) The initial flight school security awareness training program offered by TSA; or
(ii) An alternative initial flight school security awareness training program that meets the criteria of paragraph (c) of this section.
(c)
(1) Require active participation by the flight school employee receiving the training.
(2) Provide situational scenarios requiring the flight school employee receiving the training to assess specific situations and determine appropriate courses of action.
(3) Contain information that enables a flight school employee to identify—
(i) Uniforms and other identification, if any are required at the flight school, for flight school employees or other persons authorized to be on the flight school grounds.
(ii) Behavior by clients and customers that may be considered suspicious, including, but not limited to:
(A) Excessive or unusual interest in restricted airspace or restricted ground structures;
(B) Unusual questions or interest regarding aircraft capabilities;
(C) Aeronautical knowledge inconsistent with the client or customer's existing airman credentialing; and
(D) Sudden termination of the client or customer's instruction.
(iii) Behavior by other on-site persons that may be considered suspicious, including, but not limited to:
(A) Loitering on the flight school grounds for extended periods of time; and
(B) Entering “authorized access only” areas without permission.
(iv) Circumstances regarding aircraft that may be considered suspicious, including, but not limited to:
(A) Unusual modifications to aircraft, such as the strengthening of landing gear, changes to the tail number, or stripping of the aircraft of seating or equipment;
(B) Damage to propeller locks or other parts of an aircraft that is inconsistent with the pilot training or aircraft flight log; and
(C) Dangerous or hazardous cargo loaded into an aircraft.
(v) Appropriate responses for the employee to specific situations, including:
(A) Taking no action, if a situation does not warrant action;
(B) Questioning an individual, if his or her behavior may be considered suspicious;
(C) Informing a supervisor, if a situation or an individual's behavior warrants further investigation;
(D) Calling the TSA General Aviation Hotline; or
(E) Calling local law enforcement, if a situation or an individual's behavior could pose an immediate threat.
(vi) Any other information relevant to security measures or procedures at the flight school, including applicable information in the TSA Information Publication “Security Guidelines for General Aviation Airports”.
(d)
(2) At a minimum, a recurrent security awareness training program must contain information regarding—
(i) Any new security measures or procedures implemented by the flight school;
(ii) Any security incidents at the flight school, and any lessons learned as a result of such incidents;
(iii) Any new threats posed by or incidents involving general aviation aircraft contained on the TSA Web site; and
(iv) Any new TSA guidelines or recommendations concerning the security of general aviation aircraft, airports, or flight schools.
(a)
(1) Contain the flight school employee's name and a distinct identification number.
(2) Indicate the date on which the flight school employee received the security awareness training.
(3) Contain the name of the instructor who conducted the training, if any.
(4) Contain a statement certifying that the flight school employee received the security awareness training.
(5) Indicate the type of training received, initial or recurrent.
(6) Contain a statement certifying that the alternative training program used by the flight school meets the criteria in 49 CFR 1552.23(c), if the flight school uses an alternative training program to comply with this subpart.
(7) Be signed by the flight school employee and an authorized official of the flight school.
(b)
(1) A copy of the document required by paragraph (a) of this section for the initial and each recurrent security awareness training conducted for each flight school employee in accordance with this subpart; and
(2) The alternative flight school security awareness training program used by the flight school, if the flight school uses such a program.
(c)
49 U.S.C. 114, 40113, 44901, 44902, 44903.
(a)
(1) Aircraft operators required to adopt a full program under 49 CFR 1544.101(a).
(2) Foreign air carriers required to adopt a security program under 49 CFR 1546.101(a) or (b).
(3) Airport operators that seek to authorize individuals to enter a sterile area for purposes approved by TSA.
(4) Individuals who seek redress in accordance with subpart C of this part.
(b)
(c)
In addition to the terms in §§ 1500.3 and 1540.5 of this chapter, the following terms apply to this part:
(1) Denied or delayed boarding transportation due to DHS screening programs;
(2) Denied or delayed entry into or departure from the United States at a port of entry; or
(3) Identified for additional (secondary) screening at U.S. transportation facilities, including airports, and seaports.
(1) Departure airport code.
(2) Aircraft operator.
(3) Scheduled departure date.
(4) Scheduled departure time.
(5) Scheduled arrival date.
(6) Scheduled arrival time.
(7) Arrival airport code.
(8) Flight number.
(9) Operating carrier (if available).
(1) Flights that transit the airspace of the continental United States between two airports or locations in the same country, where that country is Canada or Mexico; or
(2) Any other category of flights that the Assistant Secretary of Homeland Security (Transportation Security Administration) designates in a notice in the
(1) A crew member who is listed as a crew member on the flight manifest; or
(2) An individual with flight deck privileges under 49 CFR 1544.237 traveling on the flight deck.
(1) Covered aircraft operator's agent identification number or agent sine.
(2) Type of Verifying Identity Document presented by the passenger.
(3) The identification number on the Verifying Identity Document.
(4) Issue date of the Verifying Identity Document.
(5) Name of the governmental authority that issued the Verifying Identity Document.
(6) Physical attributes of the passenger such as height, eye color, or scars, if requested by TSA.
(1) Passport number.
(2) Country of issuance.
(3) Expiration date.
(4) Gender.
(5) Full name.
(1) Full name.
(2) Date of birth.
(3) Gender.
(4) Redress number or Known Traveler Number (once implemented).
(5) Passport information.
(6) Reservation control number.
(7) Record sequence number.
(8) Record type.
(9) Passenger update indicator.
(10) Traveler reference number.
(11) Itinerary information.
(1) An unexpired passport issued by a foreign government.
(2) An unexpired document issued by a U.S. Federal, State, or tribal government that includes the following information for the individual:
(i) Full name.
(ii) Date of birth.
(iii) Photograph.
(3) Such other documents that TSA may designate as valid verifying identity documents.
(a)
(i) Except as provided in paragraph (a)(1)(ii) of this section, each covered aircraft operator must begin requesting the information described in paragraph (a)(1) of this section in accordance with its AOIP as approved by TSA.
(ii) An aircraft operator that becomes a covered aircraft operator after the effective date of this part must begin requesting the information on the date it becomes a covered aircraft operator.
(2) Beginning on a date no later than 30 days after being notified in writing by TSA, each covered aircraft operator must additionally request the Known Traveler Number for passengers on a covered flight and non-traveling individuals seeking access to an airport sterile area. The covered aircraft operator must include the Known Traveler Number provided by the passenger in response to this request in the SFPD.
(3) Each covered aircraft operator may not submit SFPD for any passenger on a covered flight who does not provide a full name, date of birth and gender. Each covered aircraft operator may not accept a request for authorization to enter a sterile area from a non-traveling individual who does not provide a full name, date of birth and gender.
(4) Each covered aircraft operator must ensure that each third party that accepts a reservation, or accepts a request for authorization to enter a sterile area, on the covered aircraft operator's behalf complies with the requirements of this section.
(5) If the covered aircraft operator also has an operation of an aircraft that is subject to 49 CFR 1544.101(b) through (i), the covered aircraft operator may submit SFPD for passengers on these operations for watch list matching under this part, provided that the covered aircraft operator—
(i) Collects and transmits the SFPD for the passengers in accordance with this section;
(ii) Provides the privacy notice to the passengers in accordance with 49 CFR 1560.103; and
(iii) Complies with the requirements of 49 CFR 1560.105 and 1560.107.
(b)
(1) To the extent available, each covered aircraft operator must electronically transmit SFPD to TSA for each passenger on a covered flight.
(2) Each covered aircraft operator must transmit SFPD to TSA prior to the scheduled flight departure time, in accordance with its AOIP as approved by TSA.
(c)
(d)
(a)
(2)
(3)
(b)
The Transportation Security Administration of the U.S. Department of Homeland Security requires us to collect information from you for purposes of watch list screening, under the authority of 49 U.S.C. section 114, and the Intelligence Reform and Terrorism Prevention Act of 2004. Providing this information is voluntary; however, if it is not provided, you may be subject to additional screening or denied transport or authorization to enter a sterile area. TSA may share information you provide with law enforcement or intelligence agencies or others
(a)
(2) Prior to the date that TSA assumes the watch list matching function from a covered aircraft operator, the covered aircraft operator must comply with existing watch list matching procedures for passengers and non-traveling individuals, including denial of transport or sterile area access or designation for enhanced screening for individuals identified by the covered aircraft operator or TSA.
(b)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(i) Before allowing the individual to board the aircraft for a covered flight, the covered aircraft operator confirms that it has received a boarding pass printing result from DHS for individuals who are issued boarding passes under paragraph (b)(7) of this section;
(ii) Before allowing the individual to board an aircraft for a covered flight, the covered aircraft operator applies the measures in its security program to prevent an individual for whom DHS has returned an inhibited status boarding pass printing result under paragraph (b)(1) of this section from boarding the aircraft; and
(iii) The covered aircraft operator applies the measures in its security program, as provided in 49 CFR part 1544, subpart B or 49 CFR part 1546, subpart B, to ensure that an individual for whom DHS returns a Selectee result under paragraph (b)(2) of this section undergoes enhanced screening pursuant to the covered aircraft operator's security program prior to that individual boarding the aircraft.
(c)
(2)
(3)
(4)
(d)
A covered aircraft operator must not use any watch list matching results provided by TSA for purposes other than those provided in § 1560.105 and other security purposes.
(a)
(1) The covered aircraft operator's test plan with TSA.
(2) When the covered operator will begin to collect and transmit to TSA each data element of the SFPD for each covered flight.
(3) The specific means by which the covered aircraft operator will request and transmit information under § 1560.101, the timing and frequency of transmission, and any other related matters, in accordance with the Consolidated User Guide.
(b)
(1) TSA notifies each covered aircraft operator in writing of a proposed AOIP, fixing a period of not less than 30 days within which the covered aircraft operator may submit written information, views, and arguments on the proposed AOIP.
(2) After considering all relevant material, TSA's designated official notifies each covered aircraft operator of its AOIP. The AOIP becomes effective not less than 30 days after the covered aircraft operator receives the notice of its AOIP, unless the covered aircraft operator petitions the Assistant Secretary or designated official to reconsider no later than 15 days before the effective date of the AOIP. The covered aircraft operator must send the petition for reconsideration to the designated official. A timely petition for reconsideration stays the effective date of the AOIP.
(3) Upon receipt of a petition for reconsideration, the designated official either amends the AOIP or transmits the petition, together with any pertinent information, to the Assistant Secretary or designee for reconsideration. The Assistant Secretary or designee disposes of the petition within 30 days of receipt by either directing the designated official to withdraw or amend the AOIP, or by affirming the AOIP.
(4) TSA may, at its discretion, grant extensions to any schedule deadlines, on its own initiative or upon the request of a covered aircraft operator.
(c)
(d)
(a)
(b)
This subpart applies to individuals who believe they have been improperly or unfairly delayed or prohibited from boarding an aircraft or entering a sterile area as a result of the Secure Flight program.
A person may be represented by counsel at his or her own expense during the redress process.
(a) If an individual believes he or she has been improperly or unfairly delayed or prohibited from boarding an aircraft or entering a sterile area as a result of the Secure Flight program, the individual may seek assistance through the redress process established under this section.
(b) An individual may obtain the forms and information necessary to initiate the redress process on the DHS TRIP Web site at
(c) The individual must send to the DHS TRIP office the personal information and copies of the specified identification documents. If TSA needs additional information in order to continue the redress process, TSA will so notify the individual in writing and request that additional information. The DHS TRIP Office will assign the passenger a unique identifier, which TSA will recognize as the Redress Number, and the passenger may use that Redress Number in future correspondence with TSA and when making future travel reservations.
(d) TSA, in coordination with the TSC and other appropriate Federal law enforcement or intelligence agencies, if necessary, will review all the documentation and information requested from the individual, correct any erroneous information, and provide the individual with a timely written response.
The redress process and its implementation are subject to review by the TSA and DHS Privacy Offices and the TSA and DHS Offices for Civil Rights and Civil Liberties.
49 U.S.C. 114, 40114, Sec. 823, Pub. L. 108-176, 117 Stat. 2595.
(a)
(1) College Park Airport (CGS);
(2) Potomac Airfield (VKX); and
(3) Washington Executive/Hyde Field (W32).
(b)
(a)
(1) Appoint an airport employee as the airport security coordinator;
(2) Maintain and carry out security procedures approved by TSA;
(3) Maintain at the airport a copy of the airport's TSA-approved security procedures;
(4) Maintain at the airport a copy of each Federal Aviation Administration Notice to Airmen and rule that affects security procedures at the Maryland Three Airports; and
(5) Permit officials authorized by TSA to inspect—
(i) The airport;
(ii) The airport's TSA-approved security procedures; and
(iii) Any other documents required under this section.
(b)
(1) Present to TSA, in a form and manner acceptable to TSA, his or her—
(i) Name;
(ii) Social Security Number;
(iii) Date of birth;
(iv) Address;
(v) Phone number; and
(vi) Fingerprints.
(2) Successfully complete a TSA terrorist threat assessment; and
(3) Not have been convicted or found not guilty by reason of insanity, in any jurisdiction, during the 10 years prior to applying for authorization to operate to or from the airport, or while authorized to operate to or from the airport, of any crime specified in 49 CFR 1542.209 or 1572.103.
(c)
(1) Identify and provide contact information for the airport's airport security coordinator.
(2) Contain a current record of the individuals and aircraft authorized to operate to or from the airport.
(3) Contain procedures to—
(i) Monitor the security of aircraft at the airport during operational and non-operational hours; and
(ii) Alert the aircraft owner(s) and operator(s), the airport operator, and TSA of unsecured aircraft.
(4) Contain procedures to implement and maintain security awareness procedures at the airport.
(5) Contain procedures for limited approval of pilots who violate the Washington, DC, Metropolitan Area Flight Restricted Zone and are forced to land at the airport.
(6) Contain any additional procedures required by TSA to provide for the security of aircraft operations to or from the airport.
(d)
(1) Operations at the airport have not been conducted in accordance with those procedures; or
(2) The procedures must be amended to provide for the security of aircraft operations to or from the airport.
(e)
(1) Present to TSA—
(i) The pilot's name;
(ii) The pilot's Social Security Number;
(iii) The pilot's date of birth;
(iv) The pilot's address;
(v) The pilot's phone number;
(vi) The pilot's current and valid airman certificate or current student pilot certificate;
(vii) The pilot's current medical certificate;
(viii) One form of Government-issued picture identification of the pilot;
(ix) The pilot's fingerprints, in a form and manner acceptable to TSA; and
(x) A list containing the make, model, and registration number of each aircraft that the pilot intends to operate to or from the airport.
(2) Successfully complete a TSA terrorist threat assessment.
(3) Receive a briefing acceptable to TSA and the Federal Aviation Administration that describes procedures for operating to and from the airport.
(4) Not have been convicted or found not guilty by reason of insanity, in any jurisdiction, during the 10 years prior to applying for authorization to operate to or from the airport, or while authorized to operate to or from the airport, of any crime specified in 49 CFR 1542.209 or 1572.103.
(5) Not, in TSA's discretion, have a record on file with the Federal Aviation Administration of a violation of—
(i) A prohibited area designated under 14 CFR part 73;
(ii) A flight restriction established under 14 CFR 91.141;
(iii) Special security instructions issued under 14 CFR 99.7;
(iv) A restricted area designated under 14 CFR part 73;
(v) Emergency air traffic rules issued under 14 CFR 91.139;
(vi) A temporary flight restriction designated under 14 CFR 91.137, 91.138, or 91.145; or
(vii) An area designated under 14 CFR 91.143.
(f)
(1) Protect from unauthorized disclosure any identification information issued by TSA or the Federal Aviation Administration for the conduct of operations to or from the airport.
(2) Secure the aircraft after returning to the airport from any flight.
(3) Comply with any other requirements for operating to or from the airport specified by TSA or the Federal Aviation Administration.
(g)
(1) Files an instrument flight rules or visual flight rules flight plan with Leesburg Automated Flight Service Station;
(2) Obtains an Air Traffic Control clearance with a discrete transponder code; and
(3) Follows any arrival/departure procedures required by the Federal Aviation Administration.
(h)
(i)
(2) If a pilot who is approved to operate to or from any of the Maryland Three Airports commits any of the violations described in paragraph (e)(5) of this section, the pilot must notify TSA within 24 hours of the violation. TSA, in its discretion, may withdraw its approval of the pilot as a result of the violation.
(3) If an airport security coordinator, or a pilot who is approved to operate to or from any of the Maryland Three Airports, is determined by TSA to pose a threat to national or transportation security, or a threat of terrorism, TSA may withdraw its approval of the airport security coordinator or pilot.
(j)
(1) Is in the public interest; and
(2) Provides the level of security required by this section.
(a)
(b)
(1) Military, law enforcement, and medivac aircraft operations;
(2) Federal and State government aircraft operations operating under an airspace waiver approved by TSA and the Federal Aviation Administration;
(3) All-cargo aircraft operations; and
(4) Passenger aircraft operations conducted under:
(i) A full security program approved by TSA in accordance with 49 CFR 1544.101(a); or
(ii) A foreign air carrier security program approved by TSA in accordance with 49 CFR 1546.101(a) or (b).
(c)
(d)
(a)
(1) Designate a security coordinator responsible for implementing the DASSP and other security requirements required under this section, and provide TSA with the security coordinator's contact information and availability in accordance with the DASSP.
(2) Adopt and carry out the DASSP.
(3) Ensure that each crewmember of an aircraft operating into or out of
(4) Apply for and receive a reservation from the Federal Aviation Administration and authorization from TSA for each flight into and out of DCA in accordance with paragraph (d) of this section.
(5) Comply with the operating requirements in paragraph (e) of this section for each flight into and out of DCA.
(6) Pay any costs and fees required under this part.
(7) Restrict the distribution, disclosure, and availability of sensitive security information (SSI), as defined in part 1520 of this chapter, to persons with a need to know, and refer all requests for SSI by other persons to TSA.
(8) Comply with any additional security procedures required by TSA through order, Security Directive, or other means.
(b)
(1) Must undergo a fingerprint-based criminal history records check that does not disclose that he or she has a disqualifying criminal offense as described in § 1544.229(d) of this chapter. This standard is met if the security coordinator is in compliance with the fingerprint-based criminal history records check requirements of §§ 1542.209, 1544.229, or 1544.230 of this chapter with his or her current employer.
(2) Must submit to TSA his or her:
(i) Legal name, including first, middle, and last; any applicable suffix, and any other names used.
(ii) Current mailing address, including residential address if different than current mailing address.
(iii) Date and place of birth.
(iv) Social security number, (submission is voluntary, although recommended).
(v) Citizenship status and date of naturalization if the individual is a naturalized citizen of the United States.
(vi) Alien registration number, if applicable.
(3) Must successfully complete a TSA security threat assessment.
(4) May, if informed that a disqualifying offense has been disclosed, correct the record in accordance with the procedures set forth in paragraphs (h) and (i) of § 1544.229 of this chapter regarding notification and correction of records.
(c)
(1) Must undergo a fingerprint-based criminal history records check that does not disclose that he or she has a disqualifying criminal offense as described in § 1544.229(d) of this chapter. This standard is met if the flightcrew member is in compliance with the fingerprint-based criminal history records check requirements of §§ 1542.209, 1544.229, or 1544.230 of this chapter with his or her current employer.
(2) Must not have a record on file with the Federal Aviation Administration of a violation of—
(i) A prohibited area designated under 14 CFR part 73;
(ii) A flight restriction established under 14 CFR 91.141;
(iii) Special security instructions issued under 14 CFR 99.7;
(iv) A restricted area designated under 14 CFR part 73;
(v) Emergency air traffic rules issued under 14 CFR 91.139;
(vi) A temporary flight restriction designated under 14 CFR 91.137, 91.138, or 91.145; or
(vii) An area designated under 14 CFR 91.143.
(3) May, if informed that a disqualifying offense has been disclosed, correct the record in accordance with the procedures set forth in paragraphs (h) and (i) of § 1544.229 of this chapter regarding notification and correction of records.
(d)
(1) The aircraft operator must apply to the Federal Aviation Administration for a tentative reservation, in a form and manner approved by the Federal Aviation Administration.
(2) The aircraft operator must submit to TSA, in a form and manner approved by TSA, the following information at
(i) For each passenger and crewmember on the aircraft:
(A) Legal name, including first, middle, and last; any applicable suffix, and any other names used.
(B) Current mailing address, including residential address if different than current mailing address.
(C) Date and place of birth.
(D) Social security number, (submission is voluntary, although recommended).
(E) Citizenship status and date of naturalization if the individual is a naturalized citizen of the United States.
(F) Alien registration number, if applicable.
(ii) The registration number of the aircraft.
(iii) The flight plan.
(iv) Any other information required by TSA.
(3) TSA will conduct a name-based security threat assessment for each passenger and crewmember. If TSA notifies the aircraft operator that a passenger or crewmember may pose a security threat, the aircraft operator must ensure that the passenger or crewmember does not board the aircraft before the aircraft departs out of DCA or out of a gateway airport to DCA.
(4) If TSA approves the flight, TSA will transmit such approval to the Federal Aviation Administration for assignment of a final reservation to operate into or out of DCA. Once the Federal Aviation Administration assigns the final reservation, TSA will notify the aircraft operator.
(5) TSA may, at its discretion, cancel any or all flight approvals at any time without prior notice to the aircraft operator.
(6) TSA may, at its discretion, permit a flight into or out of DCA to deviate from the requirements of this subpart, if TSA finds that such action would not be detrimental to transportation security or the safe operation of the aircraft.
(7) TSA may, at its discretion, require any flight into or out of DCA under this subpart to comply with additional security measures.
(e)
(1) Ensure that each flight into DCA departs from a gateway airport and makes no intermediate stops before arrival at DCA.
(2) Ensure that each passenger and crewmember on an aircraft operating into or out of DCA has been screened in accordance with the DASSP prior to boarding the aircraft.
(3) Ensure that all accessible property and property in inaccessible cargo holds on an aircraft operating into or out of DCA has been screened in accordance with the DASSP prior to boarding the aircraft.
(4) Ensure that each aircraft operating into or out of DCA has been searched in accordance with the DASSP.
(5) Ensure that each passenger and crewmember on an aircraft operating into or out of DCA provides TSA with a valid government-issued picture identification in accordance with the DASSP.
(6) If the aircraft operating into or out of DCA is equipped with a cockpit door, ensure that the door is closed and locked at all times during the operation of the aircraft to or from DCA, unless Federal Aviation Administration regulations require the door to remain open.
(7) Ensure that each aircraft operating into or out of DCA has onboard at least one armed security officer who meets the requirements of § 1562.29 of this chapter. This requirement does not apply if—
(i) There is a Federal Air Marshal onboard; or
(ii) The aircraft is being flown without passengers into DCA to pick up passengers, or out of DCA after deplaning all passengers.
(8) Ensure that an aircraft operating into or out of DCA has any Federal Air Marshal onboard, at no cost to the Federal Government, if TSA or the Federal Air Marshal Service so requires.
(9) Notify the National Capital Region Coordination Center prior to departure of the aircraft from DCA or a gateway airport.
(10) Ensure that each aircraft operating into or out of DCA operates under instrument flight rules.
(11) Ensure that each passenger complies with any security measures mandated by TSA.
(12) Ensure that no prohibited items are onboard the aircraft.
(f)
(i) Permit TSA to conduct any inspections or tests, including copying records, to determine compliance with this part and the DASSP.
(ii) At the request of TSA, provide evidence of compliance with this part and the DASSP, including copies of records.
(2) Noncompliance with this part or the DASSP may result in the cancellation of an aircraft operator's flight approvals and other remedial or enforcement action, as appropriate.
(g)
(1) Provide information to the aircraft operator as provided in this section.
(2) Provide to TSA upon request a valid government-issued photo identification.
(3) Comply with security measures as conveyed by the aircraft operator.
(4) Comply with all applicable regulations in this chapter, including § 1540.107 regarding submission to screening and inspection, § 1540.109 regarding prohibition against interference with screening personnel, and § 1540.111 regarding carriage of weapons, explosives, and incendiaries by individuals.
(a)
(b)
(1) Designate a security coordinator who meets the requirements in § 1562.23(b) of this part and is responsible for implementing the FBO Security Program and other security requirements required under this section, and provide TSA with the security coordinator's contact information and availability in accordance with the FBO Security Program.
(2) Support the screening of persons and property in accordance with the requirements of this subpart and the FBO Security Program.
(3) Support the search of aircraft in accordance with the requirements of this subpart and the FBO Security Program.
(4) Restrict the distribution, disclosure, and availability of sensitive security information (SSI), as defined in part 1520 of this chapter, to persons with a need to know, and refer all requests for SSI by other persons to TSA.
(5) Perform any other duties required under the FBO Security Program.
(c)
(i) Permit TSA to conduct any inspections or tests, including copying records, to determine compliance with this part and the FBO Security Program.
(ii) At the request of TSA, provide evidence of compliance with this part and the FBO Security Program, including copies of records.
(2) Noncompliance with this part or the FBO Security Program may result in the cancellation of an aircraft operator's flight approvals and other remedial or enforcement action, as appropriate.
(a) Each aircraft operator must pay a threat assessment fee of $15 for each passenger and crewmember whose information the aircraft operator submits to TSA in accordance with § 1562.23(d) of this part.
(b) Each aircraft operator must pay to TSA the costs associated with carrying out this subpart, as provided in its DASSP.
(c) All fees and reimbursement must be remitted to TSA in a form and manner approved by TSA.
(d) TSA will not issue any refunds, unless any fees or reimbursement funds were paid in error.
(e) If an aircraft operator does not remit to TSA the fees and reimbursement funds required under this section, TSA may decline to process any requests for authorization from the aircraft operator.
(a)
(1) Be qualified to carry a firearm in accordance with paragraph (b) of this section.
(2) Successfully complete a TSA security threat assessment as described in paragraph (c) of this section.
(3) Meet such other requirements as TSA, in coordination with the Federal Air Marshal Service, may establish in the Armed Security Officer Security Program.
(4) Be authorized by TSA, in coordination with the Federal Air Marshal Service, under 49 U.S.C. 44903(d).
(b)
(1)
(i) Is authorized by law to engage in or supervise the prevention, detection, investigation, or prosecution of, or the incarceration of any person for, any violation of law;
(ii) Has statutory powers of arrest;
(iii) Is authorized by the agency to carry a firearm;
(iv) Is not the subject of any disciplinary action by the agency;
(v) Is not under the influence of alcohol or another intoxicating or hallucinatory drug or substance; and
(vi) Is not prohibited by Federal law from receiving a firearm.
(2)
(i) Retired in good standing from service with a public agency as a law enforcement officer, other than for reasons of mental instability;
(ii) Before such retirement, was authorized by law to engage in or supervise the prevention, detection, investigation, or prosecution of, or the incarceration of any person for, any violation of law, and had statutory powers of arrest;
(iii) Before such retirement, was regularly employed as a law enforcement officer for an aggregate of 15 years or more, or retired from service with such agency, after completing any applicable probationary period of such service, due to a service-connected disability, as determined by such agency;
(iv) Has a non-forfeitable right to benefits under the retirement plan of the agency;
(v) Is not under the influence of alcohol or another intoxicating or hallucinatory drug or substance; and
(vi) Is not prohibited by Federal law from receiving a firearm.
(3)
(i) Meet qualifications established by TSA, in coordination with the Federal Air Marshal Service, in the Armed Security Officer Program;
(ii) Not be under the influence of alcohol or another intoxicating or hallucinatory drug or substance; and
(iii) Not be prohibited by Federal law from receiving a firearm.
(c)
(1) Must undergo a fingerprint-based criminal history records check that does not disclose that he or she has a criminal offense that would disqualify him or her from possessing a firearm under 18 U.S.C. 922(g).
(2) May, if informed that a disqualifying offense has been disclosed, correct the record in accordance with the procedures set forth in paragraphs (h) and (i) of § 1544.229 of this chapter regarding notification and correction of records.
(3) Must submit to TSA his or her:
(i) Legal name, including first, middle, and last; any applicable suffix, and any other names used.
(ii) Current mailing address, including residential address if different than current mailing address.
(iii) Date and place of birth.
(iv) Social security number, (submission is voluntary, although recommended).
(v) Citizenship status and date of naturalization if the individual is a naturalized citizen of the United States.
(vi) Alien registration number, if applicable.
(4) Must undergo a threat assessment by TSA prior to receiving authorization under this section and prior to boarding an aircraft operating into or out of DCA as provided in § 1562.23(d)(1) of this part.
(d)
(1) Have basic law enforcement training acceptable to TSA; and
(2) Successfully complete a TSA-approved training course, developed in coordination with the Federal Air Marshal Service, at the expense of the armed security officer.
(e)
(i) Comply with the Armed Security Officer Program.
(ii) Restrict the distribution, disclosure, and availability of sensitive security information (SSI), as defined in part 1520 of this chapter, to persons with a need to know, and refer all requests for SSI by other persons to TSA.
(2) TSA and the Federal Air Marshal Service may conduct random inspections of armed security officers to ensure compliance with the Armed Security Officer Program.
(f)
(1) To carry a firearm in accordance with the Armed Security Officer Program on an aircraft operating under a DASSP into or out of DCA; and
(2) To transport a firearm in accordance with the Armed Security Officer Program at any airport as needed to carry out duties under this subpart, including for travel to and from flights conducted under this subpart.
(g)
(h)
(i)
(2)
(3)
(j)
46 U.S.C. 70105; 49 U.S.C. 114, 5103a, 40113, and 46105; 18 U.S.C. 842, 845; 6 U.S.C. 469; Pub. L. 110-53 secs. 1414, 1522.
This part applies to any person involved in land or maritime transportation as specified in this subchapter.
For purposes of this subchapter:
No person may make, cause to be made, attempt, or cause to attempt any of the following:
(a) Any fraudulent or intentionally false statement in any record or report that is kept, made, or used to show compliance with the subchapter, or exercise any privileges under this subchapter.
(b) Any reproduction or alteration, for fraudulent purpose, of any record, report, security program, access medium, or identification medium issued under this subchapter or pursuant to standards in this subchapter.
(a) No person may use or attempt to use a credential, security threat assessment, access control medium, or identification medium issued or conducted under this subchapter that was issued or conducted for another person.
(b) No person may make, produce, use or attempt to use a false or fraudulently created access control medium, identification medium or security threat assessment issued or conducted under this subchapter.
(c) No person may tamper or interfere with, compromise, modify, attempt to circumvent, or circumvent TWIC access control procedures.
(d) No person may cause or attempt to cause another person to violate paragraphs (a)-(c) of this section.
(a) Each person who has been issued or possesses a TWIC must present the TWIC for inspection upon a request from TSA, the Coast Guard, or other authorized DHS representative; an authorized representative of the National Transportation Safety Board; or a Federal, State, or local law enforcement officer.
(b) Each person who has been issued or who possesses a TWIC must allow his or her TWIC to be read by a reader and must submit his or her reference biometric, such as a fingerprint, and any other required information, such as a PIN, to the reader, upon a request from TSA, the Coast Guard, other authorized DHS representative; or a Federal, State, or local law enforcement officer.
(a) Each owner/operator must allow TSA, at any time or place, to make any inspections or tests, including copying records, to determine compliance of an owner/operator with—
(1) This subchapter and part 1520 of this chapter; and
(2) 46 U.S.C. 70105 and 49 U.S.C. 114.
(b) At the request of TSA, each owner/operator must provide evidence of compliance with this subchapter and part 1520 of this chapter, including copies of records.
(a)
(b)
(i) Relevant criminal history databases;
(ii) In the case of an alien (as defined in sec. 101 of the Immigration and Nationality Act (8 U.S.C. 1101(a)(3)), the relevant databases to determine the status of the alien under the immigration laws of the United States; and
(iii) Other relevant information or databases, as determined by the Secretary of Homeland Security.
(c)
(2) A railroad carrier or a contractor or subcontractor of a railroad carrier may not knowingly misrepresent to an employee or other relevant person, including an arbiter involved in a labor arbitration, the scope, application, or meaning of any rules, regulations, directives, or guidance issued by the Secretary of Homeland Security related to security background check requirements for covered individuals when conducting a security background check.
46 U.S.C. 70105; 49 U.S.C. 114, 5103a, 40113, and 46105; 18 U.S.C. 842, 845; 6 U.S.C. 469.
This part establishes regulations for credentialing and security threat assessments for certain maritime and land transportation workers.
This part applies to—
(a) State agencies responsible for issuing a hazardous materials endorsement (HME); and
(b) An applicant who—
(1) Is qualified to hold a commercial driver's license under 49 CFR parts 383 and 384, and is applying to obtain, renew, or transfer an HME; or
(2) Is applying to obtain or renew a TWIC in accordance with 33 CFR parts 104 through 106 or 46 CFR part 10; is a commercial driver licensed in Canada or Mexico and is applying for a TWIC to transport hazardous materials in accordance with 49 CFR 1572.201; or other individuals approved by TSA.
(a)
(1) The applicant has a disqualifying criminal offense described in 49 CFR 1572.103;
(2) The applicant does not meet the immigration status requirements described in 49 CFR 1572.105;
(3) TSA conducts the analyses described in 49 CFR 1572.107 and determines that the applicant poses a security threat; or
(4) The applicant has been adjudicated as lacking mental capacity or committed to a mental health facility, as described in 49 CFR 1572.109.
(b)
(c)
(d)
(e)
(1) In making a comparability determination, TSA will consider—
(i) The minimum standards used for the security threat assessment;
(ii) The frequency of the threat assessment;
(iii) The date of the most recent threat assessment; and
(iv) Whether the threat assessment includes biometric identification and a biometric credential.
(2) To apply for a comparability determination, the agency seeking the determination must contact the Assistant Program Manager, Attn: Federal Agency Comparability Check, Hazmat
(3) TSA will notify the public when a comparability determination is made.
(4) An applicant, who has completed a security threat assessment that is determined to be comparable under this section to the threat assessment described in this part, must complete the enrollment process and provide biometric information to obtain a TWIC, if the applicant seeks unescorted access to a secure area of a vessel or facility. The applicant must pay the fee listed in 49 CFR 1572.503 for information collection/credential issuance.
(5) TSA has determined that the security threat assessment for an HME under this part is comparable to the security threat assessment for TWIC.
(6) TSA has determined that the security threat assessment for a FAST card, under the Free and Secure Trade program administered by U.S. Customs and Border Protection, is comparable to the security threat assessment described in this part.
An applicant must supply the information required in this section, in a form acceptable to TSA, when applying to obtain or renew an HME. When applying to transfer an HME from one State to another, 49 CFR 1572.13(e) applies.
(a) Except as provided in (a)(12) through (16), the applicant must provide the following identifying information:
(1) Legal name, including first, middle, and last; any applicable suffix; and any other name used previously.
(2) Current and previous mailing address, current residential address if it differs from the current mailing address, and e-mail address if available. If the applicant prefers to receive correspondence and notification via e-mail, the applicant should so state.
(3) Date of birth.
(4) Gender.
(5) Height, weight, hair color, and eye color.
(6) City, state, and country of birth.
(7) Immigration status and, if the applicant is a naturalized citizen of the United States, the date of naturalization.
(8) Alien registration number, if applicable.
(9) The State of application, CDL number, and type of HME(s) held.
(10) Name, telephone number, facsimile number, and address of the applicant's current employer(s), if the applicant's work for the employer(s) requires an HME. If the applicant's current employer is the U.S. military service, include branch of the service.
(11) Whether the applicant is applying to obtain, renew, or transfer an HME or for a waiver.
(12) Social security number. Providing the social security number is voluntary; however, failure to provide it will delay and may prevent completion of the threat assessment.
(13) Passport number. This information is voluntary and may expedite the adjudication process for applicants who are U.S. citizens born abroad.
(14) Department of State Consular Report of Birth Abroad. This information is voluntary and may expedite the adjudication process for applicants who are U.S. citizens born abroad.
(15) Whether the applicant has previously completed a TSA threat assessment, and if so the date and program for which it was completed. This information is voluntary and may expedite the adjudication process for applicants who have completed a TSA security threat assessment.
(16) Whether the applicant currently holds a federal security clearance, and if so, the date of and agency for which the clearance was performed. This information is voluntary and may expedite the adjudication process for applicants who have completed a federal security threat assessment.
(b) The applicant must provide a statement, signature, and date of signature that he or she—
(1) Was not convicted, or found not guilty by reason of insanity, of a disqualifying crime listed in 49 CFR 1572.103(b), in a civilian or military jurisdiction, during the seven years before the date of the application, or is applying for a waiver;
(2) Was not released from incarceration, in a civilian or military jurisdiction, for committing a disqualifying crime listed in 49 CFR 1572.103(b), during the five years before the date of the application, or is applying for a waiver;
(3) Is not wanted, or under indictment, in a civilian or military jurisdiction, for a disqualifying criminal offense identified in 49 CFR 1572.103, or is applying for a waiver;
(4) Was not convicted, or found not guilty by reason of insanity, of a disqualifying criminal offense identified in 49 CFR 1572.103(a), in a civilian or military jurisdiction, or is applying for a waiver;
(5) Has not been adjudicated as lacking mental capacity or committed to a mental health facility involuntarily or is applying for a waiver;
(6) Meets the immigration status requirements described in 49 CFR 1572.105;
(7) Has or has not served in the military, and if so, the branch in which he or she served, the date of discharge, and the type of discharge; and
(8) Has been informed that Federal regulations, under 49 CFR 1572.11, impose a continuing obligation on the HME holder to disclose to the State if he or she is convicted, or found not guilty by reason of insanity, of a disqualifying crime, adjudicated as lacking mental capacity, or committed to a mental health facility.
(c) The applicant must certify and date receipt the following statement:
Privacy Act Notice: Authority: The authority for collecting this information is 49 U.S.C. 114, 40113, and 5103a. Purpose: This information is needed to verify your identity and to conduct a security threat assessment to evaluate your suitability for a hazardous materials endorsement for a commercial driver's license. Furnishing this information, including your SSN or alien registration number, is voluntary; however, failure to provide it will delay and may prevent completion of your security threat assessment. Routine Uses: Routine uses of this information include disclosure to the FBI to retrieve your criminal history record; to TSA contractors or other agents who are providing services relating to the security threat assessments; to appropriate governmental agencies for licensing, law enforcement, or security purposes, or in the interests of national security; and to foreign and international governmental authorities in accordance with law and international agreement.
(d) The applicant must certify and date receipt the following statement, immediately before the signature line:
The information I have provided on this application is true, complete, and correct, to the best of my knowledge and belief, and is provided in good faith. I understand that a knowing and willful false statement, or an omission of a material fact on this application can be punished by fine or imprisonment or both (
(e) The applicant must certify the following statement in writing:
I acknowledge that if the Transportation Security Administration determines that I pose a security threat, my employer, as listed on this application, may be notified. If TSA or other law enforcement agency becomes aware of an imminent threat to a maritime facility or vessel, TSA may provide limited information necessary to reduce the risk of injury or damage to the facility or vessel.
(a)
(b)
(1) Is convicted of, wanted, under indictment or complaint, or found not guilty by reason of insanity, in a civilian or military jurisdiction, for a disqualifying criminal offense identified in 49 CFR 1572.103; or
(2) Is adjudicated as lacking mental capacity, or committed to a mental health facility, as described in 49 CFR 1572.109; or
(3) Renounces or loses U.S. citizenship or status as a lawful permanent resident; or
(4) Violates his or her immigration status, and/or is ordered removed from the United States.
(c)
(2) When submitting fingerprints and the information required in 49 CFR 1572.9, the fee described in 49 CFR 1572.503 must be remitted to TSA.
Each State must revoke an individual's HME immediately, if TSA informs the State that the individual does not meet the standards for security threat assessment in 49 CFR 1572.5 and issues an Initial Determination of Threat Assessment and Immediate Revocation.
(a) No State may issue or renew an HME for a CDL, unless the State receives a Determination of No Security Threat from TSA.
(b) Each State must notify each individual holding an HME issued by that State that he or she will be subject to the security threat assessment described in this part as part of an application for renewal of the HME, at least 60 days prior to the expiration date of the individual's HME. The notice must inform the individual that he or she may initiate the security threat assessment required by this section at any time after receiving the notice, but no later than 60 days before the expiration date of the individual's HME.
(c) The State that issued an HME may extend the expiration date of the HME for 90 days, if TSA has not provided a Determination of No Security Threat or a Final Determination of Threat Assessment before the expiration date. Any additional extension must be approved in advance by TSA.
(d) Within 15 days of receipt of a Determination of No Security Threat or Final Determination of Threat Assessment from TSA, the State must—
(1) Update the applicant's permanent record to reflect:
(i) The results of the security threat assessment;
(ii) The issuance or denial of an HME; and
(iii) The new expiration date of the HME.
(2) Notify the Commercial Drivers License Information System (CDLIS) operator of the results of the security threat assessment.
(3) Revoke or deny the applicant's HME if TSA serves the State with a Final Determination of Threat Assessment.
(e) For applicants who apply to transfer an existing HME from one State to another, the second State will not require the applicant to undergo a new security threat assessment until the security threat assessment renewal period established in the preceding issuing State, not to exceed five years, expires.
(f) A State that is not using TSA's agent to conduct enrollment for the security threat assessment must retain the application and information required in 49 CFR 1572.9, for at least one year, in paper or electronic form.
(a)
(b)
(1) The State notifies the applicant that he or she will be subject to the security threat assessment at least 60 days prior to the expiration of the applicant's HME, and that the applicant must begin the security threat assessment no later than 30 days before the date of the expiration of the HME.
(2) Where the State elects to collect fingerprints and applicant information, the State—
(i) Collects fingerprints and applicant information required in 49 CFR 1572.9;
(ii) Provides the applicant information to TSA electronically, unless otherwise authorized by TSA;
(iii) Transmits the fingerprints to the FBI/Criminal Justice Information Services (CJIS), in accordance with the
(iv) Retains the signed application, in paper or electronic form, for one year and provides it to TSA, if requested.
(3) Where the State elects to have a TSA agent collect fingerprints and applicant information—
(i) TSA provides a copy of the signed application to the State;
(ii) The State retains the signed application, in paper or electronic form, for one year and provides it to TSA, if requested; and
(iii) TSA transmits the fingerprints to the FBI/CJIS, in accordance with the FBI/CJIS fingerprint submission standards.
(4) TSA receives the results from the FBI/CJIS and adjudicates the results of the check, in accordance with 49 CFR 1572.103 and, if applicable, 49 CFR 1572.107.
(c)
(1) Reviews the applicant information required in 49 CFR 1572.9.
(2) Searches domestic and international Government databases described in 49 CFR 1572.105, 1572.107, and 1572.109.
(3) Adjudicates the results of the check in accordance with 49 CFR 1572.103, 1572.105, 1572.107, and 1572.109.
(d)
(1) TSA serves a Determination of No Security Threat on the State in which the applicant is authorized to hold an HME, if TSA determines that an applicant meets the security threat assessment standards described in 49 CFR 1572.5.
(2) TSA serves an Initial Determination of Threat Assessment on the applicant, if TSA determines that the applicant does not meet the security threat assessment standards described in 49 CFR 1572.5. The Initial Determination of Threat Assessment includes—
(i) A statement that TSA has determined that the applicant poses a security threat warranting denial of the HME;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as described in 49 CFR 1515.5 or 1515.9, as applicable; and
(iv) A statement that if the applicant chooses not to appeal TSA's determination within 60 days of receipt of the Initial Determination, or does not request an extension of time within 60 days of receipt of the Initial Determination in order to file an appeal, the Initial Determination becomes a Final Determination of Security Threat Assessment.
(3) TSA serves an Initial Determination of Threat Assessment and Immediate Revocation on the applicant, the applicant's employer where appropriate, and the State, if TSA determines that the applicant does not meet the security threat assessment standards described in 49 CFR 1572.5 and may pose an imminent threat to transportation or national security, or of terrorism. The Initial Determination of Threat Assessment and Immediate Revocation includes—
(i) A statement that TSA has determined that the applicant poses a security threat warranting immediate revocation of an HME;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as described in 49 CFR 1515.5(h) or 1515.9(f), as applicable; and
(iv) A statement that if the applicant chooses not to appeal TSA's determination within 60 days of receipt of the Initial Determination and Immediate Revocation, the Initial Determination and Immediate Revocation becomes a Final Determination of Threat Assessment.
(4) If the applicant does not appeal the Initial Determination of Threat Assessment or Initial Determination of Threat Assessment and Immediate Revocation, TSA serves a Final Determination of Threat Assessment on the State in which the applicant applied for the HME, the applicant's employer where appropriate, and on the applicant, if the appeal of the Initial Determination results in a finding that the applicant poses a security threat.
(5) If the applicant appeals the Initial Determination of Threat Assessment
(6) Applicants who do not meet certain standards in 49 CFR 1572.103, 1572.105, or 1572.109 may seek a waiver in accordance with 49 CFR 1515.7.
An applicant must supply the information required in this section, in a form acceptable to TSA, when applying to obtain or renew a TWIC.
(a) Except as provided in (a)(12) through (16), the applicant must provide the following identifying information:
(1) Legal name, including first, middle, and last; any applicable suffix; and any other name used previously.
(2) Current and previous mailing address, current residential address if it differs from the current mailing address, and e-mail address if available. If the applicant wishes to receive notification that the TWIC is ready to be retrieved from the enrollment center via telephone rather than e-mail address, the applicant should state this and provide the correct telephone number.
(3) Date of birth.
(4) Gender.
(5) Height, weight, hair color, and eye color.
(6) City, state, and country of birth.
(7) Immigration status, and
(i) If the applicant is a naturalized citizen of the United States, the date of naturalization;
(ii) If the applicant is present in the United States based on a Visa, the type of Visa, the Visa number, and the date on which it expires; and
(iii) If the applicant is a commercial driver licensed in Canada and does not hold a FAST card, a Canadian passport.
(8) If not a national or citizen of the United States, the alien registration number and/or the number assigned to the applicant on the U.S. Customs and Border Protection Arrival-Departure Record, Form I-94.
(9) Except as described in paragraph (a)(9)(i) of this section, the reason that the applicant requires a TWIC, including, as applicable, the applicant's job description and the primary facility, vessel, or maritime port location(s) where the applicant will most likely require unescorted access, if known. This statement does not limit access to other facilities, vessels, or ports, but establishes eligibility for a TWIC.
(i) Applicants who are commercial drivers licensed in Canada or Mexico who are applying for a TWIC in order to transport hazardous materials in accordance with 49 CFR 1572.201 and not to access secure areas of a facility or vessel, must explain this in response to the information requested in paragraph (a)(9) of this section.
(10) The name, telephone number, and address of the applicant's current employer(s), if working for the employer requires a TWIC. If the applicant's current employer is the U.S. military service, include the branch of the service. An applicant whose current employer does not require possession of a TWIC, does not have a single employer, or is self-employed, must provide the primary vessel or port location(s) where the applicant requires unescorted access, if known. This statement does not limit access to other facilities, vessels, or ports, but establishes eligibility for a TWIC.
(11) If a credentialed mariner or applying to become a credentialed mariner, proof of citizenship as required in 46 CFR chapter I, subchapter B.
(12) Social security number. Providing the social security number is voluntary; however, failure to provide it will delay and may prevent completion of the threat assessment.
(13) Passport number, city of issuance, date of issuance, and date of expiration. This information is voluntary and may expedite the adjudication process for applicants who are U.S. citizens born abroad.
(14) Department of State Consular Report of Birth Abroad. This information is voluntary and may expedite the adjudication process for applicants who are U.S. citizens born abroad.
(15) Whether the applicant has previously completed a TSA threat assessment, and if so the date and program for which it was completed. This information is voluntary and may expedite the adjudication process for applicants
(16) Whether the applicant currently holds a federal security clearance, and if so, the date of and agency for which the clearance was performed. This information is voluntary and may expedite the adjudication process for applicants who have completed a federal security threat assessment.
(b) The applicant must provide a statement, signature, and date of signature that he or she—
(1) Was not convicted, or found not guilty by reason of insanity, of a disqualifying crime listed in 49 CFR 1572.103(b), in a civilian or military jurisdiction, during the seven years before the date of the application, or is applying for a waiver;
(2) Was not released from incarceration, in a civilian or military jurisdiction, for committing a disqualifying crime listed in 49 CFR 1572.103(b), during the five years before the date of the application, or is applying for a waiver;
(3) Is not wanted, or under indictment, in a civilian or military jurisdiction, for a disqualifying criminal offense identified in 49 CFR 1572.103, or is applying for a waiver;
(4) Was not convicted, or found not guilty by reason of insanity, of a disqualifying criminal offense identified in 49 CFR 1572.103(a), in a civilian or military jurisdiction, or is applying for a waiver;
(5) Has not been adjudicated as lacking mental capacity, or committed to a mental health facility involuntarily, or is applying for a waiver;
(6) Meets the immigration status requirements described in 49 CFR 1572.105;
(7) Has, or has not, served in the military, and if so, the branch in which he or she served, the date of discharge, and the type of discharge; and
(8) Has been informed that Federal regulations under 49 CFR 1572.19 impose a continuing obligation on the TWIC holder to disclose to TSA if he or she is convicted, or found not guilty by reason of insanity, of a disqualifying crime, adjudicated as lacking mental capacity, or committed to a mental health facility.
(c) Applicants, applying to obtain or renew a TWIC, must submit biometric information to be used for identity verification purposes. If an individual cannot provide the selected biometric, TSA will collect an alternative biometric identifier.
(d) The applicant must certify and date receipt the following statement:
Privacy Act Notice: Authority: The authority for collecting this information is 49 U.S.C. 114, 40113, and 5103a. Purpose: This information is needed to verify your identity and to conduct a security threat assessment to evaluate your suitability for a Transportation Worker Identification Credential. Furnishing this information, including your SSN or alien registration number, is voluntary; however, failure to provide it will delay and may prevent completion of your security threat assessment. Routine Uses: Routine uses of this information include disclosure to the FBI to retrieve your criminal history record; to TSA contractors or other agents who are providing services relating to the security threat assessments; to appropriate governmental agencies for licensing, law enforcement, or security purposes, or in the interests of national security; and to foreign and international governmental authorities in accordance with law and international agreement.
(e) The applicant must certify the following statement in writing:
As part of my employment duties, I am required to have unescorted access to secure areas of maritime facilities or vessels in which a Transportation Worker Identification Credential is required; I am now, or I am applying to be, a credentialed merchant mariner; or I am a commercial driver licensed in Canada or Mexico transporting hazardous materials in accordance with 49 CFR 1572.201.
(f) The applicant must certify and date receipt the following statement, immediately before the signature line:
The information I have provided on this application is true, complete, and correct, to the best of my knowledge and belief, and is provided in good faith. I understand that a knowing and willful false statement, or an omission of a material fact on this application, can be punished by fine or imprisonment or both (see section 1001 of Title 18 United States Code), and may be grounds for denial of a Transportation Worker Identification Credential.
(g) The applicant must certify the following statement in writing:
I acknowledge that if the Transportation Security Administration determines that I
(a)
(b)
(c)
(d)
(1) Is convicted of, wanted, under indictment or complaint, or found not guilty by reason of insanity, in a civilian or military jurisdiction, for a disqualifying criminal offense identified in 49 CFR 1572.103; or
(2) Is adjudicated as lacking mental capacity or committed to a mental health facility, as described in 49 CFR 1572.109; or
(3) Renounces or loses U.S. citizenship or status as a lawful permanent resident; or
(4) Violates his or her immigration status and/or is ordered removed from the United States.
(e)
(2) When submitting fingerprints and the information required in 49 CFR 1572.17, the fee required in 49 CFR 1572.503 must be remitted to TSA.
(f)
(a)
(b)
(1) Consistent with the implementation schedule described in 49 CFR 1572.19(a) and (b), and as required in 33 CFR 104.200, 105.200, or 106.200, applicants are notified.
(2) During enrollment, TSA—
(i) Collects fingerprints, applicant information, and the fee required in 49 CFR 1572.17;
(ii) Transmits the fingerprints to the FBI/CJIS in accordance with the FBI/CJIS fingerprint submission standards.
(iii) Receives and adjudicates the results of the check from FBI/CJIS, in accordance with 49 CFR 1572.103 and, if applicable, 49 CFR 1572.107.
(c)
(1) Reviews the applicant information required in 49 CFR 1572.17;
(2) Searches domestic and international Government databases required to determine if the applicant meets the requirements of 49 CFR 1572.105, 1572.107, and 1572.109;
(3) Adjudicates the results of the check in accordance with 49 CFR 1572.103, 1572.105, 1572.107, and 1572.109.
(d)
(1) TSA serves a Determination of No Security Threat on the applicant if TSA determines that the applicant meets the security threat assessment standards described in 49 CFR 1572.5. In the case of a mariner, TSA also serves a Determination of No Security Threat on the Coast Guard.
(2) TSA serves an Initial Determination of Threat Assessment on the applicant if TSA determines that the applicant does not meet the security threat assessment standards described in 49 CFR 1572.5. The Initial Determination of Threat Assessment includes—
(i) A statement that TSA has determined that the applicant poses a security threat warranting denial of the TWIC;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as described in 49 CFR 1515.5 or 1515.9, as applicable; and
(iv) A statement that if the applicant chooses not to appeal TSA's determination within 60 days of receipt of the Initial Determination, or does not request an extension of time within 60 days of receipt of the Initial Determination in order to file an appeal, the Initial Determination becomes a Final Determination of Security Threat Assessment.
(3) TSA serves an Initial Determination of Threat Assessment and Immediate Revocation on the applicant, the applicant's employer where appropriate, the FMSC, and in the case of a mariner applying for a TWIC, on the Coast Guard, if TSA determines that the applicant does not meet the security threat assessment standards described in 49 CFR 1572.5 and may pose an imminent security threat. The Initial Determination of Threat Assessment and Immediate Revocation includes—
(i) A statement that TSA has determined that the applicant poses a security threat warranting immediate revocation of a TWIC and unescorted access to secure areas;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as described in 49 CFR 1515.5(h) or 1515.9(f), as applicable; and
(iv) A statement that if the applicant chooses not to appeal TSA's determination within 60 days of receipt of the Initial Determination and Immediate Revocation, the Initial Determination and Immediate Revocation becomes a Final Determination of Threat Assessment.
(4) If the applicant does not appeal the Initial Determination of Threat Assessment or Initial Determination of Threat Assessment and Immediate Revocation, TSA serves a Final Determination of Threat Assessment on the FMSC and in the case of a mariner, on the Coast Guard, and the applicant's employer where appropriate.
(5) If the applicant appeals the Initial Determination of Threat Assessment or the Initial Determination of Threat Assessment and Immediate Revocation, the procedures in 49 CFR 1515.5 or 1515.9 apply.
(6) Applicants who do not meet certain standards in 49 CFR 1572.103, 1572.105, or 1572.109 may seek a waiver in accordance with 49 CFR 1515.7.
(a) A TWIC expires five years after the date it was issued at the end of the calendar day, except as follows:
(1) The TWIC was issued based on a determination that the applicant completed a comparable threat assessment. If issued pursuant to a comparable threat assessment, the TWIC expires five years from the date on the credential associated with the comparable threat assessment.
(2) The applicant is in a lawful nonimmigrant status category listed in 1572.105(a)(7), and the status expires, the employer terminates the employment relationship with the applicant, or the applicant otherwise ceases working for the employer. Under any of these circumstances, TSA deems the TWIC to have expired regardless of the expiration date on the face of the TWIC.
(b) TSA may issue a TWIC for a term less than five years to match the expiration of a visa.
This subpart applies to applicants who hold or are applying to obtain or renew an HME or TWIC, or transfer an HME. Applicants for an HME also are subject to safety requirements issued by the Federal Motor Carrier Safety Administration under 49 CFR part 383 and by the State issuing the HME, including additional immigration status and criminal history standards.
(a)
(1) Espionage or conspiracy to commit espionage.
(2) Sedition, or conspiracy to commit sedition.
(3) Treason, or conspiracy to commit treason.
(4) A federal crime of terrorism as defined in 18 U.S.C. 2332b(g), or comparable State law, or conspiracy to commit such crime.
(5) A crime involving a transportation security incident. A transportation security incident is a security incident resulting in a significant loss of life, environmental damage, transportation system disruption, or economic disruption in a particular area, as defined in 46 U.S.C. 70101. The term “economic disruption” does not include a work stoppage or other employee-related action not related to terrorism and resulting from an employer-employee dispute.
(6) Improper transportation of a hazardous material under 49 U.S.C. 5124, or a State law that is comparable.
(7) Unlawful possession, use, sale, distribution, manufacture, purchase, receipt, transfer, shipping, transporting, import, export, storage of, or dealing in an explosive or explosive device. An explosive or explosive device includes, but is not limited to, an explosive or explosive material as defined in 18 U.S.C. 232(5), 841(c) through 841(f), and 844(j); and a destructive device, as defined in 18 U.S.C. 921(a)(4) and 26 U.S.C. 5845(f).
(8) Murder.
(9) Making any threat, or maliciously conveying false information knowing the same to be false, concerning the deliverance, placement, or detonation of an explosive or other lethal device in or against a place of public use, a state or government facility, a public transportations system, or an infrastructure facility.
(10) Violations of the Racketeer Influenced and Corrupt Organizations Act, 18 U.S.C. 1961,
(11) Attempt to commit the crimes in paragraphs (a)(1) through (a)(4).
(12) Conspiracy or attempt to commit the crimes in paragraphs (a)(5) through (a)(10).
(b)
(i) the applicant was convicted, or found not guilty by reason of insanity, of the crime in a civilian or military jurisdiction, within seven years of the date of the application; or
(ii) the applicant was incarcerated for that crime and released from incarceration within five years of the date of the TWIC application.
(2) The interim disqualifying felonies are:
(i) Unlawful possession, use, sale, manufacture, purchase, distribution, receipt, transfer, shipping, transporting, delivery, import, export of, or dealing in a firearm or other weapon. A firearm or other weapon includes, but is not limited to, firearms as defined in 18 U.S.C. 921(a)(3) or 26 U.S.C. 5 845(a), or items contained on the U.S. Munitions Import List at 27 CFR 447.21.
(ii) Extortion.
(iii) Dishonesty, fraud, or misrepresentation, including identity fraud and money laundering where the money laundering is related to a crime described in paragraphs (a) or (b) of this section. Welfare fraud and passing bad
(iv) Bribery.
(v) Smuggling.
(vi) Immigration violations.
(vii) Distribution of, possession with intent to distribute, or importation of a controlled substance.
(viii) Arson.
(ix) Kidnapping or hostage taking.
(x) Rape or aggravated sexual abuse.
(xi) Assault with intent to kill.
(xii) Robbery.
(xiii) Fraudulent entry into a seaport as described in 18 U.S.C. 1036, or a comparable State law.
(xiv) Violations of the Racketeer Influenced and Corrupt Organizations Act, 18 U.S.C. 1961,
(xv) Conspiracy or attempt to commit the crimes in this paragraph (b).
(c)
(d)
(2) The applicant must provide TSA with written proof that the arrest did not result in conviction for the disqualifying criminal offense, within 60 days after the service date of the notification in paragraph (d)(1) of this section. If TSA does not receive proof in that time, TSA will notify the applicant that he or she is disqualified. In the case of an HME, TSA will notify the State that the applicant is disqualified, and in the case of a mariner applying for TWIC, TSA will notify the Coast Guard that the applicant is disqualified.
(a) An individual applying for a security threat assessment for a TWIC or HME must be a national of the United States or—
(1) A lawful permanent resident of the United States;
(2) A refugee admitted under 8 U.S.C. 1157;
(3) An alien granted asylum under 8 U.S.C. 1158;
(4) An alien in valid M-1 nonimmigrant status who is enrolled in the United States Merchant Marine Academy or a comparable State maritime academy. Such individuals may serve as unlicensed mariners on a documented vessel, regardless of their nationality, under 46 U.S.C. 8103.
(5) A nonimmigrant alien admitted under the Compact of Free Association between the United States and the Federated States of Micronesia, the United States and the Republic of the Marshall Islands, or the United States and Palau.
(6) An alien in lawful nonimmigrant status who has unrestricted authorization to work in the United States, except—
(i) An alien in valid S-5 (informant of criminal organization information) lawful nonimmigrant status;
(ii) An alien in valid S-6 (informant of terrorism information) lawful nonimmigrant status;
(iii) An alien in valid K-1 (Fianco(e)) lawful nonimmigrant status; or
(iv) An alien in valid K-2 (Minor child of Fianco(e)) lawful nonimmigrant status.
(7) An alien in the following lawful nonimmigrant status who has restricted authorization to work in the United States—
(i) B1/OCS Business Visitor/Outer Continental Shelf;
(ii) C-1/D Crewman Visa;
(iii) H-1B Special Occupations;
(iv) H-1B1 Free Trade Agreement;
(v) E-1 Treaty Trader;
(vi) E-3 Australian in Specialty Occupation;
(vii) L-1 Intracompany Executive Transfer;
(viii) O-1 Extraordinary Ability;
(ix) TN North American Free Trade Agreement;
(x) E-2 Treaty Investor; or
(xi) Another authorization that confers legal status, when TSA determines that the legal status is comparable to the legal status set out in paragraph (a)(7) of this section.
(8) A commercial driver licensed in Canada or Mexico who is admitted to the United States under 8 CFR 214.2(b)(4)(i)(E) to conduct business in the United States.
(b) Upon expiration of a nonimmigrant status listed in paragraph (a)(7) of this section, an employer must retrieve the TWIC from the applicant and provide it to TSA.
(c) Upon expiration of a nonimmigrant status listed in paragraph (a)(7) of this section, an employee must surrender his or her TWIC to the employer.
(d) If an employer terminates an applicant working under a nonimmigrant status listed in paragraph (a)(7) of this section, or the applicant otherwise ceases working for the employer, the employer must notify TSA within 5 business days and provide the TWIC to TSA if possible.
(e) Any individual in removal proceedings or subject to an order of removal under the immigration laws of the United States is not eligible to apply for a TWIC.
(f) To determine an applicant's immigration status, TSA will check relevant Federal databases and may perform other checks, including the validity of the applicant's alien registration number, social security number, or I-94 Arrival-Departure Form number.
(a) TSA may determine that an applicant poses a security threat based on a search of the following databases:
(1) Interpol and other international databases, as appropriate.
(2) Terrorist watchlists and related databases.
(3) Any other databases relevant to determining whether an applicant poses, or is suspected of posing, a security threat, or that confirm an applicant's identity.
(b) TSA may also determine that an applicant poses a security threat, if the search conducted under this part reveals extensive foreign or domestic criminal convictions, a conviction for a serious crime not listed in 49 CFR 1572.103, or a period of foreign or domestic imprisonment that exceeds 365 consecutive days.
(a) An applicant has mental incapacity, if he or she has been—
(1) Adjudicated as lacking mental capacity; or
(2) Committed to a mental health facility.
(b) An applicant is adjudicated as lacking mental capacity if—
(1) A court, board, commission, or other lawful authority has determined that the applicant, as a result of marked subnormal intelligence, mental illness, incompetence, condition, or disease, is a danger to himself or herself or to others, or lacks the mental capacity to conduct or manage his or her own affairs.
(2) This includes a finding of insanity by a court in a criminal case and a finding of incompetence to stand trial; or a finding of not guilty by reason of lack of mental responsibility, by any court, or pursuant to articles 50a and 76b of the Uniform Code of Military Justice (10 U.S.C. 850a and 876b).
(c) An applicant is committed to a mental health facility if he or she is formally committed to a mental health facility by a court, board, commission, or other lawful authority, including involuntary commitment and commitment for lacking mental capacity, mental illness, and drug use. This does not include commitment to a mental health facility for observation or voluntary admission to a mental health facility.
(a)
(b)
(c)
(d)
(e)
(a)
(b)
(c)
(2) The railroad carrier must ensure that it, its offeror, and each of its crew members have been determined to be a known railroad carrier, known offeror, and known train crew member, respectively. If any has not been so determined, the railroad carrier must submit the following information to Transport Canada:
(i) The railroad carrier's identification, including—
(A) Official name;
(B) Business number;
(C) Any trade names; and
(D) Address.
(ii) The following information about any offeror of explosives whose shipments it will carry:
(A) Official name.
(B) Business number.
(C) Address.
(iii) The following information about any train crew member the railroad carrier may use to transport explosives into the United States from Canada, who is neither a U.S. national nor lawful permanent resident alien:
(A) Full name.
(B) Both current and most recent prior residential addresses.
(3) Transport Canada will determine whether the railroad carrier and offeror are legitimately doing business in Canada and will also determine whether the train crew members present no known problems for purposes of this section. Transport Canada will notify TSA of these determinations by forwarding to TSA lists of known railroad carriers, offerors, and train crew members and their identifying information.
(4) TSA will update and maintain the list of known railroad carriers, offerors, and train crew members and forward the list to CBP.
(5) Once included on the list, the railroad carriers, offerors, and train crew members need not obtain prior approval for future transport of explosives under this section.
(d)
(e)
(2)
(i) A valid U.S. passport; or
(ii) One or more other document(s), including a form of U.S. Federal or state Government-issued identification with photograph, acceptable to CBP.
(3)
(a)
(1) States that issue an HME for a commercial driver's license;
(2) Individuals who apply to obtain or renew an HME for a commercial driver's license and must undergo a security threat assessment under 49 CFR part 1572; and
(3) Entities who collect fees from such individuals on behalf of TSA.
(b)
(a)
(b)
(1) Collect the Information Collection Fee, Threat Assessment Fee, and FBI Fee, in accordance with procedures approved by TSA;
(2) Transmit to TSA the Threat Assessment Fee, in accordance with procedures approved by TSA; and
(3) Transmit to TSA the FBI Fee, in accordance with procedures approved by TSA and the FBI.
This section describes the procedures that a State, which collects fingerprints and applicant information under 49 CFR part 1572; and the procedures an individual who applies to obtain or renew an HME, for a CDL in that State, must follow for collection and transmission of the Threat Assessment Fee and the FBI Fee.
(a)
(2) The following FBI Fee is required for the FBI to process fingerprint identification records and name checks required under 49 CFR part 1572: the fee collected by the FBI under Pub. L. 101-515.
(3) An individual who applies to obtain or renew an HME, or the individual's employer, must remit to the State the Threat Assessment Fee and the FBI Fee, in a form and manner approved by TSA and the State, when the individual submits the application for the HME to the State.
(b)
(2) Once TSA receives an application from a State for a security threat assessment under 49 CFR part 1572, the State is liable for the Threat Assessment Fee.
(3) Nothing in this subpart prevents a State from collecting any other fees that a State may impose on an individual who applies to obtain or renew an HME.
(c)
(2) All Threat Assessment Fees are held in trust by a State for the beneficial interest of the United States in paying for the costs of conducting the security threat assessment, required by 49 U.S.C. 5103a and 49 CFR part 1572. A State holds neither legal nor equitable interest in the Threat Assessment Fees, except for the right to retain any accrued interest on the principal amounts collected pursuant to this section.
(3) A State must account for Threat Assessment Fees separately, but may
(d)
(2) A State must remit to TSA full payment for the invoice, within 30 days after TSA sends the invoice.
(3) TSA accepts Threat Assessment Fees only from a State, not from an individual applicant for an HME.
(4) A State may retain any interest that accrues on the principal amounts collected between the date of collection and the date the Threat Assessment Fee is remitted to TSA, in accordance with paragraph (d)(2) of this section.
(5) A State may not retain any portion of the Threat Assessment Fee to offset the costs of collecting, handling, or remitting Threat Assessment Fees.
(6) Threat Assessment Fees, remitted to TSA by a State, must be in U.S. currency, drawn on a U.S. bank, and made payable to the “Transportation Security Administration.”
(7) Threat Assessment Fees must be remitted by check, money order, wire, or any other payment method acceptable to TSA.
(8) TSA will not issue any refunds of Threat Assessment Fees.
(9) If a State does not remit the Threat Assessment Fees for any month, TSA may decline to process any HME applications from that State.
This section describes the procedures that an individual, who applies to obtain or renew an HME for a CDL, must follow if a TSA agent collects and transmits the Information Collection Fee, Threat Assessment Fee, and FBI Fee.
(a)
(2) The following Threat Assessment Fee is required for TSA to conduct a security threat assessment, under 49 CFR part 1572, for an individual who applies to obtain or renew an HME: $34.
(3) The following FBI Fee is required for the FBI to process fingerprint identification records required under 49 CFR part 1572: The fee collected by the FBI under Pub. L. 101-515.
(4) An individual who applies to obtain or renew an HME, or the individual's employer, must remit to the TSA agent the Information Collection Fee, Threat Assessment Fee, and FBI Fee, in a form and manner approved by TSA, when the individual submits the application required under 49 CFR part 1572.
(b)
(c)
(2) Fees required under this section must be remitted by check, money order, wire, or any other payment method acceptable to TSA.
(3) TSA will not issue any refunds of fees required under this section.
(4) Applications, submitted in accordance with 49 CFR part 1572, will be processed only upon receipt of all applicable fees under this section.
(a)
(1) Individuals who apply to obtain or renew a Transportation Worker Identification Credential and must undergo a security threat assessment under 49 CFR part 1572; and
(2) Entities that collect fees from such individuals on behalf of TSA.
(b)
(a)
(b)
(1) The Enrollment Segment covers the cost for TSA or its agent to enroll applicants. The Enrollment Segment fee is $43.25.
(2) The Full Card Production/Security Threat Assessment Segment covers the costs for TSA conduct security threat assessment and card production. The Full Card Production/Security Threat Assessment Segment fee is $72.
(3) The FBI Segment covers the cost for the FBI to process fingerprint identification records. The FBI Segment fee is the amount collected by the FBI under Pub. L. 101-515. If the FBI amends this fee, TSA or its agent will collect the amended fee.
(c)
(1) The Enrollment Segment covers the cost for TSA or its agent to enroll applicants. The Enrollment Segment fee is $43.25.
(2) The Reduced Card Production/Security Threat Assessment Segment covers the cost for TSA to conduct a portion of the security threat assessment and card production. The Reduced Card Production/Security Threat Assessment Segment fee is $62.
(d)
(e)
(f)
(g)
49 U.S.C. 114.
(a) Except as provided in paragraph (b) of this section, this part includes requirements for the following persons. Appendix B of this part summarizes the general requirements for each person, and the specific sections in this part provide detailed requirements.
(1) Each freight railroad carrier that operates rolling equipment on track that is part of the general railroad system of transportation;
(2) Each rail hazardous materials shipper that offers, prepares, or loads for transportation in commerce by rail one or more of the categories and quantities of rail security-sensitive materials set forth in § 1580.100(b) of this part;
(3) Each rail hazardous materials receiver, located within a High Threat Urban Area (HTUA) that receives in commerce by rail or unloads one or more of the categories and quantities of rail security-sensitive materials set forth in § 1580.100(b) of this part;
(4) Each passenger railroad carrier, including each carrier operating light rail or heavy rail transit service on track that is part of the general railroad system of transportation, each carrier operating or providing intercity passenger train service or commuter or other short-haul railroad passenger service in a metropolitan or suburban area (as described by 49 U.S.C. 20102), and each public authority operating passenger train service;
(5) Each passenger or freight railroad carrier hosting an operation described in paragraph (a)(4) of this section;
(6) Each tourist, scenic, historic, and excursion rail operator, whether operating on or off the general railroad system of transportation;
(7) Each operator of private cars, including business/office cars and circus trains, on or connected to the general railroad system of transportation; and
(8) Each operator of a rail transit system that is not operating on track that is part of the general railroad system of transportation, including heavy rail transit, light rail transit, automated guideway, cable car, inclined plane, funicular, and monorail systems.
(b) This part does not apply to a freight railroad carrier that operates rolling equipment only on track inside an installation that is not part of the general railroad system of transportation.
For purposes of this part:
(1) Any person who does either or both of the following:
(i) Performs, or is responsible for performing, any pre-transportation function for transportation of the hazardous material in commerce.
(ii) Tenders or makes the hazardous material available to a carrier for transportation in commerce.
(2) A carrier is not an offeror when it performs a function required as a condition of acceptance of a hazardous material for transportation in commerce (such as reviewing shipping papers, examining packages to ensure that they are in conformance with the HMR, or preparing shipping documentation for its own use) or when it transfers a hazardous material to another carrier for continued transportation in commerce without performing a pre-transportation function.
(a) This section applies to the following:
(1) Each freight railroad carrier that operates rolling equipment on track that is part of the general railroad system of transportation.
(2) Each rail hazardous materials shipper.
(3) Each rail hazardous materials receiver located within an HTUA.
(4) Each passenger railroad carrier, including each carrier operating light rail or heavy rail transit service on track that is part of the general railroad system of transportation, each carrier operating or providing intercity passenger train service or commuter or other short-haul railroad passenger service in a metropolitan or suburban area (as described by 49 U.S.C. 20102), and each public authority operating passenger train service.
(5) Each passenger or freight railroad carrier hosting an operation described in paragraph (a)(4) of this section.
(6) Each tourist, scenic, historic, and excursion rail operator, whether operating on or off the general railroad system of transportation.
(7) Each operator of private cars, including business/office cars and circus trains, on or connected to the general railroad system of transportation.
(8) Each operator of a rail transit system that is not operating on track that is part of the general railroad system of transportation, including heavy rail transit, light rail transit, automated guideway, cable car, inclined plane, funicular, and monorail systems.
(b) The persons described in paragraph (a) of this section must allow TSA and other authorized DHS officials, at any time and in a reasonable manner, without advance notice, to enter, inspect, and test property, facilities, equipment, and operations; and to view, inspect, and copy records, as necessary to carry out TSA's security-related statutory or regulatory authorities, including its authority to—
(1) Assess threats to transportation;
(2) Enforce security-related regulations, directives, and requirements;
(3) Inspect, maintain, and test the security of facilities, equipment, and systems;
(4) Ensure the adequacy of security measures for the transportation of passengers and freight, including hazardous materials;
(5) Oversee the implementation, and ensure the adequacy, of security measures at rail yards, stations, terminals, transportation-related areas of rail hazardous materials shipper and receiver facilities, crew management centers, dispatch centers, telecommunication centers, and other transportation facilities and infrastructure;
(6) Review security plans; and
(7) Carry out such other duties, and exercise such other powers, relating to transportation security, as the Assistant Secretary of Homeland Security for the TSA considers appropriate, to the extent authorized by law.
(c) TSA and DHS officials working with TSA, may enter, without advance notice, and be present within any area or within any conveyance without access media or identification media issued or approved by a railroad carrier, rail transit system owner or operator, rail hazardous materials shipper, or rail hazardous materials receiver in order to inspect or test compliance, or perform other such duties as TSA may direct.
(d) TSA inspectors and DHS officials working with TSA will, on request, present their credentials for examination, but the credentials may not be photocopied or otherwise reproduced.
(a)
(1) Each freight railroad carrier that operates rolling equipment on track that is part of the general railroad system of transportation.
(2) Each rail hazardous materials shipper.
(3) Each rail hazardous materials receiver located with an HTUA.
(4) Each freight railroad carrier hosting a passenger operation described in § 1580.1(a)(4) of this part.
(5) Each operator of private cars, including business/office cars and circus trains, on or connected to the general railroad system of transportation.
(b)
(1) A rail car containing more than 2,268 kg (5,000 lbs) of a Division 1.1, 1.2, or 1.3 (explosive) material, as defined in 49 CFR 173.50;
(2) A tank car containing a material poisonous by inhalation as defined in 49 CFR 171.8, including anhydrous ammonia, Division 2.3 gases poisonous by inhalation as set forth in 49 CFR 173.115(c), and Division 6.1 liquids meeting the defining criteria in 49 CFR 173.132(a)(1)(iii) and assigned to hazard zone A or hazard zone B in accordance with 49 CFR 173.133(a), excluding residue quantities of these materials; and
(3) A rail car containing a highway route-controlled quantity of a Class 7
(a)
(1) Each freight railroad carrier that operates rolling equipment on track that is part of the general railroad system of transportation.
(2) Each rail hazardous materials shipper.
(3) Each rail hazardous materials receiver located with an HTUA.
(4) Each freight railroad carrier hosting the passenger operations described in § 1580.1(a)(4) of this part.
(5) Each operator of private cars, including business/office cars and circus trains, on or connected to the general railroad system of transportation, when notified by TSA in writing, that a threat exists concerning that operation.
(b) Each person described in paragraph (a) of this section must designate and use a primary and at least one alternate Rail Security Coordinator (RSC).
(c) The RSC and alternate(s) must be appointed at the corporate level.
(d) Each freight railroad carrier, rail hazardous materials shipper, and rail hazardous materials receiver required to have an RSC must provide to TSA the names, title, phone number(s), and e-mail address(es) of the RSCs and alternate RSCs, and must notify TSA within 7 calendar days when any of this information changes.
(e) Each freight railroad carrier, rail hazardous materials shipper, and rail hazardous materials receiver required to have an RSC must ensure that at least one RSC:
(1) Serves as the primary contact for intelligence information and security-related activities and communications with TSA. Any individual designated as an RSC may perform other duties in addition to those described in this section;
(2) Is available to TSA on a 24-hours a day, 7 days a week basis; and
(3) Coordinates security practices and procedures with appropriate law enforcement and emergency response agencies.
(a)
(1) Each freight railroad carrier transporting one or more of the categories and quantities of rail security-sensitive materials.
(2) Each rail hazardous materials shipper.
(3) Each rail hazardous materials receiver located with an HTUA.
(b)
(c)
(1) The rail car's current location by city, county, and state, including, for freight railroad carriers, the railroad milepost, track designation, and the time that the rail car's location was determined.
(2) The rail car's routing, if a freight railroad carrier.
(3) A list of the total number of rail cars containing the materials listed in § 1580.100(b) of this part, broken down by:
(i) The shipping name prescribed for the material in column 2 of the table in 49 CFR 172.101;
(ii) The hazard class or division number prescribed for the material in column 3 of the table in 49 CFR 172.101; and
(iii) The identification number prescribed for the material in column 4 of the table in 49 CFR 172.101.
(4) Each rail car's initial and number.
(5) Whether the rail car is in a train, rail yard, siding, rail spur, or rail hazardous materials shipper or receiver facility, including the name of the rail yard or siding designation.
(d)
(1) Five minutes if the request concerns only one rail car; and
(2) Thirty minutes if the request concerns two or more rail cars.
(e)
(f)
(1) Electronic data transmission in spreadsheet format.
(2) Electronic data transmission in Hyper Text Markup Language (HTML) format.
(3) Electronic data transmission in Extensible Markup Language (XML).
(4) Facsimile transmission of a hard copy spreadsheet in tabular format.
(5) Posting the information to a secure website address approved by TSA.
(6) Another format approved by TSA.
(g)
(1) The telephone number must be monitored at all times.
(2) A telephone number that requires a call back (such as an answering service, answering machine, or beeper device) does not meet the requirements of this paragraph.
(h)
(a)
(1) Each freight railroad carrier that operates rolling equipment on track that is part of the general railroad system of transportation.
(2) Each rail hazardous materials shipper.
(3) Each rail hazardous materials receiver located with an HTUA.
(4) Each freight railroad carrier hosting a passenger operation described in § 1580.1(a)(4) of this part.
(5) Each operator of private cars, including business/office cars and circus, on or connected to the general railroad system of transportation.
(b) Each person described in paragraph (a) of this section must immediately report potential threats and significant security concerns to DHS by telephoning the Freedom Center at 1-866-615-5150.
(c) Potential threats or significant security concerns encompass incidents, suspicious activities, and threat information including, but not limited to, the following:
(1) Interference with the train crew.
(2) Bomb threats, specific and non-specific.
(3) Reports or discovery of suspicious items that result in the disruption of railroad operations.
(4) Suspicious activity occurring onboard a train or inside the facility of a freight railroad carrier, rail hazardous materials shipper, or rail hazardous materials receiver that results in a disruption of operations.
(5) Suspicious activity observed at or around rail cars, facilities, or infrastructure used in the operation of the railroad, rail hazardous materials shipper, or rail hazardous materials receiver.
(6) Discharge, discovery, or seizure of a firearm or other deadly weapon on a train, in a station, terminal, facility, or storage yard, or other location used in the operation of the railroad, rail hazardous materials shipper, or rail hazardous materials receiver.
(7) Indications of tampering with rail cars.
(8) Information relating to the possible surveillance of a train or facility,
(9) Correspondence received by the freight railroad carrier, rail hazardous materials shipper, or rail hazardous materials receiver indicating a potential threat. Other incidents involving breaches of the security of the freight railroad carrier, rail hazardous materials shipper, or rail hazardous materials receiver's operations or facilities.
(d) Information reported should include, as available and applicable:
(1) The name of the reporting freight railroad carrier, rail hazardous materials shipper, or rail hazardous materials receiver and contact information, including a telephone number or e-mail address.
(2) The affected train, station, terminal, rail hazardous materials facility, or other rail facility or infrastructure.
(3) Identifying information on the affected train, train line, and route.
(4) Origination and termination locations for the affected train, including departure and destination city and the rail line and route, as applicable.
(5) Current location of the affected train.
(6) Description of the threat, incident, or activity.
(7) The names and other available biographical data of individuals involved in the threat, incident, or activity.
(8) The source of any threat information.
(a)
(1) Physically inspect the rail car before loading for signs of tampering, including closures and seals; other signs that the security of the car may have been compromised; suspicious items or items that do not belong, including the presence of an improvised explosive device.
(2) Keep the rail car in a rail secure area from the time the security inspection required by paragraph (a)(1) of this section or by 49 CFR 173.31(d), whichever occurs first, until the freight railroad carrier takes physical custody of the rail car.
(3) Document the transfer of custody to the railroad carrier in writing or electronically.
(b)
(c)
(d)
(e)
(f)
(1) Ensure that the rail hazardous materials receiver or railroad carrier maintains positive control of the rail car during the physical transfer of custody of the rail car.
(2) Keep the rail car in a rail secure area until the car is unloaded.
(3) Document the transfer of custody from the railroad carrier in writing or electronically.
(g)
(h)
(i)
(j)
(1) The amounts and types of all hazardous materials received.
(2) The geography of the area surrounding the receiver's facility.
(3) Proximity to entities that may be attractive targets, including other businesses, housing, schools, and hospitals.
(4) Any information regarding threats to the facility.
(5) Other circumstances that indicate the potential risk of the receiver's facility does not warrant compliance with this section.
(k)
(i) Is physically located on site in reasonable proximity to the rail car;
(ii) Is capable of promptly responding to unauthorized access or activity at or near the rail car, including immediately contacting law enforcement or other authorities; and
(iii) Immediately responds to any unauthorized access or activity at or near the rail car either personally or by contacting law enforcement or other authorities.
(2) As used in this section,
(3) As used in this section,
(i) Car initial and number.
(ii) Identification of individuals who attended the transfer (names or uniquely identifying employee number).
(iii) Location of transfer.
(iv) Date and time the transfer was completed.
Under 49 U.S.C. 20106, issuance of the regulations in this part preempts any State law, regulation, or order covering the same subject matter, except an additional or more stringent law, regulation, or order that is necessary to eliminate or reduce an essentially local security hazard; that is not incompatible with a law, regulation, or order of the United States Government; and that does not unreasonably burden interstate commerce. For example, under 49 U.S.C. 20106, issuance of § 1580.107 of this subpart preempts any State or tribal law, rule, regulation, order or common law requirement covering the same subject matter.
TSA will coordinate activities under this subpart with the Nuclear Regulatory Commission (NRC) and the Department of Energy (DOE) with respect to regulation of rail hazardous materials shippers and receivers that are also licensed or regulated by the NRC or DOE under the Atomic Energy Act of 1954, as amended, to maintain consistency with the requirements imposed by the NRC and DOE.
This subpart includes requirements for:
(a) Each passenger railroad carrier, including each carrier operating light rail or heavy rail transit service on track that is part of the general railroad system of transportation, each carrier operating or providing intercity passenger train service or commuter or other short-haul railroad passenger service in a metropolitan or suburban area (as described by 49 U.S.C. 20102), and each public authority operating passenger train service.
(b) Each passenger railroad carrier hosting an operation described in paragraph (a) of this section.
(c) Each tourist, scenic, historic, and excursion rail operator, whether operating on or off the general railroad system of transportation.
(d) Each operator of private cars, including business/office cars and circus trains, on or connected to the general railroad system of transportation.
(e) Each operator of a rail transit system that is not operating on track that is part of the general railroad system of transportation, including heavy rail transit, light rail transit, automated guideway, cable car, inclined plane, funicular, and monorail systems.
(a)
(1) Each passenger railroad carrier, including each carrier operating light rail or heavy rail transit service on track that is part of the general railroad system of transportation, each carrier operating or providing intercity passenger train service or commuter or other short-haul railroad passenger service in a metropolitan or suburban area (as described by 49 U.S.C. 20102), and each public authority operating passenger train service.
(2) Each passenger railroad carrier hosting an operation described in paragraph (a)(1) of this section.
(3) Each operator of a rail transit system that is not operating on track that is part of the general railroad system of transportation, including heavy rail transit, light rail transit, automated guideway, cable car, inclined plane, funicular, and monorail systems.
(4) Each operator of private cars, including business/office cars and circus trains, on or connected to the general railroad system of transportation, when notified by TSA, in writing, that a security threat exists concerning that operation.
(5) Each tourist, scenic, historic, or excursion operations, whether on or off the general railroad system of transportation, when notified by TSA, in writing, that a security threat exists concerning that operation.
(b) Each person described in paragraph (a) of this section must designate and use a primary and at least one alternate RSC.
(c) The RSC and alternate(s) must be appointed at the corporate level.
(d) Each passenger railroad carrier and rail transit system required to have an RSC must provide to TSA the names, titles, phone number(s), and e-mail address(es) of the RSCs, and alternate RSCs, and must notify TSA within 7 calendar days when any of this information changes.
(e) Each passenger railroad carrier and rail transit system required to have an RSC must ensure that at least one RSC:
(1) Serves as the primary contact for intelligence information and security-related activities and communications with TSA. Any individual designated as an RSC may perform other duties in addition to those described in this section.
(2) Is available to TSA on a 24-hours a day, 7 days a week basis.
(3) Coordinate security practices and procedures with appropriate law enforcement and emergency response agencies.
(a)
(1) Each passenger railroad carrier, including each carrier operating light rail or heavy rail transit service on track that is part of the general railroad system of transportation, each carrier operating or providing intercity passenger train service or commuter or other short-haul railroad passenger service in a metropolitan or suburban area (as described by 49 U.S.C. 20102), and each public authority operating passenger train service.
(2) Each passenger railroad carrier hosting an operation described in paragraph (a)(1) of this section.
(3) Each tourist, scenic, historic, and excursion rail operator, whether operating on or off the general railroad system of transportation.
(4) Each operator of private cars, including business/office cars and circus trains, on or connected to the general railroad system of transportation.
(5) Each operator of a rail transit system that is not operating on track that is part of the general railroad system of transportation, including heavy rail transit, light rail transit, automated guideway, cable car, inclined plane, funicular, and monorail systems.
(b) Each person described in paragraph (a) of this section must immediately report potential threats and significant security concerns to DHS by telephoning the Freedom Center at 1-866-615-5150.
(c) Potential threats or significant security concerns encompass incidents, suspicious activities, and threat information including, but not limited to, the following:
(1) Interference with the train or transit vehicle crew.
(2) Bomb threats, specific and non-specific.
(3) Reports or discovery of suspicious items that result in the disruption of rail operations.
(4) Suspicious activity occurring onboard a train or transit vehicle or inside the facility of a passenger railroad carrier or rail transit system that results in a disruption of rail operations.
(5) Suspicious activity observed at or around rail cars or transit vehicles, facilities, or infrastructure used in the operation of the passenger railroad carrier or rail transit system.
(6) Discharge, discovery, or seizure of a firearm or other deadly weapon on a train or transit vehicle or in a station, terminal, facility, or storage yard, or other location used in the operation of the passenger railroad carrier or rail transit system.
(7) Indications of tampering with passenger rail cars or rail transit vehicles.
(8) Information relating to the possible surveillance of a passenger train or rail transit vehicle or facility, storage yard, or other location used in the operation of the passenger railroad carrier or rail transit system.
(9) Correspondence received by the passenger railroad carrier or rail transit system indicating a potential threat to rail transportation.
(10) Other incidents involving breaches of the security of the passenger railroad carrier or the rail transit system operations or facilities.
(d) Information reported should include, as available and applicable:
(1) The name of the passenger railroad carrier or rail transit system and contact information, including a telephone number or e-mail address.
(2) The affected station, terminal, or other facility.
(3) Identifying information on the affected passenger train or rail transit vehicle including number, train or transit line, and route, as applicable.
(4) Origination and termination locations for the affected passenger train or rail transit vehicle, including departure and destination city and the rail or transit line and route.
(5) Current location of the affected passenger train or rail transit vehicle.
(6) Description of the threat, incident, or activity.
(7) The names and other available biographical data of individuals involved in the threat, incident, or activity.
(8) The source of any threat information.