242 Part 1333—Demurrage Liability Parts

§ 1332.3 49 CFR Ch. X (10–1–18 Edition)

and make it (them) available for in- § 1333.2 Who may charge demurrage. spection. Demurrage shall be assessed by the [57 FR 23539, June 4, 1992] serving rail carrier, i.e., the rail carrier providing rail cars to a shipper at an § 1332.3 Manner of submitting con- origin point or delivering them to a re- tracts. ceiver at an end-point or intermediate The U.S. Postal Service will submit destination. A serving carrier and its to the Board, upon request, a copy of customers (including those to which it the requested contract(s) or agree- delivers rail cars at origin or destina- ment(s). Such contract(s) or agree- tion) may enter into contracts per- ment(s) will be submitted by facsimile taining to demurrage, but in the ab- transmission or messenger service sence of such contracts, demurrage will where feasible, and, where such serv- be governed by the demurrage tariff of ices are not feasible, by the fastest the serving carrier. available mail service. [57 FR 23539, June 4, 1992] § 1333.3 Who is subject to demurrage. Any person receiving rail cars from a PART 1333—DEMURRAGE LIABILITY rail carrier for loading or unloading who detains the cars beyond the period Sec. of free time set forth in the governing 1333.1 Demurrage defined. demurrage tariff may be held liable for 1333.2 Who may charge demurrage. demurrage if the carrier has provided 1333.3 Who is subject to demurrage. that person with actual notice of the AUTHORITY: 49 U.S.C. 1321. demurrage tariff providing for such li- SOURCE: 79 FR 21412, Apr. 16, 2014, unless ability prior to the placement of the otherwise noted. rail cars. The notice required by this section shall be in written or electronic § 1333.1 Demurrage defined. form. Demurrage is a charge that both com- pensates rail carriers for the expenses PARTS 1334–1399 [RESERVED] incurred when rail cars are detained beyond a specified period of time (i.e., free time) for loading or unloading, and CHAPTER XI—RESEARCH AND IN- serves as a penalty for undue car deten- NOVATIVE TECHNOLOGY AD- tion to encourage the efficient use of MINISTRATION, DEPARTMENT OF rail cars in the rail network. TRANSPORTATION [RESERVED]

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EDITORIAL NOTE: Nomenclature changes to chapter XII appear at 68 FR 49720, Aug. 19, 2003.

SUBCHAPTER A—ADMINISTRATIVE AND PROCEDURAL RULES

Part Page 1500 Applicability, terms, and abbreviations ...... 245 1502 Organization, functions, and procedures ...... 245 1503 Investigative and enforcement procedures ...... 246 1507 Privacy Act-Exemptions...... 272 1510 Passenger civil aviation security service fees ...... 281 1511 Aviation security infrastructure fee ...... 284 1515 Appeal and waiver procedures for security threat assessments for individuals ...... 295

SUBCHAPTER B—SECURITY RULES FOR ALL MODES OF TRANSPORTATION 1520 Protection of sensitive security information ...... 303

SUBCHAPTER C—CIVIL AVIATION SECURITY 1540 Civil aviation security: General rules ...... 311 1542 Airport security...... 323 1544 Aircraft operator security: Air carriers and commercial operators ...... 340 1546 Foreign air carrier security ...... 367 1548 Indirect air carrier security ...... 377 1549 Certified cargo screening program ...... 384 1550 Aircraft security under general operating and flight rules ...... 391 1552 Flight schools...... 392 1554 Aircraft repair station security ...... 399 1560 Secure flight program ...... 403

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Part Page 1562 Operations in the Washington, DC, metropolitan area ...... 411

SUBCHAPTER D—MARITIME AND LAND TRANSPORTATION SECURITY 1570 General rules...... 421 1572 Credentialing and security threat assessments ...... 424 1580 Rail transportation security ...... 442 1581–1699 [Reserved]

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PART 1500—APPLICABILITY, TERMS, (1) Words importing the singular in- AND ABBREVIATIONS clude the plural. (2) Words importing the plural in- Sec. clude the singular. 1500.1 Applicability. (3) Words importing the masculine 1500.3 Terms and abbreviations used in this gender include the feminine. chapter. (b) In this chapter, the word: 1500.5 Rules of construction. (1) ‘‘Must’’ is used in an imperative AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901– sense; 44907, 44913–44914, 44916–44918, 44935–44936, (2) ‘‘May’’ is used in a permissive 44942, 46105. sense to state authority or permission SOURCE: 67 FR 8351, Feb. 22, 2002, unless to do the act prescribed, and the words otherwise noted. ‘‘no person may * * *’’ or ‘‘a person may not * * *’’ mean that no person is § 1500.1 Applicability. required, authorized, or permitted to This chapter, this subchapter, and do the act prescribed; and this part apply to all matters regulated (3) ‘‘Includes’’ means ‘‘includes but is by the Transportation Security Admin- not limited to’’. istration.

§ 1500.3 Terms and abbreviations used PART 1502—ORGANIZATION, in this chapter. FUNCTIONS, AND PROCEDURES As used in this chapter: Administrator means the Under Sec- AUTHORITY: 5 U.S.C. 3345, 49 U.S.C. 114, retary of Transportation for Security 40113, 44901–44907, 44913–44914, 44916–44920, identified in 49 U.S.C. 114(b) who serves 44935–44936, 44942, 46101–46105, 45107, 46110. as the Administrator of the Transpor- SOURCE: 67 FR 48049, July 23, 2002, unless tation Security Administration. otherwise noted. Person means an individual, corporation, company, association, firm, part- § 1502.1 Responsibilities of the Admin- nership, society, joint-stock company, istrator. or governmental authority. It includes (a) The Administrator is responsible a trustee, receiver, assignee, successor, for the planning, direction, and control or similar representative of any of of the Transportation Security Admin- them. istration (TSA) and for security in all Transportation Security Regulations modes of transportation. The Adminis- (TSR) means the regulations issued by trator’s responsibility includes car- the Transportation Security Adminis- rying out chapter 449 of title 49, United tration, in title 49 of the Code of Fed- States Code, relating to civil aviation eral Regulations, chapter XII, which security, and related research and de- includes parts 1500 through 1699. velopment activities, and security re- TSA means the Transportation Secu- sponsibilities over other modes of rity Administration. transportation that are exercised by United States, in a geographical sense, the Department of Transportation. means the States of the United States, (b) The Deputy Administrator is the the District of Columbia, and terri- ‘‘first assistant’’ to the Administrator tories and possessions of the United for purposes of the Federal Vacancies States, including the territorial sea Reform Act of 1998, and shall, in the and the overlying airspace. event the Administrator dies, resigns, [67 FR 8351, Feb. 22, 2002, as amended at 68 or is otherwise unable to perform the FR 49720, Aug. 19, 2003] functions and duties of the office, serve as the Acting Administrator, subject to § 1500.5 Rules of construction. the limitations in the Federal Vacan- (a) In this chapter, unless the context cies Reform Act of 1998. In the event of requires otherwise: the absence or disability of both the

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Administrator and the Deputy Admin- 1503.603 Separation of functions. istrator, officials designated by TSA’s 1503.605 Appearances and rights of parties. internal order on succession shall serve 1503.607 Administrative law judges. as Acting Deputy Administrator and 1503.609 Complaint. shall perform the duties of the Admin- 1503.611 Answer. istrator, except for any non-delegable 1503.613 Consolidation and separation of cases. statutory and/or regulatory duties. 1503.615 Notice of hearing. 1503.617 Extension of time. PART 1503—INVESTIGATIVE AND 1503.619 Intervention. ENFORCEMENT PROCEDURES 1503.621 Amendment of pleadings. 1503.623 Withdrawal of complaint or request Subpart A—General for hearing. 1503.625 Waivers. Sec. 1503.627 Joint procedural and discovery 1503.1 Scope. schedule. 1503.3 Reports by the public of security 1503.629 Motions. problems, deficiencies, and 1503.631 Interlocutory appeals. vulnerabilities. 1503.633 Discovery. 1503.635 Evidence. Subpart B—Scope of Investigative and 1503.637 Standard of proof. Enforcement Procedures 1503.639 Burden of proof. 1503.641 Offer of proof. 1503.101 TSA requirements. 1503.103 Terms used in this part. 1503.643 Public disclosure of evidence. 1503.645 Expert or opinion witnesses. Subpart C—Investigative Procedures 1503.647 Subpoenas. 1503.649 Witness fees. 1503.201 Reports of violations. 1503.651 Record. 1503.203 Investigations. 1503.653 Argument before the ALJ. 1503.205 Records, documents, and reports. 1503.655 Initial decision. 1503.657 Appeal from initial decision. Subpart D—Non-Civil Penalty Enforcement 1503.659 Petition to reconsider or modify a 1503.301 Warning notices and letters of cor- final decision and order of the TSA deci- rection. sion maker on appeal. 1503.661 Judicial review of a final order. Subpart E—Assessment of Civil Penalties by TSA Subpart H—Judicial Assessment of Civil Penalties 1503.401 Maximum penalty amounts. 1503.403 Delegation of authority. 1503.701 Applicability of this subpart. 1503.405 Injunctions. 1503.703 Civil penalty letter; referral. 1503.407 Military personnel. 1503.409 Service of documents. Subpart I—Formal Complaints 1503.411 Computation of time. 1503.413 Notice of Proposed Civil Penalty. 1503.801 Formal complaints. 1503.415 Request for portions of the enforce- AUTHORITY: 6 U.S.C. 1142; 18 U.S.C. 6002; 28 ment investigative report (EIR). U.S.C. 2461 (note); 49 U.S.C. 114, 20109, 31105, 1503.417 Final Notice of Proposed Civil Pen- 40113–40114, 40119, 44901–44907, 46101–46107, alty and Order. 46109–46110, 46301, 46305, 46311, 46313–46314; 1503.419 Order Assessing Civil Penalty. Pub. L. 104–134, as amended by Pub. L. 114–74. 1503.421 Streamlined civil penalty procedures for certain security violations. SOURCE: 74 FR 36039, July 21, 2009, unless 1503.423 Consent orders. otherwise noted. 1503.425 Compromise orders. 1503.427 Request for a formal hearing. 1503.429 Filing of documents with the En- Subpart A—General forcement Docket Clerk. 1503.431 Certification of documents. SOURCE: 76 FR 22630, Apr. 22, 2011, unless otherwise noted. Subpart F [Reserved] § 1503.1 Scope. Subpart G—Rules of Practice in TSA Civil This part provides information on Penalty Actions TSA’s investigative and enforcement 1503.601 Applicability. procedures.

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§ 1503.3 Reports by the public of secu- abuse in TSA programs should be re- rity problems, deficiencies, and ported to the Department of Homeland vulnerabilities. Security Inspector General: telephone This section prescribes the reporting (toll-free) 1–800–323–8603, or e-mail mechanisms that persons may use in [email protected]. order to obtain a receipt for reports to TSA regarding transportation-related Subpart B—Scope of Investigative security problems, deficiencies, and and Enforcement Procedures vulnerabilities. (a) Any person who reports to TSA a § 1503.101 TSA requirements. transportation security-related prob- (a) The investigative and enforce- lem, deficiency, or vulnerability—in- ment procedures in this part apply to cluding the security of aviation, com- TSA’s investigation and enforcement mercial motor vehicle, maritime, pipe- of violations of TSA requirements. line, any mode of public transpor- (b) For purposes of this part, the tation, or railroad transportation—will term TSA requirements means the fol- receive a receipt for their report if they lowing statutory provisions and a regu- provide valid contact information and lation prescribed or order issued under report through one of the following: any of those provisions: (1) U.S. mail to Transportation Secu- (1) Those provisions of title 49 U.S.C. rity Administration HQ, TSA–2; Attn: administered by the Administrator; 49 CFR 1503.3 Reports; 601 South 12th and Street; Arlington, VA 20598–6002; (2) 46 U.S.C. chapter 701. (2) Internet at http://www.tsa.gov/contact, selecting ‘‘Security Issues’’; or § 1503.103 Terms used in this part. (3) Telephone (toll-free) at 1–866–289– In addition to the terms in § 1500.3 of 9673. this chapter, the following definitions (b) Reports submitted by mail will apply in this part: receive a receipt through the mail, re- Administrative law judge or ALJ means ports submitted by the Internet will re- an ALJ appointed pursuant to the pro- ceive an e-mail receipt, and reports visions of 5 U.S.C. 3105. submitted by phone will receive a call Agency attorney means the Deputy identifier number linked to TSA docu- Chief Counsel for Enforcement or an ments held according to published attorney that he or she designates. An record schedules. To obtain a paper agency attorney will not include— copy of reports provided by phone, the (1) Any attorney in the Office of the person who made the report, or their Chief Counsel who advises the TSA de- authorized representative, must con- cision maker regarding an initial deci- tact TSA at the address identified in sion or any appeal to the TSA decision (a)(1) of this section within that period maker; or and provide the identifier number. (2) Any attorney who is supervised in (c) TSA will review and consider the a civil penalty action by a person who information provided in any report provides such advice to the TSA deci- submitted under this section and take sion maker in that action or a factu- appropriate steps to address any prob- ally related action. lems, deficiencies, or vulnerabilities Attorney means any person who is eli- identified. gible to practice law in, and is a mem- (d) Nothing in this section relieves a ber in good standing of the bar of, the person of a separate obligation to re- highest court of any State, possession, port information to TSA under another territory, or Commonwealth of the provision of this title, a security pro- United States, or of the District of Co- gram, or a security directive, or to an- lumbia, and is not under any order sus- other Government agency under other pending, enjoining, restraining, disbar- law. ring, or otherwise restricting him or (e) Immediate or emergency security her in the practice of law. or safety concerns should be reported Enforcement Investigative Report or to the appropriate local emergency EIR means a written report prepared services operator, such as by tele- by a TSA Inspector or other authorized phoning 911. Alleged waste, fraud, and agency official detailing the results of

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an inspection or investigation of a vio- is relevant to the matter reported, to lation of a TSA requirement, including determine the appropriate response, in- copies of any relevant evidence. cluding additional investigation or ad- Mail includes regular First Class U.S. ministrative or legal enforcement ac- mail service, U.S. certified mail, or tion. U.S. registered mail. Party means the respondent or TSA. § 1503.203 Investigations. Personal delivery includes hand-delivery or use of a contract or express mes- (a) General. The Administrator, or a senger service, including an overnight designated official, may conduct inves- express courier service. Personal deliv- tigations, hold hearings, issue sub- ery does not include the use of Govern- poenas, require the production of rel- ment interoffice mail service. evant documents, records, and prop- Pleading means a complaint, an an- erty, and take evidence and deposi- swer, motion and any amendment of tions. these documents permitted under this (b) Delegation of authority. For the subpart as well as any other written purpose of investigating alleged viola- submission to the ALJ or a party dur- tions of a TSA requirement, the Ad- ing the course of the hearing pro- ministrator’s authority may be exer- ceedings. cised by the agency’s various offices for Properly addressed means a document matters within their respective areas that shows an address contained in for all routine investigations. When the agency records, a residential, business, compulsory processes of 49 U.S.C. 46104 or other address submitted by a person are invoked, the Administrator’s au- on any document provided under this thority has been delegated to the Chief part, or any other address obtained by Counsel, each Deputy Chief Counsel, other reasonable and available means. Public transportation agency means a and in consultation with the Office of publicly owned operator of public Chief Counsel, the Assistant Adminis- transportation eligible to receive Fed- trator for Security Operations, the As- eral assistance under 49 U.S.C. chapter sistant Administrator for Transpor- 53. tation Sector Network Management, Respondent means the person named the Assistant Administrator for Inspec- in a Notice of Proposed Civil Penalty, a tions, the Assistant Administrator for Final Notice of Proposed Civil Penalty Law Enforcement/Director of the Fed- and Order, or a complaint. eral Air Marshal Service, each Special TSA decision maker means the Admin- Agent in Charge, and each Federal Se- istrator, acting in the capacity of the curity Director. decision maker on appeal, or any person to whom the Administrator has § 1503.205 Records, documents, and re- delegated the Administrator’s decision- ports. making authority in a civil penalty ac- Each record, document, and report tion. As used in this part, the TSA deci- that regulations issued by the Trans- sion maker is the official authorized to portation Security Administration reissue a final decision and order of the quire to be maintained, exhibited, or Administrator in a civil penalty ac- submitted to the Administrator may be tion. used in any investigation conducted by the Administrator; and, except to the Subpart C—Investigative extent the use may be specifically lim- Procedures ited or prohibited by the section that § 1503.201 Reports of violations. imposes the requirement, the records, documents, and reports may be used in (a) Any person who knows of a viola- any civil penalty action or other legal tion of a TSA requirement should re- proceeding. port 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

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Subpart D—Non-Civil Penalty Subpart E—Assessment of Civil Enforcement Penalties by TSA

§ 1503.301 Warning notices and letters § 1503.401 Maximum penalty amounts. of correction. (a) General. TSA may assess civil pen- (a) If TSA determines that a viola- alties not exceeding the following tion or an alleged violation of a TSA amounts against a person for the viola- requirement does not require the as- tion of a TSA requirement. sessment of a civil penalty, an appro- (b) In general. Except as provided in priate official of the TSA may take ad- paragraph (c) of this section, in the ministrative action in disposition of case of violation of title 49 U.S.C. or 46 the case. U.S.C. chapter 701, or a regulation pre- (b) An administrative action under scribed or order issued under any of this section does not constitute a for- those provisions, TSA may impose a mal adjudication of the matter, and civil penalty in the following amounts: may be taken by issuing the alleged violator— (1) For violations that occurred on or (1) A ‘‘Warning Notice’’ that recites before November 2, 2015, $10,000 per vio- available facts and information about lation, up to a total of $50,000 per civil the incident or condition and indicates penalty action, in the case of an indi- that it may have been a violation; or vidual or small business concern, as de- (2) A ‘‘Letter of Correction’’ that fined in section 3 of the Small Business confirms the TSA decision in the mat- Act (15 U.S.C. 632). For violations that ter and states the necessary corrective occurred after November 2, 2015 $11,410 action the alleged violator has taken per violation, up to a total of $57,051 or agrees to take. If the agreed correc- per civil penalty action, in the case of tive action is not fully completed, legal an individual or small business con- enforcement action may be taken. cern; and (c) The issuance of a Warning Notice (2) For violations that occurred on or or Letter of Correction is not subject before November 2, 2015, $10,000 per vio- to appeal under this part. lation, up to a total of $400,000 per civil (d) In the case of a public transpor- penalty action, in the case of any other tation agency that is determined to be person. For violations that occurred in violation of a TSA requirement, an after November 2, 2015, $11,410 per vio- appropriate TSA official will seek cor- lation, up to a total of $456,409 per civil rection of the violation through a writ- penalty action, in the case of any other ten ‘‘Notice of Noncompliance’’ to the person. public transportation agency giving (c) Certain aviation related violations. the public transportation agency rea- In the case of a violation of 49 U.S.C. sonable opportunity to correct the vio- chapter 449 (except sections 44902, lation or propose an alternative means 44903(d), 44907(a)–(d)(1)(A), of compliance acceptable to TSA. 44907(d)(1)(C)–(f), 44908, and 44909), or 49 (e) TSA will not take legal enforce- U.S.C. 46302 or 46303, or a regulation ment action against a public transpor- prescribed or order issued under any of tation agency under subpart E unless it those provisions, TSA may impose a has provided the Notice of Noncompli- civil penalty in the following amounts: ance described in paragraph (d) of this (1) For violations that occurred on or section and the public transportation before November 2, 2015, $10,000 per vio- agency fails to correct the violation or lation, up to a total of $50,000 per civil propose an alternative means of com- penalty action, in the case of an indi- pliance acceptable to TSA within the vidual or small business concern, as de- timeframe provided in the notice. fined in section 3 of the Small Business (f) TSA will not initiate civil enforce- Act (15 U.S.C. 632). For violations that ment action for violations of adminis- occurred after November 2, 2015, $13,333 trative and procedural requirements per violation, up to a total of $66,666 pertaining to the application for, and per civil penalty action, in the case of the expenditure of, funds awarded pur- an individual (except an airman serv- suant to transportation security grant ing as an airman), or a small business programs under Public Law 110–53. concern.

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(2) For violations that occurred on or States, or the delegate of the Attorney before November 2, 2015, $10,000 per vio- General, to bring an action in the ap- lation, up to a total of $400,000 per civil propriate United States district court penalty action, in the case of any other for such relief as is necessary or appro- person (except an airman serving as an priate, including mandatory or prohibi- airman) not operating an aircraft for tive injunctive relief, interim equitable the transportation of passengers or relief, and punitive damages, as pro- property for compensation. For viola- vided by 49 U.S.C. 114 and 46107. tions that occurred after November 2, 2015, $13,333 per violation, up to a total § 1503.407 Military personnel. of $533,324 per civil penalty action, in the case of any other person (except an If a report made under this part indi- airman serving as an airman) not oper- cates that, while performing official ating an aircraft for the transportation duties, a member of the Armed Forces, of passengers or property for com- or a civilian employee of the Depart- pensation. ment of Defense who is subject to the (3) For violations that occurred on or Uniform Code of Military Justice (10 before November 2, 2015, $25,000 per vio- U.S.C. chapter 47), has violated a TSA lation, up to a total of $400,000 per civil requirement, an agency official will penalty action, in the case of a person send a copy of the report to the appro- operating an aircraft for the transpor- priate military authority for such dis- tation of passengers or property for ciplinary action as that authority con- compensation (except an individual siders appropriate and a report to the serving as an airman). For violations Administrator thereon. that occurred after November 2, 2015, $33,333 per violation, up to a total of § 1503.409 Service of documents. $533,324 per civil penalty action, in the (a) General. This section governs case of a person (except an individual service of documents required to be serving as an airman) operating an air- made under this part. craft for the transportation of pas- (b) Type of service. A person may sengers or property for compensation. serve documents by: [81 FR 8583, Jan. 27, 2017, as amended at 83 (1) Personal delivery; FR 13838, Apr. 2, 2018] (2) Mail, or § 1503.403 Delegation of authority. (3) Electronic mail or facsimile transmission, if consented to in writing The Administrator delegates the fol- by the person served, except that such lowing authority to the Chief Counsel service is not effective if the party and the Deputy Chief Counsel for En- making service receives credible infor- forcement, which authority may be re- mation indicating that the attempted delegated as necessary: service did not reach the person to be (a) To initiate and assess civil pen- served. alties under 49 U.S.C. 114 and 46301 and this subpart for a violation a TSA re- (c) If a party serves a pleading on an- quirement; other party during the course of hear- (b) To compromise civil penalties ini- ing proceedings by electronic mail or tiated under this subpart; and facsimile transmission, the party mak- (c) To refer cases to the Attorney ing service must file with the Enforce- General of the United States, or the ment Docket Clerk a copy of the con- delegate of the Attorney General, for sent of the receiving party to accept the collection of civil penalties. such method of service. (d) Date of service. The date of service § 1503.405 Injunctions. will be: Whenever it is determined that a per- (1) The date of personal delivery. son has engaged, or is about to engage, (2) If mailed, the mailing date stated in any act or practice constituting a on the certificate of service, the date violation of a TSA requirement, the shown on the postmark if there is no Chief Counsel or the Deputy Chief certificate of service, or other mailing Counsel for Enforcement may request date shown by other evidence if there the Attorney General of the United is no certificate of service or postmark.

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(3) If sent by electronic mail or fac- § 1503.411 Computation of time. simile transmission, the date of trans- (a) This section applies to any period mission. of time prescribed or allowed by this (e) Valid service. A document served part, or by notice or order of an ALJ. by mail or personal delivery that was (b) The date of an act, event, or de- properly addressed, was sent in accord- fault, after which a designated time pe- ance with this part, and that was re- riod begins to run, is not included in a turned, that was not claimed, or that computation of time under this sub- was refused, is deemed to have been part. served in accordance with this part. (c) The last day of a time period is in- The service will be considered valid as cluded in a computation of time unless of the date and the time that the docu- it is a Saturday, Sunday, a legal holi- ment was deposited with a contract or day, or a day on which the enforcement express messenger, the document was docket is officially closed. If the last mailed, or personal delivery of the doc- day of the time period is a Saturday, ument was attempted and refused. Sunday, legal holiday, or a day on (f) Presumption of service. There will which the enforcement docket is offi- be a presumption of service where a cially closed, the time period runs party or a person, who customarily re- until the end of the next day that is ceives mail, or receives it in the ordi- not a Saturday, Sunday, legal holiday, nary course of business, at either the or a day on which the enforcement person’s residence or the person’s prin- docket is officially closed. cipal place of business, acknowledges receipt of the document. § 1503.413 Notice of Proposed Civil Penalty. (g) Additional time after service by mail. Whenever a party has a right or a duty (a) Issuance. TSA may initiate a civil to act or to make any response within penalty action under this section by a prescribed period after service by serving a Notice of Proposed Civil Pen- alty on the person charged with a vio- mail, or on a date certain after service lation of a TSA requirement. TSA will by mail, 5 days will be added to the serve the Notice of Proposed Civil Pen- prescribed period. alty on the individual charged with a (h) Service of documents filed with the violation or on the president of the cor- Enforcement Docket. A person must poration or company charged with a serve a copy of any document filed violation, or other representative or with the Enforcement Docket on each employee previously identified in writ- party and the ALJ or the chief ALJ if ing to TSA as designated to receive no judge has been assigned to the pro- such service. A corporation or company ceeding at the time of filing. Service may designate in writing to TSA an- on a party’s attorney of record or a other person to receive service of any party’s designated representative is subsequent documents in that civil service on the party. penalty action. (i) Certificate of service. Each party (b) Contents. The Notice of Proposed must attach a certificate of service to Civil Penalty contains a statement of any document tendered for filing with the facts alleged, the statute, regula- the Enforcement Docket Clerk. A cer- tion, or order allegedly violated, the tificate of service must consist of a amount of the proposed civil penalty, statement, dated and signed by the per- and a certificate of service. son who effected service, of the name(s) (c) Response. Not later than 30 days of the person(s) served, and the method after receipt of the Notice of Proposed by which each person was served and Civil Penalty, the person charged with the date that the service was made. a violation may take one, and only (j) Service by the ALJ. The ALJ must one, of the following options. serve a copy of each document he or (1) Submit a certified check or she issues including, but not limited money order in the amount of the pro- to, notices of pre-hearing conferences posed civil penalty made payable to and hearings, rulings on motions, deci- Transportation Security Administra- sions, and orders, upon each party to tion, at the address specified in the No- the proceedings. tice of Proposed Civil Penalty, or make

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payment electronically through http:// ing by that person, may request from www.pay.gov. the agency attorney who issued the No- (2) Submit to the agency attorney tice of Proposed Civil Penalty portions who issued the Notice of Proposed Civil of the relevant EIR that are not privi- Penalty one of the following: leged (e.g., under the deliberative proc- (i) A written request that TSA issue ess, attorney work-product, or attor- an Order Assessing Civil Penalty in the ney-client privileges). This information amount stated in the Notice of Pro- will be provided for the sole purpose of posed Civil Penalty without further no- providing the information necessary to tice, in which case the person waives prepare a response to the allegations the right to request a Formal Hearing, contained in the Notice of Proposed and payment is due within 30 days of Civil Penalty. Sensitive Security Infor- receipt of the Order. mation (SSI) contained in the EIR may (ii) Written information and other be released pursuant to 49 CFR part evidence, including documents and wit- 1520. Information released under this ness statements, demonstrating that a section is not produced under the Free- violation of the regulations did not dom of Information Act. occur as alleged, or that the proposed (b) Any person not listed in para- penalty is not warranted by the cir- graph (a) of this section that is inter- cumstances. ested in obtaining a copy of the EIR (iii) A written request to reduce the must submit a FOIA request pursuant proposed civil penalty, the amount of to 5 U.S.C. 552, et seq., 49 CFR part 7, requested reduction, together with any and any applicable DHS regulations. documents supporting a reduction of Portions of the EIR may be exempt the proposed civil penalty, which re- from disclosure pursuant to FOIA. flect a current financial inability to pay or records showing that payment § 1503.417 Final Notice of Proposed of the proposed civil penalty would pre- Civil Penalty and Order. vent the person from continuing in (a) Issuance. TSA may issue a Final business. Notice of Proposed Civil Penalty and (iv) A written request for an Informal Order (‘‘Final Notice and Order’’) to a Conference, at a date to be determined person charged with a violation in the by the agency attorney, to discuss the following circumstances: matter with the agency attorney and (1) The person has failed to respond to submit supporting evidence and in- to a Notice of Proposed Civil Penalty formation to the agency attorney be- within 30 days after receipt of that no- fore the date of the Informal Con- tice. ference. (2) The person requested an Informal (3) Submit to the agency attorney Conference under § 1503.413(c)(2), but and to TSA’s Enforcement Docket failed to attend the conference or con- Clerk a written request for a Formal tinuation of the conference or provide Hearing before an ALJ in accordance the agency attorney with a written re- with subpart G of this part. TSA’s En- quest showing good cause for resched- forcement Docket Clerk is currently uling of the informal conference to a located at the United States Coast specified alternate date. Guard (USCG) ALJ Docketing Center, (3) The parties have participated in 40 S. Gay Street, Room 412, Baltimore, an Informal Conference or other infor- Maryland 21202–4022. If this location mal proceedings as provided in changes, TSA will provide notice of the § 1503.413(c)(2) and the parties have not change by notice in the FEDERAL REG- agreed to compromise the action or the ISTER. agency attorney has not agreed to withdraw the notice of proposed civil § 1503.415 Request for portions of the penalty. enforcement investigative report (b) Contents. The Final Notice and (EIR). Order will contain a statement of the (a) Upon receipt of a Notice of Pro- facts alleged, the law allegedly vio- posed Civil Penalty, a person charged lated by the respondent, and the with a violation of a TSA requirement, amount of the proposed civil penalty. or a representative designated in writ- The Final Notice and Order may reflect

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a modified allegation or proposed civil the individual charged with a violation penalty as a result of information sub- must respond to TSA by taking one, mitted to the agency attorney during and only one, of the following options. the informal proceedings held under (1) Submit a certified check or § 1503.413(c)(2). money order for the lesser specified penalty amount in the Notice of Viola- § 1503.419 Order Assessing Civil Pen- tion, made payable to Transportation alty. Security Administration and sent to (a) Issuance pursuant to a settlement. the address specified in the Notice of TSA will issue an Order Assessing Civil Violation, or make such payment elec- Penalty if the parties have participated tronically through http://www.pay.gov. in an Informal Conference or other in- (2) Submit to the office identified in formal proceedings as provided in the Notice of Violation one of the fol- § 1503.413(c)(2) and agreed to a civil pen- lowing: alty amount in compromise of the mat- (i) Written information and other ter, in which case the person waives evidence, including documents and wit- the right to request a formal hearing, ness statements, demonstrating that a and payment is due within 30 days of violation of the regulations did not receipt of the Order. occur as alleged, or that the proposed (b) Automatic issuance. A Final Notice penalty is not warranted by the cir- and Order automatically converts to an cumstances. Order Assessing Civil Penalty if— (ii) A written request to reduce the (1) The person charged with a viola- proposed civil penalty, the amount of tion submits a certified check or requested reduction, together with any money order in the amount reflected in documents supporting a reduction of the Final Notice and Order to Trans- the proposed civil penalty, which re- portation Security Administration, to flect a current financial inability to the address specified in the Final No- pay or records showing that payment tice and Order, or makes such payment of the proposed civil penalty would pre- electronically through http:// vent the person from continuing in www.pay.gov; or business. (2) The person fails to respond to the (iii) A written request for an Infor- Final Notice and Order or request a mal Conference, at a date to be deter- formal hearing within 15 days after re- mined by an agency official, to discuss ceipt of that notice. the matter with the agency official and to submit supporting evidence and in- § 1503.421 Streamlined civil penalty formation to the agency official before procedures for certain security vio- the date of the Informal Conference. lations. (3) Submit to the office identified in (a) Notice of violation. TSA, at the the Notice of Violation and to TSA’s agency’s discretion, may initiate a Enforcement Docket Clerk a written civil penalty action through issuance request for a formal hearing before an of a Notice of Violation for violations ALJ in accordance with subpart G. A described in the section and as other- request for a formal hearing before an wise provided by the Administrator. ALJ must be submitted to the address TSA may serve a Notice of Violation provided in § 1503.413(c)(3). on an individual who violates a TSA re- (d) Final Notice of Violation and Civil quirement by presenting a weapon, ex- Penalty Assessment Order. TSA may plosive, or incendiary for screening at issue a Final Notice of Violation and an airport or in checked baggage, Civil Penalty Assessment Order where the amount of the proposed civil (‘‘Final Notice and Order’’) to the re- penalty is less than $5,000. cipient of a Notice of Violation in the (b) Contents. A Notice of Violation following circumstances: contains a statement of the charges, (1) The individual has failed to re- the amount of the proposed civil pen- spond to a Notice of Violation within alty, and an offer to settle the matter 30 days after receipt of that notice. for a lesser specified penalty amount. (2) The individual requested an Infor- (c) Response. Not later than 30 days mal Conference under § 1503.421(c)(2)(iii) after receipt of the Notice of Violation, but failed to attend the conference or

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continuation of the conference or pro- rights to administrative and judicial vide the agency official with a written review. request showing good cause for re- scheduling the informal conference to § 1503.425 Compromise orders. a specified alternate date. (a) Issuance. At any time before the (3) The parties have participated in issuance of an Order Assessing Civil an Informal Conference or other infor- Penalty under this subpart, an agency mal proceedings as provided in attorney and a person subject to a No- § 1503.421(c)(2) and the parties have not tice of Proposed Civil Penalty, or an agreed to compromise the action or the agency official and a person subject to agency official has not agreed to with- a Notice of Violation, may agree to dis- draw the Notice of Violation. pose of the case by the issuance of a (e) Order Assessing Civil Penalty. A compromise order by TSA. Final Notice and Order automatically (b) Contents. A compromise order converts to an Order Assessing Civil contains the following: Penalty if— (1) All jurisdictional facts. (1) The individual charged with a vio- (2) All allegations. lation submits a certified check or (3) A statement that the person money order in the amount reflected in agrees to pay the civil penalty speci- the Final Notice and Order to Trans- fied. portation Security Administration at (4) A statement that TSA makes no the address specified in the Final No- finding of a violation. tice and Order, or makes such payment (5) A statement that the compromise electronically through http:// order will not be used as evidence of a www.pay.gov; or prior violation in any subsequent civil (2) The individual fails to respond to penalty proceeding. the Final Notice and Order or request a formal hearing within 15 days after re- § 1503.427 Request for a formal hear- ceipt of that notice. ing. (f) Delegation of authority. The au- (a) General. Any respondent may re- thority of the Administrator, under 49 quest a formal hearing, pursuant to U.S.C. 46301, to initiate, negotiate, and § 1503.413(c)(3) or § 1503.421(c)(3), to be settle civil penalty actions under this conducted in accordance with the pro- section is delegated to the Assistant cedures in subpart G of this part. The Administrator for Security Operations. filing of a request for a formal hearing This authority may be further dele- does not guarantee a person an oppor- gated. tunity to appear before an ALJ in per- § 1503.423 Consent orders. son, because the ALJ may issue an initial decision or dispositive order re- (a) Issuance. At any time before the solving the case prior to the com- issuance of an Order Assessing Civil mencement of the formal hearing. Penalty under this subpart, an agency (b) Form. The person submitting a re- attorney and a person subject to a No- quest for hearing must date and sign tice of Proposed Civil Penalty, or an the request, and must include his or agency official and a person subject to her current address. The request for a Notice of Violation, may agree to dis- hearing must be typewritten or legibly pose of the case by the issuance of a handwritten. consent order by TSA. (c) Submission of request. A person re- (b) Contents. A consent order contains questing a hearing must file a written the following: request for a hearing with the Enforce- (1) An admission of all jurisdictional ment Docket Clerk in accordance with facts. § 1503.429 and must serve a copy of the (2) An admission of agreed-upon alle- request on the agency attorney or gations. other agency official who issued the (3) A statement of the law violated. Notice of Proposed Civil Penalty, or (4) A finding of violation. Notice of Violation, as applicable, and (5) An express waiver of the right to any other party, in accordance with further procedural steps and of all § 1503.429.

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§ 1503.429 Filing of documents with Enforcement Docket Clerk under this the Enforcement Docket Clerk. part. (a) General. This section governs fil- (b) Signature required. The attorney of ing of documents with the Enforcement record, the party, or the party’s rep- Docket Clerk when required under this resentative must sign each document part. tendered for filing with the Enforce- (b) Type of service. A person must file ment Docket Clerk, or served on the a document with the Enforcement ALJ, the TSA decision maker on ap- Docket Clerk by delivering two copies peal, or each party. of the document as follows: (c) Effect of signing a document. By (1) By personal delivery or mail, to signing a document, the attorney of United States Coast Guard (USCG) record, the party, or the party’s rep- ALJ Docketing Center, ATTN: Enforce- resentative certifies that he or she has ment Docket Clerk, at the address read the document and, based on rea- specified in § 1503.413(c)(3). sonable inquiry and to the best of that (2) By electronic mail, to person’s knowledge, information, and [email protected]. If this belief, the document is— e-mail address changes, TSA will pro- (1) Consistent with the rules in this vide notice of the change by notice in part; the FEDERAL REGISTER. (2) Warranted by existing law or that (3) By facsimile transmission, to 410– a good faith and nonfrivolous argument 962–1746. If this number changes, TSA exists for extension, modification, or will provide notice of the change by no- reversal of existing law; tice in the FEDERAL REGISTER. (3) Not unreasonable or unduly bur- (c) Contents. Unless otherwise speci- densome or expensive, not made to har- fied in this part, each document must ass any person, not made to cause un- contain a short, plain statement of the necessary delay, not made to cause facts supporting the person’s position needless increase in the cost of the pro- and a brief statement of the action re- ceedings, or for any other improper quested in the document. Each docu- purpose; and ment must be typewritten or legibly (4) Supported by evidence, and any handwritten. denials of factual contentions are war- (d) Date of filing. The date of filing ranted on the evidence. will be as follows: (d) Sanctions. On motion of a party, if (1) The date of personal delivery. the ALJ or TSA decision maker finds (2) If mailed, the mailing date stated that any attorney of record, the party, on the certificate of service, the date or the party’s representative has shown on the postmark if there is no signed a document in violation of this certificate of service, or other mailing date shown by other evidence if there section, the ALJ or the TSA decision is no certificate of service or postmark. maker, as appropriate, will do the fol- (3) If sent by electronic mail or fac- lowing: simile transmission, the date of trans- (1) Strike the pleading signed in vio- mission. lation of this section. (e) Service of documents filed with the (2) Strike the request for discovery or Enforcement Docket. A person must the discovery response signed in viola- serve a copy of any document filed tion of this section and preclude fur- with the Enforcement Docket on each ther discovery by the party. party and the ALJ or the chief ALJ if (3) Deny the motion or request signed no judge has been assigned to the pro- in violation of this section. ceeding at the time of filing. Service (4) Exclude the document signed in on a party’s attorney of record or a violation of this section from the party’s designated representative is record. service on the party. (5) Dismiss the interlocutory appeal and preclude further appeal on that § 1503.431 Certification of documents. issue by the party who filed the appeal (a) General. This section governs each until an initial decision has been en- document tendered for filing with the tered on the record.

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(6) Dismiss the appeal of the ALJ’s § 1503.605 Appearances and rights of initial decision to the TSA decision parties. maker. (a) Any party may appear and be heard in person. Subpart F [Reserved] (b) Any party may be accompanied, represented, or advised by an attorney Subpart G—Rules of Practice in or representative designated by the TSA Civil Penalty Actions party and may be examined by that attorney or representative in any pro- § 1503.601 Applicability. ceeding governed by this subpart. An attorney or representative who rep- (a) This subpart applies to a civil resents a respondent and has not pre- penalty action in which the require- viously filed a pleading in the matter ments of paragraphs (a)(1) through must file a notice of appearance in the (a)(3) of this section are satisfied. action, in the manner provided in (1) There is an alleged violation of a § 1503.429, and must serve a copy of the TSA requirement. notice of appearance on each party, in (2) The amount in controversy does the manner provided in § 1503.409, be- not exceed— fore participating in any proceeding (i) $50,000 if the violation was com- governed by this subpart. The attorney mitted by an individual or a small or representative must include the business concern; name, address, and telephone number (ii) $400,000 if the violation was com- of the attorney or representative in the notice of appearance. mitted by any other person. (3) The person charged with the vio- § 1503.607 Administrative law judges. lation has requested a hearing in accordance with § 1503.427 of this part. (a) Powers of an ALJ. In accordance with the rules of this subpart, an ALJ (b) This subpart does not apply to the may: adjudication of the validity of any TSA (1) Give notice of, and hold, pre- rule or other requirement under the hearing conferences and hearings. U.S. Constitution, the Administrative (2) Issue scheduling orders and other Procedure Act, or any other law. appropriate orders regarding discovery or other matters that come before him § 1503.603 Separation of functions. or her consistent with the rules of this (a) Civil penalty proceedings, includ- subpart. ing hearings, will be prosecuted only (3) Administer oaths and affirma- by an agency attorney, except to the tions. extent another agency official is per- (4) Issue subpoenas authorized by mitted to issue and prosecute civil pen- law. alties under § 1503.421 of this part. (5) Rule on offers of proof. (b) An agency employee engaged in (6) Receive relevant and material evi- the performance of investigative or dence. prosecutorial functions in a civil pen- (7) Regulate the course of the hearing alty action must not, in that case or a in accordance with the rules of this factually related case, participate or subpart. give advice in a decision by the ALJ or (8) Hold conferences to settle or to by the TSA decision maker on appeal, simplify the issues on his or her own except as counsel or a witness in the motion or by consent of the parties. public proceedings. (9) Rule on procedural motions and (c) The Chief Counsel or an agency requests. attorney not covered by paragraph (b) (10) Make findings of fact and conclusions of law, and issue an initial deci- of this section will advise the TSA de- sion. cision maker regarding an initial deci- (11) Strike unsigned documents un- sion or any appeal of a civil penalty ac- less omission of the signature is cor- tion to the TSA decision maker. rected promptly after being called to the attention of the attorney or party.

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(12) Order payment of witness fees in service of the complaint. Subject to accordance with § 1503.649. paragraph (c) of this section, the an- (b) Limitations on the power of the ALJ. swer may be in the form of a letter, but (1) The ALJ may not: must be dated and signed by the person (i) Issue an order of contempt. responding to the complaint. An an- (ii) Award costs to any party. swer may be typewritten or may be (iii) Impose any sanction not speci- legibly handwritten. The person filing fied in this subpart. an answer should suggest a location for (iv) Adopt or follow a standard of the hearing when filing the answer. proof or procedure contrary to that set (b) Contents. An answer must specifi- forth in this subpart. cally state any affirmative defense (v) Decide issues involving the valid- that the respondent intends to assert ity of a TSA regulation, order, or other at the hearing. A person filing an an- requirement under the U.S. Constitu- swer may include a brief statement of tion, the Administrative Procedure any relief requested in the answer. Act, or other law. (c) Specific denial of allegations re- (2) If the ALJ imposes any sanction quired. A person filing an answer must not specified in this subpart, a party admit, deny, or state that the person is may file an interlocutory appeal of without sufficient knowledge or infor- right pursuant to § 1503.631(c)(3). mation to admit or deny, each num- (3) This section does not preclude an bered paragraph of the complaint. Any ALJ from issuing an order that bars a statement or allegation contained in person from a specific proceeding based the complaint that is not specifically on a finding of obstreperous or disrup- denied in the answer may be deemed an tive behavior in that specific pro- admission of the truth of that allega- ceeding. tion. A general denial of the complaint (c) Disqualification. The ALJ may dis- is deemed a failure to file an answer. qualify himself or herself at any time. (d) Failure to file answer. A person’s A party may file a motion, pursuant to failure to file an answer without good § 1503.629(f)(6), requesting that an ALJ cause, as determined by the ALJ, will be disqualified from the proceedings. be deemed an admission of the truth of each allegation contained in the com- § 1503.609 Complaint. plaint. (a) Filing. The agency attorney must file the complaint with the Enforce- § 1503.613 Consolidation and separa- ment Docket Clerk in accordance with tion of cases. § 1503.429, or may file a written motion (a) Consolidation. If two or more ac- pursuant to § 1503.629(f)(2)(i) instead of tions involve common questions of law filing a complaint, not later than 30 or fact, the Chief Administrative Law days after receipt by the agency attor- Judge may do the following: ney of a request for hearing. The agen- (1) Order a joint hearing or trial on cy attorney should suggest a location any or all such questions. for the hearing when filing the com- (2) Order the consolidation of such plaint. actions. (b) Contents. A complaint must set (3) Otherwise make such orders con- forth the facts alleged, any statute, cerning the proceedings as may tend to regulation, or order allegedly violated avoid unnecessary costs or delay. by the respondent, and the proposed (b) Consolidation shall not affect the civil penalty in sufficient detail to pro- applicability of this part. Consolidation vide notice of any factual or legal alle- of two or more actions that individ- gation and proposed civil penalty. ually meet the jurisdictional amounts set forth in § 1503.601(a)(2) shall not § 1503.611 Answer. cause the resulting consolidated action (a) Filing. A respondent must file a to come under the exclusive jurisdic- written answer to the complaint in action of the district courts of the United cordance with § 1503.429, or may file a States as specified in 49 U.S.C. written motion pursuant to 46301(d)(4)(A). § 1503.629(f)(1)–(4) instead of filing an (c) Separate trials. The Chief Adminis- answer, not later than 30 days after trative Law Judge, in furtherance of

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convenience or to avoid prejudice, or the parties or their attorneys which by when separate trials will be conducive due diligence could have been foreseen. to expedition and economy, may order (d) Failure to rule. If the ALJ fails to a separate trial of any claim, or of any rule on a written motion for an exten- separate issue, or any number of claims sion of time by the date the document or issues. was due, the motion for an extension of time is deemed granted for no more § 1503.615 Notice of hearing. than 20 days after the original date the (a) Notice. The ALJ must give each document was to be filed. If the ALJ party at least 60 days notice of the fails to rule on a request for continu- date, time, and location of the hearing. ance by the scheduled hearing date, the With the consent of the ALJ, the par- request is deemed granted for no more ties may agree to hold the hearing on than 10 days after the scheduled hear- an earlier date than the date specified ing date. in the notice of hearing. § 1503.619 Intervention. (b) Date, time, and location of the hearing. The ALJ to whom the proceedings (a) A person may file a motion for have been assigned must set a reason- leave to intervene as a party in a civil able date, time, and location for the penalty action. The person must file a hearing. The ALJ must consider the motion for leave to intervene not later need for discovery and any joint proce- than 10 days before the hearing unless dural or discovery schedule submitted the person shows good cause for the by the parties when determining the late filing. hearing date. The ALJ must give due (b) If the ALJ finds that intervention regard to the convenience of the par- will not unduly broaden the issues or ties, the location where the majority of delay the proceedings, the ALJ may the witnesses reside or work, and grant a motion for leave to intervene if whether the location is served by a the person will be bound by any order scheduled air carrier. or decision entered in the action or the person has a property, financial, or § 1503.617 Extension of time. other legitimate interest that may not (a) Oral requests. The parties may be addressed adequately by the parties. agree to extend for a reasonable period The ALJ may determine the extent to the time for filing a document under which an intervenor may participate in this subpart. If the parties agree, the the proceedings. ALJ must grant one extension of time § 1503.621 Amendment of pleadings. to each party. The party seeking the extension of time must submit a draft (a) Filing and service. A party must order to the ALJ to be signed by the file the amendment with the Enforce- ALJ and filed with the Enforcement ment Docket Clerk and must serve a Docket Clerk. The ALJ may grant ad- copy of the amendment on the ALJ and ditional oral requests for an extension all parties to the proceeding. of time where the parties agree to the (b) Time. A party must file an amend- extension. ment to a complaint or an answer (b) Written motion. A party must file a within the following: written motion for an extension of (1) Not later than 15 days before the time not later than 7 days before the scheduled date of a hearing, a party document is due unless the party shows may amend a complaint or an answer good cause for the late filing. The ALJ without the consent of the ALJ. may grant the extension of time if the (2) Less than 15 days before the party shows good cause. scheduled date of a hearing, the ALJ (c) Request for continuance of hearing. may allow amendment of a complaint Either party may request in writing a or an answer only for good cause shown continuance of the date of a hearing, in a motion to amend. for good cause shown, no later than (c) Responses. The ALJ must allow a seven days before the scheduled date of reasonable time, but not more than 20 the hearing. Good cause does not in- days from the date of filing, for other clude a scheduling conflict involving parties to respond if an amendment to

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a complaint, answer, or other pleading (c) Time. The parties may agree to has been filed with the ALJ. submit all prehearing motions and responses and may agree to close dis- § 1503.623 Withdrawal of complaint or covery in the proceedings under the request for hearing. joint schedule within a reasonable time At any time before or during a hear- before the date of the hearing, but not ing, an agency attorney may withdraw later than 15 days before the hearing. a complaint or a respondent may with- (d) Order establishing joint schedule. draw a request for a hearing without The ALJ must approve the joint sched- the consent of the ALJ. If an agency ule filed by the parties. One party must attorney withdraws the complaint or a submit a draft order establishing a party withdraws the request for a hear- joint schedule to the ALJ to be signed ing and the answer, the ALJ must dis- by the ALJ and filed with the Enforce- miss the proceedings under this sub- ment Docket Clerk. part with prejudice, unless the with- (e) Disputes. The ALJ must resolve drawing party shows good cause for disputes regarding discovery or dis- dismissal without prejudice, except putes regarding compliance with the that a party may withdraw a request joint schedule as soon as possible so for hearing without prejudice at any that the parties may continue to com- time before a complaint has been filed. ply with the joint schedule. (f) Sanctions for failure to comply with § 1503.625 Waivers. joint schedule. If a party fails to comply Waivers of any rights provided by with the ALJ’s order establishing a statute or regulation must be in writ- joint schedule, the ALJ may direct ing or by stipulation made at a hearing that party to comply with a motion or and entered into the record. The par- discovery request or, limited to the ex- ties must set forth the precise terms of tent of the party’s failure to comply the waiver and any conditions. with a motion or discovery request, the ALJ may do the following: § 1503.627 Joint procedural or dis- (1) Strike that portion of a party’s covery schedule. pleadings. (a) General. The parties may agree to (2) Preclude prehearing or discovery submit a schedule for filing all pre- motions by that party. hearing motions, a schedule for con- (3) Preclude admission of that por- ducting discovery in the proceedings, tion of a party’s evidence at the hear- or a schedule that will govern all pre- ing. hearing motions and discovery in the (4) Preclude that portion of the testi- proceedings. mony of that party’s witnesses at the (b) Form and content of schedule. If the hearing. parties agree to a joint procedural or discovery schedule, one of the parties § 1503.629 Motions. must file the joint schedule with the (a) General. A party applying for an ALJ, setting forth the dates to which order or ruling not specifically pro- the parties have agreed, and must serve vided in this subpart must do so by mo- a copy of the joint schedule on each tion. A party must comply with the re- party. quirements of this section when filing (1) The joint schedule may include, a motion. A party must serve a copy of but need not be limited to, requests for each motion on each party. discovery, any objections to discovery (b) Form and contents. A party must requests, responses to discovery re- state the relief sought by the motion quests to which there are no objec- and the particular grounds supporting tions, submission of prehearing mo- that relief. If a party has evidence in tions, responses to prehearing motions, support of a motion, the party must at- exchange of exhibits to be introduced tach any supporting evidence, includ- at the hearing, and a list of witnesses ing affidavits, to the motion. that may be called at the hearing. (c) Filing of motions. A motion made (2) Each party must sign the original prior to the hearing must be in writing joint schedule to be filed with the En- or orally on the record. Unless other- forcement Docket Clerk. wise agreed by the parties or for good

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cause shown, a party must file any pre- attorney may amend the complaint in hearing motion, and must serve a copy accordance with § 1503.621. on each party, not later than 30 days (2) Motion to dismiss. A party may file before the hearing. Motions introduced a motion to dismiss, specifying the during a hearing may be made orally grounds for dismissal. If an ALJ grants on the record unless the ALJ directs a motion to dismiss in part, a party otherwise. may appeal the ALJ’s ruling on the (d) Reply to motions. Any party may motion to dismiss under § 1503.631(b). file a reply, with affidavits or other (i) Motion to dismiss a request for a evidence in support of the reply, not hearing. An agency attorney may file a later than 30 days after service of a motion to dismiss a request for a hear- written motion on that party. When a ing as untimely instead of filing a com- motion is made during a hearing, the plaint. If the motion to dismiss is not reply may be made at the hearing on granted, the agency attorney must file the record, orally or in writing, within the complaint and must serve a copy of a reasonable time determined by the the complaint on each party not later ALJ. At the discretion of the ALJ, the than 20 days after service of the ALJ’s moving party may file a response to ruling or order on the motion to dis- the reply. miss. If the motion to dismiss is grant- (e) Rulings on motions. The ALJ must ed and the proceedings are terminated rule on all motions as follows: without a hearing, the respondent may file an appeal pursuant to § 1503.657. If (1) Discovery motions. The ALJ must required by the decision on appeal, the resolve all pending discovery motions agency attorney must file a complaint not later than 10 days before the hear- and must serve a copy of the complaint ing. on each party not later than 30 days (2) Prehearing motions. The ALJ must after service of the decision on appeal. resolve all pending prehearing motions (ii) Motion to dismiss a complaint. A re- not later than 7 days before the hear- spondent may file a motion to dismiss ing. If the ALJ issues a ruling or order a complaint instead of filing an answer, orally, the ALJ must serve a written on the ground that the complaint was copy of the ruling or order, within 3 not timely filed or on other grounds. If days, on each party. In all other cases, the ALJ does not grant the motion to the ALJ must issue rulings and orders dismiss, the respondent must file an in writing and must serve a copy of the answer and must serve a copy of the ruling or order on each party. answer on each party not later than 30 (3) Motions made during the hearing. days after service of the ALJ’s ruling The ALJ may issue rulings and orders or order on the motion to dismiss. If on motions made during the hearing the ALJ grants the motion to dismiss orally. Oral rulings or orders on mo- and the proceedings are terminated tions must be made on the record. without a hearing, the agency attorney (f) Specific motions. A party may file, may file an appeal pursuant to but is not limited to, the following mo- § 1503.657. If required by the decision on tions with the Enforcement Docket appeal, the respondent must file an an- Clerk: swer and must serve a copy of the an- (1) Motion to dismiss for insufficiency. swer on each party not later than 20 A respondent may file a motion to dis- days after service of the decision on ap- miss the complaint for insufficiency in- peal. stead of filing an answer. If the ALJ (iii) Motion to dismiss based on settle- denies the motion to dismiss the comment. A party may file a motion to dis- plaint for insufficiency, the respondent miss based on a mutual settlement of must file an answer not later than 20 the parties. days after service of the ALJ’s denial (3) Motion for more definite statement. of the motion. A motion to dismiss the A party may file a motion for more complaint for insufficiency must show definite statement of any pleading that that the complaint fails to state a vio- requires a response under this subpart. lation of a TSA requirement. If the A party must set forth, in detail, the ALJ grants the motion to dismiss the indefinite or uncertain allegations con- complaint for insufficiency, the agency tained in a complaint or response to

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any pleading and must submit the de- ticed, or evidence introduced during tails that the party believes would the hearing show that there is no gen- make the allegation or response defi- uine issue of material fact and that the nite and certain. party making the motion is entitled to (i) Complaint. A respondent may file a a decision as a matter of law. The motion requesting a more definite party moving for decision has the bur- statement of the allegations contained den of showing that there is no genuine in the complaint instead of filing an issue of material fact. answer. If the ALJ grants the motion, (6) Motion for disqualification. A party the agency attorney must supply a may file the motion at any time after more definite statement not later than the ALJ has been assigned to the pro- 15 days after service of the ruling ceedings but must make the motion be- granting the motion. If the agency at- fore the ALJ files an initial decision in torney fails to supply a more definite the proceedings. statement, the ALJ must strike the al- (i) Motion and supporting affidavit. A legations in the complaint to which the party must state the grounds for dis- motion is directed. If the ALJ denies qualification, including, but not lim- the motion, the respondent must file ited to, personal bias, pecuniary inter- an answer and must serve a copy of the est, or other factors supporting dis- answer on each party not later than 20 qualification, in the motion for dis- days after service of the order of de- qualification. A party must submit an nial. affidavit with the motion for disquali- (ii) Answer. An agency attorney may fication that sets forth, in detail, the file a motion requesting a more defi- matters alleged to constitute grounds nite statement if an answer fails to re- for disqualification. spond clearly to the allegations in the (ii) Answer. A party must respond to complaint. If the ALJ grants the mo- the motion for disqualification not tion, the respondent must supply a later than 5 days after service of the more definite statement not later than motion for disqualification. 15 days after service of the ruling on (iii) Decision on motion for disqualifica- the motion. If the respondent fails to tion. The ALJ must render a decision supply a more definite statement, the on the motion for disqualification not ALJ must strike those statements in later than 20 days after the motion has the answer to which the motion is di- been filed. If the ALJ finds that the rected. The respondent’s failure to sup- motion for disqualification and supply a more definite statement may be porting affidavit show a basis for dis- deemed an admission of unanswered al- qualification, the ALJ must withdraw legations in the complaint. from the proceedings immediately. If (4) Motion to strike. Any party may the ALJ finds that disqualification is move to strike any insufficient allega- not warranted, the ALJ must deny the tion or defense, or any redundant, im- motion and state the grounds for the material, or irrelevant matter in a denial on the record. If the ALJ fails to pleading. A party must file a motion to rule on a party’s motion for disquali- strike before a response is required fication within 20 days after the mo- under this subpart or, if a response is tion has been filed, the motion is not required, not later than 10 days deemed granted. after service of the pleading. (iv) Appeal. A party may appeal the (5) Motion for decision. A party may ALJ’s denial of the motion for disquali- move for decision, regarding all or any fication in accordance with § 1503.631(b). part of the proceedings, at any time be- [74 FR 36039, July 21, 2009, as amended at 75 fore the ALJ has issued an initial deci- FR 58333, Sept. 24, 2010] sion in the proceedings. A party may include with a motion for decision affi- § 1503.631 Interlocutory appeals. davits as well as any other evidence in (a) General. Unless otherwise pro- support of the motion. The ALJ must vided in this subpart, a party may not grant a party’s motion for decision if appeal a ruling or decision of the ALJ the pleadings, depositions, answers to to the TSA decision maker until the interrogatories, admissions, affidavits, initial decision has been entered on the matters that the ALJ has officially no- record. A decision or order of the TSA

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decision maker on the interlocutory a reasonable time after receipt of the appeal does not constitute a final order interlocutory appeal. of the Administrator for the purposes (e) Frivolous appeals. The TSA deci- of judicial appellate review under 49 sion maker may reject frivolous, repet- U.S.C. 46110. itive, or dilatory appeals, and may (b) Interlocutory appeal for cause. If a issue an order precluding one or more party files a written request for an in- parties from making further interlocu- terlocutory appeal for cause with the tory appeals in a proceeding in which ALJ, or orally requests an interlocu- there have been frivolous, repetitive, or tory appeal for cause, the proceedings dilatory interlocutory appeals. are stayed until the ALJ issues a deci- [74 FR 36039, July 21, 2009, as amended at 75 sion on the request. If the ALJ grants FR 58334, Sept. 24, 2010] the request, the proceedings are stayed until the TSA decision maker issues a § 1503.633 Discovery. decision on the interlocutory appeal. (a) Initiation of discovery. Any party The ALJ must grant an interlocutory may initiate discovery described in appeal for cause if a party shows that this section, without the consent or ap- delay of the appeal would be detri- proval of the ALJ, at any time after a mental to the public interest or would complaint has been filed in the pro- result in undue prejudice to any party. ceedings. (c) Interlocutory appeals of right. If a (b) Methods of discovery. The fol- party notifies the ALJ of an interlocu- lowing methods of discovery are per- tory appeal of right, the proceedings mitted under this section: depositions are stayed until the TSA decision on oral examination or written ques- maker issues a decision on the inter- tions of any person; written interrog- locutory appeal. A party may file an atories directed to a party; requests for interlocutory appeal, without the con- production of documents or tangible sent of the ALJ, before an initial deci- items to any person; and requests for sion has been entered in the following admission by a party. A party is not re- cases: quired to file written discovery requests and responses with the ALJ or (1) A ruling or order by the ALJ bar- the Enforcement Docket Clerk. In the ring a person from the proceedings. event of a discovery dispute, a party (2) Failure of the ALJ to dismiss the must attach a copy of these documents proceedings in accordance with in support of a motion made under this § 1503.623. section. (3) A ruling or order by the ALJ in (c) Service on the agency. A party violation of § 1503.607(b). must serve each discovery request di- (4) A ruling or order by the ALJ re- rected to the agency or any agency em- garding public access to a particular ployee on the agency attorney of docket or documents. record. (d) Procedure. Not later than 10 days (d) Time for response to discovery re- after the ALJ’s decision forming the quests. Unless otherwise directed by basis of an interlocutory appeal of this subpart, agreed by the parties, or right or not later than 10 days after the by order of the ALJ, a party must re- ALJ’s decision granting an interlocu- spond to a request for discovery, in- tory appeal for cause, a party must file cluding filing objections to a request a notice of interlocutory appeal, with for discovery, not later than 30 days supporting documents, and the party after service of the request. must serve a copy of the notice and (e) Scope of discovery. Subject to the supporting documents on each party. limits on discovery set forth in para- Not later than 10 days after service of graph (f) of this section, a party may the appeal brief, a party must file a discover any matter that is not privi- reply brief, if any, and the party must leged and that is relevant to the sub- serve a copy of the reply brief on each ject matter of the proceeding. A party party. The TSA decision maker must may discover information that relates render a decision on the interlocutory to the claim or defense of any party in- appeal, on the record and as a part of cluding the existence, description, na- the decision in the proceedings, within ture, custody, condition, and location

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of any document or other tangible item (2) If the ALJ determines that the re- and the identity and location of any quested material is not necessary to person having knowledge of discover- decide the case, the ALJ must preclude able matter. A party may discover any inquiry into the matter by any facts known, or opinions held, by an party. expert who any other party expects to (3) If the ALJ determines that the re- call to testify at the hearing. A party quested material may be disclosed dur- may not object to a discovery request ing discovery, the ALJ may order that on the basis that the information the material may be discovered and sought would not be admissible at the disclosed under limited conditions or hearing if the information sought dur- may be used only under certain terms ing discovery is reasonably calculated and conditions. to lead to the discovery of admissible (4) If the ALJ determines that the re- evidence. quested material is necessary to decide (f) Limiting discovery. The ALJ must the case and that a confidential order limit the frequency and extent of dis- is warranted, the ALJ must provide the covery permitted by this section if a following: party shows that— (1) The information requested is cu- (i) An opportunity for review of the mulative or repetitious; document by the parties off the record. (2) The information requested can be (ii) Procedures for excluding the in- obtained from another less burdensome formation from the record. and more convenient source; (iii) An order that the parties must (3) The party requesting the informa- not disclose the information in any tion has had ample opportunity to ob- manner and the parties must not use tain the information through other dis- the information in any other pro- covery methods permitted under this ceeding. section; or (i) Protective orders. A party or a per- (4) The method or scope of discovery son who has received a request for dis- requested by the party is unduly bur- covery may file a motion for protective densome or expensive. order and must serve a copy of the mo- (g) Disclosure of Sensitive Security In- tion for protective order on each party. formation (SSI). At the request of a The party or person making the mo- party, TSA may provide SSI to the tion must show that the protective party when, in the sole discretion of order is necessary to protect the party TSA, access to the SSI is necessary for or the person from annoyance, embar- the party to prepare a response to alle- rassment, oppression, or undue burden gations contained the complaint. TSA or expense. As part of the protective may provide such information subject order, the ALJ may do the following: to such restrictions on further disclo- (1) Deny the discovery request. sure and such safeguarding require- (2) Order that discovery be conducted ments as TSA determines appropriate. only on specified terms and conditions, (h) Confidential orders. A party or per- including a designation of the time or son who has received a discovery replace for discovery or a determination quest for information, other than SSI, of the method of discovery. that is related to a trade secret, confidential or sensitive material, com- (3) Limit the scope of discovery or petitive or commercial information, preclude any inquiry into certain mat- proprietary data, or information on re- ters during discovery. search and development, may file a (j) Duty to supplement or amend re- motion for a confidential order with sponses. A party who has responded to a the ALJ and must serve a copy of the discovery request has a duty to supple- motion for a confidential order on each ment or amend the response, as soon as party. the information is known, as follows: (1) The party or person making the (1) A party must supplement or motion must show that the confiden- amend any response to a question re- tial order is necessary to protect the questing the identity and location of information from disclosure to the pub- any person having knowledge of discov- lic. erable matters.

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(2) A party must supplement or (l) Interrogatories. A party, the par- amend any response to a question re- ty’s attorney, or the party’s represent- questing the identity of each person ative may sign the party’s responses to who will be called to testify at the interrogatories. A party must answer hearing as an expert witness and the each interrogatory separately and com- subject matter and substance of that pletely in writing. If a party objects to witness’ testimony. an interrogatory, the party must state (3) A party must supplement or the objection and the reasons for the amend any response that was incorrect objection. An opposing party may use when made or any response that was any part or all of a party’s responses to correct when made but is no longer interrogatories at a hearing authorized correct, accurate, or complete. under this subpart to the extent that (k) Depositions. The following rules the response is relevant, material, and apply to depositions taken pursuant to not repetitious. this section: (1) A party must not serve more than (1) Form. A deposition must be taken 30 interrogatories to each other party. on the record and reduced to writing. Each subpart of an interrogatory will The person being deposed must sign the be counted as a separate interrogatory. deposition unless the parties agree to (2) Before serving additional inter- waive the requirement of a signature. rogatories on a party, a party must file a motion for leave to serve additional (2) Administration of oaths. Within the interrogatories on a party with the United States, or a territory or posses- ALJ and must serve a copy on each sion subject to the jurisdiction of the party before serving additional inter- United States, a party must take a rogatories on a party. The ALJ may deposition before a person authorized grant the motion only if the party to administer oaths by the laws of the shows good cause for the party’s failure United States or authorized by the law to inquire about the information pre- of the place where the examination is viously and that the information can- held. Outside the United States, a not reasonably be obtained using less party will take a deposition in any burdensome discovery methods or be manner allowed by the Federal Rules obtained from other sources. of Civil Procedure (28 U.S.C. App.). (m) Requests for admission. A party (3) Notice of deposition. A party must may serve a written request for admis- serve a notice of deposition, stating the sion of the truth of any matter within time and place of the deposition and the scope of discovery under this sec- the name and address of each person to tion or the authenticity of any docu- be examined, on the person to be de- ment described in the request. A party posed, on the ALJ, on the Enforcement must set forth each request for admis- Docket Clerk, and on each party not sion separately. A party must serve later than 7 days before the deposition. copies of documents referenced in the A party may serve a notice of deposi- request for admission unless the docu- tion less than 7 days before the deposi- ments have been provided or are rea- tion only with consent of the ALJ and sonably available for inspection and for good cause shown. If a subpoena copying. ‘‘duces tecum’’ is to be served on the (1) Time. A party’s failure to respond person to be examined, the party must to a request for admission, in writing attach a copy of the subpoena duces and signed by the attorney or the tecum that describes the materials to party, not later than 30 days after serv- be produced at the deposition to the ice of the request, is deemed an admis- notice of deposition. sion of the truth of the statement or (4) Use of depositions. A party may use statements contained in the request for any part or all of a deposition at a admission. The ALJ may determine hearing authorized under this subpart that a failure to respond to a request only upon a showing of good cause. The for admission is not deemed an admis- deposition may be used against any sion of the truth if a party shows that party who was present or represented the failure was due to circumstances at the deposition or who had reason- beyond the control of the party or the able notice of the deposition. party’s attorney.

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(2) Response. A party may object to a oral, documentary, or demonstrative request for admission and must state evidence, to submit rebuttal evidence, the reasons for objection. A party may and to conduct any cross-examination specifically deny the truth of the mat- that may be required for a full and true ter or describe the reasons why the disclosure of the facts. party is unable to truthfully deny or (b) Admissibility. A party may intro- admit the matter. If a party is unable duce any oral, documentary, or demon- to deny or admit the truth of the mat- strative evidence in support of the par- ter, the party must show that the ty’s case or defense. The ALJ must party has made reasonable inquiry into admit any oral, documentary, or de- the matter or that the information monstrative evidence introduced by a known to, or readily obtainable by, the party, but must exclude irrelevant, im- party is insufficient to enable the material, or unduly repetitious evi- party to admit or deny the matter. A dence. party may admit or deny any part of (c) Hearsay evidence. Hearsay evi- the request for admission. If the ALJ dence is admissible in proceedings gov- determines that a response does not erned by this subpart. The fact that comply with the requirements of this evidence submitted by a party is hear- rule or that the response is insuffi- say goes only to the weight of the evi- cient, the matter is deemed admitted. dence and does not affect its admissi- (3) Effect of admission. Any matter ad- bility. mitted or deemed admitted under this section is conclusively established for § 1503.637 Standard of proof. the purpose of the hearing and appeal. (n) Motion to compel discovery. A party The ALJ may issue an initial deci- may move to compel discovery if a per- sion or may rule in a party’s favor only son refuses to answer a question during if the decision or ruling is supported by a deposition, a party fails or refuses to a preponderance of the evidence con- answer an interrogatory, if a person tained in the record. In order to pre- gives an evasive or incomplete answer vail, the party with the burden of proof during a deposition or when responding must prove the party’s case or defense to an interrogatory, or a party fails or by a preponderance of the evidence. refuses to produce documents or tangible items. During a deposition, the § 1503.639 Burden of proof. proponent of a question may complete (a) Except in the case of an affirma- the deposition or may adjourn the ex- tive defense, the burden of proof is on amination before moving to compel if a the agency. person refuses to answer. (b) Except as otherwise provided by (o) Failure to comply with a discovery statute or rule, the proponent of a mo- order or order to compel. If a party fails tion, request, or order has the burden to comply with a discovery order or an of proof. order to compel, the ALJ, limited to (c) A party who has asserted an af- the extent of the party’s failure to firmative defense has the burden of comply with the discovery order or mo- proving the affirmative defense. tion to compel, may do the following: (1) Strike that portion of a party’s § 1503.641 Offer of proof. pleadings. (2) Preclude prehearing or discovery A party whose evidence has been ex- motions by that party. cluded by a ruling of the ALJ may offer (3) Preclude admission of that por- the evidence for the record on appeal. tion of a party’s evidence at the hearing. § 1503.643 Public disclosure of evi- (4) Preclude that portion of the testi- dence. mony of that party’s witnesses at the This section applies to information hearing. other than Sensitive Security Informa- tion (SSI). All release of SSI is gov- § 1503.635 Evidence. erned by § 1503.415 and 49 CFR part 1520. (a) General. A party is entitled to (a) The ALJ may order that any present the party’s case or defense by other information contained in the

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record be withheld from public disclo- not limited to, a statement that the sure. Any person may object to disclo- testimony, document, or tangible evi- sure of information in the record by fil- dence is not relevant to the proceeding, ing a written motion to withhold spe- that the subpoena is not reasonably cific information with the ALJ and tailored to the scope of the proceeding, serving a copy of the motion on each or that the subpoena is unreasonable party. The party must state the spe- and oppressive. A motion to quash or cific grounds for nondisclosure in the modify the subpoena will stay the ef- motion. fect of the subpoena pending a decision (b) The ALJ must grant the motion by the ALJ on the motion. to withhold information in the record (c) Enforcement of subpoena. Upon a if, based on the motion and any re- showing that a person has failed or response to the motion, the ALJ deter- fused to comply with a subpoena, a mines that disclosure would be detri- party may apply to the U.S. district mental to transportation safety, dis- court having jurisdiction to seek judi- closure would not be in the public in- cial enforcement of the subpoena in ac- terest, or that the information is not cordance with 49 U.S.C. 46104. otherwise required to be made available to the public. § 1503.649 Witness fees. (a) General. Unless otherwise author- § 1503.645 Expert or opinion witnesses. ized by the ALJ, the party who applies An employee of the agency may not for a subpoena to compel the attend- be called as an expert or opinion wit- ance of a witness at a deposition or ness, for any party other than TSA, in hearing, or the party at whose request any proceeding governed by this sub- a witness appears at a deposition or part. An employee of a respondent may hearing, must pay the witness fees de- not be called by an agency attorney as scribed in this section. an expert or opinion witness for TSA in (b) Amount. Except for an employee any proceeding governed by this sub- of the agency who appears at the direc- part to which the respondent is a tion of the agency, a witness who ap- party. pears at a deposition or hearing is entitled to the same fees and mileage ex- § 1503.647 Subpoenas. penses as are paid to a witness in a (a) Request for subpoena. A party may court of the United States in com- obtain a subpoena to compel the at- parable circumstances. tendance of a witness at a deposition or hearing, or to require the production of § 1503.651 Record. documents or tangible items, from the (a) Exclusive record. The request for ALJ who is assigned to the case, or, if hearing, complaint, answer, transcript no ALJ is assigned or the assigned law of all testimony in the hearing, all ex- judge is unavailable, from the chief hibits received into evidence, and all ALJ. The party must complete the sub- motions, responses to motions, applica- poena, stating the title of the action tions, requests, and rulings will con- and the date and time for the witness’ stitute the exclusive record for deci- attendance or production of documents sion of the proceedings and the basis or items. The party who obtained the for the issuance of any orders in the subpoena must serve the subpoena on proceeding. the witness or the custodian of the doc- (b) Examination and copying of record. uments or tangible items sought to be (1) Generally. Any person interested in produced. reviewing or obtaining a copy of a (b) Motion to quash or modify the sub- record may do so only by submitting a poena. A party, or any person upon Freedom of Information Act (FOIA) re- whom a subpoena has been served, may quest under 5 U.S.C. 552, et seq., 49 CFR file a motion to quash or modify the part 7, and any applicable DHS regula- subpoena at or before the time speci- tions. Portions of the record may be fied in the subpoena for compliance. exempt from disclosure pursuant to The applicant must describe, in detail, FOIA. the basis for the application to quash (2) Docket Files or Documents Not for or modify the subpoena including, but Public Disclosure. (i) Only the following

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persons may review docket files or par- written posthearing briefs, if so or- ticular documents that are not for pub- dered. In each oral or written decision, lic disclosure: the ALJ must include findings of fact (A) Parties to the proceedings. and conclusions of law, and the (B) Their designated representatives. grounds supporting those findings and (C) Persons who have a need to know conclusions, upon all material issues of as determined by the Administrator. fact, the credibility of witnesses, the (ii) Those persons with permission to applicable law, any exercise of the review these documents or docket files ALJ’s discretion, the amount of any may view the materials at the TSA civil penalty found appropriate by the Headquarters, 601 South 12th Street, ALJ, and a discussion of the basis for Arlington, Virginia 20598–6002. Persons any order issued in the proceedings. with access to these records may have The ALJ is not required to provide a a copy of the records after payment of written explanation for rulings on ob- reasonable costs. jections, procedural motions, and other matters not directly relevant to the § 1503.653 Argument before the ALJ. substance of the initial decision. If the (a) Arguments during the hearing. Dur- ALJ refers to any previous unreported ing the hearing, the ALJ must give the or unpublished initial decision, the parties a reasonable opportunity to ALJ must make copies of that initial present arguments on the record sup- decision available to all parties and the porting or opposing motions, objec- TSA decision maker. tions, and rulings if the parties request (b) Written decision. At the conclusion an opportunity for argument. The ALJ of the hearing, the ALJ may issue the may request written arguments during initial decision and order orally on the the hearing if the ALJ finds that sub- record. The ALJ must issue a written mission of written arguments is nec- initial decision and order not later essary before the ALJ issues the ruling than 30 days after the conclusion of the or order. hearing or submission of the last (b) Final oral argument. At the conclu- posthearing brief. The ALJ must serve sion of the hearing and before the ALJ a copy of any written initial decision issues an initial decision in the pro- on each party. ceedings, the parties are entitled to (c) Order assessing civil penalty. Unless submit oral proposed findings of fact appealed pursuant to § 1503.657, the ini- and conclusions of law, exceptions to tial decision issued by the ALJ will be rulings of the ALJ, and supporting ar- considered an order assessing civil pen- guments for the findings, conclusions, alty if the ALJ finds that an alleged or exceptions. At the conclusion of the violation occurred and determines that hearing, a party may waive final oral a civil penalty, in an amount found ap- argument. propriate by the ALJ, is warranted. (c) Posthearing briefs. The ALJ may (d) Effect of initial decision. An initial request written posthearing briefs be- decision of an ALJ is persuasive au- fore the ALJ issues an initial decision thority in any other civil penalty ac- in the proceedings. If a party files a tion, unless appealed and reversed by written posthearing brief, the party the TSA decision maker or a court of must include proposed findings of fact competent jurisdiction. and conclusions of law, exceptions to rulings of the ALJ, and supporting ar- § 1503.657 Appeal from initial decision. guments for the findings, conclusions, (a) Notice of appeal. Either party may or exceptions. The ALJ must give the appeal the initial decision, and any de- parties a reasonable opportunity, not cision not previously appealed pursu- more than 30 days after receipt of the ant to § 1503.631, by filing a notice of transcript, to prepare and submit the appeal with the Enforcement Docket briefs. Clerk. A party must file the notice of appeal with USCG ALJ Docketing Cen- § 1503.655 Initial decision. ter, ATTN: Enforcement Docket Clerk, (a) Contents. The ALJ may issue an 40 S. Gay Street, Room 412, Baltimore, initial decision after the conclusion of Maryland 21202–4022. A party must file the hearing or after the submission of the notice of appeal not later than 10

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days after entry of the oral initial deci- the appeal, the party relies on evidence sion on the record or service of the contained in the record for the appeal, written initial decision on the parties the party must specifically refer in the and must serve a copy of the notice of appeal brief to the pertinent evidence appeal on each party. Upon filing of a contained in the transcript. notice of appeal, the effectiveness of (2) The TSA decision maker may dis- the initial decision is stayed until a miss an appeal, on the TSA decision final decision and order of the TSA de- maker’s own initiative or upon motion cision maker have been entered on the of any other party, where a party has record. filed a notice of appeal but fails to per- (b) Issues on appeal. A party may ap- fect the appeal by timely filing an appeal only the following issues: peal brief. (1) Whether each finding of fact is (e) Reply brief. Unless otherwise supported by a preponderance of the agreed by the parties, any party may evidence. (2) Whether each conclusion of law is file a reply brief not later than 35 days made in accordance with applicable after the appeal brief has been served law, precedent, and public policy. on that party. The party filing the (3) Whether the ALJ committed any reply brief must serve a copy of the prejudicial errors during the hearing reply brief on each party. If the party that support the appeal. relies on evidence contained in the (c) Perfecting an appeal. Unless other- record for the reply, the party must wise agreed by the parties, a party specifically refer to the pertinent evi- must perfect an appeal, not later than dence contained in the transcript in 50 days after entry of the oral initial the reply brief. decision on the record or service of the (1) Extension of time by agreement of written initial decision on the party, the parties. The parties may agree to by filing an appeal brief with the En- extend the time for filing a reply brief forcement Docket Clerk. with the consent of the TSA decision (1) Extension of time by agreement of maker. If the TSA decision maker the parties. The parties may agree to grants an extension of time to file the extend the time for perfecting the ap- reply brief, the Enforcement Docket peal with the consent of the TSA deci- Clerk will serve a letter confirming the sion maker. If the TSA decision maker extension of time on each party. grants an extension of time to perfect (2) Written motion for extension. If the the appeal, the Enforcement Docket parties do not agree to an extension of Clerk will serve a letter confirming the time for filing a reply brief, a party de- extension of time on each party. siring an extension of time may file a (2) Written motion for extension. If the written motion for an extension and parties do not agree to an extension of will serve a copy of the motion on each time for perfecting an appeal, a party party. The TSA decision maker may desiring an extension of time may file a written motion for an extension with grant an extension if good cause for the the Enforcement Docket Clerk and extension is shown in the motion. must serve a copy of the motion on (f) Other briefs. The TSA decision each party. The TSA decision maker maker may allow any person to submit may grant an extension if good cause an amicus curiae brief in an appeal of for the extension is shown in the mo- an initial decision. A party may not tion. file more than one appeal brief or reply (d) Appeal briefs. A party must file brief. A party may petition the TSA the appeal brief with the Enforcement decision maker, in writing, for leave to Docket Clerk and must serve a copy of file an additional brief and must serve the appeal brief on each party. a copy of the petition on each party. (1) In the appeal brief, a party must The party may not file the additional set forth, in detail, the party’s specific brief with the petition. The TSA deci- objections to the initial decision or sion maker may grant leave to file an rulings, the basis for the appeal, the additional brief if the party dem- reasons supporting the appeal, and the onstrates good cause for allowing addi- relief requested in the appeal. If, for tional argument on the appeal. The

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TSA decision maker will allow a rea- issue of law, or the issue was addressed sonable time for the party to file the at the hearing but was not raised by a additional brief. party in the briefs on appeal, the TSA (g) Number of copies. A party must file decision maker need not remand the the original appeal brief or the original case to the ALJ for further proceedings reply brief, and two copies of the brief, but has the discretion to do so. with the Enforcement Docket Clerk. (2) The TSA decision maker will issue (h) Oral argument. The TSA decision the final decision and order of the Ad- maker has sole discretion to permit ministrator on appeal in writing and oral argument on the appeal. On the will serve a copy of the decision and TSA decision maker’s own initiative or order on each party. Unless a petition upon written motion by any party, the for review is filed pursuant to § 1503.659, TSA decision maker may find that oral a final decision and order of the Ad- argument will contribute substantially ministrator will be considered an order to the development of the issues on ap- assessing civil penalty if the TSA deci- peal and may grant the parties an op- sion maker finds that an alleged viola- portunity for oral argument. tion occurred and a civil penalty is (i) Waiver of objections on appeal. If a warranted. party fails to object to any alleged (3) A final decision and order of the error regarding the proceedings in an Administrator after appeal is binding appeal or a reply brief, the party precedent in any other civil penalty ac- waives any objection to the alleged tion unless appealed and reversed by a error. The TSA decision maker is not court of competent jurisdiction. required to consider any objection in an appeal brief or any argument in the (4) The TSA decision maker will de- reply brief if a party’s objection is termine whether the decision and order based on evidence contained in the of the TSA decision maker, with the record and the party does not specifi- ALJ’s initial decision or order at- cally refer to the pertinent evidence tached, may be released to the public, from the record in the brief. either in whole or in redacted form. In (j) The TSA decision maker’s decision making this determination, the TSA on appeal. The TSA decision maker will decision maker will consider whether review the briefs on appeal and the oral disclosure of any of the information in argument, if any, to determine if the the decision and order would be detri- ALJ committed prejudicial error in the mental to transportation security, proceedings or that the initial decision would not be in the public interest, or should be affirmed, modified, or re- should not otherwise be required to be versed. The TSA decision maker may made available to the public. affirm, modify, or reverse the initial decision, make any necessary findings, § 1503.659 Petition to reconsider or modify a final decision and order of or may remand the case for any pro- the TSA decision maker on appeal. ceedings that the TSA decision maker determines may be necessary. (a) General. Any party may petition (1) The TSA decision maker may the TSA decision maker to reconsider raise any issue, on the TSA decision or modify a final decision and order maker’s own initiative, that is required issued by the TSA decision maker on for proper disposition of the pro- appeal from an initial decision. A party ceedings. The TSA decision maker will must file a petition to reconsider or give the parties a reasonable oppor- modify not later than 30 days after tunity to submit arguments on the new service of the TSA decision maker’s issues before making a decision on ap- final decision and order on appeal and peal. If an issue raised by the TSA deci- must serve a copy of the petition on sion maker requires the consideration each party. The TSA decision maker of additional testimony or evidence, will not reconsider or modify an initial the TSA decision maker will remand decision and order issued by an ALJ the case to the ALJ for further pro- that has not been appealed by any ceedings and an initial decision related party to the TSA decision maker and to that issue. If the TSA decision filed with the Enforcement Docket maker raises an issue that is solely an Clerk.

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(b) Form and number of copies. A party ceedings that the TSA decision maker must file in writing a petition to recon- determines may be necessary. sider or modify. The party must file [74 FR 36039, July 21, 2009, as amended at 75 the original petition with the Enforce- FR 58334, Sept. 24, 2010] ment Docket Clerk and must serve a copy of the petition on each party. § 1503.661 Judicial review of a final (c) Contents. A party must state brief- order. ly and specifically the alleged errors in For violations of a TSA requirement, the final decision and order on appeal, a party may petition for review of a the relief sought by the party, and the final order of the Administrator only grounds that support the petition to re- to the courts of appeals of the United consider or modify. States or the United States Court of (1) If the petition is based, in whole Appeals for the District of Columbia or in part, on allegations regarding the pursuant to 49 U.S.C. 46110. A party consequences of the TSA decision mak- seeking judicial review of a final order er’s decision, the party must describe must file a petition for review not later and support those allegations. than 60 days after the final order has (2) If the petition is based, in whole been served on the party. or in part, on new material not previously raised in the proceedings, the Subpart H—Judicial Assessment of party must set forth the new material Civil Penalties and include affidavits of prospective witnesses and authenticated docu- § 1503.701 Applicability of this sub- ments that would be introduced in sup- part. port of the new material. The party (a) Jurisdictional minimums. This sub- must explain, in detail, why the new part applies to a civil penalty action material was not discovered through under this part in which the total due diligence prior to the hearing. amount in controversy exceeds the fol- (d) Repetitious and frivolous petitions. lowing amounts. The TSA decision maker will not con- (b) In general. Except as provided in sider repetitious or frivolous petitions. paragraph (c) of this section, in the The TSA decision maker may sum- case of violation of title 49 U.S.C. or 46 marily dismiss repetitious or frivolous U.S.C chapter 701, a regulation pre- petitions to reconsider or modify. scribed, or order issued under any of (e) Reply petitions. Any other party those provisions, the amount in con- may reply to a petition to reconsider troversy exceeds the following: or modify, not later than 30 days after (1) $50,000, in the case of violation by service of the petition on that party, an individual or small business con- by filing a reply with the Enforcement cern, as defined in section 3 of the Docket Clerk. A party must serve a Small Business Act (15 U.S.C. 632). copy of the reply on each party. (2) $400,000, in the case of violation by (f) Effect of filing petition. Unless oth- any other person. erwise ordered by the TSA decision (c) Certain aviation related violations. maker, filing a petition pursuant to In the case of a violation of 49 U.S. C. this section will stay the effective date chapter 449 (except sections 44902, of the TSA decision maker’s final deci- 44903(d), 44907(a)–(d)(1)(A), sion and order on appeal. 44907(d)(1)(C)–(f), 44908, and 44909), or a (g) The TSA decision maker’s decision regulation prescribed or order issued on petition. The TSA decision maker under any of those provisions, the has sole discretion to grant or deny a amount in controversy exceeds the fol- petition to reconsider or modify. The lowing: TSA decision maker will grant or deny (1) $50,000, in the case of violation by a petition to reconsider or modify an individual (except an airman serv- within a reasonable time after receipt ing as an airman), any person not oper- of the petition or receipt of the reply ating an aircraft for the transportation petition, if any. The TSA decision of passengers or property for com- maker may affirm, modify, or reverse pensation, or a small business concern, the final decision and order on appeal, as defined in section 3 of the Small or may remand the case for any pro- Business Act (15 U.S.C. 632).

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(2) $400,000, in the case of violation by (e) Referral for prosecution and collec- a person operating an aircraft for the tion. If the parties cannot agree to transportation of passengers or prop- compromise the civil penalty action or erty for compensation (except an indi- the offer to compromise is rejected and vidual serving as an airman). the payment submitted in compromise is returned, the Administrator may § 1503.703 Civil penalty letter; referral. refer the civil penalty action to the (a) Issuance. In a civil penalty action United States Attorney General, or the in which the amount in controversy ex- delegate of the Attorney General, to ceeds the amounts set forth in begin proceedings in a United States § 1503.701, the Administrator will send a district court, pursuant to the author- civil penalty letter to the person ity in 49 U.S.C. 114 or 46305 to prosecute charged with a violation of a TSA re- and collect the civil penalty. quirement. (f) The Administrator delegates to (b) Contents. The civil penalty letter the Chief Counsel and the Deputy Chief will contain a statement of the Counsel for Enforcement the authority charges; the applicable law, rule, regu- to carry out any function of the Ad- lation, or order; the amount of civil ministrator described in this § 1503.703. penalty that the Administrator will accept in full settlement of the action or Subpart I—Formal Complaints an offer to compromise the civil penalty. § 1503.801 Formal complaints. (c) Response. Not later than 30 days (a) Any person may file a complaint after receipt of the civil penalty letter, with the Administrator with respect to the person charged with a violation any act or omission by any person in may present to the agency attorney contravention of 49 U.S.C., subtitle VII, any material or information in answer part A, (except sections 44902, 44903(d), to the charges, either orally or in writ- 44907(a)–(d)(1)(A), 44907(d)(1)(C)–(f), ing, that may explain, mitigate, or 44908, and 44909) administered by the deny the violation or that may show Administrator, or a regulation pre- extenuating circumstances. The Ad- scribed or order issued under any of ministrator will consider any material those provisions. This section does not or information submitted in accord- apply to complaints against the Ad- ance with this paragraph (c) to deter- ministrator or employees of the TSA mine whether the person is subject to a acting within the scope of their em- civil penalty or to determine the ployment. amount for which the Administrator will compromise the action. (b) Complaints filed under this section must— (d) Compromise. If the person charged with a violation offers to compromise (1) Be submitted in writing and iden- the civil penalty action for a specific tified as a complaint filed for the pur- amount, that person must send pay- pose of seeking an appropriate order or ment in a form and manner acceptable other enforcement action; to TSA for that amount to the agency, (2) Be submitted to the U.S. Depart- made payable to the Transportation ment of Homeland Security, Transpor- Security Administration, or make pay- tation Security Administration, by fol- ment electronically through http:// lowing the instructions to complete a www.pay.gov. The Chief Counsel or the ‘‘complaint’’ contact form by following Deputy Chief Counsel for Civil Enforce- the instructions on the TSA Web site, ment may accept the payment or may currently accessible at http:// refuse and return the payment. If the www.tsa.gov/contact/index.shtm. Administrator accepts the offer to (3) Set forth the name and address, if compromise, the agency will send a let- known, of each person who is the sub- ter to the person charged with the vio- ject of the complaint and, with respect lation stating that the payment is ac- to each person, the specific provisions cepted in full settlement of the civil of the statute, regulation, or order that penalty action and that the matter is the person filing the complaint be- closed. lieves were violated;

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(4) Contain a concise, but complete, (k) The complaint and other plead- statement of the facts relied upon to ings and official TSA records relating substantiate each allegation; to the disposition of the complaint are (5) State the name, address, and tele- maintained in current docket form at: phone number of the person filing the U.S. Department of Homeland Secu- complaint; and rity, Transportation Security Adminis- (6) Be signed by the person filing the tration, Office of the Chief Counsel, complaint or a duly authorized rep- TSA–2, Complaint Docket, 601 South resentative. 12th Street, Arlington, VA 20598–6002. If (c) TSA will consider complaints that this location changes, TSA will give do not meet the requirements of para- notice of the change by publishing a graph (b) of this section as reports notice in the FEDERAL REGISTER. under § 1503.1. (1) Generally. Any person interested (d) TSA will place complaints that in reviewing or obtaining a copy of a meet the requirements of paragraph (b) record may do so only by submitting a of this section in the docket and will Freedom of Information Act (FOIA) re- mail a copy to each person named in quest under 5 U.S.C. 552, et seq. and 49 the complaint. CFR part 7. Portions of the record may (e) TSA will refer any complaint be exempt from disclosure pursuant to against a member of the Armed Forces FOIA. of the United States acting in the per- (2) Docket files or documents not for formance of official duties to the Sec- public disclosure. (i) Only the following retary of the Department concerned in persons may review docket files or par- accordance with the procedures set ticular documents that are not for pub- forth in § 1503.407. lic disclosure: (f) The person named in the com- (A) Parties to the proceedings. plaint must file an answer within 20 (B) Representatives designated in days after service of a copy of the com- writing by a party. plaint. (C) Persons who have a need to know (g) After the complaint has been an- as determined by the Administrator. swered or after the allotted time in (ii) Those persons with permission to which to file an answer has expired, the review these documents or docket files Administrator, or a designated official, may view the materials at the Com- will determine if there are reasonable plaint Docket, TSA Headquarters, Vis- itor Center, 601 South 12th Street, Ar- grounds for investigating the com- lington, Virginia 20598–6002, Attn: Of- plaint. fice of Chief Counsel. If this address (h) If the Administrator, or a des- changes, TSA will give notice by pub- ignated official, determines that a lishing a notice in the FEDERAL REG- complaint does not state facts that ISTER. Persons with access to these warrant an investigation or action, the records may have a copy of the records Administrator or designated official after payment of reasonable costs. may dismiss the complaint without a hearing and, if so, will provide the reason for the dismissal, in writing, to the PART 1507—PRIVACY ACT- person who filed the complaint and the EXEMPTIONS person(s) named in the complaint. (i) If the Administrator, or a des- Sec. ignated official, determines that rea- 1507.1 Scope. sonable grounds exist, an informal in- 1507.3 Exemptions. vestigation may be initiated. Each per- AUTHORITY: 49 U.S.C. 114(l)(1), 40113, 5 son named in the complaint will be ad- U.S.C. 552a(j) and (k). vised which official has been delegated SOURCE: 69 FR 35537, June 25, 2004, unless the responsibility under § 1503.203 for otherwise noted. conducting the investigation. (j) If the investigation substantiates § 1507.1 Scope. the allegations set forth in the com- This part implements provisions of plaint, a notice of proposed order may the Privacy Act of 1974 (the Act) that be issued or other enforcement action permit TSA to exempt any system of taken in accordance with this part. records within the agency from certain

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requirements of the Act. The proce- apprehension, which undermines the dures governing access to, and correc- entire system. tion of, records in a TSA system of (2) From subsection (d) (Access to records are set forth in 6 CFR part 5, Records) because access to the records subpart B. contained in this system of records could inform the subject of an inves- § 1507.3 Exemptions. tigation of an actual or potential The following TSA systems of criminal, civil, or regulatory violation records are exempt from certain provi- to the existence of the investigation sions of the Privacy Act of 1974 pursu- and reveal investigative interest on the ant to 5 U.S.C. 552a(j), (k), or both, as part of TSA, as well as the recipient set forth in this section. During the agency. Access to the records would course of normal agency functions, ex- permit the individual who is the sub- empt materials from one system of ject of a record to impede the inves- records may become part of one or tigation and avoid detection or appre- more other systems of records. To the hension. Amendment of the records extent that any portion of system of would interfere with ongoing investiga- records becomes part of another Pri- tions and law enforcement activities, vacy Act system of records, TSA here- and impose an impossible administra- by claims the same exemptions as were tive burden by requiring investigations claimed in the original primary system to be continuously reinvestigated. The of which they are a part and claims information contained in the system any additional exemptions in accord- may also include properly classified in- ance with this part. formation, the release of which would (a) Transportation Security Enforce- pose a threat to national defense and/or ment Record System (DHS/TSA 001). The foreign policy. In addition, permitting Transportation Security Enforcement access and amendment to such infor- Record System (TSERS) (DHS/TSA 001) mation also could disclose sensitive se- enables TSA to maintain a system of curity information, which could be det- records related to the screening of pas- rimental to transportation security. sengers and property and they may be (3) From subsection (e)(1) (Relevancy used to identify, review, analyze, inves- and Necessity of Information) because tigate, and prosecute violations or po- in the course of investigations into potential violations of criminal statutes tential violations of transportation se- and transportation security laws. Pur- curity laws, the accuracy of informa- suant to exemptions (j)(2), (k)(1), and tion obtained or introduced occasion- (k)(2) of the Privacy Act, DHS/TSA 001 ally may be unclear or the information is exempt from 5 U.S.C. 552a(c)(3), (d), may not be strictly relevant or nec- (e)(1), (e)(3), (e)(4)(G), (H), and (I), and essary to a specific investigation. In (f). Exemptions from the particular the interests of effective enforcement subsections are justified for the fol- of transportation security laws, it is lowing reasons: appropriate to retain all information (1) From subsection (c)(3) (Account- that may aid in establishing patterns ing for Disclosures) because release of of unlawful activity. the accounting of disclosures could (4) From subsection (e)(3) (Privacy alert the subject of an investigation of Act Statement) because disclosing the an actual or potential criminal, civil, authority, purpose, routine uses, and or regulatory violation to the existence potential consequences of not proof the investigation and reveal inves- viding information could reveal the in- tigative interest on the part of TSA, as vestigative interests of TSA, as well as well as the recipient agency. Disclosure the nature and scope of an investiga- of the accounting would therefore tion, the disclosure of which could en- present a serious impediment to trans- able individuals to circumvent agency portation security, law enforcement ef- regulations or statutes. forts, and efforts to preserve national (5) From subsections (e)(4)(G), (H), security. Disclosure of the accounting and (I) (Agency Requirements), and (f) would also permit the individual who is (Agency Rules), because this system is the subject of a record to impede the exempt from the access provisions of investigation and avoid detection or subsection (d).

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(b) Transportation Workers Employ- an employment investigation may oc- ment Investigations System (DHS/TSA casionally contain information that is 002). The Transportation Workers Em- not strictly relevant or necessary to a ployment Investigations System specific employment investigation. In (TWEI) (DHS/TSA 002) enables TSA to the interests of administering an effec- facilitate the performance of back- tive and comprehensive transportation ground checks on employees of trans- worker employment investigation pro- portation operators and others who are gram, it is appropriate and necessary issued credentials or clearances by for TSA to retain all such information transportation operators, other than that may aid in that process. TSA employees. Pursuant to exemp- (4) From subsections (e)(4)(G), (H), tions (k)(1) and (k)(2) of the Privacy and (I) (Agency Requirements), and (f) Act, DHS/TSA 002 is exempt from 5 (Agency Rules), because this system is U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) exempt from the access provisions of and (I), and (f). Exemptions from the subsection (d). particular subsections are justified for (c) Personnel Background Investigation the following reasons: File System (DHS/TSA 004). The Per- (1) From subsection (c)(3) (Account- sonnel Background Investigation File ing for Disclosures), because release of System (PBIFS) (DHS/TSA 004) enables the accounting of disclosures could re- TSA to maintain investigative and veal investigative interest on the part background material used to make of the recipient agency that obtained suitability and eligibility determina- the record pursuant to a routine use. tions regarding current and former Disclosure of the accounting could TSA employees, applicants for TSA therefore present a serious impediment employment, and TSA contract em- to law enforcement efforts on the part ployees. Pursuant to exemptions (k)(1) of the recipient agency, as the indi- and (k)(5) of the Privacy Act, the Per- vidual who is the subject of a record sonnel Background Investigation File would learn of third-agency investigate System is exempt from 5 U.S.C. interests and thereby avoid detection 552a(c)(3) (Accounting of Disclosures) or apprehension. and (d) (Access to Records). Exemp- (2) From subsection (d) (Access to tions from the particular subsections Records), because access to the records are justified because this system con- contained in this system could reveal tains investigatory material compiled investigate techniques and procedures solely for determining suitability, eli- in the transportation workers employ- gibility, and qualifications for Federal ment investigation process, as well as civilian employment. To the extent the nature and scope of the employ- that the disclosure of material would ment investigation, the disclosure of reveal any classified material or the which could enable individuals to cir- identity of a source who furnished in- cumvent agency regulations or stat- formation to the Government under an utes and obtain access to sensitive in- express promise that the identity of formation and restricted areas in the the source would be held in confidence, transportation industry. The informa- or, prior to September 27, 1975, under tion contained in the system might in- an implied promise that the identity of clude properly classified information, the source would be held in confidence, the release of which would pose a the applicability of exemption (k)(5) threat to national defense and/or for- will be required to honor promises of eign policy. In addition, permitting ac- confidentiality should the data subject cess and amendment to such informa- request access to or amendment of the tion could reveal sensitive security in- record, or access to the accounting of formation protected pursuant to 49 disclosures of the record. Exemption U.S.C. 114(s), the disclosure of which (k)(1) will be required to protect any could be detrimental to the security of classified information that may be in transportation. this system. (3) From subsection (e)(1) (Relevancy (d) Internal Investigation Record Sys- and Necessity of Information), because tem (DHS/TSA 005). The Internal Inves- third-agency records obtained or made tigation Record System (IIRS) (DHS/ available to TSA during the course of TSA 005) contains records of internal

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investigations for all modes of trans- an investigation may occasionally con- portation for which TSA has security- tain information that is not strictly related duties. This system covers in- relevant or necessary to a specific information regarding investigations of vestigation. In the interests of admin- allegations or appearances of mis- istering an effective and comprehen- conduct of current or former TSA em- sive investigation program, it is appro- ployees or contractors and provides priate and necessary for TSA to retain support for any adverse action that all such information that may aid in may occur as a result of the findings of that process. the investigation. It is being modified (4) From subsection (e)(3) (Privacy to cover investigations of security-re- Act Statement) because disclosing the lated incidents and reviews of TSA pro- authority, purpose, routine uses, and grams and operations. Pursuant to ex- potential consequences of not pro- emptions (j)(2), (k)(1), and (k)(2) of the viding information could reveal the Privacy Act, DHS/TSA 005 is exempt targets of interests of the investigating from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(3), (e)(4)(G), (H), and (I), and (f). Ex- office, as well as the nature and scope emptions from the particular sub- of an investigation, the disclosure of sections are justified for the following which could enable individuals to cir- reasons: cumvent agency regulations or stat- (1) From subsection (c)(3) (Account- utes. ing for Disclosures) because release of (5) From subsections (e)(4)(G), (H) the accounting of disclosures could re- and (I) (Agency Requirements), and (f) veal investigative interest on the part (Agency Rules), because this system is of the recipient agency that obtained exempt from the access provisions of the record pursuant to a routine use. subsection (d). Disclosure of the accounting could, (e) Correspondence and Matters Track- therefore, present a serious impedi- ing Records (DHS/TSA 006). The Cor- ment to law enforcement efforts on the respondence and Matters Tracking part of the recipient agency, as the in- Records (CMTR) (DHS/TSA 006) system dividual who is the subject of a record allows TSA to manage, track, retrieve, would learn of third-agency investiga- and respond to incoming correspond- tive interests and thereby avoid detec- ence, inquiries, claims and other mat- tion or apprehension, as well as to TSA ters presented to TSA for disposition, investigative efforts. and to monitor the assignment, dis- (2) From subsection (d) (Access to position and status of such matters. Records) because access to the records This system covers information coming contained in this system could reveal into TSA from individuals as well as investigative techniques and proce- information recorded by TSA employ- dures of the investigators, as well as ees in the performance of their duties. the nature and scope of the investiga- Pursuant to exemptions (k)(1) and tion, the disclosure of which could en- (k)(2) of the Privacy Act, DHS/TSA 006 able individuals to circumvent agency is exempt from 5 U.S.C. 552a(c)(3), (d), regulations or statutes. The information contained in the system might in- (e)(1), (e)(4)(G), (H) and (I), and (f). Ex- clude properly classified information, emptions from the particular sub- the release of which would pose a sections are justified for the following threat to national defense and/or for- reasons: eign policy. In addition, permitting ac- (1) From subsection (c)(3) (Account- cess and amendment to such records ing for Disclosures), because release of could reveal sensitive security infor- the accounting of disclosures could re- mation protected pursuant to 49 U.S.C. veal investigative interest on the part 114(s), the disclosure of which could be of the recipient agency that obtained detrimental to the security of trans- the record pursuant to a routine use. portation. Disclosure of the accounting could (3) From subsection (e)(1) (Relevancy therefore present a serious impediment and Necessity of Information) because to law enforcement efforts on the part third agency records obtained or made of the recipient agency, as the indi- available to TSA during the course of vidual who is the subject of a record

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would lean of third-agency investiga- ticular subsections are justified for the tive interests and thereby avoid detec- following reasons: tion or apprehension. (1) From subsection (c)(3) (Account- (2) From subsection (d) (Access to ing for Disclosures), because release of Records), because access to the records the accounting of disclosures could re- contained in this system could reveal veal investigative interest on the part investigative interest on the part of of the recipient agency that obtained TSA or other agency and the nature of the record pursuant to a routine use. that interest, the disclosure of which Disclosure of the accounting could could enable individuals to circumvent therefore present a serious impediment agency regulations or statutes. The in- to law enforcement efforts on the part formation contained in the system of the recipient agency, as the indi- might include properly classified infor- vidual who is the subject of a record mation, the release of which would would learn of third-agency investiga- pose a threat to national defense and/or tive interests and thereby avoid detec- foreign policy. In addition, permitting tion or apprehension. access and amendment to such infor- (2) From subsection (d) (Access to mation could reveal sensitive security Records), because access to the records information protected pursuant to 49 contained in this system could reveal U.S.C. 114(s), the disclosure of which could be detrimental to transportation investigative interest on the part of security. TSA or other agency and the nature of (3) From subsection (e)(1) (Relevancy that interest, the disclosure of which and necessity of Information), because could enable individuals to circumvent third-agency records obtained or made agency regulations or statutes. The in- available to TSA during the course of formation contained in the system an investigation may occasionally con- might include properly classified infor- tain information that is not strictly mation, the release of which would relevant or necessary to a specific in- pose a threat to national defense and/or vestigation. In the interests of admin- foreign policy. In addition, permitting istering an effective and comprehen- access and amendment to such infor- sive investigation program, it is appro- mation could reveal sensitive security priate and necessary for TSA to retain information protected pursuant to 49 all such information that may aid in U.S.C. 114(s), the disclosure of which that process. would be detrimental to transportation (4) From subsections (e)(4)(G), (H) security. and (I) (Agency Requirements), and (f) (3) From subsection (e)(1) (Relevancy (Agency rules), because this system is and necessity of Information), because exempt from the access provisions of third-agency records obtained or made subsection (d). available to TSA during the course of (f) Freedom of Information and Privacy an investigation may occasionally con- Act Records (DHS/TSA 007). The Free- tain information that is not strictly dom of Information and Privacy Act relevant or necessary to a specific in- (FOIA/PA) Records System (DHS/TSA vestigation. In the interests of admin- 007) system enables TSA to maintain istering an effective and comprehen- records that will assist in processing sive investigation program, it is appro- access requests and administrative ap- priate and necessary for TSA to retain peals under FOIA and access and all such information that may aid in amendments requests and appeals that process. under the PA; participate in associated (4) From subsections (e)(4)(G), (H) litigation; and assist TSA in carrying and (I) (Agency Requirements), and (f) out any other responsibilities under (Agency Rules), because this system is FOIA/PA. Pursuant to exemptions exempt from the access provisions of (k)(1) and (k)(2) of the Privacy Act, subsection (d). Freedom of Information and Privacy Act Records are exempt from 5 U.S.C. (g) General Legal Records System (DHS/ 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and TSA 009). The General Legal Records (I), and (f). Exemptions from the par- (GLR) System (DHS/TSA 009) enables

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TSA to maintain records that will as- all such information that may aid in sist attorneys to perform their func- that process. tions within the office of Chief Coun- (4) From subsections (e)(4)(G), (H) sel, to include providing legal advice, and (I) (Agency Requirements), and (f) responding to claims filed by employ- (Agency Rules), because this system is ees and others, and assisting in litiga- exempt from the access provisions of tion and in the settlement of claims. subsections (d). Pursuant to exemptions (k)(1) and (h) Federal Flight Deck Officer Records (k)(2) of the Privacy Act, DHS/TSA 009 System (DHS/TSA 013). The Federal is exempt from 5 U.S.C. 552a(c)(3), (d), Flight Deck Officer Record System (e)(1), (e)(4)(G), (H) and (I), and (f). Ex- (FFDORS) (DHS/TSA 013) enables TSA emptions from the particular sub- to maintain a system of records docu- sections are justified for the following menting the application, selection, reasons: training, and requalification of pilots (1) From subsection (c)(3) (Account- deputized by TSA to perform the duties ing for Disclosures), because release of of a Federal Flight Deck Officer the accounting of disclosures could re- (FFDO). Pursuant to exemptions (k)(1), veal investigative interest on the part (k)(2), and (k)(6) of the Privacy Act, of the recipient agency that obtained DHS/TSA 013 is exempt from 5 U.S.C. the record pursuant to a routine use. 552a(c)(3), (d), and (e)(1). Exemptions Disclosure of the accounting could from the particular subsections are jus- therefore present a serious impediment tified for the following reasons: to law enforcement efforts on the part (1) From (c)(3) (Accounting of Certain of the recipient agency, as the indi- Disclosures) and (d) (Access to vidual who is the subject of a record Records), because access to the ac- would learn of third-agency investiga- counting of disclosures in this system tive interests and thereby avoid detec- could reveal the identity of a confiden- tion or apprehension. tial source that provided information (2) From subsection (d) (Access to during the background check process. Records), because access to the records Without the ability to protect the iden- contained in this system could reveal tity of a confidential source, the agen- investigative interest on the part of TSA or other agency and the nature of cy’s ability to gather pertinent infor- that interest, the disclosure of which mation about candidates for the pro- would enable individuals to circumvent gram may be limited. In addition, the agency regulations or statutes. The in- system might contain information that formation contained in the system is properly classified, the release of might include properly classified infor- which would pose a threat to national mation, the release of which would security and/or foreign policy, or infor- pose a threat to national defense and/or mation the disclosure of which could be foreign policy. In addition, permitting detrimental to the security of trans- access and amendment to such infor- portation pursuant to 49 U.S.C. 114(s). mation could reveal sensitive security Finally, the agency must be able to information protected pursuant to 49 protect against access to testing or ex- U.S.C. 114(s), the disclosure of which amination material as release of this could be detrimental to transportation material could compromise the effec- security. tiveness of the testing and examination (3) From subsection (e)(1) (Relevancy procedure itself. The examination ma- and Necessity of Information), because terial contained in this system is so third-agency records obtained or made similar in form and content to the ex- available to TSA during the course of amination material used in the selec- an investigation may occasionally con- tion process for TSA security screen- tain information that is not strictly ers, or potential selection processes relevant or necessary to a specific in- that TSA may utilize in the future, vestigation. In the interests of admin- that release of the material would istering an effective and comprehen- compromise the objectivity or fairness sive investigation program, it is appro- of the testing or examination process priate and necessary for TSA to retain of those TSA employees.

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(2) From (e)(1) (Relevancy and Neces- mination. Amendment of the records sity of Information), because informa- would interfere with ongoing security tion obtained or made available to TSA assessment investigations and program from other agencies and other sources suitability determinations and impose during the evaluation of an individual’s an impossible administrative burden by suitability for an FFDO position may requiring such investigations to be occasionally include information that continuously reinvestigated. The infor- is not strictly relevant or necessary to mation contained in the system may the specific determination regarding also include classified information, the that individual. In the interests of ef- release of which would pose a threat to fective program administration, it is national defense and/or foreign policy. appropriate and necessary for TSA to In addition, permitting access and collect all such information that may amendment to such information also aid in the FFDO selection process. could disclose sensitive security infor- (i) Registered Traveler Operations Files mation protected pursuant to 49 U.S.C. (DHS/TSA 015). The purpose of this sys- 114(s) and 49 CFR part 1520, the disclo- tem is to pre-screen and positively sure of which could be detrimental to identify volunteer travelers using ad- transportation security. vanced identification technologies and (3) From subsection (e)(1) (Relevancy conduct a security threat assessment and Necessity of Information) because to ensure that the volunteer does not in the course of screening applicants pose a security threat. This system for program suitability, TSA must be may expedite the pre-boarding process able to review information from a vari- for the traveler and improve the allo- ety of sources. What information is rel- cation of TSA’s security resources on evant and necessary may not always be individuals who may pose a security apparent until after the evaluation is threat. Pursuant to exemptions (k)(1) completed. In the interests of transpor- and (k)(2) of the Privacy Act, DHS/TSA tation security, it is appropriate to in- 015 is exempt from 5 U.S.C. 552a(c)(3), clude a broad range of information that (d), (e)(1), (e)(4)(G), (H) and (I), and (f). may aid in determining an applicant’s Exemptions from the particular sub- suitability for the Registered Traveler sections are justified for the following reasons: program. (1) From subsection (c)(3) (Account- (4) From subsections (e)(4)(G), (H) ing for Disclosures) because release of and (I) (Agency Requirements), and (f) the accounting of disclosures could (Agency Rules), because this system is alert the subject of heightened security exempt from the access and amend- concerns relating to an actual or po- ment provisions of subsection (d). tential criminal, civil, or regulatory (j) Transportation Security Intelligence violation to the existence of an inves- Service (TSIS) Operations Files. Trans- tigative interest on the part of the De- portation Security Intelligence Service partment of Homeland Security or an- Operations Files (TSIS) (DHS/TSA 011) other Federal law enforcement or other enables TSA to maintain a system of recipient agency. Disclosure of the ac- records related to intelligence gath- counting would therefore present a se- ering activities used to identify, re- rious impediment to transportation se- view, analyze, investigate, and prevent curity law enforcement efforts and ef- violations or potential violations of forts to preserve national security. Dis- transportation security laws. This sys- closure of the accounting would also tem also contains records relating to permit the individual who is the sub- determinations about individuals’ ject of a record to impede the program qualifications, eligibility, or suit- suitability determination, which un- ability for access to classified informa- dermines the entire system. tion. Pursuant to exemptions (j)(2), (2) From subsection (d) (Access to (k)(1), (k)(2), and (k)(5) of the Privacy Records) because access to some of the Act, DHS/TSA 011 is exempt from 5 records contained in this system of U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), records could permit the individual (H), and (I), and (f). Exemptions from who is the subject of a record to im- particular subsections are justified for pede the program suitability deter- the following reasons:

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(1) From subsection (c)(3) (Account- (3) From subsection (e)(1) (Relevancy ing for Disclosures) because release of and Necessity of Information) because the accounting of disclosures could in the course of gathering and ana- alert the subject of intelligence gather lyzing information about potential operations and reveal investigative in- threats to transportation security, the terest on the part of the Transpor- accuracy of information obtained or in- tation Security Administration, as troduced occasionally may be unclear well as the recipient agency. Disclosure or the information may not be strictly of the accounting would therefore relevant or necessary to a specific op- present a serious impediment to trans- eration. In the interests of transpor- portation security law enforcement ef- tation security, it is appropriate to re- forts and efforts to preserve national tain all information that may aid in security. Disclosure of the accounting identifying threats to transportation would also permit the individual who is security and establishing other pat- the subject of a record to impede oper- terns of unlawful activity. ations and avoid detection and appre- (4) From subsections (e)(4)(G), (H), hension, which undermined the entire and (I) (Agency Requirements), and (f) system. Disclosure of the accounting (Agency Rules), because this system is may also reveal the existence of infor- exempt from the access and amend- mation that is classified or sensitive ment provisions of subsection (d). security information, the release of (k) Secure Flight Records. (1) Secure which would be detrimental to the se- Flight Records (DHS/TSA 019) enables curity of transportation. TSA to maintain a system of records (2) From subsection (d) (Access to related to watch list matching applied Records) because access to the records to air passengers and to non-traveling contained in this system of records individuals authorized to enter an air- could inform the subject of intelligence port sterile area. Pursuant to 5 U.S.C. gathering operations and reveal inves- 552a(j)(2) and (k)(2), TSA is claiming tigative interest on the part of the the following exemptions for certain Transportation Security Administra- records within the Secure Flight tion. Access to the records would per- Records system: 5 U.S.C. 552a(c)(3) and mit the individual who is the subject of (4); (d)(1), (2), (3), and (4); (e)(1), (2), (3), a record to impede operations and pos- (4)(G) through (I), (5), and (8); (f), and sibly avoid detection or apprehension. (g). Amendment of the records would inter- (2) In addition to records under the fere with ongoing intelligence and law control of TSA, the Secure Flight sys- enforcement activities and impose an tem of records may include records impossible administrative burden by originating from systems of records of requiring investigations to be contin- other law enforcement and intelligence ually reinvestigated. The information agencies which may be exempt from contained in the system may also in- certain provisions of the Privacy Act. clude properly classified information, However, TSA does not assert exemp- the release of which would pose a tion to any provisions of the Privacy threat to national defense and/or for- Act with respect to information sub- eign policy. In addition, permitting ac- mitted by or on behalf of individual cess and amendment to such informa- passengers or non-travelers in the tion also could disclose sensitive secu- course of making a reservation or seek- rity information, which could be detri- ing access to a secured area under the mental to transportation security if re- Secure Flight program. leased. This system may also include (3) To the extent the Secure Flight information necessary to make a deter- system contains records originating mination as to an individual’s quali- from other systems of records, TSA fications, eligibility, or suitability for will rely on the exemptions claimed for access to classified information, the re- those records in the originating system lease of which would reveal the iden- of records. Exemptions for certain tity of a source who received an ex- records within the Secure Flight press or implied assurance that their Records system from particular sub- identity would not be revealed to the sections of the Privacy Act are justi- subject of the record. fied for the following reasons:

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(i) From subsection (c)(3) (Account- ligence investigations and analysis ac- ing for Disclosures) because giving a tivities and impose an impossible ad- record subject access to the accounting ministrative burden by requiring inves- of disclosures from records concerning tigations, analyses, and reports to be him or her could reveal investigative continuously reinvestigated and re- interest on the part of the recipient vised. agency that obtained the record pursu- (iv) From subsection (e)(1) because it ant to a routine use. Disclosure of the is not always possible for TSA or other accounting could therefore present a agencies to know in advance what in- serious impediment to law enforcement formation is both relevant and nec- efforts on the part of the recipient essary for it to complete an identity agency because the individual who is comparison between aviation pas- the subject of the record would learn of sengers or certain non-travelers and a third agency investigative interests known or suspected terrorist. In addi- and could take steps to evade detection tion, because TSA and other agencies or apprehension. Disclosure of the ac- may not always know what informa- counting also could reveal the details tion about an encounter with a known of watch list matching measures under or suspected terrorist will be relevant the Secure Flight program, as well as to law enforcement for the purpose of capabilities and vulnerabilities of the conducting an operational response. watch list matching process, the re- (v) From subsection (e)(2) because ap- lease of which could permit an indi- plication of this provision could vidual to evade future detection and present a serious impediment to thereby impede efforts to ensure trans- counterterrorism, law enforcement, or portation security. intelligence efforts in that it would put (ii) From subsection (c)(4) because the subject of an investigation, study portions of this system are exempt or analysis on notice of that fact, from the access and amendment provi- thereby permitting the subject to en- sions of subsection (d). gage in conduct designed to frustrate (iii) From subsections (d)(1), (2), (3), or impede that activity. The nature of and (4) because these provisions con- counterterrorism, law enforcement, or cern individual access to and amend- intelligence investigations is such that ment of certain records contained in vital information about an individual this system, including law enforcement frequently can be obtained only from counterterrorism, investigatory and in- other persons who are familiar with telligence records. Compliance with such individual and his/her activities. these provisions could alert the subject In such investigations, it is not feasible of an investigation of the fact and na- to rely upon information furnished by ture of the investigation, and/or the in- the individual concerning his own ac- vestigative interest of intelligence or tivities. law enforcement agencies; compromise (vi) From subsection (e)(3), to the ex- sensitive information related to na- tent that this subsection is interpreted tional security; interfere with the over- to require TSA to provide notice to an all law enforcement process by leading individual if TSA or another agency re- to the destruction of evidence, im- ceives or collects information about proper influencing of witnesses, fab- that individual during an investigation rication of testimony, and/or flight of or from a third party. Should the sub- the subject; identify a confidential section be so interpreted, exemption source or disclose information which from this provision is necessary to would constitute an unwarranted inva- avoid impeding counterterrorism, law sion of another’s personal privacy; re- enforcement, or intelligence efforts by veal a sensitive investigative or intel- putting the subject of an investigation, ligence technique; or constitute a po- study or analysis on notice of that tential danger to the health or safety fact, thereby permitting the subject to of law enforcement personnel, con- engage in conduct intended to frustrate fidential informants, and witnesses. or impede that activity. Amendment of these records would (vii) From subsections (e)(4)(G) and interfere with ongoing counterter- (H) (Agency Requirements) and (f) rorism, law enforcement, or intel- (Agency Rules), because this system is

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exempt from the access provisions of 5 PART 1510—PASSENGER CIVIL U.S.C. 552a(d). AVIATION SECURITY SERVICE FEES (viii) From subsection (e)(5) because many of the records in this system Sec. coming from other system of records 1510.1 Applicability and purpose. are derived from other domestic and 1510.3 Definitions. foreign agency record systems and 1510.5 Imposition of security service fees. therefore it is not possible for TSA to 1510.7 Air transportation advertisements and solicitations. ensure their compliance with this pro- 1510.9 Collection of security service fees. vision, however, TSA has implemented 1510.11 Handling of security service fees. internal quality assurance procedures 1510.13 Remittance of security service fees. to ensure that data used in the watch 1510.15 Accounting and auditing require- list matching process is as thorough, ments. 1510.17 Reporting requirements. accurate, and current as possible. In 1510.19 Federal oversight. addition, in the collection of informa- 1510.21 Enforcement. tion for law enforcement, counterterrorism, and intelligence purposes, it is AUTHORITY: 49 U.S.C. 114, 40113, and 44940. impossible to determine in advance SOURCE: 66 FR 67701, Dec. 31, 2001, unless what information is accurate, relevant, otherwise noted. timely, and complete. With the passage § 1510.1 Applicability and purpose. of time, seemingly irrelevant or untimely information may acquire new This part prescribes a uniform fee to significance as further investigation be paid by passengers of direct air car- brings new details to light. The restric- riers and foreign air carriers in air tions imposed by (e)(5) would limit the transportation, foreign air transpor- ability of those agencies’ trained inves- tation, and intrastate air transpor- tigators and intelligence analysts to tation originating at airports in the exercise their judgment in conducting United States. investigations and impede the develop- [79 FR 35472, June 20, 2014] ment of intelligence necessary for effective law enforcement and counter- § 1510.3 Definitions. terrorism efforts. However, TSA has In addition to the definitions in implemented internal quality assur- §§ 1500.3, 1503.103, and 1540.5 of this ance procedures to ensure that the chapter, the following terms are used data used in the watch list matching in this part: process is as thorough, accurate, and Air carrier means a citizen of the current as possible. United States who undertakes directly (ix) From subsection (e)(8) because to to engage in or provide air transpor- require individual notice of disclosure tation. of information due to compulsory legal Air transportation means continental process would pose an impossible ad- interstate air transportation, conti- ministrative burden on TSA and other nental intrastate air transportation, agencies and could alert the subjects of foreign air transportation, non-conti- counterterrorism, law enforcement, or nental interstate air transportation, or intelligence investigations to the fact non-continental intrastate air trans- of those investigations when not pre- portation. viously known. Aircraft means a device that is used (x) From subsection (f) (Agency or intended to be used for flight in the air. Rules) because portions of this system Airport means any landing area used are exempt from the access and amend- regularly by aircraft for receiving or ment provisions of subsection (d). discharging passengers or cargo. (xi) From subsection (g) to the extent Continental interstate air transpor- that the system is exempt from other tation means the carriage by aircraft of specific subsections of the Privacy Act. persons for compensation or hire with- [69 FR 35537, June 25, 2004, as amended at 70 in the continental United States. FR 33384, June 8, 2005; 71 FR 44227, Aug. 4, Continental intrastate air transpor- 2006; 72 FR 63709, Nov. 9, 2007] tation means the carriage by aircraft of

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persons for compensation or hire whol- Origin point means the location at ly within the same state of the conti- which a trip on a complete air travel nental United States. itinerary begins. Continental United States means the Principal means the aggregate District of Columbia and the States amount of all passenger security serv- other than Alaska and Hawaii. ices fees due to be remitted to the Co-terminal means an airport serving Transportation Security Administra- a multi-airport city or metropolitan tion by an air carrier as required by area that has been approved by TSA to this part. be used as the same point for purposes Round trip means a trip on an air of determining application of the secu- travel itinerary that terminates or has rity service fee imposed under § 1510.5 a stopover at the origin point (or co- of this part. Copies of the approved list terminal). are available on TSA’s Web site at Selling carrier means an air carrier or www.tsa.gov or by contacting tsa- foreign air carrier that provides or of- [email protected]. fers to provide air transportation and Direct air carrier and foreign air carrier has control over the operational func- means a selling carrier. tions performed in providing that air Foreign air carrier means any person transportation. other than a citizen of the United means a break in travel of States who undertakes directly to en- Stopover gage in or provide air transportation. more than: Foreign air transportation means the (1) Four (4) hours for continental carriage by aircraft of persons for com- interstate air transportation or conti- pensation or hire between a place in nental intrastate air transportation, the United States and any place out- and side of the United States. (2) Twelve (12) hours for non-conti- Frequent flyer award means a zero- nental interstate air transportation, fare award of air transportation that a non-continental intrastate air trans- domestic air carrier or foreign air car- portation, or foreign air transpor- rier provides to a passenger in ex- tation. change for accumulated travel mileage Terminates means the location at credits in a customer loyalty program, which a trip on a complete air travel whether or not the term frequent flyer itinerary ends. is used in the definition of that program. [66 FR 67701, Dec. 31, 2001, as amended at 68 FR 49720, Aug. 19, 2003; 79 FR 35473, June 20, Non-continental interstate air transpor- 2014; 80 FR 31857, June 4, 2015] tation means the carriage by aircraft of persons for compensation or hire with- § 1510.5 Imposition of security service in the United States, but outside the fees. continental United States. (a) Each direct air carrier and foreign Non-continental intrastate air transportation means the carriage by aircraft of air carrier described in § 1510.9(a) shall persons for compensation or hire whol- impose a security service fee of $5.60 ly within the same state, territory or per one-way trip for air transportation possession of the United States, but originating at an airport in the United outside the continental United States. States. Passengers may not be charged Nonrevenue passenger means a pas- more than $5.60 per one-way trip or senger receiving air transportation $11.20 per round trip. from an air carrier or foreign air car- (b) The security service fee must be rier for which the air carrier or foreign imposed on passengers who obtained air carrier does not receive remunera- the ticket for air transportation with a tion. frequent flyer award, but may not be One-way trip means continuous air imposed on any other nonrevenue pas- transportation, during which a stop- sengers. over does not occur; there may be mul- [79 FR 35473, June 20, 2014, as amended at 80 tiple one-way trips on the same air FR 31857, June 4, 2015] travel itinerary.

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§ 1510.7 Air transportation advertise- (b) Security service fees collected by ments and solicitations. a direct air carrier or foreign air car- A direct air carrier and foreign air rier are held in trust by that direct carrier must identify the security serv- carrier for the beneficial interest of the ice fee imposed by this part as ‘‘Sep- United States in paying for the costs of tember 11th Security Fee’’ in all its ad- providing civil aviation security serv- vertisements and solicitations for air ices described in 49 U.S.C. 44940. The di- transportation. rect air carrier or foreign air carrier holds neither legal nor equitable inter- § 1510.9 Collection of security service est in the security service fees except fees. for the right to retain any accrued in- (a) The following direct air carriers terest on the principal amounts col- and foreign air carriers must collect selected pursuant to § 1510.13(b). curity service fees from passengers (c) Direct air carriers and foreign air on— carriers must account for security (1) A scheduled passenger or public service fees separately, but the fees charter passenger operation with an may be commingled with the carriers’ aircraft having passenger seating con- other sources of revenue. figuration of more than 60 seats. (d) Direct air carriers and foreign air (2) A scheduled passenger or public carriers must disclose in their finan- charter passenger operation with an cial statements the existence and the aircraft having a passenger seating amount of security service fee held in configuration of less than 61 seats trust. when passengers are enplaned from or deplaned into a sterile area. § 1510.13 Remittance of security serv- (b) Direct air carriers and foreign air ice fees. carriers must collect from each pas- (a) Each direct air carrier and foreign senger, to the extent provided in air carrier must remit all security § 1510.5, a security service fee on air service fees imposed each calendar transportation sold on or after 12:00 month to TSA, as directed by the Ad- a.m. (Eastern Daylight Time) on July ministrator, by the last calendar day of 21, 2014. The security service fee must the month following the imposition. be based on the air travel itinerary at the time the air transportation is sold. (b) Direct air carriers and foreign air Any changes by the passenger to the carriers may retain any interest that itinerary are subject to additional col- accrues on the principal amounts collection or refund of the security service lected between the date of collection fee by the direct air carrier or foreign and the date the fee is remitted to TSA air carrier, as appropriate. in accordance with paragraph (a) of (c) Whether or not the security serv- this section. ice fee is collected as required by this (c) Direct air carriers and foreign air part, the direct air carrier or foreign carriers are prohibited from retaining air carrier selling the air transpor- any portion of the principal to offset tation is solely liable to TSA for the the costs of collecting, handling, or re- fee and must remit the fee as required mitting the passenger security service in § 1510.13. fees. (d) Direct air carriers and foreign air (d) Security service fees are payable carriers may not collect security serv- to the ‘‘Transportation Security Ad- ice fees not imposed by this part. ministration’’ in U.S. currency and drawn on a U.S. bank. [66 FR 67701, Dec. 31, 2001, as amended at 79 FR 35473, June 20, 2014] (1) Fees of $1,000 or more must be remitted by electronic funds transfer. § 1510.11 Handling of security service (2) Fees under $1,000 may be remitted fees. by electronic funds transfer, check, (a) Direct air carriers and foreign air money order, wire transfer, or draft. carriers are responsible for the safe- (e) Direct air carriers and foreign air keeping of all security service fees carriers are responsible for paying any from the time of collection to remit- bank processing charges on the secu- tance. rity service fees collected or remitted

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under this part when such charges are ing the previous quarter of the cal- assessed on the U.S. government. endar year; and (5) The total amount of September § 1510.15 Accounting and auditing re- 11th Security Fees remitted in U.S. quirements. currency by the direct air carrier or (a) Direct air carriers and foreign air foreign air carrier for each month dur- carriers must establish and maintain ing the previous quarter of the cal- an accounting system to account for endar year. the security service fees imposed, col- (c) The report must be filed by the lected, refunded and remitted. The ac- last day of the calendar month fol- counting records must identify the air- lowing the quarter of the calendar year ports at which the passengers were en- in which the fees were imposed. planed. [66 FR 67701, Dec. 31, 2001, as amended at 67 (b) Each direct air carrier and foreign FR 14881, Mar. 28, 2002] air carrier that collects security services fees from more than 50,000 pas- § 1510.19 Federal oversight. sengers annually must provide for an Direct air carriers and foreign air audit at least annually of its security carriers must allow any authorized rep- service fee activities or accounts. resentative of the Administrator, the (c) Audits pursuant to paragraph (b) Secretary of Transportation, the Sec- of this section must be performed by an retary of Homeland Security, the In- independent certified public account- spector General of the Department of ant and may be of limited scope. The Transportation, the Inspector General accountant must express an opinion on of the Department of Homeland Secu- the fairness and reasonableness of the rity, or the Comptroller General of the direct air carrier’s and foreign air car- United States to audit or review any of rier’s procedures for collecting, hold- its books and records and provide any ing, and remitting the fees. The opin- other information necessary to verify ion must also address whether the that the security service fees were quarterly reports required in § 1510.17 properly collected and remitted con- fairly represent the net transactions in sistent with this part. the security service fee accounts. [68 FR 49720, Aug. 19, 2003]

§ 1510.17 Reporting requirements. § 1510.21 Enforcement. (a) Each direct air carrier and foreign A direct air carrier’s or foreign air air carrier collecting security service carrier’s failure to comply with the re- fees must provide TSA with quarterly quirements 49 U.S.C. 44940 or the provi- reports that provide an accounting of sions of this part may be considered to fees imposed, collected, refunded and be an unfair and deceptive practice in remitted. violation of 49 U.S.C. 41712 and may (b) Quarterly reports must state: also result in a claim due the United (1) The direct air carrier or foreign States by the carrier collectible pursu- air carrier involved; ant to 49 CFR part 89. These remedies (2) The total amount of September are in addition to any others remedies 11th Security Fees imposed on pas- provided by law. sengers in U.S. currency for each month during the previous quarter of PART 1511—AVIATION SECURITY the calendar year; INFRASTRUCTURE FEE (3) The net amount of September 11th Security Fees collected in U.S. cur- Sec. rency by the direct air carrier or for- 1511.1 Applicability and purpose. eign air carrier for each month during 1511.3 Definitions. the previous quarter of the calendar 1511.5 Imposition of Aviation Security In- year; frastructure Fees. 1511.7 Remittance of Aviation Security In- (4) The total amount of September frastructure Fees. 11th Security Fees refunded in U.S. 1511.9 [Reserved] currency by the direct air carrier or 1511.11 Federal oversight. foreign air carrier for each month dur- 1511.13 Enforcement.

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1511.15 Cessation of the Aviation Security Property means mail, cargo, carry-on Infrastructure Fee. and checked baggage, and any other ar- APPENDIX A TO PART 1511—AVIATION SECU- ticles transported by passenger aircraft RITY INFRASTRUCTURE FEE. operated by an air carrier or foreign air AUTHORITY: 49 U.S.C. 114, 40113, 44901, and carrier in air transportation, but ex- 44940. cluding property transported under the SOURCE: 67 FR 7929, Feb. 20, 2002, unless ‘‘Known Shipper Program.’’ otherwise noted. [67 FR 7929, Feb. 20, 2002, as amended at 68 FR 49720, Aug. 19, 2003] § 1511.1 Applicability and purpose. (a) This part prescribes the imposi- § 1511.5 Imposition of Aviation Secu- tion of a fee on air carriers and foreign rity Infrastructure Fees. air carriers in air transportation to (a) Effective February 18, 2002, an pay for the costs of providing U.S. civil Aviation Security Infrastructure Fee aviation security services as described will be imposed on air carriers and for- in 49 U.S.C. 44940. eign air carriers engaged in air trans- (b) For purposes of this part, the fee portation. will be described as the ‘‘Aviation Se- (b) The amount of the Aviation Secu- curity Infrastructure Fee.’’ rity Infrastructure Fee for each fiscal year will not exceed, in the aggregate, § 1511.3 Definitions. the amounts paid in calendar year 2000 The following definitions apply for by air carriers and foreign air carriers purposes of this part. For other defini- for the screening of passengers and tions that may be applicable to this property transported by passenger air- part refer to 49 U.S.C. 40102. craft in the United States, as deter- Administrator means the Adminis- mined by the Administrator. trator of the Transportation Security (c) For fiscal years 2002, 2003 and 2004, Administration or the Administrator’s the amount of the Aviation Security designee. Infrastructure Fee imposed on each air Air transportation means the carriage carrier and foreign air carrier will not by passenger aircraft of persons or exceed the amount each such carrier property for compensation or hire in paid for the screening of passengers intrastate air transportation, inter- and property transported by passenger state air transportation, or foreign air aircraft in the United States during transportation. calendar year 2000, as determined by Aircraft means a device that is used the Administrator. or intended to be used for flight in the (d) Each air carrier and foreign air air. carrier that paid for the screening of Fiscal year means the fiscal year for passengers and property in calendar the Federal government, which begins year 2000 must fully complete the form each year October 1 and ends on Sep- set forth in Appendix A to this part ti- tember 30. The fiscal year is designated tled, ‘‘Calendar Year 2000 Costs Paid by the calendar year in which it ends, for Passenger and Property Screen- e.g., fiscal year 2002 is the year begin- ing,’’ and submit the completed form ning October 1, 2001, and ending Sep- to the Transportation Security Admin- tember 30, 2002. istration by May 18, 2002. Foreign air transportation means air (e) In the case of a merger, acquisi- transportation between a place in the tion, corporate restructuring, reorga- United States and any place outside of nization, or name change involving an the United States. air carrier or foreign air carrier that Interstate air transportation means air paid for the screening of passengers transportation within the United and property transported by passenger States. aircraft in the United States during Intrastate air transportation means air calendar year 2000, the successor entity transportation wholly within the same must include those screening costs in State of the United States. Appendix A of this part and submit Passenger aircraft means an aircraft those costs together with its own costs that is used to transport passengers in on one form in accordance with para- air transportation. graph (d) of this section. Any other air

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carrier or foreign air carrier that paid (c) Each air carrier and foreign air for the screening of passengers and carrier engaged in air transportation property transported by passenger air- must remit to TSA 8.333 percent of the craft in the United States during cal- total amount as determined by the Ad- endar year 2000 but is no longer pro- ministrator pursuant to section viding air transportation must also 1511.5(g) of this part by the last cal- complete the form set forth in Appen- endar day of each month following Sep- dix A and submit the form in accord- tember 2004. ance with paragraph (d) of this section. (d) Aviation Security Infrastructure (f) The Administrator has determined Fees must be payable to the ‘‘Trans- that the information submitted pursu- portation Security Administration’’ in ant to this part and 49 U.S.C. U.S. currency and drawn on a U.S. 44940(a)(2)(B) is Sensitive Security In- bank. formation and is subject to the non-dis- (1) Aviation Security Infrastructure closure requirements of 49 U.S.C. Fees of $1,000 or more must be remitted 40119(b). by electronic funds transfer. (g) The amount of the Aviation Secu- (2) Aviation Security Infrastructure rity Infrastructure Fee imposed on Fees under $1,000 may be remitted by each air carrier and foreign air carrier electronic funds transfer, check, money will be redetermined for fiscal years order, wire transfer, or draft. 2005 and beyond, and such redetermina- (e) Air carriers and foreign air car- tions may be based on the carrier’s re- riers are responsible for paying any spective market share or any other ap- bank processing charges on Aviation propriate measure in lieu of the meas- Security Infrastructure Fees remitted ure provided in paragraph (c) of this under this part when such charges are section. assessed on the U.S. government. [67 FR 7929, Feb. 20, 2002; 67 FR 8579, Feb. 25, § 1511.7 Remittance of Aviation Secu- 2002] rity Infrastructure Fees. (a) No later than May 31, 2002, each § 1511.9 [Reserved] air carrier and foreign air carrier en- § 1511.11 Federal oversight. gaged in air transportation must remit to TSA. (a) Upon request, air carriers and for- (1) 3.273 percent of the total amount eign air carriers must allow any au- the carrier has indicated in Appendix A thorized representative of the Adminis- of this part, or an amount as otherwise trator, the Secretary of Transpor- determined by the Administrator, tation, the Secretary of Homeland Se- which will represent the Aviation Se- curity, the Inspector General of the De- curity Infrastructure Fee due for the partment of Transportation, the In- period running from February 18 spector General of the Department of through February 28, 2002; and, Homeland Security, or the Comptroller General of the United States to audit (2) 16.666 percent of the total amount or review any of the books and records the carrier has indicated in Appendix A and provide any other information nec- of this part, or an amount as otherwise essary to verify that: determined by the Administrator, (1) The information submitted pursu- which will represent the Aviation Se- ant to 49 U.S.C. 44940(a)(2)(B) and this curity Infrastructure Fee due for pe- part, including that provided in Appen- riod running from March 1 through dix A, is true and correct; or April 30, 2002. (2) The Aviation Security Infrastruc- (b) Each air carrier and foreign air ture Fees were remitted consistent carrier engaged in air transportation with this part. must remit to TSA 8.333 percent of the total amount the carrier has indicated [67 FR 7929, Feb. 20, 2002, as amended at 68 in Appendix A of this part, or an FR 49720, Aug. 19, 2003] amount as otherwise determined by the Administrator, by the last calendar § 1511.13 Enforcement. day of each month following May 2002 (a) In addition to any other remedies up to and including September 2004. allowed by law, willful falsification by

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any party, directly or indirectly, of in- nate cost assignment methodology. Docu- formation provided by an air carrier or mentation that explains and supports the as- foreign air carrier pursuant to this signment methodology used, the applicable part, including information submitted pool and the allocation basis must be made in Appendix A as required by section available upon request. For costs related to 1511.5 of this part, may be prosecuted capitalized property, please report the associated depreciation expense incurred during criminally resulting in a fine and/or calendar year 2000. Capitalization policy imprisonment under 18 U.S.C 1001. must also be made available upon request. (b) An air carrier’s or foreign air car- To the extent necessary, the reporting air rier’s failure to comply with the re- carrier may aggregate those specific costs quirements of 49 U.S.C. 44940 or the that have been incurred but cannot be stated provisions of this part may result in a in the detailed cost categories requested by claim due the United States by the car- this form. However, all of the costs identified rier, which claim shall be collectible by this form must be included in the total pursuant to 31 U.S.C. Chapter 37 and calculations. In addition, explanations re- the Department of Transportation’s garding costs that have been aggregated implementing regulations at 49 CFR need to be provided. Costs reported in Appen- part 89. dix A do not need to include costs that may have been incurred for a position higher than § 1511.15 Cessation of the Aviation Se- those of the air carrier’s director of security curity Infrastructure Fee. (or equivalent). Costs incurred for higher po- sitions, such as those of the air carrier’s Notwithstanding 49 CFR 1511.5 and chief executive officer, do not need to be in- 1511.7, or any other provision of this cluded. part, beginning 11:59 p.m. (Eastern When including cost information on ac- Daylight Time) on September 30, 2014, quired and/or merged air carriers, the suc- an air carrier or foreign air carrier en- cessor air carrier must specify the names of gaged in air transportation will not all of such entities whose calendar year 2000 incur any further obligations to make passenger and property screening costs are payments to TSA that otherwise would included in that air carrier’s submission as be required under this part. Any Appendix A. unremitted Aviation Security Infra- The costs listed below are to be in US dol- structure Fees incurred by an air car- lars, rounded to the nearest dollar. Place a rier or foreign air carrier before 11:59 zero in the appropriate box to indicate cost categories in which the air carrier did not p.m. (Eastern Daylight Time) on Sep- incur costs for passenger and property tember 30, 2014, are due by October 31, screening in calendar year 2000. 2014. Supporting Notes [79 FR 56668, Sept. 23, 2014] Examples of cost types that appear in the APPENDIX A TO PART 1511—AVIATION supporting notes below are for illustrative SECURITY INFRASTRUCTURE FEE purposes only and are not intended to set forth all relevant costs that must be re- Instructions ported by air carriers and foreign air carriers. In submitting information to TSA, air General guidance carriers and foreign air carriers must submit When filling out this form, the responding all of their relevant costs, regardless of air carrier or foreign air carrier shall include whether those costs have been specifically il- all costs incurred in calendar year 2000 by lustrated in the notes. that air carrier for the screening of passengers and property. Costs are those attrib- Submission of Data uted to the screening of passengers and property in the United States for both flights This form will be available electronically within the United States and flights from from the Department of Transportation’s the United States to foreign destinations. website at www.dot.gov. Air carriers are Reported costs must be consistent with the asked to return the completed form by cer- air carrier’s financial accounting informa- tified mail to: Chief Financial Officer, Trans- tion reported in accordance with generally portation Security Administration, Depart- accepted accounting principles. ment of Transportation, 400 Seventh Street Where actual costs of screening passengers SW, Washington, DC 20590. Please also sub- and property cannot be directly identified mit the same information in Microsoft Word through an air carrier’s accounting system, either on a computer disk or by e-mail to the air carrier shall use an appropriate alter- [email protected].

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Confidentiality of Data tected from public disclosure, as appropriate, Consistent with 49 CFR § 1511.5(f), informa- under 5 U.S.C. § 552 (the Freedom of Informa- tion submitted in Appendix A is deemed to tion Act), 14 CFR § 302.12, and 18 U.S.C. § 1905. be Sensitive Security Information and will Requests for confidentiality must be filed be so protected from public disclosure under with the Office of the General Counsel, De- 49 U.S.C. 40119(b). In addition, confidential partment of Transportation (C–10), 400 Sev- business information and economic informa- enth Street, SW, Room 10102, Washington, tion provided in Appendix A will be pro- DC 20590.

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Supporting Notes other costs incurred through contracts with a. These are costs that the air carrier in- third party security companies. curred directly. Includes costs incurred for c. These are costs that the air carrier in- air carrier personnel salaries and benefits, curred through other means. Includes costs equipment owned, leased or rented directly incurred through air carrier security consor- by that air carrier and any other costs di- tiums. rectly incurred. 1. Salary, benefits, overtime, retirement b. These are costs that the air carrier in- and other costs of checkpoint screening per- curred through contracts with security sonnel. firms. Includes personnel, equipment and

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2. Salary, benefits, overtime, retirement costs recognized in calendar year 2000 for the and other costs of exit lane monitors. modification and/or construction of any fa- 3. Salary, benefits, overtime, retirement cility needed to accommodate screening, in- and other costs of cargo screeners. cluding architecture and engineering. Also 4. Salary, benefits, overtime, retirement includes the costs of any refurbishment and/ and other costs of checked baggage screen- or modernization of the equipment. ers. 17. Costs of operating, maintaining, and 5. Salary, benefits, overtime, retirement calibrating installed screening equipment. and other costs of all baggage runners who This includes such equipment as Metal De- move property such as baggage to and from tection Devices, Hand Wands, X-ray screen- screening areas. ing machines, Explosives Trace Detection 6. Salary, benefits, overtime, retirement Devices, Explosives Detection Systems, or and other costs of all supervisory personnel, any other such similar technologies. In- including Checkpoint Screening Supervisors. cludes such costs as test objects and X-ray 7. All associated expensed non-labor costs radiation surveys, electricity costs and including computers, communications equip- maintenance contract costs incurred for the ment, time management systems, supplies, operations of such equipment. parking, identification badging, furniture, 18. Costs of maintaining integrity of sterile fixtures, and travel. areas. Includes costs of opening sterile areas, 8. All costs of performing required back- emergency evacuations of sterile areas, and ground investigations on all screening per- re-screenings not included elsewhere. sonnel and supervisors. Screening personnel 19. The cost of purchase or rent, installa- and supervisors includes checkpoint screen- tion, testing, and maintenance of checkpoint ing personnel, exit lane monitors, cargo signs, barriers, lane markers, and exit lane screeners, checked baggage screeners, bag- doors. gage runners, and their supervisors. 20. Any additional costs for special screen- 9. All costs incurred for the training and ing such as for disabled passengers, VIP pas- testing of all screening personnel and super- sengers, classified and/or high value items. visors, including initial, recurrent and reme- 21. All security company contract costs for dial training. Includes any computer-based the screening of persons and property that training and the development of training cannot be detailed into any other cost cat- programs for the screening of persons and egory. property as well as any travel, room and 22. All direct costs for the real estate uti- board, and all other such expenses related to lized for the screening of persons and prop- training. erty. Includes space at airports for the per- 10. The costs of implementing and main- formance of these functions, as well as such taining training records for all screening space used for break rooms, private screen- personnel and supervisors. ing rooms, storages space, training rooms, 11. The costs of completing evaluations for and office space. Also includes appropriate all screening personnel and supervisors. space for the oversight of the screening func- 12. All costs for drug and alcohol testing as tions outside of airports such as in head- well as any associated counseling and/or quarters or regional offices. treatment for all screening personnel and su- 23. All costs for utilities used for screening. pervisors. Includes electricity, heating/ventilation/ 13. All costs of renting, purchasing, main- cooling, and telecommunications costs not taining, and/or cleaning of uniforms and any elsewhere specified. related equipment such as flashlights and ba- 24. All costs incurred for the Ground Secu- tons for all screening personnel and super- rity Coordinator’s oversight of the screening visors. functions. Includes personnel salaries, bene- 14. All costs incurred by air carriers for the fits, retirement, training, and non-labor use of canines and their handlers used for the costs. screening of persons and property. 25. All air carrier head office, regional, or 15. All costs associated with obtaining se- airport specific costs associated with the ad- curity clearances for personnel relating to ministration and oversight of screening not the screening of persons and property. elsewhere specified. Includes personnel sala- 16. All costs associated with the purchase, ries, benefits, retirement, training, and non- installation, and testing of all screening labor costs. equipment. In instances where the equip- 26. All costs associated with the adminis- ment is capitalized, provide the depreciation tration and oversight of screening contracts. expense in lieu of costs associated with pur- Includes personnel, benefits, retirement, chase, installation, and final acceptance training, and non-labor costs. testing. This includes such equipment as 27. All costs not elsewhere specified for Metal Detection Devices, Hand Wands, X-ray background audit checks for all screeners screening machines, Explosives Trace Detec- and supervisors. tion Devices, Explosives Detection Systems, 28. All legal support costs incurred during or any other such similar technologies. In- calendar year 2000 relating to aviation secu- cludes any costs incurred or depreciation rity screening. Includes legal assistance for

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the implementation and execution of secu- 33. All costs associated with the recruit- rity screening contracts. ment of screening personnel and supervisors. 29. All costs for accounting and financial Includes signing bonuses, travel, and other services incurred for the support of the recruitment expenses. screening functions. 34. Any costs incurred for fees charged by 30. Includes all labor and non-labor costs other organizations for the management of for such items as human resource adminis- contracts for the screening of persons and tration, clerical assistance, information property. technology, and other support functions related to screening. 35. Any costs incurred not elsewhere speci- 31. All insurance costs relating to screen- fied during calendar year 2000 for the screening. Includes worker’s compensation and ing of passengers and property. These costs general liability insurance. should be itemized on a separate sheet. In- 32. All costs incurred by the air carriers for cludes any fines or monetary penalties in- law enforcement personnel costs that were curred for screening as well as any profit/bo- reimbursed by the air carriers for services nuses paid to contractors for screening serv- performed in connection with the screening ices not included elsewhere on the form. of persons and property.

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PART 1515—APPEAL AND WAIVER AUTHORITY: 46 U.S.C. 70105; 49 U.S.C. 114, 5103a, 40113, and 46105; 18 U.S.C. 842, 845; 6 PROCEDURES FOR SECURITY U.S.C. 469. THREAT ASSESSMENTS FOR INDI- SOURCE: 72 FR 3588, Jan. 25, 2007, unless VIDUALS otherwise noted.

Sec. § 1515.1 Scope. 1515.1 Scope. 1515.3 Terms used in this part. (a) Appeal. This part applies to appli- 1515.5 Appeal of Initial Determination of cants who are appealing an Initial De- Threat Assessment based on criminal termination of Threat Assessment or conviction, immigration status, or men- an Initial Determination of Threat As- tal capacity. sessment and Immediate Revocation in 1515.7 Procedures for waiver of criminal of- a security threat assessment (STA) as fenses, immigration status, or mental ca- described in each of the following: pacity standards. (1) 49 CFR part 1572 for a hazardous 1515. 9 Appeal of security threat assessment materials endorsement (HME) or a based on other analyses. 1515.11 Review by administrative law judge Transportation Worker Identification and TSA Final Decision Maker. Credential (TWIC).

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(2) 49 CFR part 1540, subpart C, which istrative law judge denying a waiver includes individuals engaged in air requested under 49 CFR 1515.7. cargo operations who work for certain Mail includes U.S. mail, or use of an aircraft operators, foreign air carriers, express courier service. indirect air carriers (IACs), or certified Party means the applicant or the cargo screening facilities. agency attorney. (b) Waivers. This part applies to ap- Personal delivery includes hand-deliv- plicants for an HME or TWIC who un- ery or use of a contract or express mes- dergo a security threat assessment de- senger service, but does not include the scribed in 49 CFR part 1572 and are eli- use of Government interoffice mail gible to request a waiver of certain service. standards. Properly addressed means a document that shows an address contained in [72 FR 3588, Jan. 25, 2007, as amended at 74 agency records, a residential, business, FR 47695, Sept. 16, 2009; 76 FR 51867, Aug. 18, 2011] or other address submitted by a person on any document provided under this § 1515.3 Terms used in this part. subpart, or any other address shown by other reasonable and available means. The terms used in 49 CFR parts 1500, Substantial Evidence means such rel- 1540, 1570, and 1572 also apply in this evant evidence as a reasonable person part. In addition, the following terms might accept as adequate to support a are used in this part: conclusion. Administrative law judge means an ad- Security threat assessment means the ministrative law judge appointed pur- threat assessment for which the appli- suant to the provisions of 5 U.S.C. 3105. cant has applied, as described in 49 Applicant means an individual who CFR 1515.1. has applied for one of the security TSA Final Decision Maker means the threat assessments identified in 49 CFR Administrator, acting in the capacity 1515.1. This includes an individual who of the decision maker on appeal, or any previously applied for and was found to person to whom the Administrator has meet the standards for the security delegated the Administrator’s decision- threat assessment but TSA later deter- making authority. As used in this sub- mined that the individual poses a secu- part, the TSA Final Decision Maker is rity threat. the official authorized to issue a final Date of service means— decision and order of the Adminis- (1) In the case of personal service, the trator. date of personal delivery to the residential address listed on the applica- § 1515.5 Appeal of Initial Determina- tion; tion of Threat Assessment based on (2) In the case of mailing with a cer- criminal conviction, immigration tificate of service, the date shown on status, or mental capacity. the certificate of service; (a) Scope. This section applies to ap- (3) In the case of mailing and there is plicants appealing from an Initial De- no certificate of service, 10 days from termination of Threat Assessment that the date mailed to the address des- was based on one or more of the fol- ignated on the application as the mail- lowing: ing address; (1) TSA has determined that an appli- (4) In the case of mailing with no cer- cant for an HME or a TWIC has a dis- tificate of service or postmark, the qualifying criminal offense described in date mailed to the address designated 49 CFR 1572.103. on the application as the mailing ad- (2) TSA has determined that an appli- dress shown by other evidence; or cant for an HME or a TWIC does not (5) The date on which an electronic meet the immigration status require- transmission occurs. ments as described in 49 CFR 1572.105. Day means calendar day. (3) TSA has determined that an appli- Final Agency Order means an order cant for an HME or a TWIC is lacking issued by the TSA Final Decision mental capacity as described in 49 CFR Maker. 1572.109. Decision denying a review of a waiver (b) Grounds for appeal. An applicant means a document issued by an admin- may appeal an Initial Determination of

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Threat Assessment if the applicant is complete information contained in his asserting that he or she meets the or her record. standards for the security threat as- (ii) The applicant provides TSA with sessment for which he or she is apply- the revised record, or a certified true ing. copy of the information from the ap- (1) Initiating an appeal. An applicant propriate entity, before TSA deter- initiates an appeal by submitting a mines that the applicant meets the written reply to TSA, a written request standards for the security threat as- for materials from TSA, or by request- sessment. ing an extension of time in accordance (5) Reply. (i) The applicant may serve with § 1515.5(f). If the applicant does not upon TSA a written reply to the Initial initiate an appeal within 60 days of re- Determination of Threat Assessment ceipt, the Initial Determination of within 60 days of service of the Initial Threat Assessment becomes a Final Determination, or 60 days after the Determination of Threat Assessment. date of service of TSA’s response to the (i) In the case of an HME, TSA also applicant’s request for materials under serves a Final Determination of Threat paragraph (b)(1) of this section, if the Assessment on the licensing State. applicant served such request. The (ii) In the case of a mariner applying reply must include the rationale and for TWIC, TSA also serves a Final De- information on which the applicant termination of Threat Assessment on disputes TSA’s Initial Determination. the Coast Guard. (ii) In an applicant’s reply, TSA will (iii) In the case of a TWIC, TSA consider only material that is relevant serves a Final Determination of Threat to whether the applicant meets the Assessment on the appropriate Federal standards applicable for the security Maritime Security Coordinator threat assessment for which the appli- (FMSC). cant is applying. (2) Request for materials. Within 60 (6) Final determination. Within 60 days days of the date of service of the Initial after TSA receives the applicant’s Determination of Threat Assessment, reply, TSA serves a Final Determina- the applicant may serve upon TSA a tion of Threat Assessment or a With- written request for copies of the mate- drawal of the Initial Determination as rials upon which the Initial Determina- provided in paragraphs (c) or (d) of this tion was based. section. (3) TSA response. (i) Within 60 days of (c) Final Determination of Threat As- receiving the applicant’s request for sessment. (1) If the Assistant Adminis- materials, TSA serves the applicant trator concludes that an HME or TWIC with copies of the releasable materials applicant does not meet the standards upon the applicant on which the Initial described in 49 CFR 1572.103, 1572.105, or Determination was based. TSA will not 1572.109, TSA serves a Final Determina- include any classified information or tion of Threat Assessment upon the ap- other protected information described plicant. In addition— in paragraph (f) of this section. (i) In the case of an HME, TSA serves (ii) Within 60 days of receiving the a Final Determination of Threat As- applicant’s request for materials or sessment on the licensing State. written reply, TSA may request addi- (ii) In the case of a TWIC, TSA serves tional information or documents from a Final Determination of Threat As- the applicant that TSA believes are sessment on the Coast Guard. necessary to make a Final Determina- (2) The Final Determination includes tion. a statement that the Assistant Admin- (4) Correction of records. If the Initial istrator has reviewed the Initial Deter- Determination of Threat Assessment mination, the applicant’s reply and any was based on a record that the appli- accompanying information, and any cant believes is erroneous, the appli- other materials or information avail- cant may correct the record, as fol- able to him or her, and has determined lows: that the applicant poses a security (i) The applicant contacts the juris- threat warranting denial of the secu- diction or entity responsible for the in- rity threat assessment for which the formation and attempts to correct or applicant has applied.

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(d) Withdrawal of Initial Determina- § 1515.7 Procedures for waiver of tion. If the Assistant Administrator or criminal offenses, immigration sta- Assistant Secretary concludes that the tus, or mental capacity standards. applicant does not pose a security (a) Scope. This section applies to the threat, TSA serves a Withdrawal of the following applicants: Initial Determination upon the appli- (i) An applicant for an HME or TWIC cant, and the applicant’s employer who has a disqualifying criminal of- where applicable. fense described in 49 CFR 1572.103(a)(5) (e) Nondisclosure of certain informa- through (a)(12) or 1572.103(b) and who tion. In connection with the procedures requests a waiver. under this section, TSA does not dis- (ii) An applicant for an HME or TWIC close classified information to the ap- who is an alien under temporary pro- plicant, as defined in E.O. 12968 sec. tected status as described in 49 CFR 1.1(d), and reserves the right not to dis- 1572.105 and who requests a waiver. close any other information or mate- (iii) An applicant applying for an rial not warranting disclosure or pro- HME or TWIC who lacks mental capac- tected from disclosure under law. ity as described in 49 CFR 1572.109 and (f) Extension of time. TSA may grant who requests a waiver. an applicant an extension of time of (b) Grounds for waiver. TSA may issue the limits for good cause shown. An ap- a waiver of the standards described in paragraph (a) and grant an HME or plicant’s request for an extension of TWIC if TSA determines that an appli- time must be in writing and be re- cant does not pose a security threat ceived by TSA within a reasonable based on a review of information de- time before the due date to be ex- scribed in paragraph (c) of this section. tended; or an applicant may request an (c) Initiating waiver. (1) An applicant extension after the expiration of a due initiates a waiver as follows: date by sending a written request de- (i) Providing to TSA the information scribing why the failure to file within required in 49 CFR 1572.9 for an HME or the time limits was excusable. TSA 49 CFR 1572.17 for a TWIC. may grant itself an extension of time (ii) Paying the fees required in 49 for good cause. CFR 1572.405 for an HME or in 49 CFR (g) Judicial review. For purposes of ju- 1572.501 for a TWIC. dicial review, the Final Determination (iii) Sending a written request to of Threat Assessment constitutes a TSA for a waiver at any time, but not final TSA order of the determination later than 60 days after the date of that the applicant does not meet the service of the Final Determination of standards for a security threat assess- Threat Assessment. The applicant may ment, in accordance with 49 U.S.C. request a waiver during the application 46110. The Final Determination is not a process, or may first pursue some or all final TSA order to grant or deny a of the appeal procedures in 49 CFR waiver, the procedures for which are in 1515.5 to assert that he or she does not 49 CFR 1515.7 and 1515.11. have a disqualifying condition. (h) Appeal of immediate revocation. If (2) In determining whether to grant a TSA directs an immediate revocation, waiver, TSA will consider the following the applicant may appeal this deter- factors, as applicable to the disquali- mination by following the appeal pro- fying condition: cedures described in paragraph (b) of (i) The circumstances of the disquali- this section. This applies— fying act or offense. (1) If TSA directs a State to revoke (ii) Restitution made by the appli- an HME pursuant to 49 CFR 1572.13(a). cant. (iii) Any Federal or State mitigation (2) If TSA invalidates a TWIC by remedies. issuing an Initial Determination of (iv) Court records or official medical Threat Assessment and Immediate release documents indicating that the Revocation pursuant to 49 CFR applicant no longer lacks mental ca- 1572.21(d)(3). pacity. [72 FR 3588, Jan. 25, 2007; 72 FR 14049, Mar. 26, (v) Other factors that indicate the 2007] applicant does not pose a security

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threat warranting denial of the HME or (2) TSA had determined that an air TWIC. cargo worker poses a security threat as (d) Grant or denial of waivers. (1) The provided in 49 CFR 1540.205. Assistant Administrator will send a (3) TSA had determined that an indi- written decision granting or denying vidual engaged in air cargo operations the waiver to the applicant within 60 who works for certain aircraft opera- days of service of the applicant’s re- tors, foreign air carriers, IACs, or cer- quest for a waiver, or longer period as tified cargo screening facilities, poses a TSA may determine for good cause. security threat as provided in 49 CFR (2) In the case of an HME, if the As- 1549.109. sistant Administrator grants the waiv- (b) Grounds for appeal. An applicant er, the Assistant Administrator will may appeal an Initial Determination of send a Determination of No Security Threat Assessment if the applicant is Threat to the licensing State within 60 asserting that he or she does not pose days of service of the applicant’s re- a security threat. The appeal will be quest for a waiver, or longer period as conducted in accordance with the pro- TSA may determine for good cause. cedures set forth in 49 CFR 1515.5(b), (3) In the case of a mariner applying (e), and (f) and this section. for a TWIC, if the Assistant Adminis- (c) Final Determination of Threat As- trator grants the waiver, the Assistant sessment. (1) If the Assistant Adminis- trator concludes that the applicant Administrator will send a Determina- poses a security threat, following an tion of No Security Threat to the Coast appeal, TSA serves a Final Determina- Guard within 60 days of service of the tion of Threat Assessment upon the ap- applicant’s request for a waiver, or plicant. In addition— longer period as TSA may determine (i) In the case of an HME, TSA serves for good cause. a Final Determination of Threat As- (4) If the Assistant Administrator de- sessment on the licensing State. nies the waiver the applicant may seek (ii) In the case of a TWIC, TSA serves review in accordance with 49 CFR a Final Determination of Threat As- 1515.11. A denial of a waiver under this sessment on the Coast Guard. section does not constitute a final (iii) In the case of an air cargo work- order of TSA as provided in 49 U.S.C. er, TSA serves a Final Determination 46110. of Threat Assessment on the operator. (e) Extension of time. TSA may grant (iv) In the case of a certified cargo an applicant an extension of the time screening facilities worker, TSA serves limits for good cause shown. An appli- a Final Determination of Threat As- cant’s request for an extension of time sessment on the operator. must be in writing and be received by (2) The Final Determination includes TSA within a reasonable time before a statement that the Assistant Admin- the due date to be extended; or an ap- istrator has reviewed the Initial Deter- plicant may request an extension after mination, the applicant’s reply and any the expiration of a due date by sending accompanying information, and any a written request describing why the other materials or information avail- failure to file within the time limits able to him or her, and has determined was excusable. TSA may grant itself an that the applicant poses a security extension of time for good cause. threat warranting denial of the security threat assessment for which the § 1515.9 Appeal of security threat as- applicant has applied. sessment based on other analyses. (d) Withdrawal of Initial Determina- (a) Scope. This section applies to an tion. If the Assistant Administrator applicant appealing an Initial Deter- concludes that the applicant does not mination of Threat Assessment as fol- pose a security threat, TSA serves a lows: Withdrawal of the Initial Determina- (1) TSA has determined that the ap- tion upon the applicant, and the appli- plicant for an HME or TWIC poses a se- cant’s employer where applicable. curity threat as provided in 49 CFR (e) Further review. If the Assistant 1572.107. Administrator denies the appeal, the

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applicant may seek review in accord- classified or otherwise protected infor- ance with § 1515.11 of this part. A Final mation and evidence. If the applicant Determination issued under this sec- fails to seek review within 30 calendar tion does not constitute a final order of days, the Final Determination of TSA as provided in 49 U.S.C. 46110. Threat Assessment will be final with (f) Appeal of immediate revocation. If respect to the parties. TSA directs an immediate revocation, (1) The request for review must clear- the applicant may appeal this deter- ly state the issue(s) to be considered by mination by following the appeal pro- the administrative law judge (ALJ), cedures described in paragraph (b) of and include the following documents in this section. This applies— support of the request: (1) If TSA directs a State to revoke (i) In the case of a review of a denial an HME pursuant to 49 CFR 1572.13(a). of waiver, a copy of the applicant’s re- (2) If TSA invalidates a TWIC by quest for a waiver under 49 CFR 1515.7, issuing an Initial Determination of including all materials provided by the Threat Assessment and Immediate applicant to TSA in support of the Revocation pursuant to 49 CFR waiver request; and a copy of the deci- 1572.21(d)(3). sion issued by TSA denying the waiver (3) If TSA withdraws a Determina- request. The request for review may tion of No Security Threat for an indi- not include evidence or information vidual engaged in air cargo operations that was not presented to TSA in the who works for certain aircraft opera- request for a waiver under 49 CFR tors, foreign air carriers, IACs, or cer- 1515.7. The ALJ may consider only evi- tified cargo screening facilities. dence or information that was pre- [72 FR 3588, Jan. 25, 2007, as amended at 74 sented to TSA in the waiver request. If FR 47695, Sept. 16, 2009; 76 FR 51867, Aug. 18, the applicant has new evidence or in- 2011] formation, the applicant must file a new request for a waiver under § 1515.7 § 1515.11 Review by administrative law judge and TSA Final Decision and the pending request for review of a Maker. denial of a waiver will be dismissed. (ii) In the case of a review of a Final (a) Scope. This section applies to the Determination of Threat Assessment, a following applicants: (1) An applicant who seeks review of copy of the Initial Notification of a decision by TSA denying a request Threat Assessment and Final Notifica- for a waiver under 49 CFR 1515.7. tion of Threat Assessment; and a copy (2) An applicant for an HME or a of the applicant’s appeal under 49 CFR TWIC who has been issued a Final De- 1515.9, including all materials provided termination of Threat Assessment on by the applicant to TSA in support of the grounds that he or she poses a secu- the appeal. The request for review may rity threat after an appeal as described not include evidence or information in 49 CFR 1515.9. that was not presented to TSA in the (3) An individual engaged in air cargo appeal under § 1515.9. The ALJ may operations who works for certain air- consider only evidence or information craft operators, foreign air carriers, that was presented to TSA in the ap- IACs, or certified cargo screening fa- peal. If the applicant has new evidence cilities who has been issued a Final De- or information, the applicant must file termination of Threat Assessment a new appeal under § 1515.9 and the after an appeal as described in 49 CFR pending request for review of the Final 1515.9. Determination will be dismissed. (b) Request for review. No later than 30 (2) The applicant may include in the calendar days from the date of service request for review a request for an in- of the decision by TSA denying a waiv- person hearing before the ALJ. er or of the Final Determination of (3) The applicant must file the re- Threat Assessment, the applicant may quest for review with the ALJ Dock- request a review. The review will be eting Center, U.S. Coast Guard, 40 S. conducted by an administrative law Gay Street, Room 412, Baltimore, judge who possesses the appropriate se- Maryland 21202–4022, ATTN: Hearing curity clearance necessary to review Docket Clerk.

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(c) Extension of Time. The ALJ may (ii) TSA reserves the right not to dis- grant an extension of the time limits close any other information or mate- described in this section for good cause rial not warranting disclosure or pro- shown. A request for an extension of tected from disclosure by law or regu- time must be in writing and be re- lation. ceived by the ALJ within a reasonable (2) The applicant may present the time before the due date to be ex- case by oral testimony, documentary, tended; or an applicant may request an or demonstrative evidence, submit re- extension after the expiration of a due buttal evidence, and conduct cross-ex- date by sending a written request de- amination, as permitted by the ALJ. scribing why the failure to file within Oral testimony is limited to the evi- the time limits was excusable. This dence or information that was pre- paragraph does not apply to time lim- sented to TSA in the request for a its set by the administrative law judge waiver or during the appeal. The Fed- during the hearing. eral Rules of Evidence may serve as (d) Duties of the Administrative Law guidance, but are not binding. Judge. The ALJ may: (3) The ALJ will review any classified (1) Receive information and evidence information on an ex parte, in camera presented to TSA in the request for a basis, and may consider such informa- waiver under 49 CFR 1515.7 or an appeal tion in rendering a decision if the in- under 49 CFR 1515.9. formation appears to be material and (2) Consider the following criteria to relevant. determine whether a request for an in- (4) The standard of proof is substan- person hearing is warranted: tial evidence on the record. (i) The credibility of evidence or in- (5) The parties may submit proposed formation submitted in the applicant’s findings of fact and conclusions of law. request for a waiver; and (6) If the applicant fails to appear, (ii) Whether TSA’s waiver denial was the ALJ may issue a default judgment. made in accordance with the governing (7) A verbatim transcript will be regulations codified at 49 CFR part 1515 made of the hearing and will be pro- and 49 CFR part 1572. vided upon request at the expense of (3) Give notice of and hold con- the requesting party. In cases in which ferences and hearings; classified or otherwise protected evi- (4) Administer oaths and affirma- dence is received, the transcript may tions; require redaction of the classified or (5) Examine witnesses; otherwise protected information. (6) Regulate the course of the hearing (8) The hearing will be held at TSA’s including granting extensions of time Headquarters building or, on request of limits; and a party, at an alternate location se- (7) Dispose of procedural motions and lected by the administrative law judge requests, and issue a decision. for good cause shown. (e) Hearing. If the ALJ grants a re- (f) Decision of the Administrative Law quest for a hearing, except for good Judge. (1) The record is closed once the cause shown, it will begin within 60 certified transcript and all documents calendar days of the date of receipt of and materials have been submitted for the request for hearing. The hearing is the record. a limited discovery proceeding and is (2) The ALJ issues an unclassified conducted as follows: written decision to the applicant no (1) If applicable and upon request, later than 30 calendar days from the TSA will provide to the applicant re- close of the record and serves the deci- questing a review an unclassified sum- sion on the parties. The ALJ may issue mary of classified evidence upon which a classified decision to TSA. the denial of the waiver or Final Deter- (3) The ALJ’s decision may be ap- mination was based. pealed by either party to the TSA (i) TSA will not disclose to the appli- Final Decision Maker in accordance cant, or the applicant’s counsel, classi- with paragraph (g). fied information, as defined in E.O. (i) In the case of review of a waiver 12968 section 1.1(d). denial, unless appealed to the TSA

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Final Decision Maker, if the ALJ up- (3) No later than 60 calendar days holds the denial of the applicant’s re- after receipt of the request, or if the quest for waiver, TSA will issue a Final other party files a response, 30 calendar Order Denying a Waiver to the appli- days after receipt of the response, or cant. such longer period as may be required, (ii) In the case of review of a waiver the TSA Final Decision Maker issues denial, unless appealed to the TSA an unclassified decision and serves the Final Decision Maker, if the ALJ re- decision on the parties. The TSA Final verses the denial of the applicant’s re- Decision Maker may issue a classified quest for waiver, TSA will issue a Final opinion to TSA, if applicable. The deci- Order granting a waiver to the appli- sion of the TSA Final Decision Maker cant; and is a final agency order. (A) In the case of an HME, send a De- termination of No Security Threat to (i) In the case of review of a waiver the licensing State. denial, if the TSA Final Decision (B) In the case applicant for a TWIC, Maker upholds the denial of the appli- send a Determination of No Security cant’s request for waiver, TSA issues a Threat to the Coast Guard. Final Order Denying a Waiver to the (C) In the case of an air cargo work- applicant. er, send a Determination of No Secu- (ii) In the case of review of a waiver rity Threat to the operator. denial, if the TSA Final Decision (iii) In the case of review of an appeal Maker reverses the denial of the appli- under 49 CFR 1515.9, unless appealed to cant’s request for waiver, TSA will the TSA Final Decision Maker, if the grant the waiver; and ALJ determines that the applicant (A) In the case of an HME, send a De- poses a security threat, TSA will issue termination of No Security Threat to a Final Order of Threat Assessment to the applicant and to the licensing the applicant. State. (iv) In the case of review of an appeal (B) In the case of a TWIC, send a De- under 49 CFR 1515.9, unless appealed to termination of No Security Threat to the TSA Final Decision Maker, if the the applicant and to the Coast Guard. ALJ determines that the applicant (C) In the case of an air cargo work- does not pose a security threat, TSA will issue a Withdrawal of the Final er, send a Determination of No Secu- Determination to the applicant, and to rity Threat to the applicant and the the applicant’s employer where appli- operator. cable. (iii) In the case of review of an appeal (g) Review by the TSA Final Decision under 49 CFR 1515.9, if the TSA Final Maker. (1) Either party may request Decision Maker determines that the that the TSA Final Decision Maker re- applicant poses a security threat, TSA view the ALJ’s decision by serving the will issue a Final Order of Threat As- request no later than 30 calendar days sessment to the applicant. after the date of service of the decision (iv) In the case of review of an appeal of the ALJ. under 49 CFR 1515.9, if the TSA Final (i) The request must be in writing, Decision Maker determines that the served on the other party, and may applicant does not pose a security only address whether the decision is threat, TSA will issue a Withdrawal of supported by substantial evidence on the Final Determination to the appli- the record. cant, and to the applicant’s employer (ii) No later than 30 calendar days where applicable. after receipt of the request, the other (h) Judicial Review of a Final Order De- party may file a response. nying a Waiver. A person may seek judi- (2) The ALJ will provide the TSA cial review of a final order of the TSA Final Decision Maker with a certified transcript of the hearing and all un- Final Decision Maker as provided in 49 classified documents and material sub- U.S.C. 46110. mitted for the record. TSA will provide [72 FR 3588, Jan. 25, 2007; 72 FR 5633, Feb. 7, any classified materials previously 2007; 74 FR 47695, Sept. 16, 2009; 76 FR 51867, submitted. Aug. 18, 2011]

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PART 1520—PROTECTION OF Administrator means the Under Sec- SENSITIVE SECURITY INFORMATION retary of Transportation for Security referred to in 49 U.S.C. 114(b), or his or Sec. her designee. 1520.1 Scope. Coast Guard means the United States 1520.3 Terms used in this part. Coast Guard. 1520.5 Sensitive security information. Covered person means any organiza- 1520.7 Covered persons. tion, entity, individual, or other person 1520.9 Restrictions on the disclosure of SSI. described in § 1520.7. In the case of an 1520.11 Persons with a need to know. individual, covered person includes any 1520.13 Marking SSI. individual applying for employment in 1520.15 SSI disclosed by TSA or the Coast Guard. a position that would be a covered per- 1520.17 Consequences of unauthorized disclo- son, or in training for such a position, sure of SSI. regardless of whether that individual is 1520.19 Destruction of SSI. receiving a wage, salary, or other form of payment. Covered person includes a AUTHORITY: 46 U.S.C. 70102–70106, 70117; 49 U.S.C. 114, 40113, 44901–44907, 44913–44914, person applying for certification or 44916–44918, 44935–44936, 44942, 46105. other form of approval that, if granted, would make the person a covered per- SOURCE: 69 FR 28082, May 18, 2004, unless otherwise noted. son described in § 1520.7. DHS means the Department of Home- § 1520.1 Scope. land Security and any directorate, bureau, or other component within the (a) Applicability. This part governs Department of Homeland Security, in- the maintenance, safeguarding, and cluding the United States Coast Guard. disclosure of records and information DOT means the Department of Trans- that TSA has determined to be Sen- portation and any operating adminis- sitive Security Information, as defined tration, entity, or office within the De- in § 1520.5. This part does not apply to partment of Transportation, including the maintenance, safeguarding, or dis- the Saint Lawrence Seaway Develop- closure of classified national security ment Corporation and the Bureau of information, as defined by Executive Transportation Statistics. Order 12968, or to other sensitive un- Federal Flight Deck Officer means a classified information that is not SSI, pilot participating in the Federal but that nonetheless may be exempt Flight Deck Officer Program under 49 from public disclosure under the Free- U.S.C. 44921 and implementing regula- dom of Information Act. In addition, in tions. the case of information that has been Maritime facility means any facility as designated as critical infrastructure in- defined in 33 CFR part 101. formation under section 214 of the Rail facility means ‘‘rail facility’’ as Homeland Security Act, the receipt, defined in 49 CFR 1580.3. maintenance, or disclosure of such in- Rail hazardous materials receiver formation by a Federal agency or em- means ‘‘rail hazardous materials re- ployee is governed by section 214 and ceiver’’ as defined in 49 CFR 1580.3. any implementing regulations, not by Rail hazardous materials shipper this part. means ‘‘rail hazardous materials ship- (b) Delegation. The authority of TSA per’’ as defined in 49 CFR 1580.3. and the Coast Guard under this part Rail secure area means ‘‘rail secure may be further delegated within TSA area’’ as defined in 49 CFR 1580.3. and the Coast Guard, respectively. Rail transit facility means ‘‘rail transit facility’’ as defined in 49 CFR 1580.3. § 1520.3 Terms used in this part. Rail transit system or Rail Fixed Guide- In addition to the terms in § 1500.3 of way System means ‘‘rail transit sys- this chapter, the following terms apply tem’’ or ‘‘Rail Fixed Guideway Sys- in this part: tem’’ as defined in 49 CFR 1580.3.

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Railroad means ‘‘railroad’’ as defined § 1520.5 Sensitive security informa- in 49 U.S.C. 20102(1). tion. Railroad carrier means ‘‘railroad car- (a) In general. In accordance with 49 rier’’ as defined in 49 U.S.C. 20102(2). U.S.C. 114(s), SSI is information ob- Record includes any means by which tained or developed in the conduct of information is preserved, irrespective security activities, including research of format, including a book, paper, and development, the disclosure of drawing, map, recording, tape, film, which TSA has determined would— photograph, machine-readable mate- (1) Constitute an unwarranted inva- rial, and any information stored in an sion of privacy (including, but not lim- electronic format. The term record also ited to, information contained in any includes any draft, proposed, or rec- personnel, medical, or similar file); ommended change to any record. (2) Reveal trade secrets or privileged Security contingency plan means a or confidential information obtained plan detailing response procedures to from any person; or address a transportation security incident, threat assessment, or specific (3) Be detrimental to the security of threat against transportation, includ- transportation. ing details of preparation, response, (b) Information constituting SSI. Ex- mitigation, recovery, and reconstitu- cept as otherwise provided in writing tion procedures, continuity of govern- by TSA in the interest of public safety ment, continuity of transportation op- or in furtherance of transportation se- erations, and crisis management. curity, the following information, and Security screening means evaluating a records containing such information, person or property to determine wheth- constitute SSI: er either poses a threat to security. (1) Security programs and contingency SSI means sensitive security infor- plans. Any security program or secu- mation, as described in § 1520.5. rity contingency plan issued, estab- Threat image projection system means lished, required, received, or approved an evaluation tool that involves peri- by DOT or DHS, including any com- odic presentation of fictional threat ments, instructions, or implementing images to operators and is used in con- guidance, including— nection with x-ray or explosives detec- (i) Any aircraft operator, airport op- tion systems equipment. erator, fixed base operator, or air cargo TSA means the Transportation Secu- security program, or security contin- rity Administration. gency plan under this chapter; Vulnerability assessment means any re- (ii) Any vessel, maritime facility, or view, audit, or other examination of port area security plan required or di- the security of a transportation infra- rected under Federal law; structure asset; airport; maritime fa- (iii) Any national or area security cility, port area, or vessel; aircraft; plan prepared under 46 U.S.C. 70103; and railroad; railroad carrier, rail facility; (iv) Any security incident response train; rail hazardous materials shipper plan established under 46 U.S.C. 70104. or receiver facility; rail transit system; (2) Security Directives. Any Security rail transit facility; commercial motor Directive or order— vehicle; or pipeline; or a transpor- (i) Issued by TSA under 49 CFR tation-related automated system or 1542.303, 1544.305, 1548.19, or other au- network to determine its vulnerability thority; to unlawful interference, whether dur- (ii) Issued by the Coast Guard under ing the conception, planning, design, the Maritime Transportation Security construction, operation, or decommis- Act, 33 CFR part 6, or 33 U.S.C. 1221 et sioning phase. A vulnerability assess- seq. related to maritime security; or ment may include proposed, rec- (iii) Any comments, instructions, and ommended, or directed actions or coun- implementing guidance pertaining termeasures to address security con- thereto. cerns. (3) Information Circulars. Any notice [69 FR 28082, May 18, 2004, as amended at 70 issued by DHS or DOT regarding a FR 41599, July 19, 2005; 73 FR 72172, Nov. 26, threat to aviation or maritime trans- 2008; 74 FR 47695, Sept. 16, 2009] portation, including any—

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(i) Information circular issued by the period within 12 months of the date TSA under 49 CFR 1542.303, 1544.305, of release of the information, TSA may 1548.19, or other authority; and release summaries of an aircraft opera- (ii) Navigation or Vessel Inspection tor’s, but not an airport operator’s, Circular issued by the Coast Guard re- total security violations in a specified lated to maritime security. time range without identifying specific (4) Performance specifications. Any violations or locations. Summaries performance specification and any de- may include total enforcement actions, scription of a test object or test proce- total proposed civil penalty amounts, dure, for— number of cases opened, number of (i) Any device used by the Federal cases referred to TSA or FAA counsel Government or any other person pursu- for legal enforcement action, and num- ant to any aviation or maritime trans- ber of cases closed. portation security requirements of (7) Threat information. Any informa- Federal law for the detection of any tion held by the Federal government person, and any weapon, explosive, in- concerning threats against transpor- cendiary, or destructive device, item, tation or transportation systems and or substance; and sources and methods used to gather or (ii) Any communications equipment develop threat information, including used by the Federal government or any threats against cyber infrastructure. other person in carrying out or com- (8) Security measures. Specific details plying with any aviation or maritime of aviation, maritime, or rail transpor- transportation security requirements tation security measures, both oper- of Federal law. ational and technical, whether applied (5) Vulnerability assessments. Any vul- directly by the Federal government or nerability assessment directed, cre- another person, including— ated, held, funded, or approved by the (i) Security measures or protocols DOT, DHS, or that will be provided to recommended by the Federal govern- DOT or DHS in support of a Federal se- ment; curity program. (ii) Information concerning the de- (6) Security inspection or investigative ployments, numbers, and operations of information. (i) Details of any security Coast Guard personnel engaged in mar- inspection or investigation of an al- itime security duties and Federal Air leged violation of aviation, maritime, Marshals, to the extent it is not classi- or rail transportation security require- fied national security information; and ments of Federal law that could reveal (iii) Information concerning the de- a security vulnerability, including the ployments and operations of Federal identity of the Federal special agent or Flight Deck Officers, and numbers of other Federal employee who conducted Federal Flight Deck Officers aggre- the inspection or audit. gated by aircraft operator. (ii) In the case of inspections or in- (iv) Any armed security officer proce- vestigations performed by TSA, this in- dures issued by TSA under 49 CFR part cludes the following information as to 1562. events that occurred within 12 months (9) Security screening information. The of the date of release of the informa- following information regarding secu- tion: the name of the airport where a rity screening under aviation or mari- violation occurred, the airport identi- time transportation security require- fier in the case number, a description ments of Federal law: of the violation, the regulation alleg- (i) Any procedures, including selec- edly violated, and the identity of any tion criteria and any comments, in- aircraft operator in connection with structions, and implementing guidance specific locations or specific security pertaining thereto, for screening of procedures. Such information will be persons, accessible property, checked released after the relevant 12-month baggage, U.S. mail, stores, and cargo, period, except that TSA will not re- that is conducted by the Federal gov- lease the specific gate or other location ernment or any other authorized per- on an airport where an event occurred, son. regardless of the amount of time that (ii) Information and sources of infor- has passed since its occurrence. During mation used by a passenger or property

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screening program or system, including rials receivers) that the incapacity or an automated screening system. destruction of such assets would have a (iii) Detailed information about the debilitating impact on transportation locations at which particular screening security, if the list is— methods or equipment are used, only if (i) Prepared by DHS or DOT; or determined by TSA to be SSI. (ii) Prepared by a State or local gov- (iv) Any security screener test and ernment agency and submitted by the scores of such tests. agency to DHS or DOT. (v) Performance or testing data from (13) Systems security information. Any security equipment or screening sys- information involving the security of tems. operational or administrative data sys- (vi) Any electronic image shown on tems operated by the Federal govern- any screening equipment monitor, including threat images and descriptions ment that have been identified by the of threat images for threat image pro- DOT or DHS as critical to aviation or jection systems. maritime transportation safety or se- (10) Security training materials. curity, including automated informa- Records created or obtained for the tion security procedures and systems, purpose of training persons employed security inspections, and vulnerability by, contracted with, or acting for the information concerning those systems. Federal government or another person (14) Confidential business information. to carry out aviation, maritime, or rail (i) Solicited or unsolicited proposals transportation security measures re- received by DHS or DOT, and negotia- quired or recommended by DHS or tions arising therefrom, to perform DOT. work pursuant to a grant, contract, co- (11) Identifying information of certain operative agreement, or other trans- transportation security personnel. (i) action, but only to the extent that the Lists of the names or other identifying subject matter of the proposal relates information that identify persons as— to aviation or maritime transportation (A) Having unescorted access to a se- security measures; cure area of an airport, a rail secure (ii) Trade secret information, includ- area, or a secure or restricted area of a ing information required or requested maritime facility, port area, or vessel; by regulation or Security Directive, (B) Holding a position as a security obtained by DHS or DOT in carrying screener employed by or under con- out aviation or maritime transpor- tract with the Federal government pur- tation security responsibilities; and suant to aviation or maritime trans- (iii) Commercial or financial infor- portation security requirements of mation, including information required Federal law, where such lists are aggre- or requested by regulation or Security gated by airport; Directive, obtained by DHS or DOT in (C) Holding a position with the Coast carrying out aviation or maritime Guard responsible for conducting vul- transportation security responsibil- nerability assessments, security ities, but only if the source of the in- boardings, or engaged in operations to enforce maritime security require- formation does not customarily dis- ments or conduct force protection; close it to the public. (D) Holding a position as a Federal (15) Research and development. Infor- Air Marshal; or mation obtained or developed in the (ii) The name or other identifying in- conduct of research related to aviation, formation that identifies a person as a maritime, or rail transportation secu- current, former, or applicant for Fed- rity activities, where such research is eral Flight Deck Officer. approved, accepted, funded, rec- (12) Critical aviation, maritime, or rail ommended, or directed by DHS or DOT, infrastructure asset information. Any list including research results. identifying systems or assets, whether (16) Other information. Any informa- physical or virtual, so vital to the aviation not otherwise described in this tion, maritime, or rail transportation section that TSA determines is SSI system (including rail hazardous mate- under 49 U.S.C. 114(s) or that the Sec- rials shippers and rail hazardous mate- retary of DOT determines is SSI under

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49 U.S.C. 40119. Upon the request of an- funded, recommended, or directed by other Federal agency, TSA or the Sec- DHS or DOT. retary of DOT may designate as SSI in- (j) Each person who has access to formation not otherwise described in SSI, as specified in § 1520.11. this section. (k) Each person employed by, con- (c) Loss of SSI designation. TSA or the tracted to, or acting for a covered per- Coast Guard may determine in writing son, including a grantee of DHS or that information or records described DOT, and including a person formerly in paragraph (b) of this section do not in such position. constitute SSI because they no longer (l) Each person for which a vulner- meet the criteria set forth in para- ability assessment has been directed, graph (a) of this section. created, held, funded, or approved by [69 FR 28082, May 18, 2004, as amended at 70 the DOT, DHS, or that has prepared a FR 41599, July 19, 2005; 71 FR 30507, May 26, vulnerability assessment that will be 2006; 73 FR 72172, Nov. 26, 2008; 74 FR 47695, provided to DOT or DHS in support of Sept. 16, 2009] a Federal security program. (m) Each person receiving SSI under § 1520.7 Covered persons. § 1520.15(d) or (e). Persons subject to the requirements (n) Each railroad carrier, rail haz- of part 1520 are: ardous materials shipper, rail haz- (a) Each airport operator, aircraft op- ardous materials receiver, and rail erator, and fixed base operator subject transit system subject to the require- to the requirements of subchapter C of ments of part 1580 of this chapter. this chapter, and each armed security officer under subpart B of part 1562. [69 FR 28082, May 18, 2004, as amended at 70 (b) Each indirect air carrier (IAC), as FR 41600, July 19, 2005; 73 FR 72173, Nov. 26, 2008; 74 FR 47695, Sept. 16, 2009; 76 FR 51867, described in 49 CFR part 1548; and each Aug. 18, 2011] certified cargo screening facility and its personnel, as described in 49 CFR § 1520.9 Restrictions on the disclosure part 1549. of SSI. (c) Each owner, charterer, or oper- (a) Duty to protect information. A cov- ator of a vessel, including foreign ves- ered person must— sel owners, charterers, and operators, required to have a security plan under (1) Take reasonable steps to safe- Federal or International law. guard SSI in that person’s possession (d) Each owner or operator of a mari- or control from unauthorized disclo- time facility required to have a secu- sure. When a person is not in physical rity plan under the Maritime Transpor- possession of SSI, the person must tation Security Act, (Pub.L. 107–295), 46 store it a secure container, such as a U.S.C. 70101 et seq., 33 CFR part 6, or 33 locked desk or file cabinet or in a U.S.C. 1221 et seq. locked room. (e) Each person performing the func- (2) Disclose, or otherwise provide action of a computer reservation system cess to, SSI only to covered persons or global distribution system for air- who have a need to know, unless other- line passenger information. wise authorized in writing by TSA, the (f) Each person participating in a na- Coast Guard, or the Secretary of DOT. tional or area security committee es- (3) Refer requests by other persons tablished under 46 U.S.C. 70112, or a for SSI to TSA or the applicable com- port security committee. ponent or agency within DOT or DHS. (g) Each industry trade association (4) Mark SSI as specified in § 1520.13. that represents covered persons and (5) Dispose of SSI as specified in has entered into a non-disclosure § 1520.19. agreement with the DHS or DOT. (b) Unmarked SSI. If a covered person (h) DHS and DOT. receives a record containing SSI that is (i) Each person conducting research not marked as specified in § 1520.13, the and development activities that relate covered person must— to aviation or maritime transportation (1) Mark the record as specified in security and are approved, accepted, § 1520.13; and

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(2) Inform the sender of the record the employee’s official duties, on be- that the record must be marked as half or in defense of the interests of the specified in § 1520.13. Federal, State, local, or tribal govern- (c) Duty to report unauthorized disclo- ment. sure. When a covered person becomes (2) A person acting in the perform- aware that SSI has been released to un- ance of a contract with or grant from a authorized persons, the covered person Federal, State, local, or tribal govern- must promptly inform TSA or the ap- ment agency has a need to know SSI if plicable DOT or DHS component or access to the information is necessary agency. to performance of the contract or (d) Additional Requirements for Critical grant. Infrastructure Information. In the case (c) Background check. TSA or Coast of information that is both SSI and has Guard may make an individual’s access been designated as critical infrastruc- to the SSI contingent upon satisfac- ture information under section 214 of tory completion of a security back- the Homeland Security Act, any cov- ground check or other procedures and ered person who is a Federal employee requirements for safeguarding SSI that in possession of such information must are satisfactory to TSA or the Coast comply with the disclosure restrictions Guard. and other requirements applicable to (d) Need to know further limited by the such information under section 214 and DHS or DOT. For some specific SSI, any implementing regulations. DHS or DOT may make a finding that only specific persons or classes of per- § 1520.11 Persons with a need to know. sons have a need to know. (a) In general. A person has a need to [69 FR 28082, May 18, 2004, as amended at 70 know SSI in each of the following cir- FR 1382, Jan. 7, 2005; 73 FR 72173, Nov. 26, cumstances: 2008] (1) When the person requires access to specific SSI to carry out transpor- § 1520.13 Marking SSI. tation security activities approved, ac- (a) Marking of paper records. In the cepted, funded, recommended, or di- case of paper records containing SSI, a rected by DHS or DOT. covered person must mark the record (2) When the person is in training to by placing the protective marking con- carry out transportation security ac- spicuously on the top, and the distribu- tivities approved, accepted, funded, tion limitation statement on the bot- recommended, or directed by DHS or tom, of— DOT. (1) The outside of any front and back (3) When the information is necessary cover, including a binder cover or fold- for the person to supervise or otherwise er, if the document has a front and manage individuals carrying out trans- back cover; portation security activities approved, (2) Any title page; and accepted, funded, recommended, or directed by the DHS or DOT. (3) Each page of the document. (4) When the person needs the infor- (b) Protective marking. The protective mation to provide technical or legal marking is: SENSITIVE SECURITY advice to a covered person regarding INFORMATION. transportation security requirements (c) Distribution limitation statement. of Federal law. The distribution limitation statement (5) When the person needs the infor- is: mation to represent a covered person WARNING: This record contains Sensitive in connection with any judicial or ad- Security Information that is controlled ministrative proceeding regarding under 49 CFR parts 15 and 1520. No part of those requirements. this record may be disclosed to persons with- (b) Federal, State, local, or tribal gov- out a ‘‘need to know’’, as defined in 49 CFR ernment employees, contractors, and parts 15 and 1520, except with the written permission of the Administrator of the grantees. (1) A Federal, State, local, or Transportation Security Administration or tribal government employee has a need the Secretary of Transportation. Unauthor- to know SSI if access to the informa- ized release may result in civil penalty or tion is necessary for performance of other action. For U.S. government agencies,

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public disclosure is governed by 5 U.S.C. 552 (2) Security background check. Prior to and 49 CFR parts 15 and 1520. providing SSI to a person under para- (d) Other types of records. In the case graph (d)(1) of this section, TSA or the of non-paper records that contain SSI, Coast Guard may require the indi- including motion picture films, video- vidual or, in the case of an entity, the tape recordings, audio recording, and individuals representing the entity, electronic and magnetic records, a cov- and their counsel, to undergo and sat- ered person must clearly and conspicu- isfy, in the judgment of TSA or the ously mark the records with the pro- Coast Guard, a security background tective marking and the distribution check. limitation statement such that the (e) Other conditional disclosure. TSA viewer or listener is reasonably likely may authorize a conditional disclosure to see or hear them when obtaining ac- of specific records or information that cess to the contents of the record. constitute SSI upon the written determination by TSA that disclosure of § 1520.15 SSI disclosed by TSA or the such records or information, subject to Coast Guard. such limitations and restrictions as (a) In general. Except as otherwise TSA may prescribe, would not be detri- provided in this section, and notwith- mental to transportation security. standing the Freedom of Information (f) Obligation to protect information. Act (5 U.S.C. 552), the Privacy Act (5 When an individual receives SSI pursu- U.S.C. 552a), and other laws, records ant to paragraph (d) or (e) of this sec- containing SSI are not available for tion that individual becomes a covered public inspection or copying, nor does person under § 1520.7 and is subject to TSA or the Coast Guard release such the obligations of a covered person records to persons without a need to under this part. know. (g) No release under FOIA. When TSA (b) Disclosure under the Freedom of In- discloses SSI pursuant to paragraphs formation Act and the Privacy Act. If a (b) through (e) of this section, TSA record contains both SSI and informa- makes the disclosure for the sole pur- tion that is not SSI, TSA or the Coast pose described in that paragraph. Such Guard, on a proper Freedom of Infor- disclosure is not a public release of in- mation Act or Privacy Act request, formation under the Freedom of Infor- may disclose the record with the SSI mation Act. redacted, provided the record is not (h) Disclosure of Critical Infrastructure otherwise exempt from disclosure Information. Disclosure of information under the Freedom of Information Act that is both SSI and has been des- or Privacy Act. ignated as critical infrastructure infor- (c) Disclosures to committees of Con- mation under section 214 of the Home- gress and the General Accounting Office. land Security Act is governed solely by Nothing in this part precludes TSA or the requirements of section 214 and any the Coast Guard from disclosing SSI to implementing regulations. a committee of Congress authorized to have the information or to the Comp- § 1520.17 Consequences of unauthor- troller General, or to any authorized ized disclosure of SSI. representative of the Comptroller Gen- Violation of this part is grounds for a eral. civil penalty and other enforcement or (d) Disclosure in enforcement pro- corrective action by DHS, and appro- ceedings—(1) In general. TSA or the priate personnel actions for Federal Coast Guard may provide SSI to a per- employees. Corrective action may in- son in the context of an administrative clude issuance of an order requiring re- enforcement proceeding when, in the trieval of SSI to remedy unauthorized sole discretion of TSA or the Coast disclosure or an order to cease future Guard, as appropriate, access to the unauthorized disclosure. SSI is necessary for the person to prepare a response to allegations con- § 1520.19 Destruction of SSI. tained in a legal enforcement action (a) DHS. Subject to the requirements document issued by TSA or the Coast of the Federal Records Act (5 U.S.C. Guard. 105), including the duty to preserve

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records containing documentation of a when the covered person no longer Federal agency’s policies, decisions, needs the SSI to carry out transpor- and essential transactions, DHS de- tation security measures. stroys SSI when no longer needed to (2) Exception. Paragraph (b)(1) of this carry out the agency’s function. section does not require a State or (b) Other covered persons—(1) In gen- local government agency to destroy in- eral. A covered person must destroy formation that the agency is required SSI completely to preclude recognition to preserve under State or local law. or reconstruction of the information

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PART 1540—CIVIL AVIATION Subpart A—General SECURITY: GENERAL RULES § 1540.1 Applicability of this subchapter and this part. Subpart A—General This subchapter and this part apply Sec. to persons engaged in aviation-related 1540.1 Applicability of this subchapter and activities. this part. 1540.3 Delegation of authority. § 1540.3 Delegation of authority. 1540.5 Terms used in this subchapter. (a) Where the Administrator is Subpart B—Responsibilities of Passengers named in this subchapter as exercising and Other Individuals and Persons authority over a function, the authority is exercised by the Administrator 1540.101 Applicability of this subpart. or the Deputy Administrator, or any 1540.103 Fraud and intentional falsification individual formally designated to act of records. as the Administrator or the Deputy 1540.105 Security responsibilities of employ- Administrator. ees and other persons. (b) Where TSA or the designated offi- 1540.107 Submission to screening and inspec- cial is named in this subchapter as ex- tion. ercising authority over a function, the 1540.109 Prohibition against interference authority is exercised by the official with screening personnel. designated by the Administrator to 1540.111 Carriage of weapons, explosives, perform that function. and incendiaries by individuals. 1540.113 Inspection of airman certificate. § 1540.5 Terms used in this sub- 1540.115 Threat assessments regarding citi- chapter. zens of the United States holding or applying for FAA certificates, ratings, or In addition to the terms in part 1500 authorizations. of this chapter, the following terms are 1540.117 Threat assessments regarding used in this subchapter: aliens holding or applying for FAA cer- Air operations area (AOA) means a tificates, ratings, or authorizations. portion of an airport, specified in the airport security program, in which se- Subpart C—Security Threat Assessments curity measures specified in this part are carried out. This area includes air- 1540.201 Applicability and terms used in this craft movement areas, aircraft parking subpart. areas, loading ramps, and safety areas, 1540.203 Security threat assessment. for use by aircraft regulated under 49 1540.205 Procedures for security threat assessment. CFR part 1544 or 1546, and any adjacent 1540.207 [Reserved] areas (such as general aviation areas) 1540.209 Fees for security threat assess- that are not separated by adequate se- ment. curity systems, measures, or procedures. This area does not include the Subpart D—Responsibilities of Holders of secured area. TSA–Approved Security Programs Aircraft operator means a person who uses, causes to be used, or authorizes 1540.301 Withdrawal of approval of a secu- to be used an aircraft, with or without rity program. the right of legal control (as owner, 1540.303 [Reserved] lessee, or otherwise), for the purpose of AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901– air navigation including the piloting of 44907, 44913–44914, 44916–44918, 44925, 44935– aircraft, or on any part of the surface 44936, 44942, 46105. of an airport. In specific parts or sec- SOURCE: 67 FR 8353, Feb. 22, 2002, unless tions of this subchapter, ‘‘aircraft oper- otherwise noted. ator’’ is used to refer to specific types of operators as described in those parts or sections.

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Airport operator means a person that Exclusive area means any portion of a operates an airport serving an aircraft secured area, AOA, or SIDA, including operator or a foreign air carrier re- individual access points, for which an quired to have a security program aircraft operator or foreign air carrier under part 1544 or 1546 of this chapter. that has a security program under part Airport security program means a secu- 1544 or 1546 of this chapter has assumed rity program approved by TSA under responsibility under § 1542.111 of this § 1542.101 of this chapter. chapter. Airport tenant means any person, Exclusive area agreement means an other than an aircraft operator or for- agreement between the airport oper- eign air carrier that has a security pro- ator and an aircraft operator or a for- gram under part 1544 or 1546 of this eign air carrier that has a security pro- chapter, that has an agreement with gram under parts 1544 or 1546 of this the airport operator to conduct busi- chapter that permits such an aircraft ness on airport property. operator or foreign air carrier to as- Airport tenant security program means sume responsibility for specified secu- the agreement between the airport op- rity measures in accordance with erator and an airport tenant that § 1542.111 of this chapter. specifies the measures by which the FAA means the Federal Aviation Ad- tenant will perform security functions, ministration. Flightcrew member means a pilot, and approved by TSA, under § 1542.113 flight engineer, or flight navigator as- of this chapter. signed to duty in an aircraft during unless used with reference Approved, flight time. to another person, means approved by Indirect air carrier (IAC) means any TSA. person or entity within the United Cargo means property tendered for States not in possession of an FAA air air transportation accounted for on an carrier operating certificate, that un- air waybill. All accompanied commer- dertakes to engage indirectly in air cial courier consignments, whether or transportation of property, and uses not accounted for on an air waybill, are for all or any part of such transpor- also classified as cargo. Aircraft oper- tation the services of an air carrier. ator security programs further define This does not include the United States the term ‘‘cargo.’’ Postal Service (USPS) or its represent- Certified cargo screening facility (CCSF) ative while acting on the behalf of the means a facility certified by TSA to USPS. screen air cargo in accordance with Loaded firearm means a firearm that part 1549. As used in this subchapter, has a live round of ammunition, or any ‘‘certified cargo screening facility’’ re- component thereof, in the chamber or fers to the legal entity that operates a cylinder or in a magazine inserted in CCSF at a particular location. the firearm. Certified cargo screening program Passenger seating configuration means (CCSP) means the program under which the total maximum number of seats for facilities are authorized to screen which the aircraft is type certificated cargo to be offered for transport on cer- that can be made available for pas- tain passenger aircraft in accordance senger use aboard a flight, regardless of with 49 CFR part 1549. the number of seats actually installed, Checked baggage means property ten- and includes that seat in certain air- dered by or on behalf of a passenger craft that may be used by a representa- and accepted by an aircraft operator tive of the FAA to conduct flight for transport, which is inaccessible to checks but is available for revenue pur- passengers during flight. Accompanied poses on other occasions. commercial courier consignments are Private charter means any aircraft op- not classified as checked baggage. erator flight— Escort means to accompany or mon- (1) For which the charterer engages itor the activities of an individual who the total passenger capacity of the air- does not have unescorted access au- craft for the carriage of passengers; the thority into or within a secured area or passengers are invited by the SIDA. charterer; the cost of the flight is

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borne entirely by the charterer and not procedures approved or accepted by directly or indirectly by any individual TSA. passenger; and the flight is not adver- Sterile area means a portion of an air- tised to the public, in any way, to so- port defined in the airport security licit passengers. program that provides passengers ac- (2) For which the total passenger ca- cess to boarding aircraft and to which pacity of the aircraft is used for the the access generally is controlled by purpose of civilian or military air TSA, or by an aircraft operator under movement conducted under contract part 1544 of this chapter or a foreign air with the Government of the United carrier under part 1546 of this chapter, States or the government of a foreign through the screening of persons and country. property. Public charter means any charter Unescorted access authority means the flight that is not a private charter. authority granted by an airport oper- Scheduled passenger operation means ator, an aircraft operator, foreign air an air transportation operation (a carrier, or airport tenant under part flight) from identified air terminals at 1542, 1544, or 1546 of this chapter, to in- a set time, which is held out to the dividuals to gain entry to, and be public and announced by timetable or present without an escort in, secured schedule, published in a newspaper, areas and SIDA’s of airports. magazine, or other advertising me- Unescorted access to cargo means the dium. authority granted by an aircraft oper- Screening function means the inspec- ator or IAC to individuals to have action of individuals and property for cess to air cargo without an escort. weapons, explosives, and incendiaries. [67 FR 8353, Feb. 22, 2002, as amended at 67 Screening location means each site at FR 8209, Feb. 22, 2002; 71 FR 30507, May 26, which individuals or property are in- 2006; 74 FR 47700, Sept. 16, 2009] spected for the presence of weapons, explosives, or incendiaries. Subpart B—Responsibilities of Pas- Secured area means a portion of an sengers and Other Individuals airport, specified in the airport security program, in which certain security and Persons measures specified in part 1542 of this § 1540.101 Applicability of this subchapter are carried out. This area is part. where aircraft operators and foreign air carriers that have a security pro- This subpart applies to individuals gram under part 1544 or 1546 of this and other persons. chapter enplane and deplane passengers and sort and load baggage and any ad- § 1540.103 Fraud and intentional falsification of records. jacent areas that are not separated by adequate security measures. No person may make, or cause to be Security Identification Display Area made, any of the following: (SIDA) means a portion of an airport, (a) Any fraudulent or intentionally specified in the airport security pro- false statement in any application for gram, in which security measures spec- any security program, access medium, ified in this part are carried out. This or identification medium, or any area includes the secured area and may amendment thereto, under this sub- include other areas of the airport. chapter. Standard security program means a se- (b) Any fraudulent or intentionally curity program issued by TSA that false entry in any record or report that serves as a baseline for a particular is kept, made, or used to show compli- type of operator. If TSA has issued a ance with this subchapter, or exercise standard security program for a par- any privileges under this subchapter. ticular type of operator, unless other- (c) Any reproduction or alteration, wise authorized by TSA, each opera- for fraudulent purpose, of any report, tor’s security program consists of the record, security program, access me- standard security program together dium, or identification medium issued with any amendments and alternative under this subchapter.

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§ 1540.105 Security responsibilities of (c) An individual may not enter a employees and other persons. sterile area or board an aircraft if the (a) No person may: individual does not present a verifying (1) Tamper or interfere with, com- identity document as defined in § 1560.3 promise, modify, attempt to cir- of this chapter, when requested for pur- cumvent, or cause a person to tamper poses of watch list matching under or interfere with, compromise, modify, § 1560.105(c), unless otherwise author- or attempt to circumvent any security ized by TSA on a case-by-case basis. system, measure, or procedure imple- (d) The screening and inspection de- mented under this subchapter. scribed in paragraph (a) of this section (2) Enter, or be present within, a se- may include the use of advanced imag- cured area, AOA, SIDA or sterile area ing technology. Advanced imaging without complying with the systems, technology used for the screening of measures, or procedures being applied passengers under this section must be to control access to, or presence or equipped with and employ automatic movement in, such areas. target recognition software and any other requirement TSA deems nec- (3) Use, allow to be used, or cause to essary to address privacy consider- be used, any airport-issued or airport- ations. approved access medium or identification medium that authorizes the ac- (1) For purposes of this section, ad- cess, presence, or movement of persons vanced imaging technology– or vehicles in secured areas, AOA’s, or (i) Means a device used in the screen- SIDA’s in any other manner than that ing of passengers that creates a visual for which it was issued by the appro- image of an individual showing the sur- priate authority under this subchapter. face of the skin and revealing other ob- (b) The provisions of paragraph (a) of jects on the body; and this section do not apply to conducting (ii) May include devices using inspections or tests to determine com- backscatter x-rays or millimeter waves pliance with this part or 49 U.S.C. Sub- and devices referred to as whole body title VII authorized by: imaging technology or body scanning (1) TSA, or machines. (2) The airport operator, aircraft op- (2) For purposes of this section, auto- erator, or foreign air carrier, when act- matic target recognition software ing in accordance with the procedures means software installed on an ad- described in a security program ap- vanced imaging technology device that proved by TSA. produces a generic image of the individual being screened that is the same § 1540.107 Submission to screening as the images produced for all other and inspection. screened individuals. (a) No individual may enter a sterile [73 FR 64061, Oct. 28, 2008, as amended at 81 area or board an aircraft without sub- FR 11405, Mar. 3, 2016] mitting to the screening and inspection of his or her person and accessible § 1540.109 Prohibition against inter- property in accordance with the proce- ference with screening personnel. dures being applied to control access to No person may interfere with, as- that area or aircraft under this sub- sault, threaten, or intimidate screen- chapter. ing personnel in the performance of (b) An individual must provide his or their screening duties under this sub- her full name, as defined in § 1560.3 of chapter. this chapter, date of birth, and gender when— § 1540.111 Carriage of weapons, explo- (1) The individual, or a person on the sives, and incendiaries by individ- individual’s behalf, makes a reserva- uals. tion for a covered flight, as defined in (a) On an individual’s person or acces- § 1560.3 of this chapter, or sible property—prohibitions. Except as (2) The individual makes a request provided in paragraph (b) of this sec- for authorization to enter a sterile tion, an individual may not have a area. weapon, explosive, or incendiary, on or

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about the individual’s person or acces- governing carriage of ammunition on sible property— aircraft. (1) When performance has begun of [67 FR 8353, Feb. 22, 2002, as amended at 67 the inspection of the individual’s per- FR 41639, June 19, 2002; 70 FR 41600, July 19, son or accessible property before enter- 2005; 71 FR 30507, May 26, 2006] ing a sterile area, or before boarding an aircraft for which screening is con- § 1540.113 Inspection of airman certifi- ducted under this subchapter; cate. (2) When the individual is entering or Each individual who holds an airman in a sterile area; or certificate, medical certificate, author- (3) When the individual is attempting ization, or license issued by the FAA to board or onboard an aircraft for must present it for inspection upon a which screening is conducted under request from TSA. §§ 1544.201, 1546.201, or 1562.23 of this chapter. § 1540.115 Threat assessments regard- (b) On an individual’s person or acces- ing citizens of the United States holding or applying for FAA certifi- sible property—permitted carriage of a cates, ratings, or authorizations. weapon. Paragraph (a) of this section does not apply as to carriage of fire- (a) Applicability. This section applies arms and other weapons if the indi- when TSA has determined that an individual is one of the following: vidual who is a United States citizen and who holds, or is applying for, an (1) Law enforcement personnel re- airman certificate, rating, or author- quired to carry a firearm or other ization issued by the Administrator, weapons while in the performance of poses a security threat. law enforcement duty at the airport. (b) Definitions. The following terms (2) An individual authorized to carry apply in this section: a weapon in accordance with §§ 1544.219, Administrator means the Adminis- 1544.221, 1544.223, 1546.211, or subpart B trator of the Transportation Security of part 1562 of this chapter. Administration. (3) An individual authorized to carry Assistant Administrator means the As- a weapon in a sterile area under a secu- sistant Administrator for Intelligence rity program. for TSA. (c) In checked baggage. A passenger Date of service means— may not transport or offer for trans- (1) The date of personal delivery in port in checked baggage or in baggage the case of personal service; carried in an inaccessible cargo hold (2) The mailing date shown on the under § 1562.23 of this chapter: certificate of service; (1) Any loaded firearm(s). (3) The date shown on the postmark (2) Any unloaded firearm(s) unless— if there is no certificate of service; or (i) The passenger declares to the air- (4) Another mailing date shown by craft operator, either orally or in writ- other evidence if there is no certificate ing, before checking the baggage, that of service or postmark. the passenger has a firearm in his or Deputy Administrator means the offi- her bag and that it is unloaded; cer next in rank below the Adminis- (ii) The firearm is unloaded; trator. (iii) The firearm is carried in a hard- FAA Administrator means the Admin- sided container; and istrator of the Federal Aviation Ad- (iv) The container in which it is car- ministration. ried is locked, and only the passenger Individual means an individual whom retains the key or combination. TSA determines poses a security (3) Any unauthorized explosive or in- threat. cendiary. (c) Security threat. An individual (d) Ammunition. This section does not poses a security threat when the indi- prohibit the carriage of ammunition in vidual is suspected of posing, or is checked baggage or in the same con- known to pose— tainer as a firearm. Title 49 CFR part (1) A threat to transportation or na- 175 provides additional requirements tional security;

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(2) A threat of air piracy or ter- (5) TSA final determination. Not later rorism; than 30 calendar days, or such longer (3) A threat to airline or passenger period as TSA may determine for good security; or cause, after TSA receives the individ- (4) A threat to civil aviation secu- ual’s reply, TSA serves a final deter- rity. mination in accordance with paragraph (d) Representation by counsel. The in- (f) of this section. dividual may, if he or she so chooses, (f) Final Notification of Threat Assess- be represented by counsel at his or her ment—(1) In general. The Deputy Ad- own expense. ministrator reviews the Initial Notifi- (e) Initial Notification of Threat Assess- cation, the materials upon which the ment—(1) Issuance. If the Assistant Ad- Initial Notification was based, the indi- ministrator determines that an individual’s reply, if any, and any other vidual poses a security threat, the As- materials or information available to sistant Administrator serves upon the him. individual an Initial Notification of (2) Review and Issuance of Final Notifi- Threat Assessment and serves the de- cation. If the Deputy Administrator determination upon the FAA Adminis- termines that the individual poses a se- trator. The Initial Notification in- curity threat, the Administrator re- cludes— views the Initial Notification, the ma- (i) A statement that the Assistant terials upon which the Initial Notifica- Administrator personally has reviewed tion was based, the individual’s reply, the materials upon which the Initial if any, and any other materials or in- Notification was based; and formation available to him. If the Ad- (ii) A statement that the Assistant ministrator determines that the indi- Administrator has determined that the vidual poses a security threat, the Ad- individual poses a security threat. ministrator serves upon the individual (2) Request for Materials. Not later a Final Notification of Threat Assess- than 15 calendar days after the date of ment and serves the determination service of the Initial Notification, the upon the FAA Administrator. The individual may serve a written request for copies of the releasable materials Final Notification includes a state- upon which the Initial Notification was ment that the Administrator person- based. ally has reviewed the Initial Notifica- (3) TSA response. Not later than 30 tion, the individual’s reply, if any, and calendar days, or such longer period as any other materials or information TSA may determine for good cause, available to him, and has determined after receiving the individual’s request that the individual poses a security for copies of the releasable materials threat. upon which the Initial Notification was (3) Withdrawal of Initial Notification. If based, TSA serves a response. TSA will the Deputy Administrator does not de- not include in its response any classi- termine that the individual poses a se- fied information or other information curity threat, or upon review, the Ad- described in paragraph (g) of this sec- ministrator does not determine that tion. the individual poses a security threat, (4) Reply. The individual may serve TSA serves upon the individual a With- upon TSA a written reply to the Initial drawal of the Initial Notification and Notification of Threat Assessment not provides a copy of the Withdrawal to later than 15 calendar days after the the FAA Administrator. date of service of the Initial Notifica- (g) Nondisclosure of certain information, or the date of service of TSA’s re- tion. In connection with the procedures sponse to the individual’s request under this section, TSA does not dis- under paragraph (e)(2) if such a request close to the individual classified infor- was served. The reply may include any mation, as defined in Executive Order information that the individual be- 12968 section 1.1(d), and reserves the lieves TSA should consider in reviewing the basis for the Initial Notifica- tion.

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right not to disclose any other infor- (e) Initial Notification of Threat Assess- mation or material not warranting dis- ment—(1) Issuance. If the Assistant Ad- closure or protected from disclosure ministrator determines that an indi- under law. vidual poses a security threat, the As- sistant Administrator serves upon the [68 FR 3761, Jan. 24, 2003, as amended at 68 FR 49721, Aug. 19, 2003] individual an Initial Notification of Threat Assessment and serves the de- § 1540.117 Threat assessments regard- termination upon the FAA Adminis- ing aliens holding or applying for trator. The Initial Notification in- FAA certificates, ratings, or author- cludes— izations. (i) A statement that the Assistant (a) Applicability. This section applies Administrator personally has reviewed when TSA has determined that an indi- the materials upon which the Initial vidual who is not a citizen of the Notification was based; and United States and who holds, or is ap- (ii) A statement that the Assistant plying for, an airman certificate, rat- Administrator has determined that the ing, or authorization issued by the individual poses a security threat. FAA Administrator, poses a security (2) Request for materials. Not later threat. than 15 calendar days after the date of (b) Definitions. The following terms service of the Initial Notification, the apply in this section: individual may serve a written request Assistant Administrator means the As- for copies of the releasable materials sistant Administrator for Intelligence upon which the Initial Notification was for TSA. based. Date of service means— (3) TSA response. Not later than 30 (1) The date of personal delivery in calendar days, or such longer period as the case of personal service; TSA may determine for good cause, (2) The mailing date shown on the after receiving the individual’s request certificate of service; for copies of the releasable materials (3) The date shown on the postmark upon which the Initial Notification was if there is no certificate of service; or based, TSA serves a response. TSA will (4) Another mailing date shown by not include in its response any classi- other evidence if there is no certificate fied information or other information of service or postmark. described in paragraph (g) of this sec- Deputy Administrator means the offi- tion. cer next in rank below the Adminis- (4) Reply. The individual may serve trator. upon TSA a written reply to the Initial FAA Administrator means the Admin- Notification of Threat Assessment not istrator of the Federal Aviation Ad- later than 15 calendar days after the ministration. date of service of the Initial Notifica- Individual means an individual whom tion, or the date of service of TSA’s re- TSA determines poses a security sponse to the individual’s request threat. under paragraph (e)(2) if such a request (c) Security threat. An individual was served. The reply may include any poses a security threat when the indi- information that the individual be- vidual is suspected of posing, or is lieves TSA should consider in review- known to pose— ing the basis for the Initial Notifica- (1) A threat to transportation or nation. tional security; (5) TSA final determination. Not later (2) A threat of air piracy or ter- than 30 calendar days, or such longer rorism; period as TSA may determine for good (3) A threat to airline or passenger cause, after TSA receives the individ- security; or ual’s reply, TSA serves a final deter- (4) A threat to civil aviation secu- mination in accordance with paragraph rity. (f) of this section. (d) Representation by counsel. The in- (f) Final Notification of Threat Assess- dividual may, if he or she so chooses, ment—(1) In general. The Deputy Ad- be represented by counsel at his or her ministrator reviews the Initial Notifi- own expense. cation, the materials upon which the

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Initial Notification was based, the indi- program described in 49 CFR 1544.101(a) vidual’s reply, if any, and any other or (h). materials or information available to (2) Each foreign air carrier operating him. under a program described in 49 CFR (2) Issuance of Final Notification. If the 1546.101(a), (b), or (e). Deputy Administrator determines that (3) Each indirect air carrier operating the individual poses a security threat, under a security program described in the Deputy Administrator serves upon 49 CFR part 1548. the individual a Final Notification of (4) Each applicant applying for Threat Assessment and serves the de- unescorted access to cargo under one of termination upon the FAA Adminis- the programs described in (a)(1) trator. The Final Notification includes through (a)(3) of this section. a statement that the Deputy Adminis- (5) Each proprietor, general partner, trator personally has reviewed the Ini- officer, director, or owner of an indi- tial Notification, the individual’s rect air carrier as described in 49 CFR reply, if any, and any other materials 1548.16. or information available to him, and (6) Each certified cargo screening fa- has determined that the individual cility described in 49 CFR part 1549. poses a security threat. (7) Each individual a certified cargo (3) Withdrawal of Initial Notification. If screening facility authorizes to per- the Deputy Administrator does not de- form screening or supervise screening. termine that the individual poses a se- (8) Each individual the certified curity threat, TSA serves upon the in- cargo screening facility authorizes to dividual a Withdrawal of the Initial have unescorted access to cargo at any Notification and provides a copy of the time from the time it is screened until Withdrawal to the FAA Administrator. the time it is tendered to an indirect (g) Nondisclosure of certain informa- air carrier under 49 CFR part 1548, an tion. In connection with the procedures aircraft operator under part 1544, or a under this section, TSA does not dis- foreign air carrier under part 1546. close to the individual classified infor- (9) The senior manager or representa- mation, as defined in Executive Order tive of its facility in control of the op- 12968 section 1.1(d), and TSA reserves erations of a certified cargo screening the right not to disclose any other in- facility under 49 CFR part 1549. formation or material not warranting (b) For purposes of this subpart— disclosure or protected from disclosure Applicant means the individuals list- under law. ed in paragraph (a) of this section. [68 FR 3768, Jan. 24, 2003] Operator means an aircraft operator, foreign air carrier, and indirect air car- Subpart C—Security Threat rier listed in paragraphs (a)(1) through Assessments (a)(3) of this section, and a certified cargo screening facility described in paragraph (a)(6) of this section. SOURCE: 74 FR 47700, Sept. 16, 2009, unless (c) An applicant poses a security otherwise noted. threat under this subpart when TSA § 1540.201 Applicability and terms determines that he or she is known to used in this subpart. pose or is suspected of posing a threat— (a) This subpart includes the proce- (1) To national security; dures that certain aircraft operators, (2) To transportation security; or foreign air carriers, indirect air car- (3) Of terrorism. riers, and certified cargo screening facilities must use to have security [74 FR 47700, Sept. 16, 2009, as amended at 76 threat assessments performed on cer- FR 51867, Aug. 18, 2011] tain individuals pursuant to 49 CFR 1544.228, 1546.213, 1548.7, 1548.15, 1548.16 § 1540.203 Security threat assessment. and 1549.111. This subpart applies to the (a) Each operator subject to this sub- following: part must ensure that each of the fol- (1) Each aircraft operator operating lowing undergoes a security threat as- under a full program or full all-cargo sessment or a comparable security

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threat assessment described in (11) A Privacy Notice as required in § 1540.205: the security program and the following (1) Cargo personnel in the United statement: States, as described in § 1544.228. The information I have provided on this (2) Cargo personnel in the United application is true, complete, and correct to States, as described in § 1546.213. the best of my knowledge and belief and is (3) Individuals with unescorted access provided in good faith. I understand that a to cargo, as described in § 1548.15. knowing and willful false statement, or an omission of a material fact, on this applica- (4) Proprietors, general partners, offi- tion can be punished by fine or imprison- cers, directors, and owners of an indi- ment or both (see section 1001 of Title 18 rect air carrier, as described in § 1548.16. United States Code), and may be grounds for (5) Personnel of certified cargo denial of authorization or in the case of par- screening facilities, as described in ties regulated under this section, removal of authorization to operate under this chapter, § 1549.111. if applicable. (b) Each operator must verify the I acknowledge that if I do not successfully identity and work authorization of complete the security threat assessment, the each applicant and examine the docu- Transportation Security Administration ment(s) presented by the applicant to may notify my employer. If TSA or other prove identity and work authorization law enforcement agency becomes aware that I may pose an imminent threat to an oper- to determine whether they appear to be ator or facility, TSA may provide limited in- genuine and relate to the applicant formation necessary to reduce the risk of in- presenting them. jury or damage to the operator or facility. (c) Each operator must submit to (d) Each operator must retain the fol- TSA a security threat assessment ap- lowing for 180 days following the end of plication for each applicant that is the applicant’s service to the operator: dated and signed by the applicant and (1) The applicant’s signed security that includes the following: threat assessment application. (1) Legal name, including first, mid- (2) Copies of the applicant’s docu- dle, and last; any applicable suffix; and ment(s) used to verify identity and any other names used previously. work authorization. (2) Current mailing address, includ- (3) Any notifications or documents ing residential address if it differs from sent to or received from TSA relating the current mailing address; all other to the applicant’s application and secu- residential addresses for the previous rity threat assessment. five years; and e-mail address if the ap- (4) As applicable, a copy of the appli- plicant has an e-mail address. cant’s credential evidencing comple- (3) Date and place of birth. tion of a threat assessment deemed (4) Social security number (submis- comparable under paragraph (f) of this sion is voluntary, although failure to section. provide it may delay or prevent com- (e) Records under this section may pletion of the threat assessment). include electronic documents with (5) Gender. electronic signature or other means of personal authentication, where accept- (6) Country of citizenship. ed by TSA. (7) If the applicant is a U.S. citizen (f) TSA may determine that a secu- born abroad or a naturalized U.S. cit- rity threat assessment conducted by izen, their U.S. passport number; or the another governmental agency is com- 10-digit document number from the ap- parable to a security threat assessment plicant’s Certificate of Birth Abroad, conducted under this subpart. Individ- Form DS–1350. uals who have successfully completed a (8) If the applicant is not a U.S. cit- comparable security threat assessment izen, the applicant’s Alien Registration are not required to undergo the secu- Number. rity threat assessments described in (9) The applicant’s daytime telephone this subpart. If TSA makes a com- number. parability determination under this (10) The applicant’s current em- section, TSA will so notify the public. ployer(s), and the address and tele- In making a comparability determina- phone number of the employer(s). tion, TSA will consider—

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(i) The minimum standards used for (2) If the applicant asserts comple- the security threat assessment; tion of a comparable threat assess- (ii) The frequency of the security ment, it expires five years from the threat assessment; date of issuance of the credential that (iii) The date of the most recent corresponds to the comparable assess- threat assessment; and ment, or the date on which the creden- (iv) Other factors TSA deems appro- tial is revoked for any reason. priate. [74 FR 47700, Sept. 16, 2009, as amended at 76 (g) To apply for a comparability de- FR 51867, Aug. 18, 2011] termination, the agency seeking the determination must contact the Assist- § 1540.205 Procedures for security ant Program Manager, Attn: Federal threat assessment. Agency Comparability Check, Hazmat (a) Contents of security threat assess- Threat Assessment Program, Transpor- ment. The security threat assessment tation Security Administration, 601 TSA conducts under this subpart in- South 12th Street, Arlington, VA 20598– cludes an intelligence-related check 6019. and a final disposition. (h) TSA has determined that each of (b) Intelligence-related check. To con- the following are comparable to the se- duct an intelligence-related check, curity threat assessment required in TSA completes the following proce- this subpart: dures: (1) A CHRC conducted in accordance (1) Reviews the applicant information with §§ 1542.209, 1544.229, or 1544.230 that required in 49 CFR 1540.203. includes a name-based check conducted (2) Searches domestic and inter- by TSA. national government databases to de- (2) A security threat assessment con- termine if an applicant meets the re- ducted under 49 CFR part 1572 for the quirements of 49 CFR 1540.201(c) or to Transportation Worker Identification confirm an applicant’s identity. Credential or Hazardous Materials En- (3) Adjudicates the results in accord- dorsement programs. ance with 49 CFR 1540.201(c). (3) A security threat assessment con- (c) Wants, warrants, deportable aliens. ducted for the Free and Secure Trade If the searches listed in paragraph (FAST) program administered by U.S. (b)(2) of this section indicate that an Customs and Border Protection. applicant has an outstanding want or (i) If asserting completion of a com- warrant, or is a deportable alien under parable threat assessment listed in the immigration laws of the United paragraph (h) of this section, an indi- States, TSA sends the applicant’s in- vidual must— formation to the appropriate law en- (1) Present the credential that cor- forcement or immigration agency. responds to successful completion of (d) Final disposition. Following com- the comparable assessment to the oper- pletion of the procedures described in ator so the operator may retain a copy paragraph (b), the following procedures of it; and apply, as appropriate: (2) Notify the operator when the cre- (1) TSA serves a Determination of No dential that corresponds to successful Security Threat on the applicant and completion of the comparable assess- operator if TSA determines that the ment expires or is revoked for any rea- applicant meets the security threat as- son. sessment standards in 49 CFR (j) A security threat assessment con- 1540.201(c). ducted under this subpart remains (2) TSA serves an Initial Determina- valid for five years from the date that tion of Threat Assessment on the appli- TSA issues a Determination of No Se- cant, if TSA determines that the appli- curity Threat or a Final Determination cant does not meet the security threat of Threat Assessment, except— assessment standards in 49 CFR (1) If the applicant is no longer au- 1540.201(c). The Initial Determination thorized to be in the United States, the of Threat Assessment includes— security threat assessment and the (i) A statement that TSA has deter- privileges it conveys expire on the date mined that the applicant is suspected lawful presence expires; or of posing or poses a security threat;

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(ii) The basis for the determination; § 1540.207 [Reserved] (iii) Information about how the applicant may appeal the determination, as § 1540.209 Fees for security threat as- described in 49 CFR 1515.9; and sessment. (iv) A statement that if the applicant This section describes the payment chooses not to appeal TSA’s determina- process for completion of the security tion within 60 days of receipt of the threat assessments required under this Initial Determination, or does not re- subpart. quest an extension of time within 60 (a) Fees for security threat assessment. days of the Initial Determination of (1) TSA routinely establishes and col- Threat Assessment in order to file an lects fees to conduct the security appeal, the Initial Determination be- threat assessment process. These fees comes a Final Determination of Secu- apply to all entities requesting a security Threat Assessment. rity threat assessment. TSA reviews (3) TSA serves an Initial Determina- the amount of the fee periodically, at tion of Threat Assessment and Imme- least once every two years, to deter- diate Revocation on the applicant and mine the current cost of conducting se- the applicant’s operator or other oper- curity threat assessments. TSA deter- ator as approved by TSA, where appro- mines fee amounts and any necessary priate, if TSA determines that the applicant does not meet the security revisions to the fee amounts based on threat assessment standards in 49 CFR current costs, using a method of anal- 1540.201(c) and may pose an imminent ysis consistent with widely accepted threat to transportation or national se- accounting principles and practices, curity, or of terrorism. The Initial De- and calculated in accordance with the termination of Threat Assessment and provisions of 31 U.S.C. 9701 and other Immediate Revocation includes— applicable Federal law. (i) A statement that TSA has deter- (2) TSA will publish fee amounts and mined that the applicant is suspected any revisions to the fee amounts as a of posing or poses an imminent secu- notice in the FEDERAL REGISTER. rity threat; (b) [Reserved] (ii) The basis for the determination; (c) Remittance of fees. (1) The fees re- (iii) Information about how the appli- quired under this subpart must be re- cant may appeal the determination, as mitted to TSA in a form and manner described in 49 CFR 1515.5(h) or acceptable to TSA each time the appli- 1515.9(h), as applicable; and cant or an aircraft operator, foreign air (iv) A statement that if the applicant carrier, indirect air carrier, or certified chooses not to appeal TSA’s determina- cargo screening facility submits the in- tion within 60 days of receipt of the formation required under § 1540.203 or Initial Determination, or does not re- § 1540.207 to TSA. quest an extension of time within 60 (2) Fees remitted to TSA under this days of the Initial Determination of subpart must be payable to the Threat Assessment in order to file an ‘‘Transportation Security Administra- appeal, the Initial Determination be- tion’’ in U.S. currency and drawn on a comes a Final Determination of Secu- U.S. bank. rity Threat Assessment. (3) TSA will not issue any fee re- (4) If the applicant does not appeal funds, unless a fee was paid in error. the Initial Determination of Threat As- sessment or Initial Determination of [74 FR 47700, Sept. 16, 2009, as amended at 76 Threat Assessment and Immediate FR 51867, Aug. 18, 2011] Revocation, or if TSA does not grant the appeal, TSA serves a Final Deter- Subpart D—Responsibilities of mination of Threat Assessment on the Holders of TSA-Approved Se- individual and the applicant. (5) If the applicant appeals an Initial curity Programs Determination of Threat Assessment, the procedures in 49 CFR 1515.5 or 1515.9 SOURCE: 74 FR 47703, Sept. 16, 2009, unless apply. otherwise noted.

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§ 1540.301 Withdrawal of approval of a (5) Assistant Secretary’s review. The security program. designated official transmits the Peti- (a) Applicability. This section applies tion together with all pertinent infor- to holders of a security program ap- mation to the Assistant Secretary for proved or accepted by TSA under 49 reconsideration. The Assistant Sec- CFR chapter XII, subchapter C. retary will dispose of the Petition (b) Withdrawal of security program ap- within 15 calendar days of receipt by proval. TSA may withdraw the ap- either directing the designated official proval of a security program, if TSA to rescind the Withdrawal of Approval determines continued operation is con- or by affirming the Withdrawal of Ap- trary to security and the public inter- proval. The decision of the Assistant est, as follows: Secretary constitutes a final agency (1) Notice of proposed withdrawal of ap- order subject to judicial review in ac- proval. TSA will serve a Notice of Pro- cordance with 49 U.S.C. 46110. posed Withdrawal of Approval, which (6) Emergency withdrawal. If TSA notifies the holder of the security pro- finds that there is an emergency with gram, in writing, of the facts, charges, respect to aviation security requiring and applicable law, regulation, or order immediate action that makes the pro- that form the basis of the determina- cedures in this section contrary to the tion. public interest, the designated official (2) Security program holder’s reply. The may issue an Emergency Withdrawal of holder of the security program may re- Approval of a security program with- spond to the Notice of Proposed With- out first issuing a Notice of Proposed drawal of Approval no later than 15 cal- Withdrawal of Approval. The Emer- endar days after receipt of the with- gency Withdrawal would be effective drawal by providing the designated of- on the date that the holder of the secu- ficial, in writing, with any material rity program receives the emergency facts, arguments, applicable law, and withdrawal. In such a case, the des- regulation. ignated official will send the holder of (3) TSA review. The designated offi- the security program a brief statement cial will consider all information avail- of the facts, charges, applicable law, able, including any relevant material regulation, or order that forms the or information submitted by the holder basis for the Emergency Withdrawal. of the security program, before either The holder of the security program issuing a Withdrawal of Approval of may submit a Petition for Reconsider- the security program or rescinding the ation under the procedures in para- Notice of Proposed Withdrawal of Ap- graphs (b)(4) through (b)(5) of this sec- proval. If TSA issues a Withdrawal of tion; however, this petition will not Approval, it becomes effective upon re- stay the effective date of the Emer- ceipt by the holder of the security pro- gency Withdrawal. gram, or 15 calendar days after service, (c) Service of documents for withdrawal whichever occurs first. of approval of security program pro- (4) Petition for reconsideration. The ceedings. Service may be accomplished holder of the security program may pe- by personal delivery, certified mail, or tition TSA to reconsider its With- express courier. Documents served on drawal of Approval by serving a peti- the holder of a security program will tion for consideration no later than 15 be served at its official place of busi- calendar days after the holder of the ness as designated in its application for security program receives the With- approval or its security program. Docu- drawal of Approval. The holder of the ments served on TSA must be served to security program must serve the Peti- the address noted in the Notice of tion for Reconsideration on the des- Withdrawal of Approval or Withdrawal ignated official. Submission of a Peti- of Approval, whichever is applicable. tion for Reconsideration will not stay (1) Certificate of service. An individual the Withdrawal of Approval. The hold- may attach a certificate of service to a er of the security program may request document tendered for filing. A certifi- the designated official to stay the cate of service must consist of a state- Withdrawal of Approval pending review ment, dated and signed by the person of and decision on the Petition. filing the document, that the document

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was personally delivered, served by cer- 1542.217 Law enforcement personnel. tified mail on a specific date, or served 1542.219 Supplementing law enforcement by express courier on a specific date. personnel. 1542.221 Records of law enforcement re- (2) Date of service. The date of service sponse. is— (i) The date of personal delivery; Subpart D—Contingency Measures (ii) If served by certified mail, the mailing date shown on the certificate 1542.301 Contingency plan. of service, the date shown on the post- 1542.303 Security Directives and Informa- tion Circulars. mark if there is no certificate of serv- 1542.305 Public advisories. ice, or other mailing date shown by 1542.307 Incident management. other evidence if there is no certificate AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901– of service or postmark; or 44905, 44907, 44913–44914, 44916–44917, 44935– (iii) If served by express courier, the 44936, 44942, 46105. service date shown on the certificate of service, or by other evidence if there is SOURCE: 67 FR 8355, Feb. 22, 2002, unless otherwise noted. no certificate of service. (d) Extension of time. TSA may grant an extension of time to the limits set Subpart A—General forth in this section for good cause § 1542.1 Applicability of this part. shown. A security program holder must submit a request for an extension of This part describes aviation security time in writing, and TSA must receive rules governing: it at least two days before the due date (a) The operation of airports regu- in order to be considered. TSA may larly serving aircraft operations re- grant itself an extension of time for quired to be under a security program good cause. under part 1544 of this chapter, as described in this part. § 1540.303 [Reserved] (b) The operation of airport regularly serving foreign air carrier operations PART 1542—AIRPORT SECURITY required to be under a security program under part 1546 of this chapter, as Subpart A—General described in this part. (c) Each airport operator that re- Sec. ceives a Security Directive or Informa- 1542.1 Applicability of this part. tion Circular and each person who re- 1542.3 Airport security coordinator. ceives information from a Security Di- 1542.5 Inspection authority. rective or Information Circular issued Subpart B—Airport Security Program by the Designated official for Civil Aviation Security. 1542.101 General requirements. (d) Each airport operator that does 1542.103 Content. not have a security program under this 1542.105 Approval and amendments. part that serves an aircraft operator 1542.103 Changed conditions affecting secu- operating under a security program rity. 1542.109 Alternate means of compliance. under part 1544 of this chapter, or a for- 1542.111 Exclusive area agreements. eign air carrier operating under a secu- 1542.113 Airport tenant security programs. rity program under part 1546 of this chapter. Such airport operators must Subpart C—Operations comply with § 1542.5(e). 1542.201 Security of the secured area. [67 FR 8355, Feb. 22, 2002, as amended at 71 1542.203 Security of the air operations area FR 30509, May 26, 2006] (AOA). 1542.205 Security of the security identifica- § 1542.3 Airport security coordinator. tion display area (SIDA). (a) Each airport operator must des- 1542.207 Access control systems. ignate one or more Airport Security 1542.209 Fingerprint-based criminal history records checks (CHRC). Coordinator(s) (ASC) in its security 1542.211 Identification systems. program. 1542.213 Training. (b) The airport operator must ensure 1542.215 Law enforcement support. that one or more ASCs:

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(1) Serve as the airport operator’s (1) This subchapter and any security primary and immediate contact for se- program under this subchapter, and curity-related activities and commu- part 1520 of this chapter; and nications with TSA. Any individual (2) 49 U.S.C. Subtitle VII, as amend- designated as an ASC may perform ed. other duties in addition to those de- (b) At the request of TSA, each air- scribed in this paragraph (b). port operator must provide evidence of (2) Is available to TSA on a 24-hour compliance with this part and its air- basis. port security program, including copies (3) Review with sufficient frequency of records. all security-related functions to ensure (c) TSA may enter and be present that all are effective and in compliance within secured areas, AOA’s, and with this part, its security program, SIDA’s without access media or identi- and applicable Security Directives. fication media issued or approved by an airport operator or aircraft operator, (4) Immediately initiate corrective in order to inspect or test compliance, action for any instance of non-compli- or perform other such duties as TSA ance with this part, its security pro- may direct. gram, and applicable Security Direc- (d) At the request of TSA and upon tives. the completion of SIDA training as re- (5) Review and control the results of quired in a security program, each air- employment history, verification, and port operator promptly must issue to criminal history records checks re- TSA personnel access and identifica- quired under § 1542.209. tion media to provide TSA personnel (6) Serve as the contact to receive no- with unescorted access to, and move- tification from individuals applying for ment within, secured areas, AOA’s, and unescorted access of their intent to SIDA’s. seek correction of their criminal his- (e) TSA may enter and be present at tory record with the FBI. an airport that does not have a secu- (c) After July 17, 2003, no airport op- rity program under this part, without erator may use, nor may it designate access media or identification media any person as, an ASC unless that indi- issued or approved by an airport oper- vidual has completed subject matter ator or aircraft operator, to inspect an training, as specified in its security aircraft operator operating under a se- program, to prepare the individual to curity program under part 1544 of this assume the duties of the position. The chapter, or a foreign air carrier oper- airport operator must maintain ASC ating under a security program under training documentation until at least part 1546 of this chapter. 180 days after the withdrawal of an in- [67 FR 8355, Feb. 22, 2002, as amended at 71 dividual’s designation as an ASC. FR 30509, May 26, 2006] (d) An individual’s satisfactory completion of initial ASC training required Subpart B—Airport Security under paragraph (c) of this section sat- Program isfies that requirement for all future ASC designations for that individual, § 1542.101 General requirements. except for site specific information, un- (a) No person may operate an airport less there has been a two or more year subject to § 1542.103 unless it adopts and break in service as an active and des- carries out a security program that— ignated ASC. (1) Provides for the safety and security of persons and property on an air- § 1542.5 Inspection authority. craft operating in air transportation or (a) Each airport operator must allow intrastate air transportation against TSA, at any time or place, to make an act of criminal violence, aircraft pi- any inspections or tests, including racy, and the introduction of an unau- copying records, to determine compli- thorized weapon, explosive, or incen- ance of an airport operator, aircraft op- diary onto an aircraft; erator, foreign air carrier, indirect air (2) Is in writing and is signed by the carrier, or other airport tenants with— airport operator;

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(3) Includes the applicable items list- (iii) Measures used to perform the ac- ed in § 1542.103; cess control functions required under (4) Includes an index organized in the § 1542.203(b)(1); same subject area sequence as (iv) Measures to control movement § 1542.103; and within the AOA, including identifica- (5) Has been approved by TSA. tion media as appropriate; and (b) Each airport operator subject to (v) A description of the notification § 1542.103 must maintain one current signs required under § 1542.203(b)(4). and complete copy of its security pro- (5) A description of the SIDA’s, in- gram and provide a copy to TSA upon cluding— request. (i) A description and map detailing (c) Each airport operator subject to boundaries and pertinent features; and § 1542.103 must— (ii) Each activity or entity on, or ad- (1) Restrict the distribution, disclo- jacent to, a SIDA. sure, and availability of sensitive secu- (6) A description of the sterile areas, rity information (SSI), as defined in including— part 1520 of this chapter, to persons (i) A diagram with dimensions detail- with a need to know; and ing boundaries and pertinent features; (2) Refer all requests for SSI by other (ii) Access controls to be used when persons to TSA. the passenger-screening checkpoint is [67 FR 8355, Feb. 22, 2002, as amended at 71 non-operational and the entity respon- FR 30509, May 26, 2006] sible for that access control; and (iii) Measures used to control access § 1542.103 Content. as specified in § 1542.207. (a) Complete program. Except as other- (7) Procedures used to comply with wise approved by TSA, each airport op- § 1542.209 regarding fingerprint-based erator regularly serving operations of criminal history records checks. an aircraft operator or foreign air car- (8) A description of the personnel rier described in § 1544.101(a)(1) or identification systems as described in § 1546.101(a) of this chapter, must in- § 1542.211. clude in its security program the fol- (9) Escort procedures in accordance lowing: with § 1542.211(e). (1) The name, means of contact, du- (10) Challenge procedures in accord- ties, and training requirements of the ance with § 1542.211(d). ASC required under § 1542.3. (11) Training programs required (2) [Reserved] under §§ 1542.213 and 1542.217(c)(2), if ap- (3) A description of the secured areas, plicable. including— (12) A description of law enforcement (i) A description and map detailing support used to comply with boundaries and pertinent features; § 1542.215(a). (ii) Each activity or entity on, or ad- (13) A system for maintaining the jacent to, a secured area that affects records described in § 1542.221. security; (14) The procedures and a description (iii) Measures used to perform the ac- of facilities and equipment used to sup- cess control functions required under port TSA inspection of individuals and § 1542.201(b)(1); property, and aircraft operator or for- (iv) Procedures to control movement eign air carrier screening functions of within the secured area, including parts 1544 and 1546 of this chapter. identification media required under (15) A contingency plan required § 1542.201(b)(3); and under § 1542.301. (v) A description of the notification (16) Procedures for the distribution, signs required under § 1542.201(b)(6). storage, and disposal of security pro- (4) A description of the AOA, includ- grams, Security Directives, Informa- ing— tion Circulars, implementing instruc- (i) A description and map detailing tions, and, as appropriate, classified in- boundaries, and pertinent features; formation. (ii) Each activity or entity on, or ad- (17) Procedures for posting of public jacent to, an AOA that affects security; advisories as specified in § 1542.305.

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(18) Incident management procedures (4) A system for maintaining the used to comply with § 1542.307. records described in § 1542.221. (19) Alternate security procedures, if (5) Procedures for the distribution, any, that the airport operator intends storage, and disposal of security pro- to use in the event of natural disasters, grams, Security Directives, Informa- and other emergency or unusual condition Circulars, implementing instructions. tions, and, as appropriate, classified in- (20) Each exclusive area agreement as formation. specified in § 1542.111. (6) Procedures for public advisories as (21) Each airport tenant security pro- specified in § 1542.305. gram as specified in § 1542.113. (7) Incident management procedures (b) Supporting program. Except as oth- used to comply with § 1542.307. erwise approved by TSA, each airport (d) Use of appendices. The airport op- regularly serving operations of an air- erator may comply with paragraphs craft operator or foreign air carrier de- (a), (b), and (c) of this section by in- scribed in § 1544.101(a)(2) or (f), or cluding in its security program, as an § 1546.101(b) or (c) of this chapter, must appendix, any document that contains include in its security program a de- the information required by paragraphs scription of the following: (a), (b), and (c) of this section. The ap- (1) Name, means of contact, duties, pendix must be referenced in the cor- and training requirements of the ASC, responding section(s) of the security as required under § 1542.3. program. (2) A description of the law enforcement support used to comply with § 1542.105 Approval and amendments. § 1542.215(a). (a) Initial approval of security program. (3) Training program for law enforce- Unless otherwise authorized by the des- ment personnel required under ignated official, each airport operator § 1542.217(c)(2), if applicable. required to have a security program (4) A system for maintaining the under this part must submit its initial records described in § 1542.221. proposed security program to the des- (5) The contingency plan required ignated official for approval at least 90 under § 1542.301. days before the date any aircraft oper- (6) Procedures for the distribution, ator or foreign air carrier required to storage, and disposal of security pro- have a security program under part grams, Security Directives, Informa- 1544 or part 1546 of this chapter is ex- tion Circulars, implementing instruc- pected to begin operations. Such re- tions, and, as appropriate, classified in- quests will be processed as follows: formation. (1) The designated official, within 30 (7) Procedures for public advisories as days after receiving the proposed secu- specified in § 1542.305. rity program, will either approve the (8) Incident management procedures program or give the airport operator used to comply with § 1542.307. written notice to modify the program (c) Partial program. Except as other- to comply with the applicable require- wise approved by TSA, each airport ments of this part. regularly serving operations of an air- (2) The airport operator may either craft operator or foreign air carrier de- submit a modified security program to scribed in § 1544.101(b) or § 1546.101(d) of the designated official for approval, or this chapter, must include in its secu- petition the Administrator to recon- rity program a description of the fol- sider the notice to modify within 30 lowing: days of receiving a notice to modify. A (1) Name, means of contact, duties, petition for reconsideration must be and training requirements of the ASC filed with the designated official. as required under § 1542.3. (3) The designated official, upon re- (2) A description of the law enforce- ceipt of a petition for reconsideration, ment support used to comply with either amends or withdraws the notice, § 1542.215(b). or transmits the petition, together (3) Training program for law enforce- with any pertinent information, to the ment personnel required under Administrator for reconsideration. The § 1542.217(c)(2), if applicable. Administrator disposes of the petition

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within 30 days of receipt by either di- airport operator receives the notice of recting the designated official to with- amendment, unless the airport oper- draw or amend the notice to modify, or ator petitions the Administrator to re- by affirming the notice to modify. consider no later than 15 days before (b) Amendment requested by an airport the effective date of the amendment. operator. Except as provided in The airport operator must send the pe- § 1542.103(c), an airport operator may tition for reconsideration to the des- submit a request to the designated offi- ignated official. A timely petition for cial to amend its security program, as reconsideration stays the effective date follows: of the amendment. (1) The request for an amendment (3) Upon receipt of a petition for re- must be filed with the designated offi- consideration, the designated official cial at least 45 days before the date it either amends or withdraws the notice, proposes for the amendment to become or transmits the petition, together effective, unless a shorter period is al- with any pertinent information to the lowed by the designated official. Administrator for reconsideration. The (2) Within 30 days after receiving a Administrator disposes of the petition proposed amendment, the designated within 30 days of receipt by either di- official, in writing, either approves or recting the designated official to with- denies the request to amend. draw or amend the amendment, or by (3) An amendment to a security pro- affirming the amendment. gram may be approved if the des- (d) Emergency amendments. Notwith- ignated official determines that safety standing paragraph (c) of this section, and the public interest will allow it, if the designated official finds that and the proposed amendment provides there is an emergency requiring imme- the level of security required under diate action with respect to safety and this part. security in air transportation or in air (4) Within 30 days after receiving a commerce that makes procedures in denial, the airport operator may peti- this section contrary to the public in- tion the Administrator to reconsider terest, the designated official may the denial. issue an amendment, effective without (5) Upon receipt of a petition for re- stay on the date the airport operator consideration, the designated official receives the notice of it. In such a case, either approves the request to amend the designated official must incor- or transmits the petition within 30 porate in the notice a brief statement days of receipt, together with any per- of the reasons and findings for the tinent information, to the Adminis- amendment to be adopted. The airport trator for reconsideration. The Admin- operator may file a petition for recon- istrator disposes of the petition within sideration under paragraph (c) of this 30 days of receipt by either directing section; however, this does not stay the the designated official to approve the effective date of the emergency amend- amendment or affirming the denial. ment. (c) Amendment by TSA. If safety and the public interest require an amend- § 1542.107 Changed conditions affect- ment, the designated official may ing security. amend a security program as follows: (a) After approval of the security pro- (1) The designated official sends to gram, each airport operator must no- the airport operator a notice, in writ- tify TSA when changes have occurred ing, of the proposed amendment, fixing to the— a period of not less than 30 days within (1) Measures, training, area descrip- which the airport operator may submit tions, or staffing, described in the secu- written information, views, and argu- rity program; ments on the amendment. (2) Operations of an aircraft operator (2) After considering all relevant ma- or foreign air carrier that would re- terial, the designated official notifies quire modifications to the security pro- the airport operator of any amendment gram as required under § 1542.103; or adopted or rescinds the notice. If the (3) Layout or physical structure of amendment is adopted, it becomes ef- any area under the control of the air- fective not less than 30 days after the port operator, airport tenant, aircraft

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operator, or foreign air carrier used to § 1542.111 Exclusive area agreements. support the screening process, access, (a) TSA may approve an amendment presence, or movement control func- to an airport security program under tions required under part 1542, 1544, or which an aircraft operator or foreign 1546 of this chapter. air carrier that has a security program (b) Each airport operator must notify under part 1544 or 1546 of this chapter TSA no more than 6 hours after the assumes responsibility for specified se- discovery of any changed condition de- curity measures for all or portions of scribed in paragraph (a) of this section, the secured area, AOA, or SIDA, in- or within the time specified in its secu- cluding access points, as provided in rity program, of the discovery of any § 1542.201, § 1542.203, or § 1542.205. The as- changed condition described in para- sumption of responsibility must be ex- graph (a) of this section. The airport clusive to one aircraft operator or for- operator must inform TSA of each in- eign air carrier, and shared responsi- terim measure being taken to maintain bility among aircraft operators or for- adequate security until an appropriate eign air carriers is not permitted for an amendment to the security program is exclusive area. approved. Each interim measure must be acceptable to TSA. (b) An exclusive area agreement must (c) For changed conditions expected be in writing, signed by the airport op- to be less than 60 days duration, each erator and aircraft operator or foreign airport operator must forward the in- air carrier, and maintained in the air- formation required in paragraph (b) of port security program. This agreement this section in writing to TSA within must contain the following: 72 hours of the original notification of (1) A description, a map, and, where the change condition(s). TSA will no- appropriate, a diagram of the bound- tify the airport operator of the disposi- aries and pertinent features of each tion of the notification in writing. If area, including individual access approved by TSA, this written notifica- points, over which the aircraft oper- tion becomes a part of the airport secu- ator or foreign air carrier will exercise rity program for the duration of the exclusive security responsibility. changed condition(s). (2) A description of the measures (d) For changed conditions expected used by the aircraft operator or foreign to be 60 days or more duration, each air carrier to comply with § 1542.201, airport operator must forward the in- § 1542.203, or § 1542.205, as appropriate. formation required in paragraph (b) of (3) Procedures by which the aircraft this section in the form of a proposed operator or foreign air carrier will im- amendment to the airport operator’s mediately notify the airport operator security program, as required under and provide for alternative security § 1542.105. The request for an amend- measures when there are changed con- ment must be made within 30 days of ditions as described in § 1542.103(a). the discovery of the changed condi- (c) Any exclusive area agreements in tion(s). TSA will respond to the request effect on November 14, 2001, must meet in accordance with § 1542.105. the requirements of this section and § 1544.227 no later than November 14, § 1542.109 Alternate means of compli- 2002. ance. If in TSA’s judgment, the overall § 1542.113 Airport tenant security programs. safety and security of the airport, and aircraft operator or foreign air carrier (a) TSA may approve an airport ten- operations are not diminished, TSA ant security program as follows: may approve a security program that (1) The tenant must assume responsi- provides for the use of alternate meas- bility for specified security measures ures. Such a program may be consid- of the secured area, AOA, or SIDA as ered only for an operator of an airport provided in §§ 1542.201, 1542.203, and at which service by aircraft operators 1542.205. or foreign air carriers under part 1544 (2) The tenant may not assume re- or 1546 of this chapter is determined by sponsibility for law enforcement sup- TSA to be seasonal or infrequent. port under § 1542.215.

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(3) The tenant must assume the re- any case in which the airport operator sponsibility within the tenant’s leased demonstrates that: areas or areas designated for the ten- (1) The tenant or an employee, per- ant’s exclusive use. A tenant may not mittee, or invitee of the tenant, is re- assume responsibility under a tenant sponsible for such violation; and security program for the airport pas- (2) The airport operator has complied senger terminal. with all measures in its security pro- (4) Responsibility must be exclusive gram to ensure the tenant has com- to one tenant, and shared responsi- plied with the airport tenant security bility among tenants is not permitted. program. (5) TSA must find that the tenant is able and willing to carry out the air- (d) TSA may amend or terminate an port tenant security program. airport tenant security program in ac- (b) An airport tenant security pro- cordance with § 1542.105. gram must be in writing, signed by the airport operator and the airport ten- Subpart C—Operations ant, and maintained in the airport security program. The airport tenant se- § 1542.201 Security of the secured curity program must include the fol- area. lowing: (a) Each airport operator required to (1) A description and a map of the have a security program under boundaries and pertinent features of § 1542.103(a) must establish at least one each area over which the airport ten- secured area. ant will exercise security responsibil- (b) Each airport operator required to ities. establish a secured area must prevent (2) A description of the measures the and detect the unauthorized entry, airport tenant has assumed. presence, and movement of individuals (3) Measures by which the airport operator will monitor and audit the ten- and ground vehicles into and within ant’s compliance with the security pro- the secured area by doing the fol- gram. lowing: (4) Monetary and other penalties to (1) Establish and carry out measures which the tenant may be subject if it for controlling entry to secured areas fails to carry out the airport tenant se- of the airport in accordance with curity program. § 1542.207. (5) Circumstances under which the (2) Provide for detection of, and re- airport operator will terminate the air- sponse to, each unauthorized presence port tenant security program for cause. or movement in, or attempted entry to, (6) A provision acknowledging that the secured area by an individual the tenant is subject to inspection by whose access is not authorized in ac- TSA in accordance with § 1542.5. cordance with its security program. (7) A provision acknowledging that (3) Establish and carry out a per- individuals who carry out the tenant sonnel identification system described security program are contracted to or under § 1542.211. acting for the airport operator and are (4) Subject each individual to em- required to protect sensitive informa- ployment history verification as de- tion in accordance with part 1520 of scribed in § 1542.209 before authorizing this chapter, and may be subject to unescorted access to a secured area. civil penalties for failing to protect sensitive security information. (5) Train each individual before (8) Procedures by which the tenant granting unescorted access to the se- will immediately notify the airport op- cured area, as required in § 1542.213(b). erator of and provide for alternative se- (6) Post signs at secured area access curity measures for changed conditions points and on the perimeter that pro- as described in § 1542.103(a). vide warning of the prohibition against (c) If TSA has approved an airport unauthorized entry. Signs must be tenant security program, the airport posted by each airport operator in ac- operator may not be found to be in vio- cordance with its security program not lation of a requirement of this part in later than November 14, 2003.

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§ 1542.203 Security of the air oper- security program as provided in ations area (AOA). § 1546.101(a), (b), or (e), must be a SIDA. (a) Each airport operator required to (3) Each area on an airport where have a security program under cargo is present after an aircraft oper- § 1542.103(a) must establish an AOA, un- ator operating under a full program or less the entire area is designated as a a full all-cargo program under secured area. § 1544.101(a) or (h) of this chapter, or a (b) Each airport operator required to foreign air carrier operating under a establish an AOA must prevent and de- security program under § 1546.101(a), tect the unauthorized entry, presence, (b), or (e) of this chapter, or an indirect and movement of individuals and air carrier, accepts it must be a SIDA. ground vehicles into or within the AOA This includes areas such as: Cargo fa- by doing the following: cilities; loading and unloading vehicle (1) Establish and carry out measures docks; and areas where an aircraft op- for controlling entry to the AOA of the erator, foreign air carrier, or indirect airport in accordance with § 1542.207. air carrier sorts, stores, stages, con- (2) Provide for detection of, and re- solidates, processes, screens, or trans- sponse to, each unauthorized presence fers cargo. or movement in, or attempted entry to, (4) Other areas of the airport may be the AOA by an individual whose access SIDAs. is not authorized in accordance with (b) Each airport operator required to its security program. establish a SIDA must establish and (3) Provide security information as carry out measures to prevent the un- described in § 1542.213(c) to each indi- authorized presence and movement of vidual with unescorted access to the individuals in the SIDA and must do AOA. the following: (4) Post signs on AOA access points (1) Establish and carry out a per- and perimeters that provide warning of sonnel identification system described the prohibition against unauthorized under § 1542.211. entry to the AOA. Signs must be posted (2) Subject each individual to a by each airport operator in accordance criminal history records check as de- with its security program not later scribed in § 1542.209 before authorizing than November 14, 2003. unescorted access to the SIDA. (5) If approved by TSA, the airport (3) Train each individual before operator may designate all or portions granting unescorted access to the of its AOA as a SIDA, or may use an- SIDA, as required in § 1542.213(b). other personnel identification system, (c) An airport operator that is not re- as part of its means of meeting the required to have a complete program quirements of this section. If it uses under § 1542.103(a) is not required to es- another personnel identification sys- tablish a SIDA under this section. tem, the media must be clearly distin- [67 FR 8355, Feb. 22, 2002, as amended at 71 guishable from those used in the se- FR 30509, May 26, 2006] cured area and SIDA. § 1542.207 Access control systems. § 1542.205 Security of the security (a) Secured area. Except as provided identification display area (SIDA). in paragraph (b) of this section, the (a) Each airport operator required to measures for controlling entry to the have a complete program under secured area required under § 1542.103(a) must establish at least one § 1542.201(b)(1) must— SIDA, as follows: (1) Ensure that only those individuals (1) Each secured area must be a authorized to have unescorted access SIDA. to the secured area are able to gain (2) Each part of the air operations entry; area that is regularly used to load (2) Ensure that an individual is im- cargo on, or unload cargo from, an air- mediately denied entry to a secured craft that is operated under a full pro- area when that person’s access author- gram or a full all-cargo program as ity for that area is withdrawn; and provided in § 1544.101(a) or (h) of this (3) Provide a means to differentiate chapter, or a foreign air carrier under a between individuals authorized to have

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access to an entire secured area and in- 14 CFR Parts 60 to 139 revised as of dividuals authorized access to only a January 1, 2001). An airport user, for particular portion of a secured area. the purposes of this section only, is (b) Alternative systems. TSA may ap- any person other than an aircraft oper- prove an amendment to a security pro- ator subject to § 1544.229 of this chapter gram that provides alternative meas- making a certification under this sec- ures that provide an overall level of se- tion. curity equal to that which would be (b) Individuals seeking unescorted ac- provided by the measures described in cess authority. Except as provided in paragraph (a) of this section. paragraph (m) of this section, each air- (c) Air operations area. The measures port operator must ensure that no indi- for controlling entry to the AOA re- vidual is granted unescorted access au- quired under § 1542.203(b)(1) must incor- thority unless the individual has un- porate accountability procedures to dergone a fingerprint-based CHRC that maintain their integrity. does not disclose that he or she has a (d) Secondary access media. An airport disqualifying criminal offense, as de- operator may issue a second access me- scribed in paragraph (d) of this section. dium to an individual who has (c) Individuals who have not had a unescorted access to secured areas or CHRC. (1) Except as provided in para- the AOA, but is temporarily not in pos- graph (m) of this section, each airport session of the original access medium, operator must ensure that after De- if the airport operator follows meas- cember 6, 2002, no individual retains ures and procedures in the security unescorted access authority, unless the program that— airport operator has obtained and sub- (1) Verifies the authorization of the mitted a fingerprint under this part. individual to have unescorted access to (2) When a CHRC discloses a disquali- secured areas or AOAs; fying criminal offense for which the (2) Restricts the time period of entry conviction or finding of not guilty by with the second access medium; reason of insanity was on or after De- (3) Retrieves the second access me- cember 6, 1991, the airport operator dium when expired; must immediately suspend that indi- (4) Deactivates or invalidates the vidual’s authority. original access medium until the indi- (d) Disqualifying criminal offenses. An vidual returns the second access me- individual has a disqualifying criminal dium; and offense if the individual has been con- (5) Provides that any second access victed, or found not guilty of by reason media that is also used as identifica- of insanity, of any of the disqualifying tion media meet the criteria of crimes listed in this paragraph (d) in § 1542.211(b). any jurisdiction during the 10 years be- § 1542.209 Fingerprint-based criminal fore the date of the individual’s appli- history records checks (CHRC). cation for unescorted access authority, or while the individual has unescorted (a) Scope. The following persons are access authority. The disqualifying within the scope of this section— criminal offenses are as follows— (1) Each airport operator and airport user. (1) Forgery of certificates, false (2) Each individual currently having marking of aircraft, and other aircraft unescorted access to a SIDA, and each registration violation; 49 U.S.C. 46306. individual with authority to authorize (2) Interference with air navigation; others to have unescorted access to a 49 U.S.C. 46308. SIDA (referred to as unescorted access (3) Improper transportation of a haz- authority). ardous material; 49 U.S.C. 46312. (3) Each individual seeking (4) Aircraft piracy; 49 U.S.C. 46502. unescorted access authority. (5) Interference with flight crew (4) Each airport user and aircraft op- members or flight attendants; 49 U.S.C. erator making a certification to an air- 46504. port operator pursuant to paragraph (6) Commission of certain crimes (n) of this section, or 14 CFR 108.31(n) aboard aircraft in flight; 49 U.S.C. in effect prior to November 14, 2001 (see 46506.

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(7) Carrying a weapon or explosive print application that includes only aboard aircraft; 49 U.S.C. 46505. the following— (8) Conveying false information and (i) The disqualifying criminal of- threats; 49 U.S.C. 46507. fenses described in paragraph (d) of this (9) Aircraft piracy outside the special section. aircraft jurisdiction of the United (ii) A statement that the individual States; 49 U.S.C. 46502(b). signing the application does not have a (10) Lighting violations involving disqualifying criminal offense. transporting controlled substances; 49 (iii) A statement informing the indi- U.S.C. 46315. vidual that Federal regulations under (11) Unlawful entry into an aircraft 49 CFR 1542.209 (l) impose a continuing or airport area that serves air carriers obligation to disclose to the airport op- or foreign air carriers contrary to es- erator within 24 hours if he or she is tablished security requirements; 49 convicted of any disqualifying criminal U.S.C. 46314. offense that occurs while he or she has (12) Destruction of an aircraft or air- unescorted access authority. After Feb- craft facility; 18 U.S.C. 32. ruary 17, 2002, the airport operator may (13) Murder. (14) Assault with intent to murder. use statements that have already been (15) Espionage. printed referring to 14 CFR 107.209 until (16) Sedition. stocks of such statements are used up. (17) Kidnapping or hostage taking. (iv) A statement reading, ‘‘The infor- (18) Treason. mation I have provided on this applica- (19) Rape or aggravated sexual abuse. tion is true, complete, and correct to (20) Unlawful possession, use, sale, the best of my knowledge and belief distribution, or manufacture of an ex- and is provided in good faith. I under- plosive or weapon. stand that a knowing and willful false (21) Extortion. statement on this application can be (22) Armed or felony unarmed rob- punished by fine or imprisonment or bery. both. (See section 1001 of Title 18 (23) Distribution of, or intent to dis- United States Code.)’’ tribute, a controlled substance. (v) A line for the printed name of the (24) Felony arson. individual. (25) Felony involving a threat. (vi) A line for the individual’s signa- (26) Felony involving— ture and date of signature. (i) Willful destruction of property; (2) Each individual must complete (ii) Importation or manufacture of a and sign the application prior to sub- controlled substance; mitting his or her fingerprints. (iii) Burglary; (3) The airport operator must verify (iv) Theft; the identity of the individual through (v) Dishonesty, fraud, or misrepresen- two forms of identification prior to tation; fingerprinting, and ensure that the (vi) Possession or distribution of sto- printed name on the fingerprint appli- len property; cation is legible. At least one of the (vii) Aggravated assault; two forms of identification must have (viii) Bribery; or been issued by a government authority, (ix) Illegal possession of a controlled and at least one must include a photo. substance punishable by a maximum term of imprisonment of more than 1 (4) The airport operator must advise year. the individual that: (27) Violence at international air- (i) A copy of the criminal record reports; 18 U.S.C. 37. ceived from the FBI will be provided to (28) Conspiracy or attempt to commit the individual, if requested by the indi- any of the criminal acts listed in this vidual in writing; and paragraph (d). (ii) The ASC is the individual’s point (e) Fingerprint application and proc- of contact if he or she has questions essing. (1) At the time of fingerprinting, about the results of the CHRC. the airport operator must provide the (5) The airport operator must collect, individual to be fingerprinted a finger- control, and process one set of legible

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and classifiable fingerprints under di- paragraphs (g)(1) and (g)(2) of this sec- rect observation of the airport operator tion for individuals for whom it is or a law enforcement officer. issuing, or has issued, unescorted ac- (6) Fingerprints may be obtained and cess authority, and who are not cov- processed electronically, or recorded ered by a certification from an aircraft on fingerprint cards approved by the operator under paragraph (n) of this FBI and distributed by TSA for that section. The airport operator may not purpose. make determinations for individuals (7) The fingerprint submission must described in § 1544.229 of this chapter. be forwarded to TSA in the manner (h) Correction of FBI records and notifi- specified by TSA. cation of disqualification. (1) Before (f) Fingerprinting fees. Airport opera- making a final decision to deny tors must pay for all fingerprints in a unescorted access authority to an indi- form and manner approved by TSA. vidual described in paragraph (b) of The payment must be made at the des- this section, the airport operator must ignated rate (available from the local advise him or her that the FBI crimi- TSA security office) for each set of fin- nal record discloses information that gerprints submitted. Information about would disqualify him or her from re- payment options is available though ceiving or retaining unescorted access the designated TSA headquarters point authority and provide the individual of contact. Individual personal checks with a copy of the FBI record if he or are not acceptable. she requests it. (g) Determination of arrest status. (1) (2) The airport operator must notify When a CHRC on an individual seeking an individual that a final decision has unescorted access authority discloses been made to grant or deny unescorted an arrest for any disqualifying crimi- access authority. nal offense listed in paragraph (d) of (3) Immediately following the suspen- this section without indicating a dis- sion of unescorted access authority of position, the airport operator must de- an individual, the airport operator termine, after investigation, that the must advise him or her that the FBI arrest did not result in a disqualifying criminal record discloses information offense before granting that authority. that disqualifies him or her from re- If there is no disposition, or if the dis- taining unescorted access authority position did not result in a conviction and provide the individual with a copy or in a finding of not guilty by reason of the FBI record if he or she requests of insanity of one of the offenses listed it. in paragraph (d) of this section, the in- (i) Corrective action by the individual. dividual is not disqualified under this The individual may contact the local section. jurisdiction responsible for the infor- (2) When a CHRC on an individual mation and the FBI to complete or cor- with unescorted access authority dis- rect the information contained in his closes an arrest for any disqualifying or her record, subject to the following criminal offense without indicating a conditions— disposition, the airport operator must (1) For an individual seeking suspend the individual’s unescorted ac- unescorted access authority on or after cess authority not later than 45 days December 6, 2001, the following applies: after obtaining the CHRC unless the (i) Within 30 days after being advised airport operator determines, after in- that the criminal record received from vestigation, that the arrest did not re- the FBI discloses a disqualifying crimi- sult in a disqualifying criminal offense. nal offense, the individual must notify If there is no disposition, or if the dis- the airport operator in writing of his or position did not result in a conviction her intent to correct any information or in a finding of not guilty by reason he or she believes to be inaccurate. The of insanity of one of the offenses listed airport operator must obtain a copy, or in paragraph (d) of this section, the in- accept a copy from the individual, of dividual is not disqualified under this the revised FBI record, or a certified section. true copy of the information from the (3) The airport operator may only appropriate court, prior to granting make the determinations required in unescorted access authority.

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(ii) If no notification, as described in priate, destroy the fingerprint applica- paragraph (h)(1) of this section, is re- tion and the criminal record. Only di- ceived within 30 days, the airport oper- rect airport operator employees may ator may make a final determination carry out the responsibility for main- to deny unescorted access authority. taining, controlling, and destroying (2) For an individual with unescorted criminal records. access authority before December 6, (3) Certification on or after December 6, 2001, the following applies: Within 30 2001. The airport operator must main- days after being advised of suspension tain the certifications provided under because the criminal record received paragraph (n) of this section. from the FBI discloses a disqualifying (4) Protection of records—all investiga- criminal offense, the individual must tions. The records required by this sec- notify the airport operator in writing tion must be maintained in a manner of his or her intent to correct any in- that is acceptable to TSA and in a formation he or she believes to be inac- manner that protects the confiden- curate. The airport operator must ob- tiality of the individual. tain a copy, or accept a copy from the (5) Duration—all investigations. The individual, of the revised FBI record, or records identified in this section with a certified true copy of the information regard to an individual must be main- from the appropriate court, prior to retained until 180 days after the termi- instating unescorted access authority. nation of the individual’s unescorted (j) Limits on dissemination of results. access authority. When files are no Criminal record information provided longer maintained, the criminal record by the FBI may be used only to carry must be destroyed. out this section and § 1544.229 of this chapter. No person may disseminate (l) Continuing responsibilities. (1) Each the results of a CHRC to anyone other individual with unescorted access au- than: thority on December 6, 2001, who had a (1) The individual to whom the record disqualifying criminal offense in para- pertains, or that individual’s author- graph (d) of this section on or after De- ized representative. cember 6, 1991, must, by January 7, (2) Officials of other airport operators 2002, report the conviction to the air- who are determining whether to grant port operator and surrender the SIDA unescorted access to the individual access medium to the issuer. under this part. (2) Each individual with unescorted (3) Aircraft operators who are deter- access authority who has a disquali- mining whether to grant unescorted fying criminal offense must report the access to the individual or authorize offense to the airport operator and sur- the individual to perform screening render the SIDA access medium to the functions under part 1544 of this chap- issuer within 24 hours of the conviction ter. or the finding of not guilty by reason (4) Others designated by TSA. of insanity. (k) Recordkeeping. The airport oper- (3) If information becomes available ator must maintain the following in- to the airport operator or the airport formation: user indicating that an individual with (1) Investigations conducted before De- unescorted access authority has a dis- cember 6, 2001. The airport operator qualifying criminal offense, the airport must maintain and control the access operator must determine the status of or employment history investigation the conviction. If a disqualifying of- files, including the criminal history fense is confirmed the airport operator records results portion, or the appro- must immediately revoke any priate certifications, for investigations unescorted access authority. conducted before December 6, 2001. (m) Exceptions. Notwithstanding the (2) Fingerprint application process on or requirements of this section, an airport after December 6, 2001. Except when the operator must authorize the following airport operator has received a certifi- individuals to have unescorted access cation under paragraph (n) of this sec- authority: tion, the airport operator must phys- (1) An employee of the Federal, state, ically maintain, control, and, as appro- or local government (including a law

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enforcement officer) who, as a condi- ity of their intent to seek correction of tion of employment, has been subjected their FBI criminal record. to an employment investigation that (3) Audit the employment history in- includes a criminal records check. vestigations performed by the airport (2) Notwithstanding the requirements operator in accordance with this sec- of this section, an airport operator tion and 14 CFR 107.31 in effect prior to may authorize the following individ- November 14, 2001 (see 14 CFR Parts 60 uals to have unescorted access author- through 139 revised as of January 1, ity: 2001), and those investigations con- (i) An individual who has been conducted by the airport users who pro- tinuously employed in a position re- vided certification to the airport oper- quiring unescorted access authority by ator. The audit program must be set another airport operator, airport user, forth in the airport security program. or aircraft operator, or contractor to (p) Airport user responsibility. (1) The such an entity, provided the grant for airport user must report to the airport his or her unescorted access authority operator information, as it becomes was based upon a fingerprint-based available, that indicates an individual CHRC through TSA or FAA. with unescorted access authority may have a disqualifying criminal offense. (ii) An individual who has been con- (2) The airport user must maintain tinuously employed by an aircraft op- and control, in compliance with para- erator or aircraft operator contractor, graph (k) of this section, the employ- in a position with authority to perform ment history investigation files for in- screening functions, provided the grant vestigations conducted before Decem- for his or her authority to perform ber 6, 2001, unless the airport operator screening functions was based upon a decides to maintain and control the fingerprint-based CHRC through TSA employment history investigation file. or FAA. (3) The airport user must provide the (n) Certifications by aircraft operators. airport operator with either the name An airport operator is in compliance or title of the individual acting as cus- with its obligation under paragraph (b) todian of the files described in this or (c) of this section when the airport paragraph (p), the address of the loca- operator accepts, for each individual tion where the files are maintained, seeking unescorted access authority, and the phone number of that location. certification from an aircraft operator The airport user must provide the air- subject to part 1544 of this chapter in- port operator and TSA with access to dicating it has complied with § 1544.229 these files. of this chapter for the aircraft operator’s employees and contractors seek- § 1542.211 Identification systems. ing unescorted access authority. If the (a) Personnel identification system. The airport operator accepts a certification personnel identification system under from the aircraft operator, the airport §§ 1542.201(b)(3) and 1542.205(b)(1) must operator may not require the aircraft include the following: operator to provide a copy of the (1) Personnel identification media CHRC. that— (o) Airport operator responsibility. The (i) Convey a full-face image, full airport operator must— name, employer, and identification (1) Designate the ASC, in the secu- number of the individual to whom the rity program, or a direct employee if identification medium is issued; the ASC is not a direct employee, to be (ii) Indicate clearly the scope of the responsible for maintaining, control- individual’s access and movement ling, and destroying the criminal privileges; record files when their maintenance is (iii) Indicate clearly an expiration no longer required by paragraph (k) of date; and this section. (iv) Are of sufficient size and appear- (2) Designate the ASC, in the secu- ance as to be readily observable for rity program, to serve as the contact challenge purposes. to receive notification from individuals (2) Procedures to ensure that each in- applying for unescorted access author- dividual in the secured area or SIDA

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continuously displays the identifica- that provides for the use of identification medium issued to that individual tion media meeting the criteria of this on the outermost garment above waist section that are issued by entities level, or is under escort. other than the airport operator, as de- (3) Procedures to ensure account- scribed in the security program. ability through the following: (d) Challenge program. Each airport (i) Retrieving expired identification operator must establish and carry out media and media of persons who no a challenge program that requires each longer have unescorted access author- individual who has authorized ity. unescorted access to secured areas and (ii) Reporting lost or stolen identi- SIDA’s to ascertain the authority of fication media. any individual who is not displaying an (iii) Securing unissued identification identification medium authorizing the media stock and supplies. individual to be present in the area. (iv) Auditing the system at a min- The challenge program must include imum of once a year or sooner, as nec- procedures to challenge individuals not essary, to ensure the integrity and ac- displaying airport approved identifica- countability of all identification tion media. The procedure must— media. (1) Apply uniformly in secured areas, (v) As specified in the security pro- SIDAs, and exclusive areas; gram, revalidate the identification sys- (2) Describe how to challenge an indi- tem or reissue identification media if a vidual directly or report any individual portion of all issued, unexpired identi- not visibly displaying an authorized fication media are lost, stolen, or oth- identification medium, including pro- erwise unaccounted for, including iden- cedures to notify the appropriate au- tification media that are combined thority; and with access media. (3) Describe support of challenge pro- (vi) Ensure that only one identifica- cedures, including law enforcement and tion medium is issued to an individual any other responses to reports of indi- at a time, except for personnel who are viduals not displaying authorized iden- employed with more than one company tification media. and require additional identification (e) Escorting. Each airport operator media to carry out employment duties. must establish and implement proce- A replacement identification medium dures for escorting individuals who do may only be issued if an individual de- not have unescorted access authority clares in writing that the medium has to a secured area or SIDA that— been lost, stolen, or destroyed. (1) Ensure that only individuals with (b) Temporary identification media. unescorted access authority are per- Each airport operator may issue permitted to escort; sonnel identification media in accord- (2) Ensure that the escorted individ- ance with its security program to per- uals are continuously accompanied or sons whose duties are expected to be monitored while within the secured temporary. The temporary identifica- area or SIDA in a manner sufficient to tion media system must include proce- identify whether the escorted indi- dures and methods to— vidual is engaged in activities other (1) Retrieve temporary identification than those for which escorted access media; was granted, and to take action in ac- (2) Authorize the use of a temporary cordance with the airport security pro- media for a limited time only; gram; (3) Ensure that temporary media are (3) Identify what action is to be distinct from other identification taken by the escort, or other author- media and clearly display an expira- ized individual, should individuals tion date; and under escort engage in activities other (4) Ensure that any identification than those for which access was grant- media also being used as an access ed; media meet the criteria of § 1542.207(d). (4) Prescribe law enforcement sup- (c) Airport-approved identification port for escort procedures; and media. TSA may approve an amend- (5) Ensure that individuals escorted ment to the airport security program into a sterile area without being

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screened under § 1544.201 of this chapter (2) Control, use, and display of air- remain under escort until they exit the port-approved access and identification sterile area, or submit to screening media, if appropriate; pursuant to § 1544.201 or § 1546.201 of this (3) Escort and challenge procedures chapter. and the law enforcement support for (f) Effective date. The identification these procedures, where applicable; systems described in this section must (4) Security responsibilities as speci- be implemented by each airport oper- fied in § 1540.105; ator not later than November 14, 2003. (5) Restrictions on divulging sensitive security information as de- § 1542.213 Training. scribed in part 1520 of this chapter; and (a) Each airport operator must en- (6) Any other topics specified in the sure that individuals performing secu- security program. rity-related functions for the airport (d) Each airport operator must main- operator are briefed on the provisions tain a record of all training and infor- of this part, Security Directives, and mation given to each individual under Information Circulars, and the security paragraphs (b) and (c) of this section program, to the extent that such indi- for 180 days after the termination of viduals need to know in order to per- that person’s unescorted access author- form their duties. ity. (b) An airport operator may not au- (e) As to persons with unescorted ac- thorize any individual unescorted access to the SIDA on November 14, 2001, cess to the secured area or SIDA, ex- training on responsibility under cept as provided in § 1542.5, unless that § 1540.105 can be provided by making individual has successfully completed relevant security information avail- training in accordance with TSA-ap- able. proved curriculum specified in the se- (f) Training described in paragraph curity program. This curriculum must (c) of this section must be implemented detail the methods of instruction, pro- by each airport operator not later than vide attendees with an opportunity to November 14, 2002. ask questions, and include at least the following topics— § 1542.215 Law enforcement support. (1) The unescorted access authority (a) In accordance with § 1542.217, each of the individual to enter and be airport operator required to have a se- present in various areas of the airport; curity program under § 1542.103(a) or (b) (2) Control, use, and display of air- must provide: port-approved access and identification (1) Law enforcement personnel in the media; number and manner adequate to sup- (3) Escort and challenge procedures port its security program. and the law enforcement support for (2) Uniformed law enforcement per- these procedures; sonnel in the number and manner ade- (4) Security responsibilities as speci- quate to support each system for fied in § 1540.105; screening persons and accessible prop- (5) Restrictions on divulging sen- erty required under part 1544 or 1546 of sitive security information as de- this chapter, except to the extent that scribed in part 1520 of this chapter; and TSA provides Federal law enforcement (6) Any other topics specified in the support for the system. security program. (b) Each airport required to have a (c) An airport operator may not au- security program under § 1542.103(c) thorize any individual unescorted ac- must ensure that: cess to the AOA, except as provided in (1) Law enforcement personnel are § 1542.5, unless that individual has been available and committed to respond to provided information in accordance an incident in support of a civil avia- with the security program, including— tion security program when requested (1) The unescorted access authority by an aircraft operator or foreign air of the individual to enter and be carrier that has a security program present in various areas of the airport; under part 1544 or 1546 of this chapter.

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(2) The procedures by which to re- (iii) The responsibilities of law en- quest law enforcement support are pro- forcement personnel under the security vided to each aircraft operator or for- program; and eign air carrier that has a security pro- (iv) Any other subject TSA deter- gram under part 1544 or 1546 of this mines is necessary. chapter. (d) Each airport operator must document the training program required by § 1542.217 Law enforcement personnel. paragraph (a)(4) of this section and (a) Each airport operator must en- maintain documentation of training at sure that law enforcement personnel a location specified in the security pro- used to meet the requirements of gram until 180 days after the departure § 1542.215, meet the following qualifica- or removal of each person providing tions while on duty at the airport— law enforcement support at the air- (1) Have arrest authority described in paragraph (b) of this section; port. (2) Are identifiable by appropriate in- § 1542.219 Supplementing law enforce- dicia of authority; ment personnel. (3) Are armed with a firearm and authorized to use it; and (a) When TSA decides, after being no- (4) Have completed a training pro- tified by an airport operator as pre- gram that meets the requirements of scribed in this section, that not enough paragraphs (c) and (d) of this section. qualified State, local, and private law (b) Each airport operator must en- enforcement personnel are available to sure that each individual used to meet carry out the requirements of § 1542.215, the requirements of § 1542.215 have the TSA may authorize the airport oper- authority to arrest, with or without a ator to use, on a reimbursable basis, warrant, while on duty at the airport personnel employed by TSA, or by an- for the following violations of the other department, agency, or instru- criminal laws of the State and local ju- mentality of the Government with the risdictions in which the airport is lo- consent of the head of the department, cated— agency, or instrumentality to supple- (1) A crime committed in the pres- ment State, local, and private law en- ence of the individual; and forcement personnel. (2) A felony, when the individual has reason to believe that the suspect has (b) Each request for the use of Fed- committed it. eral personnel must be submitted to (c) The training program required by TSA and include the following infor- paragraph (a)(4) of this section must— mation: (1) Meet the training standard for law (1) The number of passengers en- enforcement officers prescribed by ei- planed at the airport during the pre- ther the State or local jurisdiction in ceding calendar year and the current which the airport is located for law en- calendar year as of the date of the re- forcement officers performing com- quest. parable functions. (2) The anticipated risk of criminal (2) Specify and require training violence, sabotage, aircraft piracy, and standards for private law enforcement other unlawful interference to civil personnel acceptable to TSA, if the aviation operations. State and local jurisdictions in which (3) A copy of that portion of the secu- the airport is located do not prescribe rity program which describes the law training standards for private law en- enforcement support necessary to com- forcement personnel that meets the ply with § 1542.215. standards in paragraph (a) of this sec- (4) The availability of law enforce- tion. (3) Include training in— ment personnel who meet the require- (i) The use of firearms; ments of § 1542.217, including a descrip- (ii) The courteous and efficient treat- tion of the airport operator’s efforts to ment of persons subject to inspection, obtain law enforcement support from detention, search, arrest, and other State, local, and private agencies and aviation security activities; the responses of those agencies.

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(5) The airport operator’s estimate of Subpart D—Contingency the number of Federal personnel need- Measures ed to supplement available law enforcement personnel and the period of time § 1542.301 Contingency plan. for which they are needed. (a) Each airport operator required to (6) A statement acknowledging re- have a security program under sponsibility for providing reimburse- § 1542.103(a) and (b) must adopt a con- ment for the cost of providing Federal tingency plan and must: personnel. (1) Implement its contingency plan (7) Any other information TSA con- when directed by TSA. siders necessary. (2) Conduct reviews and exercises of (c) In response to a request submitted its contingency plan as specified in the in accordance with this section, TSA security program with all persons hav- may authorize, on a reimbursable ing responsibilities under the plan. (3) Ensure that all parties involved basis, the use of personnel employed by know their responsibilities and that all a Federal agency, with the consent of information contained in the plan is the head of that agency. current. (b) TSA may approve alternative im- § 1542.221 Records of law enforcement plementation measures, reviews, and response. exercises to the contingency plan (a) Each airport operator must en- which will provide an overall level of sure that— security equal to the contingency plan (1) A record is made of each law en- under paragraph (a) of this section. forcement action taken in furtherance of this part; and § 1542.303 Security Directives and In- formation Circulars. (2) The record is maintained for a minimum of 180 days. (a) TSA may issue an Information (b) Data developed in response to Circular to notify airport operators of paragraph (a) of this section must in- security concerns. When TSA determines that additional security meas- clude at least the following, except as ures are necessary to respond to a authorized by TSA: threat assessment or to a specific (1) The number and type of weapons, threat against civil aviation, TSA explosives, or incendiaries discovered issues a Security Directive setting during any passenger-screening proc- forth mandatory measures. ess, and the method of detection of (b) Each airport operator must com- each. ply with each Security Directive issued (2) The number of acts and attempted to the airport operator within the time acts of aircraft piracy. prescribed in the Security Directive. (3) The number of bomb threats re- (c) Each airport operator that received, real and simulated bombs ceives a Security Directive must— found, and actual detonations on the (1) Within the time prescribed in the airport. Security Directive, verbally acknowl- (4) The number of arrests, including— edge receipt of the Security Directive (i) Name, address, and the immediate to TSA. (2) Within the time prescribed in the disposition of each individual arrested; Security Directive, specify the method (ii) Type of weapon, explosive, or in- by which the measures in the Security cendiary confiscated, as appropriate; Directive have been implemented (or and will be implemented, if the Security (iii) Identification of the aircraft op- Directive is not yet effective). erators or foreign air carriers on which (d) In the event that the airport oper- the individual arrested was, or was ator is unable to implement the meas- scheduled to be, a passenger or which ures in the Security Directive, the air- screened that individual, as appro- port operator must submit proposed al- priate. ternative measures and the basis for submitting the alternative measures to TSA for approval. The airport operator

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must submit the proposed alternative (2) Initiate appropriate action as measures within the time prescribed in specified in the Airport Emergency the Security Directive. The airport op- Plan under 14 CFR 139.325; and erator must implement any alternative (3) Immediately notify TSA of acts, measures approved by TSA. or suspected acts, of unlawful inter- (e) Each airport operator that reference to civil aviation operations, in- ceives a Security Directive may com- cluding specific bomb threats to air- ment on the Security Directive by sub- craft and airport facilities. mitting data, views, or arguments in (c) Airport operators required to have writing to TSA. TSA may amend the a security program under § 1542.103(c) Security Directive based on comments but not subject to 14 CFR part 139, received. Submission of a comment must develop emergency response pro- does not delay the effective date of the cedures to incidents of threats identi- Security Directive. fied in paragraph (a) of this section. (f) Each airport operator that re- (d) To ensure that all parties know ceives a Security Directive or an Infor- their responsibilities and that all pro- mation Circular and each person who cedures are current, at least once every receives information from a Security 12 calendar months each airport oper- Directive or an Information Circular ator must review the procedures re- must: quired in paragraphs (a) and (b) of this (1) Restrict the availability of the Se- section with all persons having respon- curity Directive or Information Cir- sibilities for such procedures. cular, and information contained in either document, to those persons with PART 1544—AIRCRAFT OPERATOR an operational need-to-know. SECURITY: AIR CARRIERS AND (2) Refuse to release the Security Di- COMMERCIAL OPERATORS rective or Information Circular, and information contained in either docu- Subpart A—General ment, to persons other than those who have an operational need to know with- Sec. out the prior written consent of TSA. 1544.1 Applicability of this part. 1544.3 TSA inspection authority. § 1542.305 Public advisories. Subpart B—Security Program When advised by TSA, each airport operator must prominently display and 1544.101 Adoption and implementation. maintain in public areas information 1544.103 Form, content, and availability. concerning foreign airports that, in the 1544.105 Approval and amendments. judgment of the Secretary of Transpor- tation, do not maintain and administer Subpart C—Operations effective security measures. This infor- 1544.201 Acceptance and screening of indi- mation must be posted in the manner viduals and accessible property. specified in the security program and 1544.203 Acceptance and screening of for such a period of time determined by checked baggage. the Secretary of Transportation. 1544.202 Persons and property onboard an all-cargo aircraft. § 1542.307 Incident management. 1544.205 Acceptance and screening of cargo. 1544.207 Screening of individuals and prop- (a) Each airport operator must estab- erty. lish procedures to evaluate bomb 1544.209 Use of metal detection devices. threats, threats of sabotage, aircraft 1544.211 Use of X-ray systems. piracy, and other unlawful interference 1544.213 Use of explosives detection systems. to civil aviation operations. 1544.215 Security coordinators. (b) Immediately upon direct or re- 1544.217 Law enforcement personnel. ferred receipt of a threat of any of the 1544.219 Carriage of accessible weapons. incidents described in paragraph (a) of 1544.221 Carriage of prisoners under the control of armed law enforcement officers. this section, each airport operator 1544.223 Transportation of Federal Air Mar- must— shals. (1) Evaluate the threat in accordance 1544.225 Security of aircraft and facilities. with its security program; 1544.227 Exclusive area agreement.

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1544.228 Access to cargo and cargo screen- adopting and obtaining approval of an ing: Security threat assessments for aircraft operator security program. cargo personnel in the United States. (2) Each law enforcement officer fly- 1544.229 Fingerprint-based criminal history records checks (CHRC): Unescorted ac- ing armed aboard an aircraft operated cess authority, authority to perform by an aircraft operator described in screening functions, and authority to paragraph (a)(1) of this section. perform checked baggage or cargo func- (3) Each aircraft operator that re- tions. ceives a Security Directive or Informa- 1544.230 Fingerprint-based criminal history records checks (CHRC): Flightcrew mem- tion Circular and each person who re- bers. ceives information from a Security Di- 1544.231 Airport-approved and exclusive area rective or Information Circular issued personnel identification systems. by TSA. 1544.233 Security coordinators and crew- (b) As used in this part, ‘‘aircraft op- members, training. erator’’ means an aircraft operator 1544.235 Training and knowledge for individuals with security-related duties. subject to this part as described in 1544.237 Flight deck privileges. § 1544.101. 1544.239 Known shipper program. [67 FR 8364, Feb. 22, 2002, as amended at 67 Subpart D—Threat and Threat Response FR 8209, Feb. 22, 2002] 1544.301 Contingency plan. § 1544.3 TSA inspection authority. 1544.303 Bomb or air piracy threats. (a) Each aircraft operator must allow 1544.305 Security Directives and Informa- tion Circulars. TSA, at any time or place, to make any inspections or tests, including Subpart E—Screener Qualifications When copying records, to determine compli- the Aircraft Operator Performs Screening ance of an airport operator, aircraft operator, foreign air carrier, indirect air 1544.401 Applicability of this subpart. 1544.403 [Reserved] carrier, or other airport tenants with— 1544.405 Qualifications of screening per- (1) This subchapter and any security sonnel. program under this subchapter, and 1544.407 Training, testing, and knowledge of part 1520 of this chapter; and individuals who perform screening func- (2) 49 U.S.C. Subtitle VII, as amend- tions. 1544.409 Integrity of screener tests. ed. 1544.411 Continuing qualifications of screen- (b) At the request of TSA, each air- ing personnel. craft operator must provide evidence of

AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901– compliance with this part and its secu- 44905, 44907, 44913–44914, 44916–44918, 44932, rity program, including copies of 44935–44936, 44942, 46105. records.

SOURCE: 67 FR 8364, Feb. 22, 2002, unless (c) TSA may enter and be present otherwise noted. within secured areas, AOAs, SIDAs, and other areas where security meas- Subpart A—General ures required by TSA are carried out, without access media or identification § 1544.1 Applicability of this part. media issued or approved by an airport (a) This part prescribes aviation se- operator or aircraft operator, in order curity rules governing the following: to inspect or test compliance, or per- (1) The operations of aircraft opera- form other such duties as TSA may di- tors holding operating certificates rect. under 14 CFR part 119 for scheduled (d) At the request of TSA and the passenger operations, public charter completion of SIDA training as re- passenger operations, private charter quired in a security program, each air- passenger operations; the operations of craft operator must promptly issue to aircraft operators holding operating TSA personnel access and identifica- certificates under 14 CFR part 119 oper- tion media to provide TSA personnel ating aircraft with a maximum certifi- with unescorted access to, and move- cated takeoff weight of 12,500 pounds or ment within, areas controlled by the more; and other aircraft operators

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aircraft operator under an exclusive (3) The remaining requirements of area agreement. subparts C, D, and E when TSA notifies the aircraft operator in writing that a [67 FR 8364, Feb. 22, 2002, as amended at 71 FR 30510, May 26, 2006] security threat exists concerning that operation. (d) Twelve-five program-adoption: Each Subpart B—Security Program aircraft operator must carry out the § 1544.101 Adoption and implementa- requirements of paragraph (e) of this tion. section for each operation that meets all of the following— (a) Full program. Each aircraft oper- (1) Is an aircraft with a maximum ator must carry out subparts C, D, and certificated takeoff weight of more E of this part and must adopt and carry than 12,500 pounds; out a security program that meets the (2) Is in scheduled or charter service; requirements of § 1544.103 for each of the following operations: (3) Is carrying passengers or cargo or both; and (1) A scheduled passenger or public charter passenger operation with an (4) Is not under a full program, par- aircraft having a passenger seating tial program, or full all-cargo program configuration of 61 or more seats. under paragraph (a), (b), or (h) of this (2) A scheduled passenger or public section. charter passenger operation with an (e) Twelve-five program-contents: For aircraft having a passenger seating each operation described in paragraph configuration of 60 or fewer seats when (d) of this section, the aircraft operator passengers are enplaned from or must carry out the following, and must deplaned into a sterile area. adopt and carry out a security program (b) Partial program—adoption. Each that meets the applicable requirements aircraft operator must carry out the of § 1544.103 (c): requirements specified in paragraph (c) (1) The requirements of §§ 1544.215, of this section for each of the following 1544.217, 1544.219, 1544.223, 1544.230, operations: 1544.235, 1544.237, 1544.301(a) and (b), (1) A scheduled passenger or public 1544.303, and 1544.305; and in addition, charter passenger operation with an for all-cargo operations of §§ 1544.202, aircraft having a passenger-seating 1544.205(a), (b), (d), and (f). configuration of 31 or more but 60 or (2) Other provisions of subparts C, D, fewer seats that does not enplane from and E that TSA has approved upon re- or deplane into a sterile area. quest. (2) A scheduled passenger or public (3) The remaining requirements of charter passenger operation with an subparts C, D, and E when TSA notifies aircraft having a passenger-seating the aircraft operator in writing that a configuration of 60 or fewer seats en- security threat exists concerning that gaged in operations to, from, or outside operation. the United States that does not en- (f) Private charter program. In addition plane from or deplane into a sterile to paragraph (d) of this section, if ap- area. plicable, each aircraft operator must (c) Partial program-content: For oper- carry out §§ 1544.201, 1544.207, 1544.209, ations described in paragraph (b) of 1544.211, 1544.215, 1544.217, 1544.219, this section, the aircraft operator must 1544.225, 1544.229, 1544.230, 1544.233, carry out the following, and must 1544.235, 1544.303, and 1544.305, and sub- adopt and carry out a security program part E of this part and— that meets the applicable requirements (1) Must adopt and carry out a secu- in § 1544.103 (c): rity program that meets the applicable (1) The requirements of §§ 1544.215, requirements of § 1544.103 for each pri- 1544.217, 1544.219, 1544.223, 1544.230, vate charter passenger operation in 1544.235, 1544.237, 1544.301, 1544.303, and which— 1544.305. (i) The passengers are enplaned from (2) Other provisions of subparts C, D, or deplaned into a sterile area; or and E of this part that TSA has ap- (ii) The aircraft has a maximum cer- proved upon request. tificated takeoff weight greater than

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45,500 kg (100,309.3 pounds), or a pas- that a security threat exists con- senger-seating configuration of 61 or cerning that operation. more, and is not a government charter [67 FR 8364, Feb. 22, 2002, as amended at 67 under paragraph (2) of the definition of FR 8209, Feb. 22, 2002; 67 FR 41639, June 19, private charter in § 1540.5 of this chap- 2002; 67 FR 79887, Dec. 31, 2002; 71 FR 30510, ter. May 26, 2006] (2) The Administrator may authorize alternate procedures under paragraph § 1544.103 Form, content, and avail- (f)(1) of this section as appropriate. ability. (g) Limited program: In addition to (a) General requirements. Each secu- paragraph (d) of this section, if applica- rity program must: ble, TSA may approve a security pro- (1) Provide for the safety of persons gram after receiving a request by an and property traveling on flights pro- aircraft operator holding a certificate vided by the aircraft operator against under 14 CFR part 119, other than one acts of criminal violence and air pi- identified in paragraph (a), (b), (d), or racy, and the introduction of explo- (f) of this section. The aircraft operator sives, incendiaries, or weapons aboard an aircraft. must— (2) Be in writing and signed by the (1) Carry out selected provisions of aircraft operator or any person dele- subparts C, D, and E; gated authority in this matter. (2) Carry out the provisions of (3) Be approved by TSA. § 1544.305, as specified in its security (b) Availability. Each aircraft oper- program; and ator having a security program must: (3) Adopt and carry out a security (1) Maintain an original copy of the program that meets the applicable re- security program at its corporate of- quirements of § 1544.103 (c). fice. (h) Full all-cargo program—adoption: (2) Have accessible a complete copy, Each aircraft operator must carry out or the pertinent portions of its security the requirements of paragraph (i) of program, or appropriate implementing this section for each operation that instructions, at each airport served. An is— electronic version of the program is (1) In an aircraft with a maximum adequate. certificated takeoff weight of more (3) Make a copy of the security pro- than 45,500 kg (100,309.3 pounds); and gram available for inspection upon re- (2) Carrying cargo and authorized quest of TSA. persons and no passengers. (4) Restrict the distribution, disclo- (i) Full all-cargo program—contents: sure, and availability of information For each operation described in para- contained in the security program to graph (h) of this section, the aircraft persons with a need-to-know as de- operator must carry out the following, scribed in part 1520 of this chapter. and must adopt and carry out a secu- (5) Refer requests for such informa- rity program that meets the applicable tion by other persons to TSA. requirements of § 1544.103(c): (c) Content. The security program must include, as specified for that air- (1) The requirements of §§ 1544.202, craft operator in § 1544.101, the fol- 1544.205, 1544.207, 1544.209, 1544.211, lowing: 1544.215, 1544.217, 1544.219, 1544.225, (1) The procedures and description of 1544.227, 1544.228, 1544.229, 1544.230, the facilities and equipment used to 1544.231, 1544.233, 1544.235, 1544.237, comply with the requirements of 1544.301, 1544.303, and 1544.305. § 1544.201 regarding the acceptance and (2) Other provisions of subpart C of screening of individuals and their ac- this part that TSA has approved upon cessible property, including, if applica- request. ble, the carriage weapons as part of (3) The remaining requirements of State-required emergency equipment. subpart C of this part when TSA noti- (2) The procedures and description of fies the aircraft operator in writing the facilities and equipment used to comply with the requirements of

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§ 1544.203 regarding the acceptance and (15) The procedures used to comply screening of checked baggage. with the applicable requirements of (3) The procedures and description of §§ 1544.229 and 1544.230 regarding finger- the facilities and equipment used to print-based criminal history records comply with the requirements of checks. § 1544.205 regarding the acceptance and (16) The procedures used to comply screening of cargo. with the requirements of § 1544.231 re- (4) The procedures and description of garding personnel identification sys- the facilities and equipment used to tems. comply with the requirements of (17) The procedures and syllabi used § 1544.207 regarding the screening of in- to accomplish the training required dividuals and property. under § 1544.233. (5) The procedures and description of (18) The procedures and syllabi used the facilities and equipment used to to accomplish the training required comply with the requirements of under § 1544.235. § 1544.209 regarding the use of metal de- (19) An aviation security contingency tection devices. plan as specified under § 1544.301. (6) The procedures and description of (20) The procedures used to comply the facilities and equipment used to with the requirements of § 1544.303 re- comply with the requirements of garding bomb and air piracy threats. § 1544.211 regarding the use of x-ray sys- (21) The procedures used to comply tems. with § 1544.237 regarding flight deck (7) The procedures and description of privileges. the facilities and equipment used to (22) The Aircraft Operator Implemen- comply with the requirements of tation Plan (AOIP) as required under 49 § 1544.213 regarding the use of explo- CFR 1560.109. sives detection systems. [67 FR 8364, Feb. 22, 2002, as amended at 67 (8) The procedures used to comply FR 8209, Feb. 22, 2002; 73 FR 64061, Oct. 28, with the requirements of § 1544.215 re- 2008] garding the responsibilities of security coordinators. The names of the Air- § 1544.105 Approval and amendments. craft Operator Security Coordinator (a) Initial approval of security program. (AOSC) and any alternate, and the Unless otherwise authorized by TSA, means for contacting the AOSC(s) on a each aircraft operator required to have 24-hour basis, as provided in § 1544.215. a security program under this part (9) The procedures used to comply must submit its proposed security pro- with the requirements of § 1544.217 re- gram to the designated official for ap- garding the requirements for law en- proval at least 90 days before the in- forcement personnel. tended date of operations. The pro- (10) The procedures used to comply posed security program must meet the with the requirements of § 1544.219 re- requirements applicable to its oper- garding carriage of accessible weapons. ation as described in § 1544.101. Such re- (11) The procedures used to comply quests will be processed as follows: with the requirements of § 1544.221 re- (1) The designated official, within 30 garding carriage of prisoners under the days after receiving the proposed air- control of armed law enforcement offi- craft operator security program, will cers. either approve the program or give the (12) The procedures used to comply aircraft operator written notice to with the requirements of § 1544.223 re- modify the program to comply with the garding transportation of Federal Air applicable requirements of this part. Marshals. (2) The aircraft operator may either (13) The procedures and description of submit a modified security program to the facilities and equipment used to the designated official for approval, or perform the aircraft and facilities con- petition the Administrator to recon- trol function specified in § 1544.225. sider the notice to modify within 30 (14) The specific locations where the days of receiving a notice to modify. A air carrier has entered into an exclu- petition for reconsideration must be sive area agreement under § 1544.227. filed with the designated official.

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(3) The designated official, upon re- (1) The designated official notifies ceipt of a petition for reconsideration, the aircraft operator, in writing, of the either amends or withdraws the notice, proposed amendment, fixing a period of or transmits the petition, together not less than 30 days within which the with any pertinent information, to the aircraft operator may submit written Administrator for reconsideration. The information, views, and arguments on Administrator disposes of the petition the amendment. within 30 days of receipt by either di- (2) After considering all relevant ma- recting the designated official to with- terial, the designated official notifies draw or amend the notice to modify, or the aircraft operator of any amend- by affirming the notice to modify. ment adopted or rescinds the notice. If (b) Amendment requested by an aircraft the amendment is adopted, it becomes operator. An aircraft operator may sub- effective not less than 30 days after the mit a request to TSA to amend its se- aircraft operator receives the notice of curity program as follows: amendment, unless the aircraft oper- (1) The request for an amendment ator petitions the Administrator to re- must be filed with the designated offi- consider no later than 15 days before cial at least 45 days before the date it the effective date of the amendment. proposes for the amendment to become The aircraft operator must send the pe- effective, unless a shorter period is al- tition for reconsideration to the des- lowed by the designated official. ignated official. A timely petition for (2) Within 30 days after receiving a reconsideration stays the effective date proposed amendment, the designated of the amendment. official, in writing, either approves or (3) Upon receipt of a petition for re- denies the request to amend. consideration, the designated official (3) An amendment to an aircraft op- either amends or withdraws the notice erator security program may be ap- or transmits the petition, together proved if the designated official deter- with any pertinent information, to the mines that safety and the public inter- Administrator for reconsideration. The est will allow it, and the proposed Administrator disposes of the petition amendment provides the level of secu- within 30 days of receipt by either di- rity required under this part. recting the designated official to with- (4) Within 30 days after receiving a draw or amend the amendment, or by denial, the aircraft operator may peti- affirming the amendment. tion the Administrator to reconsider (d) Emergency amendments. If the des- the denial. A petition for reconsider- ignated official finds that there is an ation must be filed with the designated emergency requiring immediate action official. with respect to safety in air transpor- (5) Upon receipt of a petition for re- tation or in air commerce that makes consideration, the designated official procedures in this section contrary to either approves the request to amend the public interest, the designated offi- or transmits the petition, together cial may issue an amendment, without with any pertinent information, to the the prior notice and comment proce- Administrator for reconsideration. The dures in paragraph (c) of this section, Administrator disposes of the petition effective without stay on the date the within 30 days of receipt by either di- aircraft operator receives notice of it. recting the designated official to ap- In such a case, the designated official prove the amendment, or affirming the denial. will incorporate in the notice a brief statement of the reasons and findings (6) Any aircraft operator may submit for the amendment to be adopted. The a group proposal for an amendment aircraft operator may file a petition that is on behalf of it and other aircraft operators that co-sign the pro- for reconsideration under paragraph (c) posal. of this section; however, this does not stay the effective date of the emer- (c) Amendment by TSA. If safety and gency amendment. the public interest require an amendment, TSA may amend a security pro- [67 FR 8353, Feb. 22, 2002, as amended at 76 gram as follows: FR 51867, Aug. 18, 2011]

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Subpart C—Operations tation, and for their property, to prevent or deter the carriage of any unau- § 1544.201 Acceptance and screening of thorized persons, and any unauthorized individuals and accessible property. weapons, explosives, incendiaries, and (a) Preventing or deterring the carriage other destructive devices, items, or of any explosive, incendiary, or deadly or substances. dangerous weapon. Each aircraft oper- [71 FR 30510, May 26, 2006] ator must use the measures in its security program to prevent or deter the § 1544.203 Acceptance and screening of carriage of any weapon, explosive, or checked baggage. incendiary on or about each individ- (a) Preventing or deterring the carriage ual’s person or accessible property be- of any explosive or incendiary. Each air- fore boarding an aircraft or entering a craft operator must use the procedures, sterile area. facilities, and equipment described in (b) Screening of individuals and acces- its security program to prevent or sible property. Except as provided in its deter the carriage of any unauthorized security program, each aircraft oper- explosive or incendiary onboard air- ator must ensure that each individual craft in checked baggage. entering a sterile area at each preboard (b) Acceptance. Each aircraft operator screening checkpoint for which it is re- must ensure that checked baggage car- sponsible, and all accessible property ried in the aircraft is received by its under that individual’s control, are in- authorized aircraft operator represent- spected for weapons, explosives, and in- ative. cendiaries as provided in § 1544.207. (c) Screening of checked baggage. Ex- (c) Refusal to transport. Each aircraft cept as provided in its security pro- operator must deny entry into a sterile gram, each aircraft operator must en- area and must refuse to transport— sure that all checked baggage is in- (1) Any individual who does not con- spected for explosives and incendiaries sent to a search or inspection of his or before loading it on its aircraft, in ac- her person in accordance with the sys- cordance with § 1544.207. tem prescribed in this part; and (2) Any property of any individual or (d) Control. Each aircraft operator other person who does not consent to a must use the procedures in its security search or inspection of that property in program to control checked baggage accordance with the system prescribed that it accepts for transport on an air- by this part. craft, in a manner that: (d) Prohibitions on carrying a weapon, (1) Prevents the unauthorized car- explosive, or incendiary. Except as pro- riage of any explosive or incendiary vided in §§ 1544.219, 1544.221, and 1544.223, aboard the aircraft. no aircraft operator may permit any (2) Prevents access by persons other individual to have a weapon, explosive, than an aircraft operator employee or or incendiary, on or about the individ- its agent. ual’s person or accessible property (e) Refusal to transport. Each aircraft when onboard an aircraft. operator must refuse to transport any (e) Staffing. Each aircraft operator individual’s checked baggage or prop- must staff its security screening check- erty if the individual does not consent points with supervisory and non-super- to a search or inspection of that visory personnel in accordance with checked baggage or property in accord- the standards specified in its security ance with the system prescribed by program. this part. (f) Firearms in checked baggage. No § 1544.202 Persons and property on- aircraft operator may knowingly per- board an all-cargo aircraft. mit any person to transport in checked Each aircraft operator operating baggage: under a full all-cargo program, or a (1) Any loaded firearm(s). twelve-five program in an all-cargo op- (2) Any unloaded firearm(s) unless— eration, must apply the security meas- (i) The passenger declares to the air- ures in its security program for persons craft operator, either orally or in writ- who board the aircraft for transpor- ing before checking the baggage that

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any firearm carried in the baggage is (1) Prevents the carriage of any un- unloaded; authorized person, and any unauthor- (ii) The firearm is carried in a hard- ized explosive, incendiary, and other sided container; destructive substance or item in cargo (iii) The container in which it is car- onboard an aircraft. ried is locked, and only the individual (2) Prevents unescorted access by checking the baggage retains the key persons other than an authorized air- or combination; and craft operator employee or agent, or (iv) The checked baggage containing persons authorized by the airport oper- the firearm is carried in an area that is ator or host government. inaccessible to passengers, and is not (d) Refusal to transport. Except as oth- carried in the flightcrew compart- erwise provided in its program, each ment,. aircraft operator operating under a full program, a full all-cargo program, or a (3) Any unauthorized explosive or in- twelve-five program in an all-cargo op- cendiary. eration, must refuse to transport any (g) This section does not Ammunition. cargo if the shipper does not consent to prohibit the carriage of ammunition in a search or inspection of that cargo in checked baggage or in the same con- accordance with the system prescribed tainer as a firearm. Title 49 CFR part by this part. 175 provides additional requirements (e) Acceptance of cargo only from speci- governing carriage of ammunition on fied persons. Each aircraft operator op- aircraft. erating under a full program or a full all-cargo program may accept cargo to § 1544.205 Acceptance and screening of cargo. be loaded in the United States for air transportation only from the shipper, (a) Preventing or deterring the carriage an aircraft operator, foreign air car- of any explosive or incendiary. Each air- rier, or indirect air carrier operating craft operator operating under a full under a security program under this program, a full all-cargo program, or a chapter with a comparable cargo secu- twelve-five program in an all-cargo op- rity program, or, in the case of an oper- eration, must use the procedures, fa- ator under a full program, from a cer- cilities, and equipment described in its tified cargo screening facility, as pro- security program to prevent or deter vided in its security program. the carriage of any unauthorized per- (f) Acceptance and screening of cargo sons, and any unauthorized explosives, outside the United States. For cargo to incendiaries, and other destructive sub- be loaded on its aircraft outside the stances or items in cargo onboard an United States, each aircraft operator aircraft. must carry out the requirements of its (b) Screening and inspection of cargo. security program. Each aircraft operator operating under (g) Screening of cargo loaded inside the a full program or a full all-cargo pro- United States by a full program operator. gram, or a twelve-five program in an For cargo to be loaded in the United all-cargo operation, must ensure that States, each operator under a full pro- cargo is screened and inspected for any gram in § 1544.101(a) must ensure that unauthorized person, and any unau- all cargo is screened in the United thorized explosive, incendiary, and States as follows: other destructive substance or item as (1) Amount screened. (i) Not later than provided in the aircraft operator’s se- February 3, 2009, each operator under a curity program and § 1544.207, and as full program must ensure that at least provided in § 1544.239 for operations 50 percent of its cargo is screened prior under a full program, before loading it to transport on a passenger aircraft. on its aircraft. (ii) Not later than August 3, 2010, (c) Control. Each aircraft operator op- each operator under a full program erating under a full program or a full must ensure that 100 percent of its all-cargo program must use the proce- cargo is screened prior to transport on dures in its security program to con- a passenger aircraft. trol cargo that it accepts for transport (2) Methods of screening. For the pur- on an aircraft in a manner that: poses of this paragraph (g), the aircraft

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operator must ensure that cargo is (d) Locations outside the United States screened using a physical examination at which the foreign government conducts or non-intrusive method of assessing screening. Each aircraft operator must whether cargo poses a threat to trans- ensure that all individuals and prop- portation security, as provided in its erty have been inspected by the foreign security program. Such methods may government. This paragraph applies include TSA-approved x-ray systems, when the host government is con- explosives detection systems, explo- ducting screening using government sives trace detection, explosives detec- employees or when using companies tion canine teams certified by TSA, or under contract with the government. a physical search together with manifest verification, or other method ap- § 1544.209 Use of metal detection de- proved by TSA. vices. (3) Limitation on who may conduct (a) No aircraft operator may use a screening. Screening must be conducted metal detection device within the by the aircraft operator, by another United States or under the aircraft op- aircraft operator or foreign air carrier erator’s operational control outside the operating under a security program United States to inspect persons, un- under this chapter with a comparable less specifically authorized under a se- cargo security program, by a certified curity program under this part. No air- cargo screening facility in accordance craft operator may use such a device with 49 CFR part 1549, or by TSA. contrary to its security program. (4) Verification. The aircraft operator (b) Metal detection devices must must verify that the chain of custody meet the calibration standards estab- measures for the screened cargo are in- lished by TSA. tact prior to loading such cargo on aircraft, or must ensure that the cargo is § 1544.211 Use of X-ray systems. re-screened in accordance with this chapter. (a) TSA authorization required. No aircraft operator may use any X-ray sys- [71 FR 30510, May 26, 2006, as amended at 74 tem within the United States or under FR 47703, Sept. 16, 2009; 76 FR 51867, Aug. 18, the aircraft operator’s operational con- 2011; 76 FR 53080, Aug. 25, 2011] trol outside the United States to in- § 1544.207 Screening of individuals spect accessible property or checked and property. baggage, unless specifically authorized under its security program. No aircraft (a) Applicability of this section. This operator may use such a system in a section applies to the inspection of in- manner contrary to its security pro- dividuals, accessible property, checked gram. TSA authorizes aircraft opera- baggage, and cargo as required under this part. tors to use X-ray systems for inspect- ing accessible property or checked bag- (b) Locations within the United States gage under a security program if the at which TSA conducts screening. Each aircraft operator shows that— aircraft operator must ensure that the individuals or property have been in- (1) The system meets the standards spected by TSA before boarding or for cabinet X-ray systems primarily for loading on its aircraft. This paragraph the inspection of baggage issued by the applies when TSA is conducting screen- Food and Drug Administration (FDA) ing using TSA employees or when and published in 21 CFR 1020.40; using companies under contract with (2) A program for initial and recur- TSA. rent training of operators of the sys- (c) Aircraft operator conducting screen- tem is established, which includes ing. Each aircraft operator must use training in radiation safety, the effi- the measures in its security program cient use of X-ray systems, and the and in subpart E of this part to inspect identification of weapons, explosives, the individual or property. This para- and incendiaries; and graph does not apply at locations iden- (3) The system meets the imaging re- tified in paragraphs (b) and (d) of this quirements set forth in its security section. program using the step wedge specified

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in American Society for Testing Mate- that such items are being inspected by rials (ASTM) Standard F792–88 (Re- an X-ray and advise them to remove all approved 1993). This standard is incor- X-ray, scientific, and high-speed film porated by reference in paragraph (g) of from accessible property and checked this section. baggage before inspection. This sign (b) Annual radiation survey. No air- must also advise individuals that they craft operator may use any X-ray sys- may request that an inspection be tem unless, within the preceding 12 cal- made of their photographic equipment endar months, a radiation survey is and film packages without exposure to conducted that shows that the system an X-ray system. If the X-ray system meets the applicable performance exposes any accessible property or standards in 21 CFR 1020.40. checked baggage to more than one (c) Radiation survey after installation milliroentgen during the inspection, or moving. No aircraft operator may use the sign must advise individuals to re- any X-ray system after the system has move film of all kinds from their arti- been installed at a screening point or cles before inspection. after the system has been moved unless (4) If requested by individuals, their a radiation survey is conducted which photographic equipment and film pack- shows that the system meets the appli- ages must be inspected without expo- cable performance standards in 21 CFR sure to an X-ray system. 1020.40. A radiation survey is not re- (f) Radiation survey verification after quired for an X-ray system that is de- installation or moving. Each aircraft op- signed and constructed as a mobile erator must maintain at least one copy unit and the aircraft operator shows of the results of the most recent radi- that it can be moved without altering ation survey conducted under para- its performance. graph (b) or (c) of this section and must (d) Defect notice or modification order. make it available for inspection upon No aircraft operator may use any X- request by TSA at each of the fol- ray system that is not in full compli- lowing locations— ance with any defect notice or modi- (1) The aircraft operator’s principal fication order issued for that system by business office; and the FDA, unless the FDA has advised (2) The place where the X-ray system TSA that the defect or failure to com- is in operation. ply does not create a significant risk of (g) Incorporation by reference. The injury, including genetic injury, to any American Society for Testing and Ma- person. terials (ASTM) Standard F792–88 (Re- (e) Signs and inspection of photo- approved 1993), ‘‘Standard Practice for graphic equipment and film. (1) At loca- Design and Use of Ionizing Radiation tions at which an aircraft operator Equipment for the Detection of Items uses an X-ray system to inspect acces- Prohibited in Controlled Access sible property the aircraft operator Areas,’’ is approved for incorporation must ensure that a sign is posted in a by reference by the Director of the conspicuous place at the screening Federal Register pursuant to 5 U.S.C. checkpoint. At locations outside the 552(a) and l CFR part 51. ASTM Stand- United States at which a foreign gov- ard F792–88 may be examined at the De- ernment uses an X-ray system to in- partment of Transportation (DOT) spect accessible property the aircraft Docket, 400 Seventh Street SW, Room operator must ensure that a sign is Plaza 401, Washington, DC 20590, or on posted in a conspicuous place at the DOT’s Docket Management System screening checkpoint. (DMS) web page at http://dms.dot.gov/ (2) At locations at which an aircraft search (under docket number FAA–2001– operator or TSA uses an X-ray system 8725). Copies of the standard may be ex- to inspect checked baggage the aircraft amined also at the National Archives operator must ensure that a sign is and Records Administration (NARA). posted in a conspicuous place where For information on the availability of the aircraft operator accepts checked this material at NARA, call 202–741– baggage. 6030, or go to: http://www.archives.gov/ (3) The signs required under this federallregister/ paragraph (e) must notify individuals codeloflfederallregulations/

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ibrllocations.html. In addition, ASTM § 1544.215 Security coordinators. Standard F792–88 (Reapproved 1993) (a) Aircraft Operator Security Coordi- may be obtained from the American nator. Each aircraft operator must des- Society for Testing and Materials, 100 ignate and use an Aircraft Operator Se- Barr Harbor Drive, West curity Coordinator (AOSC). The AOSC Conshohocken, PA 19428–2959. and any alternates must be appointed (h) Duty time limitations. Each aircraft at the corporate level and must serve operator must comply with the X-ray as the aircraft operator’s primary con- operator duty time limitations speci- tact for security-related activities and fied in its security program. communications with TSA, as set forth in the security program. Either the [67 FR 8364, Feb. 22, 2002, as amended at 69 AOSC, or an alternate AOSC, must be FR 18803, Apr. 9, 2004] available on a 24-hour basis. (b) Ground Security Coordinator. Each § 1544.213 Use of explosives detection aircraft operator must designate and systems. use a Ground Security Coordinator for (a) Use of explosive detection equip- each domestic and international flight ment. If TSA so requires by an amend- departure to carry out the Ground Se- ment to an aircraft operator’s security curity Coordinator duties specified in program, each aircraft operator re- the aircraft operator’s security pro- quired to conduct screening under a se- gram. The Ground Security Coordi- curity program must use an explosives nator at each airport must conduct the detection system approved by TSA to following daily: screen checked baggage on inter- (1) A review of all security-related national flights. functions for which the aircraft operator is responsible, for effectiveness (b) Signs and inspection of photo- and compliance with this part, the air- graphic equipment and film. (1) At loca- craft operator’s security program, and tions at which an aircraft operator or applicable Security Directives. TSA uses an explosives detection sys- (2) Immediate initiation of corrective tem that uses X-ray technology to in- action for each instance of noncompli- spect checked baggage the aircraft op- ance with this part, the aircraft opera- erator must ensure that a sign is post- tor’s security program, and applicable ed in a conspicuous place where the Security Directives. At foreign airports aircraft operator accepts checked bag- where such security measures are pro- gage. The sign must notify individuals vided by an agency or contractor of a that such items are being inspected by host government, the aircraft operator an explosives detection system and ad- must notify TSA for assistance in re- vise them to remove all X-ray, sci- solving noncompliance issues. entific, and high-speed film from (c) In-flight Security Coordinator. Each checked baggage before inspection. aircraft operator must designate and This sign must also advise individuals use the pilot in command as the In- that they may request that an inspec- flight Security Coordinator for each tion be made of their photographic domestic and international flight to equipment and film packages without perform duties specified in the aircraft operator’s security program. exposure to an explosives detection system. § 1544.217 Law enforcement personnel. (2) If the explosives detection system (a) The following applies to oper- exposes any checked baggage to more ations at airports within the United than one milliroentgen during the in- States that are not required to hold a spection the aircraft operator must security program under part 1542 of post a sign which advises individuals to this chapter. remove film of all kinds from their ar- (1) For operations described in ticles before inspection. If requested by § 1544.101(a) each aircraft operator must individuals, their photographic equip- provide for law enforcement personnel ment and film packages must be in- meeting the qualifications and stand- spected without exposure to an explo- ards specified in §§ 1542.215 and 1542.217 sives detection system. of this chapter.

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(2) For operations under a partial (ii) Be sworn and commissioned to program under § 1544.101(b) and (c), a enforce criminal statutes or immigra- twelve-five program under § 1544.101(d) tion statutes. and (e), a private charter program (iii) Be authorized by the employing under § 1544.101(f), or a full all-cargo agency to have the weapon in connec- program under § 1544.101(h) and (i), each tion with assigned duties. aircraft operator must— (iv) Has completed the training pro- (i) Arrange for law enforcement per- gram ‘‘Law Enforcement Officers Fly- sonnel meeting the qualifications and ing Armed.’’ standards specified in § 1542.217 of this (2) In addition to the requirements of chapter to be available to respond to paragraph (a)(1) of this section, the an incident; and (ii) Provide its employees, including armed LEO must have a need to have crewmembers, current information re- the weapon accessible from the time he garding procedures for obtaining law or she would otherwise check the weap- enforcement assistance at that airport. on until the time it would be claimed (b) The following applies to oper- after deplaning. The need to have the ations at airports required to hold se- weapon accessible must be determined curity programs under part 1542 of this by the employing agency, department, chapter. For operations under a partial or service and be based on one of the program under § 1544.101(b) and (c), a following: twelve-five program under § 1544.101(d) (i) The provision of protective duty, and (e), a private charter program for instance, assigned to a principal or under § 1544.101(f), or a full all-cargo advance team, or on travel required to program under § 1544.101(h) and (i), each be prepared to engage in a protective aircraft operator must— function. (1) Arrange with TSA and the airport (ii) The conduct of a hazardous sur- operator, as appropriate, for law en- veillance operation. forcement personnel meeting the quali- (iii) On official travel required to re- fications and standards specified in port to another location, armed and § 1542.217 of this chapter to be available prepared for duty. to respond to incidents, and (iv) Employed as a Federal LEO, (2) Provide its employees, including whether or not on official travel, and crewmembers, current information re- armed in accordance with an agency- garding procedures for obtaining law wide policy governing that type of enforcement assistance at that airport. travel established by the employing [67 FR 8364, Feb. 22, 2002, as amended at 71 agency by directive or policy state- FR 30510, May 26, 2006] ment. (v) Control of a prisoner, in accord- § 1544.219 Carriage of accessible weapons. ance with § 1544.221, or an armed LEO on a round trip ticket returning from (a) Flights for which screening is con- escorting, or traveling to pick up, a ducted. The provisions of § 1544.201(d), prisoner. with respect to accessible weapons, do (vi) TSA Federal Air Marshal on duty not apply to a law enforcement officer status. (LEO) aboard a flight for which screening is required if the requirements of (3) The armed LEO must comply with this section are met. Paragraph (a) of the following notification require- this section does not apply to a Federal ments: Air Marshal on duty status under (i) All armed LEOs must notify the § 1544.223. aircraft operator of the flight(s) on (1) Unless otherwise authorized by which he or she needs to have the TSA, the armed LEO must meet the weapon accessible at least 1 hour, or in following requirements: an emergency as soon as practicable, (i) Be a Federal law enforcement offi- before departure. cer or a full-time municipal, county, or (ii) Identify himself or herself to the state law enforcement officer who is a aircraft operator by presenting creden- direct employee of a government agen- tials that include a clear full-face pic- cy. ture, the signature of the armed LEO,

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and the signature of the authorizing of- a flight for which screening is not re- ficial of the agency, service, or depart- quired if the requirements of para- ment or the official seal of the agency, graphs (a)(1), (3), and (4) of this section service, or department. A badge, shield, are met. or similar device may not be used, or (c) Alcohol. (1) No aircraft operator accepted, as the sole means of identi- may serve any alcoholic beverage to an fication. armed LEO. (iii) If the armed LEO is a State, (2) No armed LEO may: county, or municipal law enforcement (i) Consume any alcoholic beverage officer, he or she must present an origi- while aboard an aircraft operated by an nal letter of authority, signed by an aircraft operator. authorizing official from his or her em- (ii) Board an aircraft armed if they ploying agency, service or department, have consumed an alcoholic beverage confirming the need to travel armed within the previous 8 hours. and detailing the itinerary of the trav- (d) Location of weapon. (1) Any indi- el while armed. vidual traveling aboard an aircraft (iv) If the armed LEO is an escort for while armed must at all times keep a foreign official then this paragraph their weapon: (a)(3) may be satisfied by a State De- (i) Concealed and out of view, either partment notification. on their person or in immediate reach, (4) The aircraft operator must do the if the armed LEO is not in uniform. following: (ii) On their person, if the armed LEO (i) Obtain information or documenta- is in uniform. tion required in paragraphs (a)(3)(ii), (2) No individual may place a weapon (iii), and (iv) of this section. in an overhead storage bin. (ii) Advise the armed LEO, before boarding, of the aircraft operator’s pro- § 1544.221 Carriage of prisoners under cedures for carrying out this section. the control of armed law enforce- (iii) Have the LEO confirm he/she has ment officers. completed the training program ‘‘Law Enforcement Officers Flying Armed’’ (a) This section applies as follows: as required by TSA, unless otherwise (1) This section applies to the trans- authorized by TSA. port of prisoners under the escort of an (iv) Ensure that the identity of the armed law enforcement officer. armed LEO is known to the appro- (2) This section does not apply to the priate personnel who are responsible carriage of passengers under voluntary for security during the boarding of the protective escort. aircraft. (3) This section does not apply to the (v) Notify the pilot in command and escort of non-violent detainees of the other appropriate crewmembers, of the Immigration and Naturalization Serv- location of each armed LEO aboard the ice. This section does not apply to indi- aircraft. Notify any other armed LEO viduals who may be traveling with a of the location of each armed LEO, in- prisoner and armed escort, such as the cluding FAM’s. Under circumstances family of a deportee who is under described in the security program, the armed escort. aircraft operator must not close the (b) For the purpose of this section: doors until the notification is com- (1) ‘‘High risk prisoner’’ means a pris- plete. oner who is an exceptional escape risk, (vi) Ensure that the information re- as determined by the law enforcement quired in paragraphs (a)(3)(i) and (ii) of agency, and charged with, or convicted this section is furnished to the flight of, a violent crime. crew of each additional connecting (2) ‘‘Low risk prisoner’’ means any flight by the Ground Security Coordi- prisoner who has not been designated nator or other designated agent at each as ‘‘high risk.’’ location. (c) No aircraft operator may carry a (b) Flights for which screening is not prisoner in the custody of an armed conducted. The provisions of law enforcement officer aboard an air- § 1544.201(d), with respect to accessible craft for which screening is required weapons, do not apply to a LEO aboard unless, in addition to the requirements

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in § 1544.219, the following requirements (2) Must arrive at the check-in are met: counter at least 1 hour before to the (1) The agency responsible for control scheduled departure. of the prisoner has determined whether (3) Must assure the aircraft operator, the prisoner is considered a high risk before departure, that each prisoner or a low risk. under the control of the officer(s) has (2) Unless otherwise authorized by been searched and does not have on or TSA, no more than one high risk pris- about his or her person or property oner may be carried on the aircraft. anything that can be used as a weapon. (d) No aircraft operator may carry a (4) Must be seated between the pris- prisoner in the custody of an armed oner and any aisle. law enforcement officer aboard an air- (5) Must accompany the prisoner at craft for which screening is required all times, and keep the prisoner under unless the following staffing require- control while aboard the aircraft. ments are met: (f) No aircraft operator may carry a (1) A minimum of one armed law en- prisoner in the custody of an armed forcement officer must control a low law enforcement officer aboard an air- risk prisoner on a flight that is sched- craft unless the following are met: uled for 4 hours or less. One armed law (1) When practicable, the prisoner enforcement officer may control no must be boarded before any other more than two low risk prisoners. boarding passengers and deplaned after (2) A minimum of two armed law en- all other deplaning passengers. forcement officers must control a low (2) The prisoner must be seated in a risk prisoner on a flight that is sched- seat that is neither located in any pas- uled for more than 4 hours. Two armed senger lounge area nor located next to law enforcement officers may control or directly across from any exit and, when practicable, the aircraft operator no more than two low risk prisoners. should seat the prisoner in the rear- (3) For high-risk prisoners: most seat of the passenger cabin. (i) For one high-risk prisoner on a (g) Each armed law enforcement offi- flight: A minimum of two armed law cer escorting a prisoner and each air- enforcement officers must control a craft operator must ensure that the high risk prisoner. No other prisoners prisoner is restrained from full use of may be under the control of those two his or her hands by an appropriate de- armed law enforcement officers. vice that provides for minimum move- (ii) If TSA has authorized more than ment of the prisoner’s hands, and must one high-risk prisoner to be on the ensure that leg irons are not used. flight under paragraph (c)(2) of this (h) No aircraft operator may provide section, a minimum of one armed law a prisoner under the control of a law enforcement officer for each prisoner enforcement officer— and one additional armed law enforce- (1) With food or beverage or metal ment officer must control the pris- eating utensils unless authorized to do oners. No other prisoners may be under so by the armed law enforcement offi- the control of those armed law enforce- cer. ment officers. (2) With any alcoholic beverage. (e) An armed law enforcement officer who is escorting a prisoner— § 1544.223 Transportation of Federal (1) Must notify the aircraft operator Air Marshals. at least 24 hours before the scheduled (a) A Federal Air Marshal on duty departure, or, if that is not possible as status may have a weapon accessible far in advance as possible of the fol- while aboard an aircraft for which lowing— screening is required. (i) The identity of the prisoner to be (b) Each aircraft operator must carry carried and the flight on which it is Federal Air Marshals, in the number proposed to carry the prisoner; and and manner specified by TSA, on each (ii) Whether or not the prisoner is scheduled passenger operation, and considered to be a high risk or a low public charter passenger operation des- risk. ignated by TSA.

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(c) Each Federal Air Marshal must be senger operations if access has not carried on a first priority basis and been controlled in accordance with the without charge while on duty, includ- aircraft operator security program and ing positioning and repositioning as otherwise required in the security flights. When a Federal Air Marshal is program. assigned to a scheduled flight that is (d) When operating under a full pro- canceled for any reason, the aircraft gram or a full all-cargo program, pre- operator must carry that Federal Air vent unauthorized access to the oper- Marshal without charge on another ational area of the aircraft while load- flight as designated by TSA. ing or unloading cargo. (d) Each aircraft operator must as- [67 FR 8364, Feb. 22, 2002, as amended at 71 sign the specific seat requested by a FR 30510, May 26, 2006] Federal Air Marshal who is on duty status. If another LEO is assigned to § 1544.227 Exclusive area agreement. that seat or requests that seat, the air- (a) An aircraft operator that has en- craft operator must inform the Federal tered into an exclusive area agreement Air Marshal. The Federal Air Marshal with an airport operator, under will coordinate seat assignments with § 1542.111 of this chapter must carry out the other LEO. that exclusive area agreement. (e) The Federal Air Marshal identi- (b) The aircraft operator must list in fies himself or herself to the aircraft its security program the locations at operator by presenting credentials that which it has entered into exclusive include a clear, full-face picture, the area agreements with an airport oper- signature of the Federal Air Marshal, ator. and the signature of the FAA Adminis- (c) The aircraft operator must pro- trator. A badge, shield, or similar de- vide the exclusive area agreement to vice may not be used or accepted as the TSA upon request. sole means of identification. (d) Any exclusive area agreements in (f) The requirements of § 1544.219(a) do effect on November 14, 2001, must meet not apply for a Federal Air Marshal on the requirements of this section and duty status. § 1542.111 of this chapter no later than (g) Each aircraft operator must re- November 14, 2002. strict any information concerning the presence, seating, names, and purpose § 1544.228 Access to cargo and cargo of Federal Air Marshals at any station screening: Security threat assess- or on any flight to those persons with ments for cargo personnel in the an operational need to know. United States. (h) Law enforcement officers author- This section applies in the United ized to carry a weapon during a flight States to each aircraft operator oper- will be contacted directly by a Federal ating under a full program under Air Marshal who is on that same flight. § 1544.101(a) or a full all-cargo program under § 1544.101(h). § 1544.225 Security of aircraft and fa- (a) Before an aircraft operator au- cilities. thorizes and before an individual per- Each aircraft operator must use the forms a function described in para- procedures included, and the facilities graph (b) of this section— and equipment described, in its secu- (1) Each individual must successfully rity program to perform the following complete a security threat assessment control functions with respect to each or comparable security threat assess- aircraft operation: ment described in part 1540 subpart C (a) Prevent unauthorized access to of this chapter; and areas controlled by the aircraft oper- (2) Each aircraft operator must com- ator under an exclusive area agreement plete the requirements in part 1540 sub- in accordance with § 1542.111 of this part C. chapter. (b) The security threat assessment (b) Prevent unauthorized access to required in paragraph (a) of this sec- each aircraft. tion applies to the following: (c) Conduct a security inspection of (1) Each individual who has each aircraft before placing it into pas- unescorted access to cargo and access

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to information that such cargo will be December 6, 2001, pursuant to 14 CFR transported on a passenger aircraft; or 107.209(n) in effect prior to November who has unescorted access to cargo 14, 2001 (see 14 CFR parts 60 to 139 re- that has been screened for transport on vised as of January 1, 2001) or a passenger aircraft; or who performs § 1542.209(n) of this chapter. certain functions related to the trans- (ii) Each individual issued on or after portation, dispatch, or security of December 6, 2001, an aircraft operator cargo for transport on a passenger air- identification media that one or more craft or all-cargo aircraft, as specified airports accepts as airport-approved in the aircraft operator’s security pro- media for unescorted access authority gram; from the time— within a security identification display (i) The cargo reaches a location area (SIDA), as described in § 1542.205 of where an aircraft operator with a full this chapter (referred to as ‘‘unescorted all-cargo program consolidates or in- access authority’’). spects it pursuant to security program requirements until the cargo enters an (iii) Each individual granted author- airport Security Identification Display ity to perform the following screening Area or is transferred to another TSA- functions at locations within the regulated aircraft operator, foreign air United States (referred to as ‘‘author- carrier, or indirect air carrier; or ity to perform screening functions’’): (ii) An aircraft operator with a full (A) Screening passengers or property program accepts the cargo until the that will be carried in a cabin of an air- cargo— craft of an aircraft operator required to (A) Enters an airport Security Identi- screen passengers under this part. fication Display Area; (B) Serving as an immediate super- (B) Is removed from the destination visor (checkpoint security supervisor airport; or (CSS)), and the next supervisory level (C) Is transferred to another TSA- (shift or site supervisor), to those indi- regulated aircraft operator, foreign air viduals described in paragraphs carrier, or indirect air carrier. (a)(1)(iii)(A) or (a)(1)(iii)(C) of this sec- (2) Each individual the aircraft oper- tion. ator authorizes to screen cargo or to (C) Screening cargo that will be car- supervise the screening of cargo under ried on an aircraft of an aircraft oper- § 1544.205. ator with a full all-cargo program. [74 FR 47704, Sept. 16, 2009] (2) Current unescorted access authority or authority to perform screening func- § 1544.229 Fingerprint-based criminal tions. (i) Each employee or contract history records checks (CHRC): employee covered under a certification Unescorted access authority, au- made to an airport operator pursuant thority to perform screening func- to 14 CFR 107.31(n) in effect prior to tions, and authority to perform checked baggage or cargo func- November 14, 2001 (see 14 CFR parts 60 tions. to 139 revised as of January 1, 2001), or pursuant to 14 CFR 107.209(n) in effect This section applies to each aircraft operator operating under a full pro- prior to December 6, 2001 (see 14 CFR gram, a private charter program, or a parts 60 to 139 revised as of January 1, full all-cargo program. 2001). (a) Scope. The following individuals (ii) Each individual who holds on De- are within the scope of this section. cember 6, 2001, an aircraft operator Unescorted access authority, authority identification media that one or more to perform screening functions, and au- airports accepts as airport-approved thority to perform checked baggage or media for unescorted access authority cargo functions, are collectively re- within a security identification display ferred to as ‘‘covered functions.’’ area (SIDA), as described in § 1542.205 of (1) New unescorted access authority or this chapter. authority to perform screening functions. (iii) Each individual who is per- (i) Each employee or contract em- forming on December 6, 2001, a screen- ployee covered under a certification ing function identified in paragraph made to an airport operator on or after (a)(1)(iii) of this section.

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(3) New authority to perform checked ary 1, 2001), or under 14 CFR 107.209(n) baggage or cargo functions. Each indi- in effect prior to December 6, 2001 (see vidual who, on and after February 17, 14 CFR Parts 60 to 139 revised as of 2002, is granted the authority to per- January 1, 2001), or obtained as a result form the following checked baggage of the issuance of an aircraft operator’s and cargo functions (referred to as identification media, unless the indi- ‘‘authority to perform checked baggage vidual has been subject to a finger- or cargo functions’’), except for indi- print-based CHRC for unescorted access viduals described in paragraph (a)(1) of authority under this part. this section: (ii) No individual continues to have (i) Screening of checked baggage or authority to perform screening func- cargo of an aircraft operator required tions described in paragraph (a)(1)(iii) to screen passengers under this part, or of this section, unless the individual serving as an immediate supervisor of has been subject to a fingerprint-based such an individual. CHRC under this part. (ii) Accepting checked baggage for (iii) No individual continues to have transport on behalf of an aircraft oper- authority to perform checked baggage ator required to screen passengers or cargo functions described in para- under this part. graph (a)(3) of this section, unless the (4) Current authority to perform individual has been subject to a finger- checked baggage or cargo functions. Each print-based CHRC under this part. individual who holds on February 17, (2) Lookback for individuals with 2002, authority to perform checked bag- unescorted access authority or authority gage or cargo functions, except for in- to perform screening functions. When a dividuals described in paragraph (a)(1) CHRC discloses a disqualifying crimi- or (2) of this section. nal offense for which the conviction or (b) Individuals seeking unescorted ac- finding was on or after December 6, cess authority, authority to perform 1991, the aircraft operator must imme- screening functions, or authority to per- diately suspend that individual’s form checked baggage or cargo functions. Each aircraft operator must ensure unescorted access authority or author- that each individual identified in para- ity to perform screening functions. graph (a)(1) or (3) of this section has (3) Lookback for individuals with au- undergone a fingerprint-based CHRC thority to perform checked baggage or that does not disclose that he or she cargo functions. When a CHRC discloses has a disqualifying criminal offense, as a disqualifying criminal offense for described in paragraph (d) of this sec- which the conviction or finding was on tion, before— or after February 17, 1992, the aircraft (1) Making a certification to an air- operator must immediately suspend port operator regarding that indi- that individual’s authority to perform vidual; checked baggage or cargo functions. (2) Issuing an aircraft operator iden- (d) Disqualifying criminal offenses. An tification medium to that individual; individual has a disqualifying criminal (3) Authorizing that individual to offense if the individual has been con- perform screening functions; or victed, or found not guilty by reason of (4) Authorizing that individual to insanity, of any of the disqualifying perform checked baggage or cargo crimes listed in this paragraph in any functions. jurisdiction during the 10 years before (c) Individuals who have not had a the date of the individual’s application CHRC—(1) Deadline for conducting a for authority to perform covered func- CHRC. Each aircraft operator must en- tions, or while the individual has au- sure that, on and after December 6, thority to perform covered functions. 2002: The disqualifying criminal offenses are (i) No individual retains unescorted as follows: access authority, whether obtained as (1) Forgery of certificates, false a result of a certification to an airport marking of aircraft, and other aircraft operator under 14 CFR 107.31(n) in ef- registration violation; 49 U.S.C. 46306. fect prior to November 14, 2001 (see 14 (2) Interference with air navigation; CFR parts 60 to 139 revised as of Janu- 49 U.S.C. 46308.

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(3) Improper transportation of a haz- (27) Violence at international air- ardous material; 49 U.S.C. 46312. ports; 18 U.S.C. 37. (4) Aircraft piracy; 49 U.S.C. 46502. (28) Conspiracy or attempt to commit (5) Interference with flight crew any of the criminal acts listed in this members or flight attendants; 49 U.S.C. paragraph (d). 46504. (e) Fingerprint application and proc- (6) Commission of certain crimes essing. (1) At the time of fingerprinting, aboard aircraft in flight; 49 U.S.C. the aircraft operator must provide the 46506. individual to be fingerprinted a finger- (7) Carrying a weapon or explosive print application that includes only aboard aircraft; 49 U.S.C. 46505. the following— (8) Conveying false information and (i) The disqualifying criminal of- threats; 49 U.S.C. 46507. fenses described in paragraph (d) of this (9) Aircraft piracy outside the special section. aircraft jurisdiction of the United (ii) A statement that the individual States; 49 U.S.C. 46502(b). signing the application does not have a (10) Lighting violations involving disqualifying criminal offense. transporting controlled substances; 49 (iii) A statement informing the indi- U.S.C. 46315. vidual that Federal regulations under (11) Unlawful entry into an aircraft 49 CFR 1544.229 impose a continuing ob- or airport area that serves air carriers ligation to disclose to the aircraft op- or foreign air carriers contrary to es- erator within 24 hours if he or she is tablished security requirements; 49 convicted of any disqualifying criminal U.S.C. 46314. offense that occurs while he or she has (12) Destruction of an aircraft or air- authority to perform a covered func- craft facility; 18 U.S.C. 32. tion. (13) Murder. (iv) A statement reading, ‘‘The infor- (14) Assault with intent to murder. mation I have provided on this applica- (15) Espionage. tion is true, complete, and correct to (16) Sedition. the best of my knowledge and belief (17) Kidnapping or hostage taking. and is provided in good faith. I under- (18) Treason. stand that a knowing and willful false (19) Rape or aggravated sexual abuse. statement on this application can be (20) Unlawful possession, use, sale, punished by fine or imprisonment or distribution, or manufacture of an ex- both. (See section 1001 of Title 18 plosive or weapon. United States Code.)’’ (21) Extortion. (22) Armed or felony unarmed rob- (v) A line for the printed name of the bery. individual. (23) Distribution of, or intent to dis- (vi) A line for the individual’s signa- tribute, a controlled substance. ture and date of signature. (24) Felony arson. (2) Each individual must complete (25) Felony involving a threat. and sign the application prior to sub- (26) Felony involving— mitting his or her fingerprints. (i) Willful destruction of property; (3) The aircraft operator must verify (ii) Importation or manufacture of a the identity of the individual through controlled substance; two forms of identification prior to (iii) Burglary; fingerprinting, and ensure that the (iv) Theft; printed name on the fingerprint appli- (v) Dishonesty, fraud, or misrepresen- cation is legible. At least one of the tation; two forms of identification must have (vi) Possession or distribution of sto- been issued by a government authority, len property; and at least one must include a photo. (vii) Aggravated assault; (4) The aircraft operator must: (viii) Bribery; or (i) Advise the individual that a copy (ix) Illegal possession of a controlled of the criminal record received from substance punishable by a maximum the FBI will be provided to the indi- term of imprisonment of more than 1 vidual, if requested by the individual in year. writing; and

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(ii) Identify a point of contact if the finding of not guilty by reason of in- individual has questions about the re- sanity of one of the offenses listed in sults of the CHRC. paragraph (d) of this section, the indi- (5) The aircraft operator must col- vidual is not disqualified under this lect, control, and process one set of leg- section. ible and classifiable fingerprints under (3) The aircraft operator may only direct observation by the aircraft oper- make the determinations required in ator or a law enforcement officer. paragraphs (g)(1) and (g)(2) of this sec- (6) Fingerprints may be obtained and tion for individuals for whom it is processed electronically, or recorded issuing, or has issued, authority to per- on fingerprint cards approved by the form a covered function; and individ- FBI and distributed by TSA for that uals who are covered by a certification purpose. from an aircraft operator under (7) The fingerprint submission must § 1542.209(n) of this chapter. The air- be forwarded to TSA in the manner craft operator may not make deter- specified by TSA. minations for individuals described in (f) Fingerprinting fees. Aircraft opera- § 1542.209(a) of this chapter. tors must pay for all fingerprints in a (h) Correction of FBI records and notifi- form and manner approved by TSA. cation of disqualification. (1) Before The payment must be made at the des- making a final decision to deny author- ignated rate (available from the local ity to an individual described in para- TSA security office) for each set of fin- graph (a)(1) or (3) of this section, the gerprints submitted. Information about aircraft operator must advise him or payment options is available though her that the FBI criminal record dis- the designated TSA headquarters point closes information that would dis- of contact. Individual personal checks qualify him or her from receiving or re- are not acceptable. taining authority to perform a covered (g) Determination of arrest status. (1) function and provide the individual When a CHRC on an individual de- with a copy of the FBI record if he or scribed in paragraph (a)(1) or (3) of this she requests it. section discloses an arrest for any disqualifying criminal offense listed in (2) The aircraft operator must notify paragraph (d) of this section without an individual that a final decision has indicating a disposition, the aircraft been made to grant or deny authority operator must determine, after inves- to perform a covered function. tigation, that the arrest did not result (3) Immediately following the suspen- in a disqualifying offense before grant- sion of authority to perform a covered ing authority to perform a covered function, the aircraft operator must function. If there is no disposition, or if advise the individual that the FBI the disposition did not result in a con- criminal record discloses information viction or in a finding of not guilty by that disqualifies him or her from re- reason of insanity of one of the offenses taining his or her authority, and pro- listed in paragraph (d) of this section, vide the individual with a copy of the the individual is not disqualified under FBI record if he or she requests it. this section. (i) Corrective action by the individual. (2) When a CHRC on an individual de- The individual may contact the local scribed in paragraph (a)(2) or (4) of this jurisdiction responsible for the infor- section discloses an arrest for any dis- mation and the FBI to complete or cor- qualifying criminal offense without in- rect the information contained in his dicating a disposition, the aircraft op- or her record, subject to the following erator must suspend the individual’s conditions— authority to perform a covered func- (1) For an individual seeking tion not later than 45 days after ob- unescorted access authority or author- taining the CHRC unless the aircraft ity to perform screening functions on operator determines, after investiga- or after December 6, 2001; or an indi- tion, that the arrest did not result in a vidual seeking authority to perform disqualifying criminal offense. If there checked baggage or cargo functions on is no disposition, or if the disposition or after February 17, 2002; the following did not result in a conviction or in a applies:

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(i) Within 30 days after being advised ity to perform a covered function under that the criminal record received from this part. the FBI discloses a disqualifying crimi- (4) Others designated by TSA. nal offense, the individual must notify (k) Recordkeeping. The aircraft oper- the aircraft operator in writing of his ator must maintain the following in- or her intent to correct any informa- formation. tion he or she believes to be inac- (1) Investigation conducted before De- curate. The aircraft operator must ob- cember 6, 2001. The aircraft operator tain a copy, or accept a copy from the must maintain and control the access individual, of the revised FBI record or or employment history investigation a certified true copy of the information files, including the criminal history from the appropriate court, prior to au- records results portion, for investiga- thority to perform a covered function. tions conducted before December 6, (ii) If no notification, as described in 2001. paragraph (h)(1) of this section, is re- (2) Fingerprint application process on or ceived within 30 days, the aircraft oper- after December 6, 2001. The aircraft operator may make a final determination ator must physically maintain, con- to deny authority to perform a covered trol, and, as appropriate, destroy the function. fingerprint application and the crimi- (2) For an individual with unescorted nal record. Only direct aircraft oper- access authority or authority to per- ator employees may carry out the reform screening functions before De- sponsibility for maintaining, control- cember 6, 2001; or an individual with ling, and destroying criminal records. authority to perform checked baggage (3) Protection of records—all investiga- or cargo functions before February 17, tions. The records required by this sec- 2002; the following applies: Within 30 tion must be maintained in a manner days after being advised of suspension that is acceptable to TSA and in a because the criminal record received manner that protects the confiden- from the FBI discloses a disqualifying tiality of the individual. criminal offense, the individual must (4) Duration—all investigations. The notify the aircraft operator in writing records identified in this section with of his or her intent to correct any in- regard to an individual must be main- formation he or she believes to be inac- tained until 180 days after the termi- curate. The aircraft operator must ob- nation of the individual’s authority to tain a copy, or accept a copy from the perform a covered function. When files individual, of the revised FBI record, or are no longer maintained, the criminal a certified true copy of the information record must be destroyed. from the appropriate court, prior to re- (l) Continuing responsibilities. (1) Each instating authority to perform a cov- individual with unescorted access au- ered function. thority or the authority to perform (j) Limits on dissemination of results. screening functions on December 6, Criminal record information provided 2001, who had a disqualifying criminal by the FBI may be used only to carry offense in paragraph (d) of this section out this section and § 1542.209 of this on or after December 6, 1991, must, by chapter. No person may disseminate January 7, 2002, report the conviction the results of a CHRC to anyone other to the aircraft operator and surrender than: the SIDA access medium to the issuer (1) The individual to whom the record and cease performing screening func- pertains, or that individual’s author- tions, as applicable. ized representative. (2) Each individual with authority to (2) Officials of airport operators who perform a covered function who has a are determining whether to grant disqualifying criminal offense must re- unescorted access to the individual port the offense to the aircraft oper- under part 1542 of this chapter when ator and surrender the SIDA access the determination is not based on the medium to the issuer within 24 hours of aircraft operator’s certification under the conviction or the finding of not § 1542.209(n) of this chapter. guilty by reason of insanity. (3) Other aircraft operators who are (3) If information becomes available determining whether to grant author- to the aircraft operator indicating that

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an individual with authority to per- set forth the audit procedures in its se- form a covered function has a possible curity program. conviction for any disqualifying crimi- [67 FR 8364, Feb. 22, 2002, as amended at 71 nal offense in paragraph (d) of this sec- FR 30511, May 26, 2006] tion, the aircraft operator must determine the status of the conviction. If a § 1544.230 Fingerprint-based criminal disqualifying criminal offense is con- history records checks (CHRC): Flightcrew members. firmed the aircraft operator must immediately revoke any authority to per- (a) Scope. This section applies to each form a covered function. flightcrew member for each aircraft op- (4) Each individual with authority to erator, except that this section does perform checked baggage or cargo not apply to flightcrew members who are subject to § 1544.229. functions on February 17, 2002, who had (b) CHRC required. Each aircraft oper- a disqualifying criminal offense in ator must ensure that each flightcrew paragraph (d) of this section on or after member has undergone a fingerprint- February 17, 1992, must, by March 25 based CHRC that does not disclose that 2002, report the conviction to the air- he or she has a disqualifying criminal craft operator and cease performing offense, as described in § 1544.229(d), be- check baggage or cargo functions. fore allowing that individual to serve (m) Aircraft operator responsibility. as a flightcrew member. The aircraft operator must— (c) Application and fees. Each aircraft (1) Designate an individual(s) to be operator must ensure that each responsible for maintaining and con- flightcrew member’s fingerprints are trolling the employment history inves- obtained and submitted as described in tigations for those whom the aircraft § 1544.229 (e) and (f). operator has made a certification to an (d) Determination of arrest status. (1) airport operator under 14 CFR When a CHRC on an individual de- 107.209(n) in effect prior to November scribed in paragraph (a) of this section 14, 2001 (see 14 CFR parts 60 to 139 re- discloses an arrest for any disquali- vised as of January 1, 2001), and for fying criminal offense listed in those whom the aircraft operator has § 1544.229(d) without indicating a disposition, the aircraft operator must de- issued identification media that are termine, after investigation, that the airport-accepted. The aircraft operator arrest did not result in a disqualifying must designate a direct employee to offense before the individual may serve maintain, control, and, as appropriate, as a flightcrew member. If there is no destroy criminal records. disposition, or if the disposition did not (2) Designate an individual(s) to result in a conviction or in a finding of maintain the employment history in- not guilty by reason of insanity of one vestigations of individuals with au- of the offenses listed in § 1544.229(d), the thority to perform screening functions flight crewmember is not disqualified whose files must be maintained at the under this section. location or station where the screener (2) When a CHRC on an individual de- is performing his or her duties. scribed in paragraph (a) of this section (3) Designate an individual(s) at ap- discloses an arrest for any disquali- propriate locations to serve as the con- fying criminal offense listed in tact to receive notification from indi- § 1544.229(d) without indicating a dis- viduals seeking authority to perform position, the aircraft operator must covered functions of their intent to suspend the individual’s flightcrew seek correction of their FBI criminal member privileges not later than 45 record. days after obtaining a CHRC, unless the aircraft operator determines, after (4) Audit the employment history in- investigation, that the arrest did not vestigations performed in accordance result in a disqualifying criminal of- with this section and 14 CFR 108.33 in fense. If there is no disposition, or if effect prior to November 14, 2001 (see 14 the disposition did not result in a con- CFR parts 60 to 139 revised as of Janu- viction or in a finding of not guilty by ary 1, 2001). The aircraft operator must reason of insanity of one of the offenses

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listed in § 1544.229(d), the flight crew- ceived within 30 days, the aircraft oper- member is not disqualified under this ator may make a final determination section. to deny the individual flightcrew mem- (3) The aircraft operator may only ber status. make the determinations required in (g) Limits on the dissemination of re- paragraphs (d)(1) and (d)(2) of this sec- sults. Criminal record information pro- tion for individuals whom it is using, vided by the FBI may be used only to or will use, as a flightcrew member. carry out this section. No person may The aircraft operator may not make disseminate the results of a CHRC to determinations for individuals de- anyone other than— scribed in § 1542.209(a) of this chapter. (1) The individual to whom the record (e) Correction of FBI records and notifi- pertains, or that individual’s author- cation of disqualification. (1) Before ized representative. making a final decision to deny the individual the ability to serve as a (2) Others designated by TSA. flightcrew member, the aircraft oper- (h) Recordkeeping—(1) Fingerprint ap- ator must advise the individual that plication process. The aircraft operator the FBI criminal record discloses infor- must physically maintain, control, mation that would disqualify the indi- and, as appropriate, destroy the finger- vidual from serving as a flightcrew print application and the criminal member and provide the individual record. Only direct aircraft operator with a copy of the FBI record if the in- employees may carry out the responsi- dividual requests it. bility for maintaining, controlling, and (2) The aircraft operator must notify destroying criminal records. the individual that a final decision has (2) Protection of records. The records been made to allow or deny the indi- required by this section must be main- vidual flightcrew member status. tained by the aircraft operator in a (3) Immediately following the denial manner that is acceptable to TSA that of flightcrew member status, the air- protects the confidentiality of the indi- craft operator must advise the individual. vidual that the FBI criminal record (3) Duration. The records identified in discloses information that disqualifies this section with regard to an indi- him or her from retaining his or her vidual must be made available upon re- flightcrew member status, and provide quest by TSA, and maintained by the the individual with a copy of the FBI aircraft operator until 180 days after record if he or she requests it. the termination of the individual’s (f) Corrective action by the individual. privileges to perform flightcrew mem- The individual may contact the local ber duties with the aircraft operator. jurisdiction responsible for the infor- When files are no longer maintained, mation and the FBI to complete or cor- the aircraft operator must destroy the rect the information contained in his CHRC results. or her record, subject to the following conditions— (i) Continuing responsibilities. (1) Each (1) Within 30 days after being advised flightcrew member identified in para- that the criminal record received from graph (a) of this section who has a dis- the FBI discloses a disqualifying crimi- qualifying criminal offense must report nal offense, the individual must notify the offense to the aircraft operator the aircraft operator in writing of his within 24 hours of the conviction or the or her intent to correct any informa- finding of not guilty by reason of in- tion he or she believes to be inac- sanity. curate. The aircraft operator must ob- (2) If information becomes available tain a copy, or accept a copy from the to the aircraft operator indicating that individual, of the revised FBI record or a flightcrew member identified in para- a certified true copy of the information graph (a) of this section has a possible from the appropriate court, prior to al- conviction for any disqualifying crimi- lowing the individual to serve as a nal offense in § 1544.229 (d), the aircraft flightcrew member. operator must determine the status of (2) If no notification, as described in the conviction. If a disqualifying crimi- paragraph (f)(1) of this section, is re- nal offense is confirmed, the aircraft

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operator may not assign that indi- (iii) Securing unissued identification vidual to flightcrew duties in oper- media stock and supplies. ations identified in paragraph (a). (iv) Auditing the system at a min- (j) Aircraft operator responsibility. The imum of once a year, or sooner, as nec- aircraft operator must—(1) Designate a essary to ensure the integrity and ac- direct employee to maintain, control, countability of all identification and, as appropriate, destroy criminal media. records. (v) As specified in the aircraft oper- (2) Designate an individual(s) to ator security program, revalidate the maintain the CHRC results. identification system or reissue identi- (3) Designate an individual(s) at ap- fication media if a portion of all issued, propriate locations to receive notifica- unexpired identification media are tion from individuals of their intent to lost, stolen, or unretrieved, including seek correction of their FBI criminal identification media that are combined record. with access media. (k) Compliance date. Each aircraft op- (vi) Ensure that only one identifica- erator must comply with this section tion medium is issued to an individual for each flightcrew member described at a time. A replacement identification in paragraph (a) of this section not medium may only be issued if an indi- later than December 6, 2002. vidual declares in writing that the medium has been lost or stolen. [67 FR 8209, Feb. 22, 2002] (b) The aircraft operator may request approval of a temporary identification § 1544.231 Airport-approved and exclusive area personnel identification media system that meets the standards systems. in § 1542.211(b) of this chapter, or may arrange with the airport to use tem- (a) Each aircraft operator must es- porary airport identification media in tablish and carry out a personnel iden- accordance with that section. tification system for identification (c) Each aircraft operator must sub- media that are airport-approved, or mit a plan to carry out this section to identification media that are issued for TSA no later than May 13, 2002. Each use in an exclusive area. The system aircraft operator must fully implement must include the following: its plan no later than November 14, (1) Personnel identification media 2003. that— (i) Convey a full face image, full § 1544.233 Security coordinators and name, employer, and identification crewmembers, training. number of the individual to whom the (a) No aircraft operator may use any identification medium is issued; individual as a Ground Security Coor- (ii) Indicate clearly the scope of the dinator unless, within the preceding 12- individual’s access and movement calendar months, that individual has privileges; satisfactorily completed the security (iii) Indicate clearly an expiration training as specified in the aircraft op- date; and erator’s security program. (iv) Are of sufficient size and appear- (b) No aircraft operator may use any ance as to be readily observable for individual as an in-flight security coor- challenge purposes. dinator or crewmember on any domes- (2) Procedures to ensure that each in- tic or international flight unless, with- dividual in the secured area or SIDA in the preceding 12-calendar months or continuously displays the identifica- within the time period specified in an tion medium issued to that individual Advanced Qualifications Program ap- on the outermost garment above waist proved under SFAR 58 in 14 CFR part level, or is under escort. 121, that individual has satisfactorily (3) Procedures to ensure account- completed the security training re- ability through the following: quired by 14 CFR 121.417(b)(3)(v) or (i) Retrieving expired identification 135.331(b)(3)(v), and as specified in the media. aircraft operator’s security program. (ii) Reporting lost or stolen identi- (c) With respect to training con- fication media. ducted under this section, whenever an

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individual completes recurrent train- under paragraphs § 1546.101(a) or (b) of ing within one calendar month earlier, this chapter. or one calendar month after the date it (a) For cargo to be loaded on its air- was required, that individual is consid- craft in the United States, each air- ered to have completed the training in craft operator must have and carry out the calendar month in which it was re- a known shipper program in accord- quired. ance with its security program. The program must— § 1544.235 Training and knowledge for (1) Determine the shipper’s validity individuals with security-related and integrity as provided in the secu- duties. rity program; (a) No aircraft operator may use any (2) Provide that the aircraft operator direct or contractor employee to per- will separate known shipper cargo from form any security-related duties to unknown shipper cargo; and meet the requirements of its security (3) Provide for the aircraft operator program unless that individual has re- to ensure that cargo is screened or in- ceived training as specified in its secu- spected as set forth in its security pro- rity program including their individual gram. responsibilities in § 1540.105 of this (b) When required by TSA, each air- chapter. craft operator must submit in a form (b) Each aircraft operator must en- and manner acceptable to TSA— sure that individuals performing secu- (1) Information identified in its security-related duties for the aircraft op- rity program regarding a known ship- erator have knowledge of the provi- per, or an applicant for that status; and sions of this part, applicable Security (2) Corrections and updates of this in- Directives and Information Circulars, formation upon learning of a change to the approved airport security program the information specified in paragraph applicable to their location, and the (b)(1) of this section. aircraft operator’s security program to [71 FR 30511, May 26, 2006] the extent that such individuals need to know in order to perform their duties. Subpart D—Threat and Threat Response § 1544.237 Flight deck privileges. § 1544.301 Contingency plan. (a) For each aircraft that has a door to the flight deck, each aircraft oper- Each aircraft operator must adopt a ator must restrict access to the flight contingency plan and must: deck as provided in its security pro- (a) Implement its contingency plan gram. when directed by TSA. (b) This section does not restrict ac- (b) Ensure that all information con- cess for an FAA air carrier inspector, tained in the plan is updated annually an authorized representative of the Na- and that appropriate persons are noti- tional Transportation Safety Board, or fied of any changes. for an Agent of the United States Se- (c) Participate in an airport-spon- cret Service, under 14 CFR parts 121, sored exercise of the airport contin- 125, or 135. This section does not re- gency plan or its equivalent, as pro- strict access for a Federal Air Marshal vided in its security program. under this part. § 1544.303 Bomb or air piracy threats. [67 FR 8210, Feb. 22, 2002] (a) Flight: Notification. Upon receipt of a specific and credible threat to the § 1544.239 Known shipper program. security of a flight, the aircraft oper- This section applies to each aircraft ator must— operator operating under a full pro- (1) Immediately notify the ground gram under § 1544.101(a) of this part and and in-flight security coordinators of to each aircraft operator with a TSA the threat, any evaluation thereof, and security program approved for transfer any measures to be applied; and of cargo to an aircraft operator with a (2) Ensure that the in-flight security full program or a foreign air carrier coordinator notifies all crewmembers

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of the threat, any evaluation thereof, threat against civil aviation, TSA and any measures to be applied; and issues a Security Directive setting (3) Immediately notify the appro- forth mandatory measures. priate airport operator. (b) Each aircraft operator required to (b) Flight: Inspection. Upon receipt of have an approved aircraft operator se- a specific and credible threat to the security program must comply with each curity of a flight, each aircraft oper- Security Directive issued to the air- ator must attempt to determine wheth- craft operator by TSA, within the time er or not any explosive or incendiary is prescribed in the Security Directive for present by doing the following: compliance. (1) Conduct a security inspection on (c) Each aircraft operator that re- the ground before the next flight or, if ceives a Security Directive must— the aircraft is in flight, immediately (1) Within the time prescribed in the after its next landing. Security Directive, verbally acknowl- (2) If the aircraft is on the ground, edge receipt of the Security Directive immediately deplane all passengers to TSA. and submit that aircraft to a security (2) Within the time prescribed in the search. Security Directive, specify the method (3) If the aircraft is in flight, imme- by which the measures in the Security diately advise the pilot in command of Directive have been implemented (or all pertinent information available so will be implemented, if the Security that necessary emergency action can Directive is not yet effective). be taken. (d) In the event that the aircraft op- (c) Ground facility. Upon receipt of a erator is unable to implement the specific and credible threat to a spe- measures in the Security Directive, the cific ground facility at the airport, the aircraft operator must submit proposed aircraft operator must: alternative measures and the basis for (1) Immediately notify the appro- submitting the alternative measures to priate airport operator. TSA for approval. The aircraft oper- (2) Inform all other aircraft operators ator must submit the proposed alter- and foreign air carriers at the threat- native measures within the time pre- ened facility. scribed in the Security Directive. The (3) Conduct a security inspection. aircraft operator must implement any (d) Notification. Upon receipt of any alternative measures approved by TSA. bomb threat against the security of a (e) Each aircraft operator that re- flight or facility, or upon receiving in- ceives a Security Directive may com- formation that an act or suspected act ment on the Security Directive by sub- of air piracy has been committed, the mitting data, views, or arguments in aircraft operator also must notify TSA. writing to TSA. TSA may amend the If the aircraft is in airspace under Security Directive based on comments other than U.S. jurisdiction, the air- received. Submission of a comment craft operator must also notify the ap- does not delay the effective date of the propriate authorities of the State in Security Directive. whose territory the aircraft is located (f) Each aircraft operator that re- and, if the aircraft is in flight, the ap- ceives a Security Directive or Informa- propriate authorities of the State in tion Circular and each person who re- whose territory the aircraft is to land. ceives information from a Security Di- Notification of the appropriate air traf- rective or Information Circular must: fic controlling authority is sufficient (1) Restrict the availability of the Se- action to meet this requirement. curity Directive or Information Cir- cular, and information contained in ei- § 1544.305 Security Directives and In- ther document, to those persons with formation Circulars. an operational need-to-know. (a) TSA may issue an Information (2) Refuse to release the Security Di- Circular to notify aircraft operators of rective or Information Circular, and in- security concerns. When TSA deter- formation contained in either docu- mines that additional security meas- ment, to persons other than those with ures are necessary to respond to a an operational need-to-know without threat assessment or to a specific the prior written consent of TSA.

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Subpart E—Screener Qualifica- must be able to efficiently and thor- tions When the Aircraft Oper- oughly manipulate and handle such ator Performs Screening baggage, containers, cargo, and other objects subject to screening. § 1544.401 Applicability of this sub- (5) Screeners who perform pat-downs part. or hand-held metal detector searches of This subpart applies when the air- individuals must have sufficient dex- craft operator is conducting inspec- terity and capability to thoroughly tions as provided in § 1544.207. conduct those procedures over an indi- [74 FR 47704, Sept. 16, 2009] vidual’s entire body. (f) A screener must have the ability § 1544.403 [Reserved] to read, speak, and write English well enough to— § 1544.405 Qualifications of screening (1) Carry out written and oral in- personnel. structions regarding the proper per- (a) No individual subject to this sub- formance of screening duties; part may perform a screening function (2) Read English language identifica- unless that individual has the quali- tion media, credentials, airline tickets, fications described in §§ 1544.405 documents, air waybills, invoices, and through 1544.411. No aircraft operator may use such an individual to perform labels on items normally encountered a screening function unless that person in the screening process; complies with the requirements of (3) Provide direction to and under- §§ 1544.405 through 1544.411. stand and answer questions from (b) A screener must have a satisfac- English-speaking individuals under- tory or better score on a screener selec- going screening; and tion test administered by TSA. (4) Write incident reports and state- (c) A screener must be a citizen of ments and log entries into security the United States. records in the English language. (d) A screener must have a high (g) At locations outside the United school diploma, a General Equivalency States where the aircraft operator has Diploma, or a combination of edu- operational control over a screening cation and experience that the TSA has function, the aircraft operator may use determined to be sufficient for the in- screeners who do not meet the require- dividual to perform the duties of the position. ments of paragraph (f) of this section, (e) A screener must have basic apti- provided that at least one representa- tudes and physical abilities including tive of the aircraft operator who has color perception, visual and aural acu- the ability to functionally read and ity, physical coordination, and motor speak English is present while the air- skills to the following standards: craft operator’s passengers are under- (1) Screeners operating screening going security screening. At such loca- equipment must be able to distinguish tions the aircraft operator may use on the screening equipment monitor screeners who are not United States the appropriate imaging standard spec- citizens. ified in the aircraft operator’s security program. § 1544.407 Training, testing, and (2) Screeners operating any screening knowledge of individuals who per- equipment must be able to distinguish form screening functions. each color displayed on every type of (a) Training required. Before per- screening equipment and explain what forming screening functions, an indi- each color signifies. vidual must have completed initial, re- (3) Screeners must be able to hear current, and appropriate specialized and respond to the spoken voice and to training as specified in this section and audible alarms generated by screening the aircraft operator’s security pro- equipment at an active screening location. gram. No aircraft operator may use (4) Screeners who perform physical any screener, screener in charge, or searches or other related operations checkpoint security supervisor unless

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that individual has satisfactorily com- (i) Copy or intentionally remove a pleted the required training. This para- test under this part; graph does not prohibit the perform- (ii) Give to another or receive from ance of screening functions during on- another any part or copy of that test; the-job training as provided in § 1544.409 (iii) Give help on that test to or re- (b). ceive help on that test from any person (b) Use of training programs. Training during the period that the test is being for screeners must be conducted under given; or programs provided by TSA. Training (iv) Use any material or aid during programs for screeners-in-charge and the period that the test is being given. checkpoint security supervisors must (2) No person may take any part of be conducted in accordance with the that test on behalf of another person. aircraft operator’s security program. (3) No person may cause, assist, or (c) Citizenship. A screener must be a participate intentionally in any act citizen or national of the United prohibited by this paragraph (a). States. (b) Administering and monitoring (d) Screener readiness test. Before be- screener tests. (1) Each aircraft operator ginning on-the-job training, a screener must notify TSA of the time and loca- trainee must pass the screener readi- tion at which it will administer each ness test prescribed by TSA. screener readiness test required under (e) On-the-job training and testing. § 1544.405(d). Each screener must complete at least (2) Either TSA or the aircraft oper- 60 hours of on-the-job training and ator must administer and monitor the must pass an on-the-job training test screener readiness test. Where more prescribed by TSA. No aircraft oper- than one aircraft operator or foreign ator may permit a screener trainee to air carrier uses a screening location, exercise independent judgment as a TSA may authorize an employee of one screener, until the individual passes an or more of the aircraft operators or for- on-the-job training test prescribed by eign air carriers to monitor the test for TSA. a trainee who will screen at that loca- (f) Knowledge requirements. Each air- tion. craft operator must ensure that indi- (3) If TSA or a representative of TSA viduals performing as screeners, is not available to administer and mon- screeners-in-charge, and checkpoint se- itor a screener readiness test, the air- curity supervisors for the aircraft oper- craft operator must provide a direct ator have knowledge of the provisions employee to administer and monitor of this part, the aircraft operator’s se- the screener readiness test. curity program, and applicable Secu- (4) An aircraft operator employee rity Directives and Information Circu- who administers and monitors a lars to the extent necessary to perform screener readiness test must not be an their duties. instructor, screener, screener-in- (g) Disclosure of sensitive security infor- charge, checkpoint security supervisor, mation during training. The aircraft op- or other screening supervisor. The em- erator may not permit a trainee to ployee must be familiar with the proce- have access to sensitive security infor- dures for administering and monitoring mation during screener training unless the test and must be capable of observ- a criminal history records check has ing whether the trainee or others are successfully been completed for that engaging in cheating or other unau- individual in accordance with § 1544.229, thorized conduct. and the individual has no disqualifying criminal offense. § 1544.411 Continuing qualifications of [67 FR 8364, Feb. 22, 2002, as amended at 74 screening personnel. FR 47704, Sept. 16, 2009] (a) Impairment. No individual may perform a screening function if he or § 1544.409 Integrity of screener tests. she shows evidence of impairment, (a) Cheating or other unauthorized con- such as impairment due to illegal duct. (1) Except as authorized by the drugs, sleep deprivation, medication, TSA, no person may— or alcohol.

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(b) Training not complete. An indi- Subpart C—Operations vidual who has not completed the training required by § 1544.405 may be 1546.201 Acceptance and screening of individuals and accessible property. deployed during the on-the-job portion 1546.202 Persons and property onboard the of training to perform security func- aircraft. tions provided that the individual— 1546.203 Acceptance and screening of (1) Is closely supervised; and checked baggage. (2) Does not make independent judg- 1546.205 Acceptance and screening of cargo. ments as to whether individuals or 1546.207 Screening of individuals and prop- property may enter a sterile area or erty. aircraft without further inspection. 1546.209 Use of X-ray systems. (c) Failure of operational test. No air- 1546.211 Law enforcement personnel. craft operator may use an individual to 1546.213 Access to cargo: Security threat as- perform a screening function after that sessments for cargo personnel in the United States. individual has failed an operational 1546.215 Known shipper program. test related to that function, until that individual has successfully completed Subpart D—Threat and Threat Response the remedial training specified in the aircraft operator’s security program. 1546.301 Bomb or air piracy threats. (d) Annual proficiency review. Each individual assigned screening duties shall Subpart E—Screener Qualifications When receive an annual evaluation. The air- the Foreign Air Carrier Conducts Screening craft operator must ensure that a 1546.401 Applicability of this subpart. Ground Security Coordinator conducts 1546.403 [Reserved] and documents an annual evaluation of 1546.405 Qualifications of screening per- each individual who performs screening sonnel. functions. An individual who performs 1546.407 Training, testing, and knowledge of screening functions may not continue individuals who perform screening func- to perform such functions unless the tions. evaluation demonstrates that the indi- 1546.409 Integrity of screener tests. vidual— 1546.411 Continuing qualifications of screen- (1) Continues to meet all qualifica- ing personnel. tions and standards required to per- AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901– form a screening function; 44905, 44907, 44914, 44916–44917, 44935–44936, (2) Has a satisfactory record of per- 44942, 46105. formance and attention to duty based SOURCE: 67 FR 8377, Feb. 22, 2002, unless on the standards and requirements in otherwise noted. the aircraft operator’s security program; and Subpart A—General (3) Demonstrates the current knowledge and skills necessary to cour- § 1546.1 Applicability of this part. teously, vigilantly, and effectively per- This part prescribes aviation security form screening functions. rules governing the following: (a) The operation within the United PART 1546—FOREIGN AIR CARRIER States of each foreign air carrier hold- SECURITY ing a permit issued by the Department of Transportation under 49 U.S.C. 41302 Subpart A—General or other appropriate authority issued by the former Civil Aeronautics Board Sec. 1546.1 Applicability of this part. or the Department of Transportation. 1546.3 TSA inspection authority. (b) Each law enforcement officer flying armed aboard an aircraft operated Subpart B—Security Program by a foreign air carrier described in paragraph (a) of this section. 1546.101 Adoption and implementation. 1546.103 Form, content, and availability of § 1546.3 TSA inspection authority. security program. 1546.105 Acceptance of and amendments to (a) Each foreign air carrier must the security program. allow TSA, at any time or place, to

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make any inspections or tests, includ- carrier in writing that a threat exists; ing copying records, to determine com- and pliance of an airport operator, aircraft (d) Section 1546.103(c) for each oper- operator, foreign air carrier, indirect ation with an airplane having a pas- air carrier, or other airport tenants senger seating configuration of 31 or with— more seats but 60 or fewer seats, when (1) This subchapter and any security TSA has not notified the foreign air program under this subchapter, and carrier in writing that a threat exists part 1520 of this chapter; and with respect to that operation. (2) 49 U.S.C. Subtitle VII, as amend- (e) Sections 1546.103(b)(2) and (b)(4), ed. 1546.202, 1546.205(a), (b), (c), (d), (e), and (b) At the request of TSA, each for- (f), 1546.207, 1546.211, 1546.213, and eign air carrier must provide evidence 1546.301 for each all-cargo operation of compliance with this subchapter and with an aircraft having a maximum its security program, including copies certificated take-off weight more than of records. 45,500 kg (100,309.3 lbs.); and (c) TSA may enter and be present (f) Sections 1546.103(b)(2) and (b)(4), within secured areas, AOAs, SIDAs, 1546.202, 1546.205(a), (b), (d), and (f), and other areas where security meas- 1546.211, and 1546.301 for each all-cargo ures required by TSA are carried out, operation with an aircraft having a without access media or identification maximum certificated take-off weight media issued or approved by an airport more than 12,500 pounds but not more operator or aircraft operator, in order than 45,500 kg (100,309.3 lbs.). to inspect or test compliance, or per- [67 FR 8377, Feb. 22, 2002, as amended at 71 form other such duties as TSA may di- FR 30511, May 26, 2006] rect. § 1546.103 Form, content, and avail- [67 FR 8377, Feb. 22, 2002, as amended at 71 ability of security program. FR 30511, May 26, 2006] (a) General requirements. The security program must be: Subpart B—Security Program (1) Acceptable to TSA. A foreign air carrier’s security program is accept- § 1546.101 Adoption and implementa- able only if TSA finds that the security tion. program provides a level of protection Each foreign air carrier landing or similar to the level of protection pro- taking off in the United States must vided by U.S. aircraft operators serving adopt and carry out, for each scheduled the same airports. Foreign air carriers and public charter passenger operation must employ procedures equivalent to or all-cargo operation, a security pro- those required of U.S. aircraft opera- gram that meets the requirements of— tors serving the same airport, if TSA (a) Section 1546.103(b) and subparts C, determines that such procedures are D, and E of this part for each operation necessary to provide a similar level of with an aircraft having a passenger protection. seating configuration of 61 or more (2) In English unless TSA requests seats; that the program be submitted in the (b) Section 1546.103(b) for each oper- official language of the foreign air car- ation that will provide deplaned pas- rier’s country. sengers access to a sterile area, or en- (b) Content of security program. Each plane passengers from a sterile area, security program required by when that access is not controlled by § 1546.101(a), (b), (c), (e), or (f) must be an aircraft operator using a security designed to— program under part 1544 of this chapter (1) Prevent or deter the carriage or a foreign air carrier using a security aboard airplanes of any unauthorized program under this part; explosive, incendiary, or weapon on or (c) Section 1546.103(b) for each oper- about each individual’s person or ac- ation with an airplane having a pas- cessible property, except as provided in senger seating configuration of 31 or § 1546.201(d), through screening by more seats but 60 or fewer seats for weapon-detecting procedures or facili- which TSA has notified the foreign air ties;

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(2) Prohibit unauthorized access to effective, unless a shorter period is al- airplanes; lowed by the designated official. (3) Ensure that checked baggage is (2) Within 30 calendar days after re- accepted by a responsible agent of the ceiving a proposed amendment, the foreign air carrier; and designated official, in writing, either (4) Prevent cargo and checked bag- approves or denies the request to gage from being loaded aboard its air- amend. planes unless handled in accordance (3) An amendment to a foreign air with the foreign air carrier’s security carrier security program may be ap- procedures. proved if the designated official deter- (c) Law enforcement support. Each se- mines that safety and the public inter- curity program required by § 1546.101(d) est will allow it, and the proposed must include the procedures used to amendment provides the level of secu- comply with the applicable require- rity required under this part. ments of § 1546.209 regarding law en- (4) Within 45 calendar days after re- forcement officers. ceiving a denial, the foreign air carrier (d) Availability. Each foreign air car- may petition the Administrator to re- rier required to adopt and use a secu- consider the denial. A petition for re- rity program under this part must— consideration must be filed with the (1) Restrict the distribution, disclo- designated official. sure, and availability of sensitive secu- (5) Upon receipt of a petition for re- rity information, as defined in part 1520 consideration, the designated official of this chapter, to persons with a need either approves the request to amend to know; and or transmits the petition, together (2) Refer requests for sensitive secu- with any pertinent information, to the rity information by other persons to Administrator for reconsideration. The TSA. Administrator disposes of the petition within 30 calendar days of receipt by [67 FR 8377, Feb. 22, 2002, as amended at 71 either directing the designated official FR 30512, May 26, 2006] to approve the amendment, or affirming the denial. § 1546.105 Acceptance of and amend- (6) Any foreign air carrier may sub- ments to the security program. mit a group proposal for an amendment (a) Initial acceptance of security pro- that is on behalf of it and other air- gram. Unless otherwise authorized by craft operators that co-sign the pro- TSA, each foreign air carrier required posal. to have a security program by this part (c) Amendment by TSA. If the safety must submit its proposed program to and the public interest require an TSA at least 90 days before the in- amendment, the designated official tended date of passenger operations. may amend an accepted security pro- TSA will notify the foreign air carrier gram as follows: of the security program’s accept- (1) The designated official notifies ability, or the need to modify the pro- the foreign air carrier, in writing, of posed security program for it to be ac- the proposed amendment, fixing a pe- ceptable under this part, within 30 days riod of not less than 45 calendar days after receiving the proposed security within which the foreign air carrier program. The foreign air carrier may may submit written information, petition TSA to reconsider the notice views, and arguments on the amend- to modify the security program within ment. 30 days after receiving a notice to mod- (2) After considering all relevant ma- ify. terial, the designated official notifies (b) Amendment requested by a foreign the foreign air carrier of any amend- air carrier. A foreign air carrier may ment adopted or rescinds the notice. If submit a request to TSA to amend its the amendment is adopted, it becomes accepted security program as follows: effective not less than 30 calendar days (1) The proposed amendment must be after the foreign air carrier receives filed with the designated official at the notice of amendment, unless the least 45 calendar days before the date it foreign air carrier petitions the Admin- proposes for the amendment to become istrator to reconsider no later than 15

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calendar days before the effective date screening checkpoint for which it is re- of the amendment. The foreign air car- sponsible, and all accessible property rier must send the petition for recon- under that individual’s control, are in- sideration to the designated official. A spected for weapons, explosives, and in- timely petition for reconsideration cendiaries as provided in § 1546.207. stays the effective date of the amend- (c) Refusal to transport. Each foreign ment. air carrier conducting an operation for (3) Upon receipt of a petition for re- which a security program is required consideration, the designated official by § 1546.101(a), (b), or (c) must refuse to either amends or withdraws the notice transport— or transmits the petition, together (1) Any individual who does not con- with any pertinent information, to the sent to a search or inspection of his or Administrator for reconsideration. The her person in accordance with the sys- Administrator disposes of the petition tem prescribed in this part; and within 30 calendar days of receipt by (2) Any property of any individual or either directing the designated official other person who does not consent to a to withdraw or amend the amendment, search or inspection of that property in or by affirming the amendment. accordance with the system prescribed (d) Emergency amendments. If the des- by this part. ignated official finds that there is an (d) Explosive, incendiary, weapon: Pro- emergency requiring immediate action hibitions and exceptions. No individual with respect to safety in air transpor- may, while on board an aircraft being tation or in air commerce that makes operated by a foreign air carrier in the procedures in this section contrary to United States, carry on or about his the public interest, the designated offi- person a deadly or dangerous weapon, cial may issue an amendment, without either concealed or unconcealed. This the prior notice and comment proce- paragraph (d) does not apply to— dures in paragraph (c) of this section, (1) Officials or employees of the state effective without stay on the date the of registry of the aircraft who are au- foreign air carrier receives notice of it. thorized by that state to carry arms; In such a case, the designated official and will incorporate in the notice a brief (2) Crewmembers and other individ- statement of the reasons and findings uals authorized by the foreign air car- for the amendment to be adopted. The rier to carry arms. foreign air carrier may file a petition for reconsideration under paragraph (c) § 1546.202 Persons and property onboard the aircraft. of this section; however, this does not stay the effectiveness of the emergency Each foreign air carrier operating amendment. under § 1546.101(e) or (f) must apply the security measures in its security pro- Subpart C—Operations gram for persons who board the aircraft for transportation, and for their § 1546.201 Acceptance and screening of property, to prevent or deter the car- individuals and accessible property. riage of any unauthorized persons, and (a) Preventing or deterring the carriage any unauthorized weapons, explosives, of any explosive, incendiary, or weapon. incendiaries, and other destructive de- Unless otherwise authorized by TSA, vices, items, or substances. each foreign air carrier must use the [71 FR 30512, May 26, 2006] measures in its security program to prevent or deter the carriage of any ex- § 1546.203 Acceptance and screening of plosive, incendiary, or weapon on or checked baggage. about each individual’s person or ac- (a) Preventing or deterring the carriage cessible property before boarding an of any explosive or incendiary. Each for- aircraft or entering a sterile area. eign air carrier must use the proce- (b) Screening of individuals and acces- dures, facilities, and equipment de- sible property. Except as provided in its scribed in its security program to pre- security program, each foreign air car- vent or deter the carriage of any unau- rier must ensure that each individual thorized explosive or incendiary on- entering a sterile area at each preboard board aircraft in checked baggage.

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(b) Refusal to transport. Each foreign (d) Screening and inspection of cargo in air carrier must refuse to transport the United States. For cargo to be load- any individual’s checked baggage or ed in the United States, each foreign property if the individual does not con- air carrier operating a program under sent to a search or inspection of that § 1546.101(1)(a), (b), (e), or (f) must en- checked baggage or property in accord- sure that cargo is screened and in- ance with the system prescribed by spected for any unauthorized person, this part. and any unauthorized explosive, incen- (c) Firearms in checked baggage. No diary, and other destructive substances foreign air carrier may knowingly per- or items as provided in the foreign air mit any person to transport, nor may carrier’s security program and any person transport, while aboard an § 1546.207, and as provided in § 1546.213 aircraft being operated in the United for operations under § 1546.101(a) or (b), States by that carrier, in checked bag- before loading it on its aircraft in the gage, a firearm, unless: United States. (1) The person has notified the for- (e) Acceptance of cargo only from speci- eign air carrier before checking the fied persons. Except as otherwise pro- baggage that the firearm is in the bag- vided in its program, each foreign air gage; and carrier operating a program under (2) The baggage is carried in an area § 1546.101(a), (b), (e) or (f) may accept cargo for air transportation to be load- inaccessible to passengers. ed in the United States only from the § 1546.205 Acceptance and screening of shipper, or from an aircraft operator, cargo. foreign air carrier, or indirect air carrier operating under a security pro- (a) Preventing or deterring the carriage gram under this chapter with a com- of any explosive or incendiary. Each for- parable cargo security program, or, in eign air carrier operating a program the case of a foreign air carrier under under § 1546.101(a), (b), (e), or (f) must § 1546.101(a) or (b), from a certified use the procedures, facilities, and cargo screening facility, as provided in equipment described in its security its security program. program to prevent or deter the car- (f) Acceptance of cargo to be loaded for riage of any unauthorized person, and transport to the United States. Each for- any unauthorized explosive, incen- eign air carrier subject to this part diary, and other destructive substance that accepts cargo to be loaded on its or item in cargo onboard an aircraft. aircraft for transport to the United (b) Refusal to transport. Each foreign States must carry out the require- air carrier operating a program under ments of its security program. § 1546.101(a), (b), (e), or (f) must refuse (g) Screening of cargo loaded inside the to transport any cargo, if the shipper United States under § 1546.101(a) or (b). does not consent to a search or inspec- For cargo to be loaded in the United tion of that cargo in accordance with States, each foreign air carrier under the system prescribed by this part. § 1546.101(a) or (b) must ensure that all (c) Control. Each foreign air carrier cargo is screened in the United States operating a program under § 1546.101(a), as follows: (b), or (e) must use the procedures in (1) Amount screened. (i) Not later than its security program to control cargo February 3, 2009, each foreign air car- that it accepts for transport on an air- rier must ensure that at least 50 per- craft in a manner that— cent of its cargo is screened prior to (1) Prevents the carriage of any un- transport on a passenger aircraft. authorized person, and any unauthor- (ii) Not later than August 3, 2010, ized explosive, incendiary, and other each foreign air carrier must ensure destructive substance or item onboard that 100 percent of its cargo is screened the aircraft. prior to transport on a passenger air- (2) Prevents access by unauthorized craft. persons other than an authorized for- (2) Methods of screening. For the pur- eign air carrier employee or agent, or poses of this paragraph (g), the foreign persons authorized by the airport oper- air carrier must ensure that cargo is ator or host government. screened using a physical examination

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or non-intrusive method of assessing tem within the United States to screen whether cargo poses a threat to trans- accessible property or checked bag- portation security, as provided in its gage, unless specifically authorized security program. Such methods may under its security program. No foreign include TSA-approved x-ray systems, air carrier may use such a system in a explosives detection systems, explo- manner contrary to its security pro- sives trace detection, explosives detec- gram. TSA authorizes foreign air car- tion canine teams certified by TSA, a riers to use X-ray systems for inspect- physical search together with manifest ing accessible property or checked bag- verification, or other method approved gage under a security program if the by TSA. foreign air carrier shows that— (3) Limitation on who may conduct (1) The system meets the standards screening. Screening must be conducted for cabinet X-ray systems primarily for by the foreign air carrier, by another the inspection of baggage issued by the aircraft operator or foreign air carrier Food and Drug Administration (FDA) operating under a security program and published in 21 CFR 1020.40; under this chapter with a comparable (2) A program for initial and recur- cargo security program, by a certified rent training of operators of the sys- cargo screening facility in accordance tem is established, which includes with 49 CFR part 1549, or by TSA. training in radiation safety, the effi- (4) The foreign air carrier must verify cient use of X-ray systems, and the that the chain of custody measures for the screened cargo are intact prior to identification of weapons, explosives, loading such cargo on aircraft, or must and incendiaries; and ensure that the cargo is re-screened in (3) The system meets the imaging re- accordance with this chapter. quirements set forth in its security program using the step wedge specified [71 FR 30512, May 26, 2006, as amended at 74 in American Society for Testing Mate- FR 47704, Sept. 16, 2009; 76 FR 51868, Aug. 18, rials (ASTM) Standard F792–88 (Re- 2011; 76 FR 53081, Aug. 25, 2011] approved 1993). This standard is incor- § 1546.207 Screening of individuals porated by reference in paragraph (g) of and property. this section. (a) Applicability of this section. This (b) Annual radiation survey. No for- section applies to the inspection of in- eign air carrier may use any X-ray sys- dividuals, accessible property, checked tem unless, within the preceding 12 cal- baggage, and cargo as required under endar months, a radiation survey is this part. conducted that shows that the system (b) Locations within the United States meets the applicable performance at which TSA conducts screening. As re- standards in 21 CFR 1020.40. quired in its security program, each (c) Radiation survey after installation foreign air carrier must ensure that all or moving. No foreign air carrier may individuals or property have been in- use any X-ray system after the system spected by TSA before boarding or has been installed at a screening point loading on its aircraft. This paragraph or after the system has been moved un- applies when TSA is conducting screen- less a radiation survey is conducted ing using TSA employees or when which shows that the system meets the using companies under contract with applicable performance standards in 21 TSA. CFR 1020.40. A radiation survey is not (c) Foreign air carrier conducting required for an X-ray system that is screening. Each foreign air carrier must designed and constructed as a mobile use the measures in its security pro- unit and the foreign air carrier shows gram to inspect the individual or prop- that it can be moved without altering erty. This paragraph does not apply at its performance. locations identified in paragraphs (b) of (d) Defect notice or modification order. this section. No foreign air carrier may use any X- ray system that is not in full compli- § 1546.209 Use of X-ray systems. ance with any defect notice or modi- (a) TSA authorization required. No for- fication order issued for that system by eign air carrier may use any X-ray sys- the FDA, unless the FDA has advised

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TSA that the defect or failure to com- Equipment for the Detection of Items ply does not create a significant risk of Prohibited in Controlled Access injury, including genetic injury, to any Areas,’’ is approved for incorporation person. by reference by the Director of the (e) Signs and inspection of photo- Federal Register pursuant to 5 U.S.C. graphic equipment and film. (1) At loca- 552(a) and 1 CFR part 51. ASTM Stand- tions at which a foreign air carrier uses ard F792–88 may be examined at the De- an X-ray system to inspect accessible partment of Transportation (DOT) property the foreign air carrier must Docket, 400 Seventh Street SW, Room ensure that a sign is posted in a con- Plaza 401, Washington, DC 20590, or on spicuous place at the screening check- DOT’s Docket Management System point. (DMS) web page at http://dms.dot.gov/ (2) At locations at which a foreign air search (under docket number FAA–2001– carrier or TSA uses an X-ray system to 8725). Copies of the standard may be ex- inspect checked baggage the foreign air amined also at the National Archives carrier must ensure that a sign is post- and Records Administration (NARA). ed in a conspicuous place where the For information on the availability of foreign air carrier accepts checked bag- this material at NARA, call 202–741– gage. 6030, or go to: http://www.archives.gov/ (3) The signs required under this federallregister/ paragraph must notify individuals that codeloflfederallregulations/ such items are being inspected by an X- ibrllocations.html. In addition, ASTM ray and advise them to remove all X- Standard F792–88 (Reapproved 1993) ray, scientific, and high-speed film may be obtained from the American from accessible property and checked Society for Testing and Materials, 100 baggage before inspection. This sign Barr Harbor Drive, West must also advise individuals that they may request that an inspection be Conshohocken, PA 19428–2959. made of their photographic equipment (h) Each foreign air carrier must and film packages without exposure to comply with the X-ray operator duty an X-ray system. If the X-ray system time limitations specified in its secu- exposes any accessible property or rity program. checked baggage to more than one [67 FR 8377, Feb. 22, 2002, as amended at 69 milliroentgen during the inspection, FR 18803, Apr. 9, 2004] the sign must advise individuals to remove film of all kinds from their arti- § 1546.211 Law enforcement personnel. cles before inspection. (a) At airports within the United (4) If requested by individuals, their States not governed by part 1542 of this photographic equipment and film pack- chapter, each foreign air carrier engag- ages must be inspected without expo- ing in public charter passenger oper- sure to an X-ray system. ations must— (f) Radiation survey verification after installation or moving. Each foreign air (1) When using a screening system re- carrier must maintain at least one quired by § 1546.101(a), (b), or (c), pro- copy of the results of the most recent vide for law enforcement officers meet- radiation survey conducted under para- ing the qualifications and standards, graph (b) or (c) of this section and must and in the number and manner, speci- make it available for inspection upon fied in part 1542; and request by TSA at each of the fol- (2) When using an airplane having a lowing locations— passenger seating configuration of 31 or (1) The foreign air carrier’s principal more but 60 or fewer seats for which a business office; and screening system is not required by (2) The place where the X-ray system § 1546.101(a), (b), or (c), arrange for law is in operation. enforcement officers meeting the quali- (g) Incorporation by reference. The fications and standards specified in American Society for Testing and Ma- part 1542 of this chapter to be available terials (ASTM) Standard F792–88 (Re- to respond to an incident and provide approved 1993), ‘‘Standard Practice for to appropriate employees, including Design and Use of Ionizing Radiation crewmembers, current information

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with respect to procedures for obtain- spects it pursuant to security program ing law enforcement assistance at that requirements, until the cargo enters an airport. airport Security Identification Display (b) At airports governed by part 1542 Area or is transferred to another TSA- of this chapter, each foreign air carrier regulated aircraft operator, foreign air engaging in scheduled passenger oper- carrier, or indirect air carrier; or ations or public charter passenger op- (ii) A foreign air carrier under erations when using an airplane with a §§ 1546.101(a) or (b) accepts the cargo, passenger seating configuration of 31 or until the cargo— more and 60 or fewer seats under (A) Enters an airport Security Identi- § 1546.101(c), must arrange for law en- fication Display Area; forcement personnel meeting the qualifications and standards specified in (B) Is removed from the destination part 1542 of this chapter to be available airport; or to respond to an incident and provide (C) Is transferred to another TSA- to appropriate employees, including regulated aircraft operator, foreign air crewmembers, current information carrier, or indirect air carrier. with respect to procedures for obtain- (2) Each individual the foreign air ing law enforcement assistance at that carrier authorizes to screen cargo or to airport. supervise the screening of cargo under § 1546.205. § 1546.213 Access to cargo: Security threat assessments for cargo per- [74 FR 47705, Sept. 16, 2009] sonnel in the United States. This section applies in the United § 1546.215 Known shipper program. States to each foreign air carrier oper- This section applies to each foreign ating under § 1546.101(a), (b), or (e). air carrier operating a program under (a) Before a foreign air carrier au- § 1546.101(a) or (b). thorizes and before an individual per- (a) For cargo to be loaded on its air- forms a function described in para- craft in the United States, each foreign graph (b) of this section— air carrier must have and carry out a (1) Each individual must successfully known shipper program in accordance complete a security threat assessment with its security program. The pro- or comparable security threat assess- gram must— ment described in part 1540 subpart C (1) Determine the shipper’s validity of this chapter; and and integrity as provided in the foreign (2) Each aircraft operator must com- air carrier’s security program; plete the requirements in part 1540 subpart C. (2) Provide that the foreign air car- (b) The security threat assessment rier will separate known shipper cargo required in paragraph (a) of this sec- from unknown shipper cargo; and tion applies to the following: (3) Provide for the foreign air carrier (1) Each individual who has to ensure that cargo is screened or in- unescorted access to cargo and access spected as set forth in its security pro- to information that such cargo will be gram. transported on a passenger aircraft; or (b) When required by TSA, each for- who has unescorted access to cargo eign air carrier must submit in a form that has been screened for transport on and manner acceptable to TSA— a passenger aircraft; or who performs (1) Information identified in its secu- certain functions related to the trans- rity program regarding an applicant to portation, dispatch or security of cargo be a known shipper or a known shipper; for transport on a passenger aircraft or and all-cargo aircraft, as specified in the (2) Corrections and updates to the in- foreign air craft operator’s or foreign formation upon learning of a change to air carrier’s security program; from the information specified in paragraph the time— (b)(1) of this section. (i) The cargo reaches a location where a foreign air carrier operating [71 FR 30512, May 26, 2006] under § 1546.101(e) consolidates or in-

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Subpart D—Threat and Threat § 1546.403 [Reserved] Response § 1546.405 Qualifications of screening § 1546.301 Bomb or air piracy threats. personnel. No foreign air carrier may land or (a) No individual subject to this sub- take off an airplane in the United part may perform a screening function unless that individual has the quali- States after receiving a bomb or air pi- fications described in §§ 1546.405 racy threat against that airplane, un- through 1546.411. No foreign air carrier less the following actions are taken: may use such an individual to perform (a) If the airplane is on the ground a screening function unless that person when a bomb threat is received and the complies with the requirements of next scheduled flight of the threatened §§ 1546.405 through 1546.411. airplane is to or from a place in the (b) A screener must have a satisfac- United States, the foreign air carrier tory or better score on a screener selec- ensures that the pilot in command is tion test administered by TSA. advised to submit the airplane imme- (c) A screener must be a citizen of diately for a security inspection and an the United States. inspection of the airplane is conducted (d) A screener must have a high before the next flight. school diploma, a General Equivalency (b) If the airplane is in flight to a Diploma, or a combination of edu- place in the United States when a cation and experience that TSA has de- bomb threat is received, the foreign air termined to be sufficient for the indi- carrier ensures that the pilot in com- vidual to perform the duties of the po- mand is advised immediately to take sition. the emergency action necessary under (e) A screener must have basic apti- the circumstances and a security in- tudes and physical abilities including spection of the airplane is conducted color perception, visual and aural acu- immediately after the next landing. ity, physical coordination, and motor (c) If information is received of a skills to the following standards: bomb or air piracy threat against an (1) Screeners operating screening airplane engaged in an operation speci- equipment must be able to distinguish fied in paragraph (a) or (b) of this sec- on the screening equipment monitor tion, the foreign air carrier ensures the appropriate imaging standard spec- that notification of the threat is given ified in the foreign air carrier’s secu- to the appropriate authorities of the rity program. State in whose territory the airplane is (2) Screeners operating any screening equipment must be able to distinguish located or, if in flight, the appropriate each color displayed on every type of authorities of the State in whose terri- screening equipment and explain what tory the airplane is to land. each color signifies. [67 FR 8377, Feb. 22, 2002, as amended at 71 (3) Screeners must be able to hear FR 30513, May 26, 2006] and respond to the spoken voice and to audible alarms generated by screening Subpart E—Screener Qualifica- equipment at an active screening locations When the Foreign Air tion. Carrier Conducts Screening (4) Screeners who perform physical searches or other related operations § 1546.401 Applicability of this sub- must be able to efficiently and thor- part. oughly manipulate and handle such baggage, containers, cargo, and other This subpart applies when the air- objects subject to screening. craft operator is conducting inspec- (5) Screeners who perform pat-downs tions as provided in § 1546.207. or hand-held metal detector searches of [74 FR 47705, Sept. 16, 2009] individuals must have sufficient dex- terity and capability to thoroughly conduct those procedures over an individual’s entire body.

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(f) A screener must have the ability mines will train individuals to a level to read, speak, and write English well of proficiency equivalent to the level enough to— that would be achieved by such class- (1) Carry out written and oral in- room instruction. structions regarding the proper per- (d) Screener readiness test. Before be- formance of screening duties; ginning on-the-job training, a screener (2) Read English language identifica- trainee must pass the screener readi- tion media, credentials, airline tickets, ness test prescribed by TSA. documents, air waybills, invoices, and (e) On-the-job training and testing. labels on items normally encountered Each screener must complete at least in the screening process; 60 hours of on-the-job training and (3) Provide direction to and under- must pass an on-the-job training test stand and answer questions from prescribed by TSA. No foreign air car- English-speaking individuals under- rier may permit a screener trainee to going screening; and exercise independent judgment as a (4) Write incident reports and state- screener, until the individual passes an ments and log entries into security on-the-job training test prescribed by records in the English language. TSA. (g) At locations outside the United (f) Knowledge requirements. Each for- States that are the last point of depar- eign air carrier must ensure that indi- ture to the United States, and where viduals performing as screeners, the foreign air carrier has operational screeners-in-charge, and checkpoint se- control over a screening function, the curity supervisors for the foreign air foreign air carrier may use screeners carrier have knowledge of the provi- who do not meet the requirements of sions of this part, the foreign air car- paragraph (f) of this section. At such rier’s security program, and applicable locations the foreign air carrier may emergency amendments to the foreign use screeners who are not United air carrier’s security program to the States citizens. extent necessary to perform their duties. § 1546.407 Training, testing, and knowledge of individuals who per- § 1546.409 Integrity of screener tests. form screening functions. (a) Cheating or other unauthorized con- (a) Training required. Before per- duct. (1) Except as authorized by TSA, forming screening functions, an indi- no person may— vidual must have completed initial, re- (i) Copy or intentionally remove a current, and appropriate specialized test under this part; training as specified in this section and (ii) Give to another or receive from the foreign air carrier’s security pro- another any part or copy of that test; gram. No foreign air carrier may use (iii) Give help on that test to or re- any screener, screener in charge, or ceive help on that test from any person checkpoint security supervisor unless during the period that the test is being that individual has satisfactorily com- given; or pleted the required training. This para- (iv) Use any material or aid during graph does not prohibit the perform- the period that the test is being given. ance of screening functions during on- (2) No person may take any part of the-job training as provided in that test on behalf of another person. § 1544.409(b). (3) No person may cause, assist, or (b) Use of training programs. Training participate intentionally in any act for screeners must be conducted under prohibited by this paragraph (a). programs provided by TSA. Training (b) Administering and monitoring programs for screeners-in-charge and screener tests. (1) Each foreign air car- checkpoint security supervisors must rier must notify TSA of the time and be conducted in accordance with the location at which it will administer foreign air carrier’s security program. each screener readiness test required (c) Classroom instruction. Each screen- under § 1544.405 (d). er must complete at least 40 hours of (2) Either TSA or the foreign air car- classroom instruction or successfully rier must administer and monitor the complete a program that TSA deter- screener readiness test. Where more

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than one foreign air carrier or foreign dividual who performs screening func- air carrier uses a screening location, tions. An individual who performs TSA may authorize an employee of one screening functions may not continue or more of the foreign air carriers or to perform such functions unless the foreign air carriers to monitor the test evaluation demonstrates that the indi- for a trainee who will screen at that lo- vidual— cation. (1) Continues to meet all qualifica- (3) If TSA or a representative of TSA tions and standards required to per- is not available to administer and mon- form a screening function; itor a screener readiness test, the for- (2) Has a satisfactory record of per- eign air carrier must provide a direct formance and attention to duty based employee to administer and monitor on the standards and requirements in the screener readiness test. the foreign air carrier’s security pro- (4) An foreign air carrier employee gram; and who administers and monitors a (3) Demonstrates the current knowl- screener readiness test must not be an edge and skills necessary to cour- instructor, screener, screener-in- teously, vigilantly, and effectively per- charge, checkpoint security supervisor, form screening functions. or other screening supervisor. The employee must be familiar with the proce- PART 1548—INDIRECT AIR CARRIER dures for administering and monitoring SECURITY the test and must be capable of observ- ing whether the trainee or others are Sec. engaging in cheating or other unau- 1548.1 Applicability of this part. thorized conduct. 1548.3 TSA inspection authority. 1548.5 Adoption and implementation of the § 1546.411 Continuing qualifications of security program. screening personnel. 1548.7 Approval, amendment, annual renewal, and withdrawal of approval of the (a) Impairment. No individual may security program. perform a screening function if he or 1548.9 Acceptance of cargo. she shows evidence of impairment, 1548.11 Training and knowledge for individ- such as impairment due to illegal uals with security-related duties. drugs, sleep deprivation, medication, 1548.13 Security coordinators. 1548.15 Access to cargo: Security threat as- or alcohol. sessments for individuals having (b) Training not complete. An indi- unescorted access to cargo. vidual who has not completed the 1548.16 Security threat assessments for each training required by § 1546.405 may be proprietor, general partner, officer, di- deployed during the on-the-job portion rector, and certain owners of the entity. of training to perform security func- 1548.17 Known shipper program. tions provided that the individual— 1548.19 Security Directives and Information Circulars. (1) Is closely supervised; and 1548.21 Screening of cargo. (2) Does not make independent judg- ments as to whether individuals or AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901– property may enter a sterile area or 44905, 44913–44914, 44916–44917, 44932, 44935– 44936, 46105. aircraft without further inspection. (c) Failure of operational test. No for- SOURCE: 67 FR 8382, Feb. 22, 2002, unless eign air carrier may use an individual otherwise noted. to perform a screening function after § 1548.1 Applicability of this part. that individual has failed an operational test related to that function, This part prescribes aviation security until that individual has successfully rules governing each indirect air car- completed the remedial training speci- rier engaged indirectly in the air trans- fied in the foreign air carrier’s security portation of property on aircraft. program. [67 FR 8382, Feb. 22, 2002, as amended at 71 (d) Annual proficiency review. Each in- FR 33255, June 8, 2006] dividual assigned screening duties shall receive an annual evaluation. The for- § 1548.3 TSA inspection authority. eign air carrier must conduct and docu- (a) Each indirect air carrier must ment an annual evaluation of each in- allow TSA, at any time or place, to

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make any inspections or tests, includ- provided in the indirect air carrier’s se- ing copying records, to determine com- curity program. This requirement ap- pliance of an airport operator, aircraft plies— operator, foreign air carrier, indirect (i) From the time the indirect air air carrier, or airport tenant with— carrier accepts the cargo to the time it (1) This subchapter, and any security transfers the cargo to an entity that is program approved under this sub- not an employee or agent of the indi- chapter, and part 1520 of this chapter; rect air carrier; and (2) 49 U.S.C. Subtitle VII, as amend- (ii) While the cargo is stored, en ed. route, or otherwise being handled by an (b) At the request of TSA, each indi- employee or agent of the indirect air rect air carrier must provide evidence carrier; and of compliance with this subchapter and (iii) Regardless of whether the indi- its indirect air carrier security pro- rect air carrier has or ever had phys- gram, including copies of records. ical possession of the cargo. (c) TSA may enter and be present (2) The indirect air carrier must en- within areas where security measures sure that its employees and agents required by TSA are carried out with- carry out the requirements of this out access media or identification chapter and the indirect air carrier’s media issued or approved by the indi- security program. rect air carrier, an airport operator, or (c) Content. Each security program aircraft operator, in order to inspect or under this part must— test compliance, or perform other such (1) Be designed to prevent or deter duties as TSA may direct. the introduction of any unauthorized [67 FR 8382, Feb. 22, 2002, as amended at 71 person, and any unauthorized explo- FR 30513, May 26, 2006] sive, incendiary, and other destructive substance or item onto an aircraft. § 1548.5 Adoption and implementation of the security program. (2) Include the procedures and description of the facilities and equip- (a) Security program required. No indirect air carrier may offer cargo to an ment used to comply with the require- aircraft operator operating under a full ments of §§ 1548.9 and 1548.17 regarding program or a full all-cargo program the acceptance and offering of cargo. specified in part 1544 of this sub- (3) Include the procedures and syllabi chapter, or to a foreign air carrier op- used to accomplish the training re- erating under a program under quired under § 1548.11 of persons who ac- § 1546.101(a), (b), or (e) of this sub- cept, handle, transport, or deliver chapter, unless that indirect air carrier cargo on behalf of the indirect air car- has and carries out an approved secu- rier. rity program under this part. Each in- (d) Availability. Each indirect air car- direct air carrier that does not cur- rier having a security program must: rently hold a security program under (1) Maintain an original of the secu- part 1548, and that offers cargo to an rity program at its corporate office. aircraft operator operating under a full (2) Have accessible a complete copy, all-cargo program or a comparable op- or the pertinent portions of its security eration by a foreign air carrier must program, or appropriate implementing comply with this section not later than instructions, at each office where cargo December 1, 2006. is accepted. An electronic version is (b) General requirements. (1) The security program must provide for the se- adequate. curity of the aircraft, as well as that of (3) Make a copy of the security pro- persons and property traveling in air gram available for inspection upon the transportation against acts of criminal request of TSA. violence and air piracy and against the (4) Restrict the distribution, disclo- introduction into the aircraft of any sure, and availability of information unauthorized person, and any unau- contained in its security program to thorized explosive, incendiary, and persons with a need to know, as de- other destructive substance or item as scribed in part 1520 of this chapter.

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(5) Refer requests for such informa- rect air carrier with the Indirect Air tion by other persons to TSA. Carrier Standard Security Program and any Security Directive upon deter- [67 FR 8382, Feb. 22, 2002, as amended at 71 FR 30513, May 26, 2006; 71 FR 31964, June 2, mining that— 2006] (i) The indirect air carrier has met the requirements of this part, its secu- § 1548.7 Approval, amendment, annual rity program, and any applicable Secu- renewal, and withdrawal of ap- rity Directive; proval of the security program. (ii) The approval of its security pro- (a) Original Application—(1) Applica- gram is not contrary to the interests of tion. The applicant must apply for a se- security and the public interest; and curity program in a form and a manner (iii) The indirect air carrier has not prescribed by TSA not less than 90 cal- held a security program that was with- endar days before the applicant intends drawn within the previous year, unless to begin operations. The application otherwise authorized by TSA. must be in writing and include: (3) Commencement of operations. The (i) The business name; other names, indirect air carrier may operate under including doing business as; state of in- a security program when it meets all corporation, if applicable; and tax iden- requirements, including but not lim- tification number. ited to successful completion of train- (ii) The applicant names, addresses, ing and Security Threat Assessments and dates of birth of each proprietor, by relevant personnel. general partner, officer, director, and (4) Duration of security program. The owner identified under § 1548.16. security program will remain effective (iii) A signed statement from each until the end of the calendar month person listed in paragraph (a)(1)(ii) of one year after the month it was ap- this section stating whether he or she proved. has been a proprietor, general partner, officer, director, or owner of an IAC (5) Requirement to report changes in in- that had its security program with- formation. Each indirect air carrier drawn by TSA. with an approved security program (iv) Copies of government-issued under this part must notify TSA, in a identification of persons listed in para- form and manner approved by TSA, of graph (a)(1)(ii) of this section. any changes to the information sub- (v) Addresses of all business locations mitted during its initial application. in the United States. (i) This notification must be sub- (vi) A statement declaring whether mitted to the designated official not the business is a ‘‘’small business’’’ later than 30 days after the date the pursuant to section 3 of the Small change occurred. Business Act (15 U.S.C. 632). (ii) Changes included in the require- (vii) A statement acknowledging and ment of this paragraph include, but are ensuring that each employee and agent not limited to, changes in the indirect of the indirect air carrier, who is sub- air carrier’s contact information, own- ject to training under § 1548.11, will ers, business addresses and locations, have successfully completed the train- and form of business entity. ing outlined in its security program be- (b) Renewal Application. Upon timely fore performing security-related du- submittal of an application for re- ties. newal, and unless and until TSA denies (viii) Other information requested by the application, the indirect air car- TSA concerning Security Threat As- rier’s approved security program re- sessments. mains in effect. (ix) A statement acknowledging and (1) Unless otherwise authorized by ensuring that each employee and agent TSA, each indirect air carrier that has will successfully complete a Security a security program under this part Threat Assessment under § 1548.15 be- must timely submit to TSA, at least 30 fore authorizing the individual to have calendar days prior to the first day of unescorted access to cargo. the anniversary month of initial ap- (2) Approval. TSA will approve the se- proval of its security program, an ap- curity program by providing the indi- plication for renewal of its security

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program in a form and a manner ap- at least 45 calendar days before the proved by TSA. date it proposes for the amendment to (2) The application for renewal must become effective, unless the designated be in writing and include a signed official allows a shorter period. Any in- statement that the indirect air carrier direct air carrier may submit a group has reviewed and ensures the con- proposal for an amendment that is on tinuing accuracy of the contents of its behalf of it and other indirect air car- initial application for a security pro- riers that co-sign the proposal. gram, subsequent renewal applications, (1) Within 30 calendar days after re- or other submissions to TSA con- ceiving a proposed amendment, the firming a change of information and designated official, in writing, either noting the date such applications and approves or denies the request to submissions were sent to TSA, includ- amend. ing the following certification: (2) An amendment to an indirect air [Name of indirect air carrier] (hereinafter carrier security program may be ap- ‘‘the IAC’’) has adopted and is currently car- proved, if the designated official deter- rying out a security program in accordance mines that safety and the public inter- with the Transportation Security Regula- est will allow it, and if the proposed tions as originally approved on [Insert date amendment provides the level of secu- of TSA initial approval]. In accordance with rity required under this part. TSA regulations, the IAC has notified TSA (3) Within 30 calendar days after re- of any new or changed information required for the IAC’s initial security program. If new ceiving a denial of the proposed amend- or changed information is being submitted to ment, the indirect air carrier may peti- TSA as part of this application for re- tion TSA to reconsider the denial. A approval, that information is stated in this petition for reconsideration must be filing. filed with the designated official. The IAC understands that intentional fal- (4) Upon receipt of a petition for re- sification of certification to an air carrier or consideration, the designated official to TSA may be subject to both civil and either approves the request to amend criminal penalties under 49 CFR 1540 and 1548 and 18 U.S.C. 1001. Failure to notify TSA of or transmits the petition, together any new or changed information required for with any pertinent information, to the initial approval of the IAC’s security pro- TSA for reconsideration. TSA will dis- gram in a timely fashion and in a form ac- pose of the petition within 30 calendar ceptable to TSA may result in withdrawal by days of receipt by either directing the TSA of approval of the IAC’s security pro- designated official to approve the gram. amendment or by affirming the denial. (3) TSA will renew approval of the se- (d) Amendment by TSA. TSA may curity program if TSA determines amend a security program in the inter- that— est of safety and the public interest, as (i) The indirect air carrier has met follows: the requirements of this chapter, its (1) TSA notifies the indirect air car- security program, and any Security Di- rier, in writing, of the proposed amend- rective; and ment, fixing a period of not less than 30 (ii) The renewal of its security pro- calendar days within which the indi- gram is not contrary to the interests of rect air carrier may submit written in- security and the public interest. formation, views, and arguments on (4) If TSA determines that the indi- the amendment. rect air carrier meets the requirements (2) After considering all relevant ma- of paragraph (b)(3) of this section, it terial, the designated official notifies will renew the indirect air carrier’s se- the indirect air carrier of any amend- curity program. The security program ment adopted or rescinds the notice of will remain effective until the end of amendment. If the amendment is the calendar month one year after the adopted, it becomes effective not less month it was renewed. than 30 calendar days after the indirect (c) Amendment requested by an indirect air carrier receives the notice of air carrier or applicant. An indirect air amendment, unless the indirect air car- carrier or applicant may file a request rier disagrees with the proposed for an amendment to its security pro- amendment and petitions the TSA to gram with the TSA designated official reconsider, no later than 15 calendar

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days before the effective date of the gram. Documents served on TSA must amendment. The indirect air carrier be served to the address noted in the must send the petition for reconsider- notice of withdrawal of approval or ation to the designated official. A withdrawal of approval, whichever is timely petition for reconsideration applicable. stays the effective date of the amend- (1) Certificate of service. An individual ment. may attach a certificate of service to a (3) Upon receipt of a petition for re- document tendered for filing. A certifi- consideration, the designated official cate of service must consist of a state- either amends or withdraws the notice ment, dated and signed by the person of amendment, or transmits the peti- filing the document, that the document tion, together with any pertinent infor- was personally delivered, served by cer- mation, to TSA for reconsideration. tified mail on a specific date, or served TSA disposes of the petition within 30 by express courier on a specific date. calendar days of receipt, either by di- (2) Date of service. The date of service recting the designated official to with- will be— draw or amend the notice of amend- (i) The date of personal delivery; ment, or by affirming the notice of amendment. (ii) If served by certified mail, the (e) Emergency Amendments. (1) If TSA mailing date shown on the certificate finds that there is an emergency re- of service, the date shown on the post- quiring immediate action, with respect mark, if there is no certificate of serv- to aviation security that makes proce- ice, or other mailing date shown by dures in this section contrary to the other evidence if there is no certificate public interest, the designated official of service or postmark; or may issue an emergency amendment, (iii) If served by express courier, the without the prior notice and comment service date shown on the certificate of procedures described in paragraph (d) service, or by other evidence if there is of this section. no certificate of service. (2) The emergency amendment is ef- (h) Extension of time. TSA may grant fective without stay on the date the in- an extension of time of the limits set direct air carrier receives notification. forth in this section for good cause TSA will incorporate in the notifica- shown. An indirect air carrier’s request tion a brief statement of the reasons for an extension of time must be in and findings for the emergency amend- writing and be received by TSA at least ment to be adopted. 2 days before the due date to be ex- (3) The indirect air carrier may file a tended. TSA may grant itself an exten- petition for reconsideration with the sion of time for good cause. TSA no later than 15 calendar days after TSA issued the emergency [71 FR 30513, May 26, 2006, as amended at 74 FR 47705, Sept. 16, 2009] amendment. The indirect air carrier must send the petition for reconsider- § 1548.9 Acceptance of cargo. ation to the designated official; however, the filing does not stay the effec- (a) Preventing or deterring the carriage tive date of the emergency amend- of any explosive or incendiary. Each indi- ment. rect air carrier must use the facilities, (f) Withdrawal of approval of a security equipment, and procedures described in program. Section 1540.301 includes pro- its security program to prevent or cedures for withdrawal of approval of a deter the carriage onboard an aircraft security program. of any unauthorized person, and any (g) Service of documents for withdrawal unauthorized explosive, incendiary, of approval of security program pro- and other destructive substance or ceedings. Service may be accomplished item, as provided in the indirect air by personal delivery, certified mail, or carrier’s security program. express courier. Documents served on (b) Refusal to transport. Each indirect an indirect air carrier will be served at air carrier must refuse to offer for the indirect air carrier’s official place transport on an aircraft any cargo, if of business as designated in its applica- the shipper does not consent to a tion for approval or its security pro- search or inspection of that cargo in

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accordance with this part, or parts 1544 Security Coordinator (IACSC). The or 1546 of this chapter. IACSC and alternates must be appointed at the corporate level and must [71 FR 30515, May 26, 2006] serve as the indirect air carrier’s pri- § 1548.11 Training and knowledge for mary contact for security-related ac- individuals with security-related tivities and communications with TSA, duties. as set forth in the security program. (a) No indirect air carrier may use an Either the IACSC or an alternate employee or agent to perform any secu- IACSC must be available on a 24-hour rity-related duties to meet the require- basis. ments of its security program, unless [71 FR 30515, May 26, 2006] that individual has received training, as specified in its security program, in- § 1548.15 Access to cargo: Security cluding his or her personal responsibil- threat assessments for individuals ities in § 1540.105 of this chapter. having unescorted access to cargo. (b) Each indirect air carrier must en- (a) Before an indirect air carrier au- sure that each of its authorized em- thorizes and before an individual per- ployees or agents who accept, handle, forms a function described in para- transport, or deliver cargo have knowl- graph (b) of this section— edge of the— (1) Each individual must successfully (1) Applicable provisions of this part; complete a security threat assessment (2) Applicable Security Directives or comparable security threat assess- and Information Circulars; ment described in part 1540 subpart C (3) The approved airport security proof this chapter; and gram(s) applicable to their location(s); (2) Each indirect air carrier must and complete the requirements in part 1540 (4) The aircraft operator’s or indirect subpart C. air carrier’s security program, to the (b) The security threat assessment extent necessary in order to perform required in paragraph (a) of this sec- their duties. tion applies to the following: (c) Each indirect air carrier must en- (1) Each individual who has sure that each of its authorized em- unescorted access to cargo and access ployees or agents under paragraph (b) to information that such cargo will be of this section successfully completes transported on a passenger aircraft; or recurrent training at least annually on who has unescorted access to cargo their individual responsibilities in— screened for transport on a passenger (1) Section 1540.105 of this chapter; aircraft; or who performs certain func- (2) The applicable provisions of this tions related to the transportation, dis- part; patch or security of cargo for transport (3) Applicable Security Directives on a passenger aircraft or all-cargo air- and Information Circulars; craft, as specified in the indirect air (4) The approved airport security pro- carrier’s security program; from the gram(s) applicable to their location(s); time— and (i) Cargo to be transported on an all- (5) The aircraft operator’s or indirect cargo aircraft operated by an aircraft air carrier’s security program, to the operator with a full all-cargo program extent that such individuals need to under § 1544.101(h) of this chapter, or by know in order to perform their duties. a foreign air carrier under § 1546.101(e) (d) Operators must comply with the of this chapter, reaches an indirect air requirements of this section not later carrier facility where the indirect air than November 22, 2006, for direct em- carrier consolidates or holds the cargo, ployees and not later than June 15, until the indirect air carrier transfers 2007, for agents. the cargo to an aircraft operator or for- [71 FR 30515, May 26, 2006, as amended at 71 eign air carrier; or FR 62549, Oct. 25, 2006] (ii) Cargo to be transported on a passenger aircraft operated by an aircraft § 1548.13 Security coordinators. operator with a full program under Each indirect air carrier must des- § 1544.101(a) or by a foreign air carrier ignate and use an Indirect Air Carrier under § 1546.101(a) or (b) of this chapter,

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is accepted by the indirect air carrier, (iii) In determining the ownership of until the indirect air carrier transfers interests of the same family, any vot- the cargo to an aircraft operator or for- ing interest of any family member eign air carrier. must be taken into account. (2) Each individual the indirect air (2) Voting securities or other voting in- carrier authorizes to screen cargo or to terests means securities or other inter- supervise the screening of cargo under ests that entitle the holder to vote for § 1548.21. or select directors (or individuals exer- [74 FR 47705, Sept. 16, 2009, as amended at 76 cising similar functions). FR 51868, Aug. 18, 2011] (d) Each indirect air carrier, or applicant to be an indirect air carrier, must § 1548.16 Security threat assessments ensure that each proprietor, general for each proprietor, general partner, officer, director, and certain partner, officer, director and owner of owners of the entity. the entity has successfully completed a Security Threat Assessment under part (a) Before an indirect air carrier per- 1540, subpart C, of this chapter not mits a proprietor, general partner, officer, director, or owner of the entity to later than a date to be specified by perform those functions— TSA in a future rule in the FEDERAL (1) The proprietor, general partner, REGISTER. officer, director, or owner of the entity [71 FR 30516, May 26, 2006; 71 FR 31965, June must successfully complete a security 2, 2006, as amended at 71 FR 62550, Oct. 25, threat assessment or comparable secu- 2006; 72 FR 13026, Mar. 20, 2007; 74 FR 47706, rity threat assessment described in Sept. 16, 2009] part 1540 subpart C of this chapter; and (2) Each indirect air carrier must § 1548.17 Known shipper program. complete the requirements in 49 CFR This section applies to cargo that an part 1540, subpart C. indirect air carrier offers to an aircraft (b) For purposes of this section, operator operating under a full pro- owner means— gram under § 1544.101(a) of this chapter, (1) A person who directly or indi- or to a foreign air carrier operating rectly owns, controls, or has power to under § 1546.101(a) or (b) of this chapter. vote 25 percent or more of any class of (a) For cargo to be loaded on aircraft voting securities or other voting interests of an IAC or applicant to be an in the United States, each indirect air IAC; or carrier must have and carry out a (2) A person who directly or indi- known shipper program in accordance rectly controls in any manner the elec- with its security program. The pro- tion of a majority of the directors (or gram must— individuals exercising similar func- (1) Determine the shipper’s validity tions) of an IAC, or applicant to be an and integrity as provided in its secu- IAC. rity program; (c) For purposes of this definition of (2) Provide that the indirect air car- owner— rier will separate known shipper cargo (1) Members of the same family must from unknown shipper cargo. be considered to be one person. (b) When required by TSA, each indi- (i) Same family means parents, rect air carrier must submit to TSA, in spouses, children, siblings, uncles, a form and manner acceptable to aunts, grandparents, grandchildren, TSA— first cousins, stepchildren, stepsiblings, (1) Information identified in its secu- and parents-in-law, and spouses of any rity program regarding an applicant to of the foregoing. be a known shipper or a known shipper; (ii) Each member of the same family, and who has an ownership interest in an (2) Corrections and updates of this in- IAC, or an applicant to be an IAC, must formation upon learning of a change to be identified if the family is an owner the information specified in paragraph as a result of aggregating the owner- (b)(1) of this section. ship interests of the members of the family. [71 FR 30516, May 26, 2006]

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§ 1548.19 Security Directives and In- (i) Restrict the availability of the Se- formation Circulars. curity Directive or Information Cir- (a) TSA may issue an Information cular, and information contained in ei- Circular to notify indirect air carriers ther document, to those persons with a of security concerns. need-to-know. (b) When TSA determines that addi- (ii) Refuse to release the Security Di- tional security measures are necessary rective or Information Circular, and in- to respond to a threat assessment, or formation contained in either docu- to a specific threat against civil avia- ment, to persons other than those with tion, TSA issues a Security Directive a need-to-know without the prior writ- setting forth mandatory measures. ten consent of TSA. (1) Each indirect air carrier that is [71 FR 30516, May 26, 2006] required to have an approved indirect air carrier security program must com- § 1548.21 Screening of cargo. ply with each Security Directive that An IAC may only screen cargo for TSA issues to it, within the time pre- transport on a passenger aircraft under scribed in the Security Directive for §§ 1544.205 and 1546.205 if the IAC is a compliance. certified cargo screening facility as (2) Each indirect air carrier that re- provided in part 1549. ceives a Security Directive must comply with the following: [74 FR 47706, Sept. 16, 2009] (i) Within the time prescribed in the Security Directive, acknowledge in PART 1549—CERTIFIED CARGO writing receipt of the Security Direc- SCREENING PROGRAM tive to TSA. (ii) Within the time prescribed in the Subpart A—General Security Directive, specify the method by which the measures in the Security Sec. Directive have been implemented (or 1549.1 Applicability. 1549.3 TSA inspection authority. will be implemented, if the Security 1549.5 Adoption and implementation of the Directive is not yet effective). security program. (3) In the event that the indirect air 1549.7 Approval, amendment, renewal of the carrier is unable to implement the security program and certification of a measures in the Security Directive, the certified cargo screening facility. indirect air carrier must submit proposed alternative measures and the Subpart B—Operations basis for submitting the alternative 1549.101 Acceptance, screening, and transfer measures to TSA for approval. of cargo. (i) The indirect air carrier must sub- 1549.103 Qualifications and training of indi- mit the proposed alternative measures viduals with security-related duties. within the time prescribed in the Secu- 1549.105 Recordkeeping. rity Directive. 1549.107 Security coordinators. (ii) The indirect air carrier must im- 1549.109 Security Directives and Informa- plement any alternative measures ap- tion Circulars. 1549.111 Security threat assessments for proved by TSA. personnel of certified cargo screening fa- (4) Each indirect air carrier that re- cilities. ceives a Security Directive may comment on it by submitting data, views, AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901– 44905, 44913–44914, 44916–44917, 44932, 44935– or arguments in writing to TSA. 44936, 46105. (i) TSA may amend the Security Di- rective based on comments received. SOURCE: 74 FR 47706, Sept. 16, 2009, unless (ii) Submission of a comment does otherwise noted. not delay the effective date of the Se- curity Directive. Subpart A—General (5) Each indirect air carrier that receives a Security Directive or Informa- § 1549.1 Applicability. tion Circular, and each person who re- This part applies to each facility ap- ceives information from a Security Di- plying for or certified by TSA as a cer- rective or Information Circular, must: tified cargo screening facility to screen

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cargo that will be transported on a pas- § 1549.5 Adoption and implementation senger aircraft operated under a full of the security program. program under 49 CFR 1544.101(a), or a (a) Security program required. No per- foreign air carrier operating under a son may screen cargo to be tendered to program under 49 CFR 1546.101(a) or (b). an aircraft operator operating under a full program under part 1544, a foreign § 1549.3 TSA inspection authority. air carrier operating under § 1546.101(a) (a) Each certified cargo screening fa- or (b), or an indirect air carrier oper- cility must allow TSA, at any time or ating under § 1548.5 for carriage on a place, in a reasonable manner, without passenger aircraft, unless that person advance notice, to enter the facility holds and carries out an approved secu- and make any inspections or tests, in- rity program under this part. cluding copying records, to— (b) Content. Each security program (1) Determine compliance of a cer- under this part must— tified cargo screening facility, airport (1) Provide for the security of the air- operator, foreign air carrier, indirect craft, as well as that of persons and air carrier, or airport tenant with this property traveling in air transpor- chapter and 49 U.S.C. 114 and Subtitle tation against acts of criminal violence and air piracy and against the intro- VII, as amended; or duction into the aircraft of any unau- (2) Carry out TSA’s statutory or reg- thorized explosive, incendiary, and ulatory authorities, including its au- other destructive substance or item as thority to— provided in the certified cargo screen- (i) Assess threats to transportation; ing facility’s security program; (ii) Enforce security-related regula- (2) Be designed to prevent or deter tions, directives, and requirements: the introduction of any unauthorized (iii) Inspect, maintain, and test the explosive, incendiary, and other de- security of facilities, equipment, and structive substance or item onto an systems; aircraft; and (iv) Ensure the adequacy of security (3) Include the procedures and de- measures for the transportation of pas- scription of the facilities and equip- sengers and cargo; ment used to comply with the require- (v) Oversee the implementation, and ments of this part. ensure the adequacy, of security meas- (c) Employees and agents. The cer- ures at airports and other transpor- tified cargo screening facility must en- tation facilities; sure that its employees and agents (vi) Review security plans; and carry out the requirements of this (vii) Carry out such other duties, and chapter and the certified cargo screening facility’s security program. exercise such other powers, relating to (d) Facility’s security program. The transportation security as the Assist- certified cargo screening facility stand- ant Secretary of Homeland Security ard security program together with ap- for the TSA considers appropriate, to proved alternate procedures and the extent authorized by law. amendments issued to a particular fa- (b) At the request of TSA, each cer- cility constitutes that facility’s secu- tified cargo screening facility must rity program. provide evidence of compliance with (e) Availability. Each certified cargo this chapter, including copying screening facility must: records. (1) Maintain an original of the secu- (c) TSA and DHS officials working rity program at its corporate office. with TSA may conduct inspections (2) Have accessible a complete copy, under this section without access or the pertinent portions of its security media or identification media issued or program, or appropriate implementing approved by a certified cargo screening instructions, at its facility. An elec- facility or other person, except that tronic version is adequate. the TSA and DHS officials will have (3) Make a copy of the security pro- identification media issued by TSA or gram available for inspection upon the DHS. request of TSA.

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(4) Restrict the distribution, disclo- applicant authorizes the individual to sure, and availability of information have unescorted access to screened contained in its security program to cargo or to screen or supervise the persons with a need to know, as de- screening of cargo. scribed in part 1520 of this chapter. (2) Standard security program and as- (5) Refer requests for such informa- sessment. (i) After the Security Coordi- tion by other persons to TSA. nator for an applicant successfully completes a security threat assess- § 1549.7 Approval, amendment, re- ment, TSA will provide to the appli- newal of the security program and cant the certified cargo screening certification of a certified cargo standard security program, any secu- screening facility. rity directives, and amendments to the (a) Initial application and approval.— security program and other alternative (1) Application. Unless otherwise au- procedures that apply to the facility. thorized by TSA, each applicant must The applicant may either accept the apply for a security program and for standard security program or submit a certification as a certified cargo proposed modified security program to screening facility at a particular loca- the designated official for approval. tion, in a form and a manner prescribed TSA will approve the security program by TSA not less than 90 calendar days under paragraphs (a)(3) and (a)(4) of the before the applicant intends to begin section or issue a written notice to operations. TSA will only approve a fa- modify under paragraph (a)(4) of this cility to operate as a CCSF if it is lo- section. cated in the United States. The CCSF (ii) An applicant must successfully application must be in writing and in- undergo an assessment by TSA. clude the following: (3) Review. TSA will review a facility (i) The business name; other names, at a particular location to determine including doing business as; state of in- whether— corporation, if applicable; and tax iden- (i) The applicant has met the require- tification number. ments of this part, its security pro- (ii) The name of the senior manager gram, and any applicable Security Di- or representative of the applicant in rective; control of the operations at the facil- (ii) The applicant has successfully ity. undergone an assessment by TSA; (iii) A signed statement from each (iii) The applicant is able and willing person listed in paragraph (a)(1)(ii) of to carry out the requirements of this this section stating whether he or she part, its security program, and an ap- has been a senior manager or rep- plicable Security Directive; resentative of a facility that had its se- (iv) The approval of such applicant’s curity program withdrawn by TSA. security program is not contrary to the (iv) Copies of government-issued interests of security and the public in- identification of persons listed in para- terest; graph (a)(1)(ii) of this section. (v) The applicant has not held a secu- (v) The street address of the facility rity program that was withdrawn with- where screening will be conducted. in the previous year, unless otherwise (vi) A statement acknowledging and authorized by TSA; and ensuring that each individual and (vi) TSA determines that the appli- agent of the applicant, who is subject cant is qualified to be a certified cargo to training under § 1549.11, will have screening facility. successfully completed the training (4) Approval and certification. If TSA outlined in its security program before determines that the requirements of performing security-related duties. paragraph (a)(4) of this section are met (vii) Other information requested by and the application is approved, TSA TSA concerning Security Threat As- will send the applicant a written notice sessments. of approval of its security program, (viii) A statement acknowledging and and certification to operate as a cer- ensuring that each individual will suc- tified cargo screening facility. cessfully complete a Security Threat (5) Commencement of operations. The Assessment under § 1549.111 before the certified cargo screening facility may

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operate under a security program when (3) The application for renewal must it meets all TSA requirements, includ- be in writing and include a signed ing but not limited to an assessment statement that the certified cargo by TSA, successful completion of train- screening facility has reviewed and en- ing, and Security Threat Assessments sures the continuing accuracy of the by relevant personnel. contents of its initial application for a (6) Duration of security program. The security program, subsequent renewal security program will remain effective applications, or other submissions to until the end of the calendar month TSA confirming a change of informa- three years after the month it was ap- tion and noting the date such applica- proved or until the program has been tions and submissions were sent to surrendered or withdrawn, whichever is TSA, including the following certifi- earlier. cation: (7) Requirement to report changes in in- [Name of certified cargo screening facility] formation. Each certified cargo screen- (hereinafter ‘‘the CCSF’’) has adopted and is ing facility under this part must notify currently carrying out a security program in TSA, in a form and manner approved accordance with the Transportation Security by TSA, of any changes to the informa- Regulations as originally approved on [Insert date of TSA initial approval]. In accordance tion submitted during its initial appli- with TSA regulations, the CCSF has notified cation. TSA of any new or changed information re- (i) The CCSF must submit this notifi- quired for the CCSF’s initial security pro- cation to TSA not later than 30 days gram. If new or changed information is being prior to the date the change is expected submitted to TSA as part of this application to occur. for reapproval, that information is stated in this filing. (ii) Changes included in the require- The CCSF understands that intentional ment of this paragraph include, but are falsification of certification to an aircraft not limited to, changes in the certified operator, foreign air carrier, indirect air car- cargo screening facility’s contact in- rier, or to TSA may be subject to both civil formation, senior manager or rep- and criminal penalties under 49 CFR part resentative, business addresses and lo- 1540 and 18 U.S.C. 1001. Failure to notify TSA cations, and form of business facility. of any new or changed information required for initial approval of the CCSF’s security (iii) If the certified cargo screening program in a timely fashion and in a form facility relocates, TSA will withdraw acceptable to TSA may result in withdrawal the existing certification and require by TSA of approval of the CCSF’s security the new facility to undergo a valida- program. tion and certification process. (4) TSA will renew approval of the se- (b) Renewal Application. Upon timely curity program if TSA determines submittal of an application for re- that— newal, and unless and until TSA denies (i) The CCSF has met the require- the application, the certified cargo ments of this chapter, its security pro- screening facility’s approved security gram, and any Security Directive; and program remains in effect. (ii) The renewal of its security pro- (1) Unless otherwise authorized by gram is not contrary to the interests of TSA, each certified cargo screening fa- security and the public interest. cility must timely submit to TSA, at (5) If TSA determines that the cer- least 30 calendar days prior to the first tified cargo screening facility meets day of the 36th anniversary month of the requirements of paragraph (b)(3) of initial approval of its security pro- this section, it will renew the certified gram, an application for renewal of its cargo screening facility’s security pro- security program in a form and a man- gram and certification. The security ner approved by TSA. program and certification will remain (2) The certified cargo screening fa- effective until the end of the calendar cility must demonstrate that it has month three years after the month it successfully undergone a revalidation was renewed. of its operations by TSA prior to the (c) Amendment requested by a certified first day of the 36th anniversary month cargo screening entity or applicant. A of initial approval of its security pro- certified cargo screening facility or ap- gram. plicant may file a request for an

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amendment to its security program fective not less than 30 calendar days with the TSA designated official at after the certified cargo screening fa- least 45 calendar days before the date it cility receives the notice of amend- proposes for the amendment to become ment, unless the certified cargo screen- effective, unless the designated official ing facility disagrees with the proposed allows a shorter period. Any certified amendment and petitions the TSA to cargo screening facility may submit to reconsider, no later than 15 calendar TSA a group proposal for an amend- days before the effective date of the ment that is on behalf of it and other amendment. The certified cargo certified cargo screening facilities that screening facility must send the peti- co-sign the proposal. tion for reconsideration to the des- (1) Within 30 calendar days after re- ignated official. A timely Petition for ceiving a proposed amendment, the Reconsideration stays the effective designated official, in writing, either approves or denies the request to date of the amendment. amend. (3) Upon receipt of a Petition for Re- (2) TSA may approve an amendment consideration, the designated official to a certified cargo screening facility’s either amends or withdraws the notice security program, if the TSA des- of amendment, or transmits the Peti- ignated official determines that safety tion, together with any pertinent infor- and the public interest will allow it, mation, to TSA for reconsideration. and if the proposed amendment pro- TSA disposes of the Petition within 30 vides the level of security required calendar days of receipt, either by di- under this part. recting the designated official to with- (3) Within 30 calendar days after re- draw or amend the notice of amend- ceiving a denial of the proposed amendment, or by affirming the notice of ment, the certified cargo screening fa- amendment. cility may petition TSA to reconsider (e) Emergency amendments. (1) If TSA the denial. The CCSF must file the Pe- finds that there is an emergency re- tition for Reconsideration with the quiring immediate action, with respect designated official. to aviation security that makes proce- (4) Upon receipt of a Petition for Re- dures in this section contrary to the consideration, the designated official public interest, the designated official either approves the request to amend may issue an emergency amendment, or transmits the petition, together without the prior notice and comment with any pertinent information, to TSA for reconsideration. TSA will dis- procedures described in paragraph (d) pose of the petition within 30 calendar of this section. days of receipt by either directing the (2) The emergency amendment is ef- designated official to approve the fective without stay on the date the amendment or by affirming the denial. certified cargo screening facility re- (d) Amendment by TSA. TSA may ceives notification. TSA will incor- amend a security program in the inter- porate in the notification a brief state- est of safety and the public interest, as ment of the reasons and findings for follows: the emergency amendment to be adopt- (1) TSA notifies the certified cargo ed. screening facility, in writing, of the (3) The certified cargo screening fa- proposed amendment, fixing a period of cility may file a Petition for Reconsid- not less than 30 calendar days within eration with the TSA no later than 15 which the certified cargo screening fa- calendar days after TSA issued the cility may submit written information, emergency amendment. The certified views, and arguments on the amend- cargo screening facility must send the ment. Petition for Reconsideration to the (2) After considering all relevant ma- designated official; however, the filing terial, the designated official notifies does not stay the effective date of the the certified cargo screening facility of emergency amendment. any amendment adopted or rescinds the notice of amendment. If the [74 FR 47706, Sept. 16, 2009, as amended at 76 amendment is adopted, it becomes ef- FR 51868, Aug. 18, 2011]

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Subpart B—Operations § 1549.103 Qualifications and training of individuals with security-related § 1549.101 Acceptance, screening, and duties. transfer of cargo. (a) Security threat assessments. Each (a) Preventing or deterring the carriage certified cargo screening facility must of any explosive or incendiary. Each cer- ensure that individuals listed in 49 CFR tified cargo screening facility must use 1540.201(a)(6), (7), (8), (9), and (12) relat- the facilities, equipment, and proce- ing to a certified cargo screening facil- dures described in its security program ity complete a security threat assessment or comparable security threat as- to prevent or deter the carriage on- sessment described in part 1540, sub- board an aircraft of any unauthorized part C of this chapter, before con- explosives, incendiaries, and other de- ducting screening or supervising structive substances or items in cargo screening or before having unescorted onboard an aircraft, as provided in the access to screened cargo, unless the in- facility’s security program. dividual is authorized to serve as law (b) Screening and inspection of cargo. enforcement personnel at that loca- Each certified cargo screening facility tion. must ensure that cargo is screened and (b) Training required. Each certified inspected for any unauthorized explo- cargo screening facility must ensure sive, incendiary, and other destructive that individuals have received train- substance or item as provided in the fa- ing, as specified in this section and its cility’s security program before it is security program, before such indi- tendered to another certified cargo vidual perform any duties to meet the screening facility, an aircraft operator requirements of its security program. with a full program under part 1544, a (c) Knowledge and training require- foreign air carrier operating under ments. Each certified cargo screening §§ 1546.101(a) or (b), or an indirect air facility must ensure that each indi- carrier operating under § 1548.5 for vidual who performs duties to meet the transport on a passenger aircraft. requirements of its security program have knowledge of, and annual training Cargo that the facility represents as in, the— screened, must be screened in accord- (1) Applicable provisions of this chap- ance with this part. ter, including this part, part 1520, and (c) Refusal to transport. Each certified § 1540.105; cargo screening facility must refuse to (2) The certified cargo screening fa- offer to another certified cargo screen- cility’s security program, to the extent ing facility, an aircraft operator with a that such individuals need to know in full program under part 1544, a foreign order to perform their duties; air carrier operating under §§ 1546.101(a) (3) Applicable Security Directives or (b), or an indirect air carrier oper- and Information Circulars; and ating under § 1548.5 for transport on a (4) The applicable portions of ap- passenger aircraft any cargo, if the proved airport security program(s) and shipper does not consent to a search or aircraft operator security program(s). inspection of that cargo in accordance (d) Screener qualifications. Each cer- with this part, or parts 1544, 1546, or tified cargo screening facility must en- 1548 of this chapter. sure that each individual who screens (d) Chain of custody. Each certified cargo or who supervises cargo screen- cargo screening facility must protect ing— (1) Is a citizen or national of the the cargo from unauthorized access United States, or an alien lawfully ad- from the time it is screened until the mitted for permanent residence; time it is tendered to another certified (2) Has a high school diploma, a Gen- cargo screening facility as approved by eral Equivalency Diploma, or a com- TSA, an indirect air carrier under 49 bination of education and experience CFR part 1548, an aircraft operator that the certified cargo screening facil- under part 1544, or a foreign air carrier ity has determined to have equipped under part 1546. the person to perform the duties of the position;

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(3) Has basic aptitudes and physical rity threat assessment provisions of abilities including color perception, § 1549.111. visual and aural acuity, physical co- (b) Unless otherwise stated, records ordination, and motor skills to the ex- must be retained until the next re-cer- tent required to effectively operate tification. cargo screening technologies that the [74 FR 47706, Sept. 16, 2009, as amended at 76 facility is authorized to use. These in- FR 51868, Aug. 18, 2011] clude: (i) The ability to operate x-ray equip- § 1549.107 Security coordinators. ment and to distinguish on the x-ray Each certified cargo screening facil- monitor the appropriate imaging ity must have a Security Coordinator standard specified in the certified and designated alternate Security Co- cargo screening facility security pro- ordinator appointed at the corporate gram. Wherever the x-ray system dis- level. In addition, each certified cargo plays colors, the operator must be able screening facility must have a facility to perceive each color. Security Coordinator and alternate fa- (ii) The ability to distinguish each cility Security Coordinator appointed color displayed on every type of screen- at the facility level. The facility Secu- ing equipment and explain what each rity Coordinator must serve as the cer- color signifies. tified cargo screening facility’s pri- (iii) The ability to hear and respond mary contact for security-related ac- to the spoken voice and to audible tivities and communications with TSA, alarms generated by screening equip- as set forth in the security program. ment. The Security Coordinator and alter- (4) Has the ability to read, write and nate appointed at the corporate level, understand English well enough to as well as the facility Security Coordi- carry out written and oral instructions nator and alternate, must be available regarding the proper performance of on a 24-hour, 7-days a week basis. screening duties or be under the direct supervision of someone who has this § 1549.109 Security Directives and In- ability, including reading labels and formation Circulars. shipping papers, and writing log entries (a) TSA may issue an Information into security records in English. Circular to notify certified cargo screening facilities of security con- § 1549.105 Recordkeeping. cerns. (a) Each certified cargo screening fa- (b) When TSA determines that addi- cility must maintain records dem- tional security measures are necessary onstrating compliance with all stat- to respond to a threat assessment, or utes, regulations, directives, orders, to a specific threat against civil avia- and security programs that apply to tion, TSA issues a Security Directive operation as a certified cargo screening setting forth mandatory measures. facility, including the records listed (1) Each certified cargo screening fa- below, at the facility location or other cility must comply with each Security location as approved by TSA: Directive that TSA issues to it, within (1) Records of all training and in- the time prescribed in the Security Di- structions given to each individual rective for compliance. under § 1549.103. The CCSF must retain (2) Each certified cargo screening fa- these records for 180 days after the in- cility that receives a Security Direc- dividual is no longer employed by the tive must comply with the following: certified cargo screening facility or is (i) Within the time prescribed in the no longer acting as the facility’s agent. Security Directive, acknowledge in (2) Copies of all documents related to writing receipt of the Security Direc- applications for, or renewals of, TSA tive to TSA. certification to operate under part 1549. (ii) Within the time prescribed in the (3) Documents establishing TSA’s Security Directive, specify the method certification and renewal of certifi- by which the measures in the Security cation as required by part 1549. Directive have been implemented (or (4) Records demonstrating that each will be implemented, if the Security individual has complied with the secu- Directive is not yet effective).

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(3) In the event that the certified for transport on a passenger aircraft, cargo screening facility is unable to an aircraft operator under part 1544, or implement the measures in the Secu- a foreign air carrier under part 1546. rity Directive, the certified cargo (3) The senior manager or representa- screening facility must submit pro- tive of its facility in control of the op- posed alternative measures and the erations. basis for submitting the alternative (4) The security coordinators and measures to TSA for approval. their alternates. (i) The certified cargo screening fa- (b) Security threat assessment. Before a cility must submit the proposed alter- certified cargo screening facility au- native measures within the time pre- thorizes an individual to perform the scribed in the Security Directive. functions described in paragraph (a) of (ii) The certified cargo screening fa- this section, and before the individual cility must implement any alternative performs those functions— measures approved by TSA. (1) Each individual must successfully (4) Each certified cargo screening fa- complete a security threat assessment cility that receives a Security Direc- or comparable security threat assess- tive may comment on it by submitting ment described in part 1540, subpart C data, views, or arguments in writing to of this chapter; and TSA. (2) Each certified screening facility (i) TSA may amend the Security Di- must complete the requirements in 49 rective based on comments received. CFR part 1540, subpart C. (ii) Submission of a comment does not delay the effective date of the Se- PART 1550—AIRCRAFT SECURITY curity Directive. UNDER GENERAL OPERATING (5) Each certified cargo screening fa- AND FLIGHT RULES cility that receives a Security Direc- tive or Information Circular, and each Sec. person who receives information from a 1550.1 Applicability of this part. Security Directive or Information Cir- 1550.3 TSA inspection authority. cular, must— 1550.5 Operations using a sterile area. (i) Restrict the availability of the Se- 1550.7 Operations in aircraft of 12,500 pounds curity Directive or Information Cir- or more. cular, and information contained in ei- AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901– ther document, to those persons with a 44907, 44913–44914, 44916–44918, 44935–44936, need-to-know; and 44942, 46105. (ii) Refuse to release the Security Di- SOURCE: 67 FR 8383, Feb. 22, 2002, unless rective or Information Circular, and in- otherwise noted. formation contained in either document, to persons other than those with § 1550.1 Applicability of this part. a need-to-know without the prior writ- This part applies to the operation of ten consent of TSA. aircraft for which there are no security requirements in other parts of this sub- § 1549.111 Security threat assessments chapter. for personnel of certified cargo screening facilities. § 1550.3 TSA inspection authority. (a) Scope. This section applies to the (a) Each aircraft operator subject to following: this part must allow TSA, at any time (1) Each individual the certified or place, to make any inspections or cargo screening facility authorizes to tests, including copying records, to de- perform cargo screening or supervise termine compliance with— cargo screening. (1) This subchapter and any security (2) Each individual the certified program or security procedures under cargo screening facility authorizes to this subchapter, and part 1520 of this have unescorted access to cargo at any chapter; and time from the time it is screened until (2) 49 U.S.C. Subtitle VII, as amend- the time it is tendered to another cer- ed. tified cargo screening facility, an indi- (b) At the request of TSA, each air- rect air carrier under 49 CFR part 1548 craft operator must provide evidence of

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compliance with this part and its secu- (b) Procedures. Any person conducting rity program or security procedures, an operation identified in paragraph (a) including copies of records. of this section must conduct a search of the aircraft before departure and § 1550.5 Operations using a sterile screen passengers, crewmembers, and area. other persons and their accessible prop- (a) Applicability of this section. This erty (carry-on items) before boarding section applies to all aircraft oper- in accordance with security procedures ations in which passengers, crew- approved by TSA. members, or other individuals are en- (c) Compliance date. Persons identi- planed from or deplaned into a sterile fied in paragraph (a) of this section area, except for scheduled passenger must implement security procedures operations, public charter passenger when notified by TSA. TSA will notify operations, and private charter pas- operators by NOTAM, letter, or other senger operations, that are in accord- communication when they must imple- ance with a security program issued ment security procedures. under part 1544 or 1546 of this chapter. (d) Waivers. TSA may permit a person (b) Procedures. Any person conducting conducting an operation identified in an operation identified in paragraph (a) this section to deviate from the provi- of this section must conduct a search sions of this section if TSA finds that of the aircraft before departure and the operation can be conducted safely must screen passengers, crewmembers, under the terms of the waiver. and other individuals and their accessible property (carry-on items) before boarding in accordance with security PART 1552—FLIGHT SCHOOLS procedures approved by TSA. (c) Sensitive security information. The Subpart A—Flight Training for Aliens and security program procedures approved Other Designated Individuals by TSA for operations specified in Sec. paragraph (a) of this section are sen- 1552.1 Scope and definitions. sitive security information. The oper- 1552.3 Flight training. ator must restrict the distribution, dis- 1552.5 Fees. closure, and availability of information contained in the security procedures to Subpart B—Flight School Security persons with a need to know as de- Awareness Training scribed in part 1520 of this chapter. (d) Compliance date. Persons con- 1552.21 Scope and definitions. ducting operations identified in para- 1552.23 Security awareness training pro- graph (a) of this section must imple- grams. 1552.25 Documentation, recordkeeping, and ment security procedures on October 6, inspection. 2001. (e) Waivers. TSA may permit a person AUTHORITY: 49 U.S.C. 114, 44939. conducting an operation under this sec- SOURCE: 69 FR 56340, Sept. 20, 2004, unless tion to deviate from the provisions of otherwise noted. this section if TSA finds that the operation can be conducted safely under Subpart A—Flight Training for the terms of the waiver. Aliens and Other Designated § 1550.7 Operations in aircraft of Individuals 12,500 pounds or more. (a) Applicability of this section. This § 1552.1 Scope and definitions. section applies to each aircraft oper- (a) Scope. This subpart applies to ation conducted in an aircraft with a flight schools that provide instruction maximum certificated takeoff weight under 49 U.S.C. Subtitle VII, Part A, in of 12,500 pounds or more except for the operation of aircraft or aircraft those operations specified in § 1550.5 simulators, and individuals who apply and those operations conducted under a to obtain such instruction or who re- security program under part 1544 or ceive such instruction. 1546 of this chapter. (b) Definitions. As used in this part:

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Aircraft simulator means a flight sim- cludes a citizen of American Samoa or ulator or flight training device, as Swains Island. those terms are defined at 14 CFR 61.1. Recurrent training means periodic Alien means any person not a citizen training required under 14 CFR part 61, or national of the United States. 121,125, 135, or Subpart K of part 91. Re- Candidate means an alien or other in- current training does not include train- dividual designated by TSA who ap- ing that would enable a candidate who plies for flight training or recurrent has a certificate or type rating for a training. It does not include an indi- particular aircraft to receive a certifi- vidual endorsed by the Department of cate or type rating for another air- Defense for flight training. craft. Day means a day from Monday § 1552.3 Flight training. through Friday, including State and local holidays but not Federal holi- This section describes the procedures days, for any time period less than 11 a flight school must follow before pro- days specified in this part. For any viding flight training. time period greater than 11 days, day (a) Category 1—Regular processing for means calendar day. flight training on aircraft more than A flight school may not Demonstration flight for marketing pur- 12,500 pounds. provide flight training in the operation poses means a flight for the purpose of of any aircraft having a maximum cer- demonstrating an aircraft’s or aircraft tificated takeoff weight of more than simulator’s capabilities or characteris- 12,500 pounds to a candidate, except for tics to a potential purchaser, or to an a candidate who receives expedited agent of a potential purchaser, of the processing under paragraph (b) of this aircraft or simulator, including an ac- section, unless— ceptance flight after an aircraft manu- (1) The flight school has first notified facturer delivers an aircraft to a pur- TSA that the candidate has requested chaser. such flight training. Flight school means any pilot school, (2) The candidate has submitted to flight training center, air carrier flight TSA, in a form and manner acceptable training facility, or flight instructor to TSA, the following: certificated under 14 CFR part 61, 121, (i) The candidate’s full name, includ- 135, 141, or 142; or any other person or ing any aliases used by the candidate entity that provides instruction under or variations in the spelling of the can- 49 U.S.C. Subtitle VII, Part A, in the didate’s name; operation of any aircraft or aircraft (ii) A unique candidate identification simulator. number created by TSA; Flight training means instruction re- (iii) A copy of the candidate’s cur- ceived from a flight school in an air- rent, unexpired passport and visa; craft or aircraft simulator. Flight (iv) The candidate’s passport and visa training does not include recurrent information, including all current and training, ground training, a demonstra- previous passports and visas held by tion flight for marketing purposes, or the candidate and all the information any military training provided by the necessary to obtain a passport and Department of Defense, the U.S. Coast visa; Guard, or an entity under contract (v) The candidate’s country of birth, with the Department of Defense or U.S. current country or countries of citizen- Coast Guard. ship, and each previous country of citi- Ground training means classroom or zenship, if any; computer-based instruction in the op- (vi) The candidate’s actual date of eration of aircraft, aircraft systems, or birth or, if the candidate does not cockpit procedures. Ground training know his or her date of birth, the ap- does not include instruction in an air- proximate date of birth used consist- craft simulator. ently by the candidate for his or her National of the United States means a passport or visa; person who, though not a citizen of the (vii) The candidate’s requested dates United States, owes permanent alle- of training and the location of the giance to the United States, and in- training;

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(viii) The type of training for which (iii) The flight school has submitted the candidate is applying, including to TSA, in a form and manner accept- the aircraft type rating the candidate able to TSA, a photograph of the can- would be eligible to obtain upon com- didate taken when the candidate ar- pletion of the training; rives at the flight school for flight (ix) The candidate’s current U.S. training. pilot certificate, certificate number, (iv) TSA has informed the flight and type rating, if any; school that the candidate does not pose (x) Except as provided in paragraph a threat to aviation or national secu- (k) of this section, the candidate’s fin- rity or more than 5 days have elapsed gerprints, in accordance with para- since TSA received all of the informa- graph (f) of this section; tion specified in paragraph (a)(2) of this (xi) The candidate’s current address section. and phone number and each address for (v) The flight school begins the can- the 5 years prior to the date of the candidate’s flight training within 180 days didate’s application; of either event specified in paragraph (xii) The candidate’s gender; and (b)(1)(iv) of this section. (xiii) Any fee required under this (2) A candidate is eligible for expe- part. dited processing if he or she— (3) The flight school has submitted to (i) Holds an airman’s certificate from TSA, in a form and manner acceptable a foreign country that is recognized by to TSA, a photograph of the candidate the Federal Aviation Administration taken when the candidate arrives at or a military agency of the United the flight school for flight training. States, and that permits the candidate (4) TSA has informed the flight to operate a multi-engine aircraft that school that the candidate does not pose has a certificated takeoff weight of a threat to aviation or national secu- more than 12,500 pounds; rity, or more than 30 days have elapsed (ii) Is employed by a foreign air car- since TSA received all of the informa- rier that operates under 14 CFR part tion specified in paragraph (a)(2) of this 129 and has a security program ap- section. proved under 49 CFR part 1546; (5) The flight school begins the candidate’s flight training within 180 days (iii) Has unescorted access authority of either event specified in paragraph to a secured area of an airport under 49 (a)(4) of this section. U.S.C. 44936(a)(1)(A)(ii), 49 CFR 1542.209, or 49 CFR 1544.229; (b) Category 2—Expedited processing for flight training on aircraft more than (iv) Is a flightcrew member who has 12,500 pounds. (1) A flight school may successfully completed a criminal his- not provide flight training in the oper- tory records check in accordance with ation of any aircraft having a max- 49 CFR 1544.230; or imum certificated takeoff weight of (v) Is part of a class of individuals more than 12,500 pounds to a candidate that TSA has determined poses a mini- who meets any of the criteria of para- mal threat to aviation or national se- graph (b)(2) of this section unless— curity because of the flight training al- (i) The flight school has first notified ready possessed by that class of indi- TSA that the candidate has requested viduals. such flight training. (c) Category 3—Flight training on air- (ii) The candidate has submitted to craft 12,500 pounds or less. A flight TSA, in a form and manner acceptable school may not provide flight training to TSA: in the operation of any aircraft having (A) The information and fee required a maximum certificated takeoff weight under paragraph (a)(2) of this section; of 12,500 pounds or less to a candidate and unless— (B) The reason the candidate is eligi- (1) The flight school has first notified ble for expedited processing under TSA that the candidate has requested paragraph (b)(2) of this section and in- such flight training. formation that establishes that the (2) The candidate has submitted to candidate is eligible for expedited proc- TSA, in a form and manner acceptable essing. to TSA:

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(i) The information required under (ii) By another entity approved by paragraph (a)(2) of this section; and TSA. (ii) Any other information required (2) A candidate must confirm his or by TSA. her identity to the individual or agen- (3) The flight school has submitted to cy collecting his or her fingerprints TSA, in a form and manner acceptable under paragraph (f)(1) of this section by to TSA, a photograph of the candidate providing the individual or agency his taken when the candidate arrives at or her: the flight school for flight training. (i) Passport; (4) The flight school begins the can- (ii) Resident alien card; or didate’s flight training within 180 days (iii) U.S. driver’s license. of the date the candidate submitted the (3) A candidate must pay any fee im- information required under paragraph posed by the agency taking his or her (a)(2) of this section to TSA. fingerprints. (d) Category 4—Recurrent training for (g) General requirements—(1) False all aircraft. Prior to beginning recur- statements. If a candidate makes a rent training for a candidate, a flight knowing and willful false statement, or school must— omits a material fact, when submitting (1) Notify TSA that the candidate has the information required under this requested such recurrent training; and part, the candidate may be— (2) Submit to TSA, in a form and (i) Subject to fine or imprisonment manner acceptable to TSA: or both under 18 U.S.C. 1001; (i) The candidate’s full name, includ- (ii) Denied approval for flight training any aliases used by the candidate ing under this section; and or variations in the spelling of the can- (iii) Subject to other enforcement ac- didate’s name; tion, as appropriate. (ii) Any unique student identification (2) Preliminary approval. For purposes number issued to the candidate by the of facilitating a candidate’s visa proc- Department of Justice or TSA; ess with the U.S. Department of State, (iii) A copy of the candidate’s cur- TSA may inform a flight school and a rent, unexpired passport and visa; candidate that the candidate has re- (iv) The candidate’s current U.S. ceived preliminary approval for flight pilot certificate, certificate number, training based on information sub- and type rating(s); mitted by the flight school or the can- (v) The type of training for which the didate under this section. A flight candidate is applying; school may then issue an I–20 form to (vi) The date of the candidate’s prior the candidate to present with the can- recurrent training, if any, and a copy didate’s visa application. Preliminary of the training form documenting that approval does not initiate the waiting recurrent training; period under paragraph (a)(3) or (vii) The candidate’s requested dates (b)(1)(iii) of this section or the period of training; and in which a flight school must initiate a (viii) A photograph of the candidate candidate’s training after receiving taken when the candidate arrives at TSA approval under paragraph (a)(4) or the flight school for flight training. (b)(1)(iv) of this section. (e) Interruption of flight training. A (h) U.S. citizens and nationals and De- flight school must immediately termi- partment of Defense endorsees. A flight nate or cancel a candidate’s flight school must determine whether an in- training if TSA notifies the flight dividual is a citizen or national of the school at any time that the candidate United States, or a Department of De- poses a threat to aviation or national fense endorsee, prior to providing flight security. training to the individual. (f) Fingerprints. (1) Fingerprints sub- (1) U.S. citizens and nationals. To es- mitted in accordance with this subpart tablish U.S. citizenship or nationality must be collected— an individual must present to the (i) By United States Government per- flight school his or her: sonnel at a United States embassy or (i) Valid, unexpired United States consulate; or passport;

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(ii) Original or government-issued (b)(1)(iii), (c)(3), or (d)(2)(viii) of this certified birth certificate of the United section; and States, American Samoa, or Swains Is- (B) A copy of the approval sent by land, together with a government- TSA confirming the candidate’s eligi- issued picture identification of the in- bility for flight training. dividual; (ii) For a Category 1, Category 2, or (iii) Original United States natu- Category 3 candidate, a copy of the in- ralization certificate with raised seal, formation required under paragraph or a Certificate of Naturalization (a)(2) of this section, except the infor- issued by the U.S. Citizenship and Im- mation in paragraph (a)(2)(x). migration Services (USCIS) or the U.S. (iii) For a Category 4 candidate, a Immigration and Naturalization Serv- copy of the information required under ice (INS) (Form N–550 or Form N–570), paragraph (d)(2) of this section. together with a government-issued pic- (iv) For an individual who is a United ture identification of the individual; States citizen or national, a copy of (iv) Original certification of birth the information required under para- abroad with raised seal, U.S. Depart- graph (h)(1) of this section. ment of State Form FS–545, or U.S. De- (v) For an individual who has been partment of State Form DS–1350, to- endorsed by the U.S. Department of gether with a government-issued pic- Defense for flight training, a copy of ture identification of the individual; the information required under paragraph (h)(2) of this section. (v) Original certificate of United (vi) A record of all fees paid to TSA States citizenship with raised seal, a in accordance with this part. Certificate of United States Citizenship (2) Permit TSA and the Federal Avia- issued by the USCIS or INS (Form N– tion Administration to inspect the 560 or Form N–561), or a Certificate of records required by paragraph (i)(1) of Repatriation issued by the USCIS or this section during reasonable business INS (Form N–581), together with a gov- hours. ernment-issued picture identification (j) Candidates subject to the Depart- of the individual; or ment of Justice rule. A candidate who (vi) In the case of flight training pro- submits a completed Flight Training vided to a Federal employee (including Candidate Checks Program form and military personnel) pursuant to a con- fingerprints to the Department of Jus- tract between a Federal agency and a tice in accordance with 28 CFR part 105 flight school, the agency’s written cer- before September 28, 2004, or a later tification as to its employee’s United date specified by TSA, is processed in States citizenship or nationality, to- accordance with the requirements of gether with the employee’s govern- that part. If TSA specifies a date later ment-issued credentials or other Feder- than the compliance dates identified in ally-issued picture identification. this part, individuals and flight schools (2) Department of Defense endorsees. To who comply with 28 CFR part 105 up to establish that an individual has been that date will be considered to be in endorsed by the U.S. Department of compliance with the requirements of Defense for flight training, the indi- this part. vidual must present to the flight (k) Additional or missed flight training. school a written statement acceptable (1) A Category 1, 2, or 3 candidate who to TSA from the U.S. Department of has been approved for flight training Defense attache´ in the individual’s by TSA may take additional flight country of residence together with a training without submitting finger- government-issued picture identifica- prints as specified in paragraph tion of the individual. (a)(2)(x) of this section if the candidate: (i) Recordkeeping requirements. A (i) Submits all other information re- flight school must— quired in paragraph (a)(2) of this sec- (1) Maintain the following information, including the fee; and tion for a minimum of 5 years: (ii) Waits for TSA approval or until (i) For each candidate: the applicable waiting period expires (A) A copy of the photograph re- before initiating the additional flight quired under paragraph (a)(3), training.

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(2) A Category 1, 2, or 3 candidate rity awareness training in accordance who is approved for flight training by with this subpart; and TSA, but does not initiate that flight (2) If an instructor is conducting the training within 180 days, may reapply initial security awareness training pro- for flight training without submitting gram, the instructor has first success- fingerprints as specified in paragraph fully completed the initial flight (a)(2)(x) of this section if the candidate school security awareness training pro- submits all other information required gram offered by TSA or an alternative in paragraph (a)(2) of this section, in- initial flight school security awareness cluding the fee. training program that meets the criteria of paragraph (c) of this section. § 1552.5 Fees. (b) Initial security awareness training (a) Imposition of fees. The following program. (1) A flight school must ensure fee is required for TSA to conduct a se- that— curity threat assessment for a can- (i) Each flight school employee em- didate for flight training subject to the ployed on January 18, 2005 receives ini- requirements of § 1552.3: $130. tial security awareness training in ac- (b) Remittance of fees. (1) A candidate cordance with this subpart by January must remit the fee required under this 18, 2005; and subpart to TSA, in a form and manner (ii) Each flight school employee hired acceptable to TSA, each time the can- after January 18, 2005 receives initial didate or the flight school is required security awareness training within 60 to submit the information required days of being hired. under § 1552.3 to TSA. (2) In complying with paragraph (2) TSA will not issue any fee re- (b)(2) of this section, a flight school funds, unless a fee was paid in error. may use either: (i) The initial flight school security Subpart B—Flight School Security awareness training program offered by Awareness Training TSA; or (ii) An alternative initial flight § 1552.21 Scope and definitions. school security awareness training pro- (a) Scope. This subpart applies to gram that meets the criteria of para- flight schools that provide instruction graph (c) of this section. under 49 U.S.C. Subtitle VII, Part A, in (c) Alternative initial security aware- the operation of aircraft or aircraft ness training program. At a minimum, simulators, and to employees of such an alternative initial security aware- flight schools. ness training program must— (b) Definitions: As used in this sub- (1) Require active participation by part: the flight school employee receiving Flight school employee means a flight the training. instructor or ground instructor certifi- (2) Provide situational scenarios re- cated under 14 CFR part 61, 141, or 142; quiring the flight school employee re- a chief instructor certificated under 14 ceiving the training to assess specific CFR part 141; a director of training cer- situations and determine appropriate tificated under 14 CFR part 142; or any courses of action. other person employed by a flight (3) Contain information that enables school, including an independent con- a flight school employee to identify— tractor, who has direct contact with a (i) Uniforms and other identification, flight school student. This includes an if any are required at the flight school, independent or solo flight instructor for flight school employees or other certificated under 14 CFR part 61. persons authorized to be on the flight school grounds. § 1552.23 Security awareness training (ii) Behavior by clients and cus- programs. tomers that may be considered sus- (a) General. A flight school must en- picious, including, but not limited to: sure that— (A) Excessive or unusual interest in (1) Each of its flight school employ- restricted airspace or restricted ground ees receives initial and recurrent secu- structures;

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(B) Unusual questions or interest re- (2) At a minimum, a recurrent secu- garding aircraft capabilities; rity awareness training program must (C) Aeronautical knowledge incon- contain information regarding— sistent with the client or customer’s (i) Any new security measures or pro- existing airman credentialing; and cedures implemented by the flight (D) Sudden termination of the client school; or customer’s instruction. (ii) Any security incidents at the (iii) Behavior by other on-site per- flight school, and any lessons learned sons that may be considered sus- as a result of such incidents; picious, including, but not limited to: (iii) Any new threats posed by or in- (A) Loitering on the flight school cidents involving general aviation air- grounds for extended periods of time; craft contained on the TSA Web site; and and (B) Entering ‘‘authorized access (iv) Any new TSA guidelines or rec- only’’ areas without permission. ommendations concerning the security (iv) Circumstances regarding aircraft of general aviation aircraft, airports, that may be considered suspicious, in- or flight schools. cluding, but not limited to: (A) Unusual modifications to air- § 1552.25 Documentation, record- craft, such as the strengthening of keeping, and inspection. landing gear, changes to the tail num- (a) Documentation. A flight school ber, or stripping of the aircraft of seat- must issue a document to each flight ing or equipment; school employee each time the flight (B) Damage to propeller locks or school employee receives initial or re- other parts of an aircraft that is incon- current security awareness training in sistent with the pilot training or air- accordance with this subpart. The doc- craft flight log; and ument must— (C) Dangerous or hazardous cargo (1) Contain the flight school employ- loaded into an aircraft. ee’s name and a distinct identification (v) Appropriate responses for the em- number. ployee to specific situations, including: (2) Indicate the date on which the (A) Taking no action, if a situation flight school employee received the se- does not warrant action; curity awareness training. (B) Questioning an individual, if his or her behavior may be considered sus- (3) Contain the name of the instruc- picious; tor who conducted the training, if any. (C) Informing a supervisor, if a situa- (4) Contain a statement certifying tion or an individual’s behavior war- that the flight school employee re- rants further investigation; ceived the security awareness training. (D) Calling the TSA General Aviation (5) Indicate the type of training re- Hotline; or ceived, initial or recurrent. (E) Calling local law enforcement, if (6) Contain a statement certifying a situation or an individual’s behavior that the alternative training program could pose an immediate threat. used by the flight school meets the cri- (vi) Any other information relevant teria in 49 CFR 1552.23(c), if the flight to security measures or procedures at school uses an alternative training pro- the flight school, including applicable gram to comply with this subpart. information in the TSA Information (7) Be signed by the flight school em- Publication ‘‘Security Guidelines for ployee and an authorized official of the General Aviation Airports’’. flight school. (d) Recurrent security awareness train- (b) Recordkeeping requirements. A ing program. (1) A flight school must flight school must establish and main- ensure that each flight school em- tain the following records for one year ployee receives recurrent security after an individual no longer is a flight awareness training each year in the school employee: same month as the month the flight (1) A copy of the document required school employee received initial secu- by paragraph (a) of this section for the rity awareness training in accordance initial and each recurrent security with this subpart. awareness training conducted for each

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flight school employee in accordance § 1554.3 TSA inspection authority. with this subpart; and (a) General. Each repair station must (2) The alternative flight school secu- allow TSA and other authorized DHS rity awareness training program used officials, at any time and in a reason- by the flight school, if the flight school able manner, without advance notice, uses such a program. to enter, conduct any audits, assess- (c) Inspection. A flight school must ments, or inspections of any property, permit TSA and the Federal Aviation facilities, equipment, and operations; Administration to inspect the records and to view, inspect, and copy records required under paragraph (b) of this as necessary to carry out TSA’s secu- section during reasonable business rity-related statutory or regulatory hours. authorities, including its authority to— PART 1554—AIRCRAFT REPAIR (1) Assess threats to transportation STATION SECURITY security; (2) Enforce security-related regula- Subpart A—General tions, directives, and requirements; Sec. (3) Inspect, assess, and audit security 1554.1 Scope. facilities, equipment, and systems 1554.3 TSA inspection authority. (4) Ensure the adequacy of security measures; Subpart B—Security Measures (5) Verify the implementation of security measures; 1554.101 Security Measures. 1554.103 Security Directives. (6) Review security plans; and (7) Carry out such other duties, and Subpart C—Compliance and Enforcement exercise such other powers, relating to transportation security as the TSA Ad- 1554.201 Notification of security defi- ministrator considers appropriate, to ciencies; suspension of certificate and re- the extent authorized by law. view process. 1554.203 Immediate risk to security; revoca- (b) Evidence of compliance. At the re- tion of certificate and review process. quest of TSA, each repair station must 1554.205 Nondisclosure of certain informa- provide evidence of compliance with tion. this part, including copies of records required by this part. AUTHORITY: 49 U.S.C. 114, 40113, 44903, 44924. (1) All records required under this SOURCE: 79 FR 2140, Jan. 13, 2014, unless part must be provided in English upon otherwise noted. TSA’s request. (2) All responses and submissions pro- Subpart A—General vided to TSA or its designee, pursuant to this part, must be in English, unless § 1554.1 Scope. otherwise requested by TSA. (a) This part applies to repair sta- (c) Access to repair station. (1) TSA tions that are certificated by the Fed- and DHS officials working with TSA eral Aviation Administration (FAA) may enter, and be present within any pursuant to 14 CFR part 145, except for area without access media or identi- a part 145 certificated repair station lo- fication media issued or approved by cated on a U.S. or foreign government the repair station in order to inspect, military installation. assess, or perform any other such du- (b) In addition to the terms in 49 CFR ties as TSA may direct. 1500.3 and 1540.5, for purposes of this (2) Repair stations may request TSA part, ‘‘large aircraft’’ means any air- inspectors and DHS officials working craft with a maximum certificated with TSA to present their credentials takeoff weight of more than 12,500 for examination, but the credentials pounds and ‘‘attended’’ aircraft means may not be photocopied or otherwise an aircraft to which access is limited reproduced. to authorized individuals and property.

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Subpart B—Security Measures the vehicle key if a vehicle is used to block the path. § 1554.101 Security Measures. (ii) Park the aircraft in a locked (a) Applicability of this section. This hangar and control the key to the section applies to part 145 certificated hangar. repair stations located— (iii) Move stairs away from the air- (1) On airport. On an air operations craft and shut and, if feasible, lock all area or security identification display cabin and/or cargo doors, and control area of an airport covered by an airport the key. security program under 49 CFR part (iv) Other means approved in writing 1542 in the United States, or on the se- by TSA. curity restricted area of any commen- (3) Verify background information of surate airport outside the United those individuals who are designated as States regulated by a government enti- the TSA point(s) of contact and those ty; or who have access to any keys or other (2) Adjacent to an airport. Adjacent to means used to prevent the operation of an area of the airport described in large aircraft described in paragraph paragraph (a)(1) of this section if there (b)(2) of this section by one or more of is an access point between the repair the following means: station and the airport of sufficient (i) Verify an employee’s employment size to allow the movement of large history. The repair station obtains the aircraft between the repair station and employee’s employment history for the the area described in paragraph (a)(1) most recent five year period or the of this section. time period since the employee’s 18th (b) Security Measures. Each repair sta- birthday, whichever period is shorter. tion described in paragraph (a) of this The repair station verifies the employ- section must carry out the following ee’s employment history for the most measures: recent 5-year period via telephone, (1) Provide TSA with the name and email, or in writing. If the information means of contact on a 24-hour basis of is verified telephonically, the repair a person or persons designated by the station must record the date of the repair station with responsibility for— communication and with whom the in- (i) Compliance with the regulations formation was verified. If there is a gap in this part; in employment of six months or longer, (ii) Serving as the primary point(s) of without a satisfactory explanation of contact for security-related activities the gap, employment history is not and communications with TSA; verified. The repair station must retain (iii) Maintaining a record of all em- employment history verification ployees responsible for controlling records for at least 180 days after the keys or other means used to control ac- individual’s employment ends. The re- cess to aircraft described in paragraph pair station must maintain these (b)(2) of this section; and records electronically or in hardcopy, (iv) Maintaining all records nec- and provide them to TSA upon request. essary to comply with paragraph (b)(3) (ii) Confirm an employee holds an of this section. airman certificate issued by the Fed- (2) When not attended, prevent the eral Aviation Administration. unauthorized operation of all large air- (iii) Confirm an employee of a repair craft capable of flight, by using one or station located within the United more of the means listed in paragraphs States has obtained a security threat (b)(2)(i) through (iv) of this section. In assessment or comparable security these examples, a key, if used, must threat assessment pursuant to part only be available to an individual au- 1540, subpart C of this chapter, such as thorized by the repair station who has by holding a SIDA identification media successfully undergone a check as de- issued by an airport operator that scribed in paragraph (b)(3) of this sec- holds a complete program under 49 tion. CFR part 1542. (i) Block the path of the aircraft such (iv) Confirm an employee of a repair that it cannot be moved, and control station located outside the United

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States has successfully completed a se- Subpart C—Compliance and curity threat assessment commensu- Enforcement rate to a security threat assessment described in part 1540, subpart C of this § 1554.201 Notification of security defi- chapter. ciencies; suspension of certificate (v) Other means approved in writing and review process. by TSA. (a) General. A repair station may be subject to suspension of its FAA cer- § 1554.103 Security Directives. tificate, if security deficiencies are identified and are not corrected. (a) General. When TSA determines (b) Notice of security deficiencies. TSA that additional security measures are provides written notification to a re- necessary to respond to a threat assess- pair station and to the FAA of any se- ment or to a specific threat against curity deficiency identified by TSA. civil aviation, TSA issues a Security (c) Response. A repair station must Directive setting forth mandatory provide TSA with a written expla- measures. nation in English of all efforts, meth- (b) Compliance. Each repair station ods, and procedures used to correct the must comply with each Security Direc- security deficiencies identified by TSA tive TSA issues to the repair station within 45 calendar days of receipt of within the time prescribed. Each repair the written notification described in station that receives a Security Direc- paragraph (b) of this section. tive must— (d) Suspension of certificate. If the re- (1) Acknowledge receipt of the Secu- pair station does not correct security rity Directive as directed by TSA; deficiencies within 90 calendar days of (2) Specify the method by which secu- the repair station’s receipt of the writ- rity measures have been or will be im- ten notice of security deficiencies, or if plemented to meet the effective date; TSA determines that the security deficiencies have not been addressed suffi- and ciently to comply with this section, (3) Notify TSA to obtain approval of the TSA designated official will pro- alternative measures if the repair sta- vide written notification to the repair tion is unable to implement the meas- station and to the FAA that the repair ures in the Security Directive. station’s certificate must be suspended. (c) Availability. Each repair station The notification will include an expla- that receives a Security Directive and nation of the basis for the suspension. each person who receives information The suspension remains in effect until from a Security Directive must— TSA determines that the security defi- (1) Restrict the availability of the Se- ciencies have been corrected. curity Directive and the information (e) Petition for reconsideration. The re- contained in the document to persons pair station may petition TSA to re- who have an operational need to know; consider its determination under para- and graph (d) of this section by serving a (2) Refuse to release the Security Di- petition for reconsideration no later rective or the information contained in than 20 calendar days after the repair the document to persons other than station receives the notification. The those who have an operational need to repair station must serve the petition on the TSA designated official. Sub- know without the prior written con- mission of a petition for reconsider- sent of TSA. ation will not automatically stay the (d) Comments. Each repair station suspension. The repair station may re- that receives a Security Directive may quest TSA to notify the FAA to stay comment on the Security Directive by the suspension pending review of and submitting data, views, or arguments decision on the petition. The petition in writing to TSA. TSA may amend the must be in writing, in English, signed Security Directive based on comments by the repair station operator or received. Submission of a comment owner, and include— does not delay the effective date of the (1) A statement that reconsideration Security Directive. is requested; and

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(2) A response to the suspension, in- § 1554.203 Immediate risk to security; cluding any information TSA should revocation of certificate and review consider in reviewing the suspension. process. (f) Review by the TSA designated offi- (a) Notice. The TSA designated official. The TSA designated official will cial will determine whether any repair consider all relevant material and in- station poses an immediate risk to se- formation and will act on the petition curity. If such a determination is no later than 15 calendar days after made, TSA will provide written notifi- TSA receives the petition. The TSA cation of its determination to the re- designated official will either notify pair station and to the FAA that the the repair station and the FAA that certificate must be revoked. The notifi- the suspension be withdrawn or affirm cation will include an explanation of the basis for the revocation. TSA does the suspension. The decision of the not include classified information or TSA designated official constitutes a other information described in final agency order subject to judicial § 1554.205. review in accordance with 49 U.S.C. (b) Petition for reconsideration. The re- 46110. pair station may petition TSA to re- (g) Service of documents. Service may consider its determination by serving a be accomplished by personal delivery, petition for reconsideration no later certified mail, or express courier. Doc- than 20 calendar days after the repair uments served on a repair station will station receives the notification. The be served at its official place of busi- repair station must serve the petition ness. Documents served on TSA must on the TSA designated official. Sub- be served at the address contained in mission of a petition for reconsider- the written notice of suspension. ation will not automatically stay the (1) A certificate of service may be at- revocation. The repair station may re- tached to a document tendered for fil- quest TSA to notify FAA to stay the ing. A certificate of service must con- revocation pending review of and deci- sist of a statement, dated and signed sion on the petition. The petition must by the person filing the document, that be in writing, in English, signed by the the document was personally delivered, repair station operator or owner, and served by certified mail on a specific include— (1) A statement that a review is re- date, or served by express courier on a quested; and specific date. (2) A response to the determination (2) The date of service is— of immediate risk to security, includ- (i) The date of personal delivery; ing any information TSA should con- (ii) If served by certified mail, the sider in reviewing the basis for the de- mailing date shown on the certificate termination. of service, the date shown on the post- (c) Review by the Administrator. The mark if there is no certificate of serv- TSA designated official transmits the ice, or other mailing date shown by petition together with all relevant in- other evidence if there is no certificate formation to the Administrator for re- of service or postmark; or consideration. The Administrator will (iii) If served by express courier, the act on the petition within 15 calendar service date shown on the certificate of days of receipt by either directing the service, or by other evidence if there is TSA designated official to notify FAA no certificate of service. and the repair station that the deter- (h) Extension of time. TSA may grant mination is rescinded and the certificate may be reinstated or by affirming an extension of time to the limits set the determination. The decision by the forth in this section for good cause Administrator constitutes a final agen- shown. A repair station must request cy order subject to judicial review in an extension of time in writing, and accordance with 49 U.S.C. 46110. TSA must receive it at least two days (d) Service of documents. Service may before the due date in order to be con- be accomplished by personal delivery, sidered. TSA may grant itself an exten- certified mail, or express courier. Doc- sion of time for good cause. uments served on a repair station will

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be served at its official place of busi- 1560.3 Terms used in this part. ness. Documents served on TSA must be served at the address contained in Subpart B—Collection and Transmission of Secure Flight Passenger Data for the written notice of revocation. Watch List Matching (1) A certificate of service may be at- tached to a document tendered for fil- 1560.101 Request for and transmission of in- ing. A certificate of service must con- formation to TSA. sist of a statement, dated and signed 1560.103 Privacy notice. 1560.105 Denial of transport or sterile area by the person filing the document, that access; designation for enhanced screen- the document was personally delivered, ing. served by certified mail on a specific 1560.107 Use of watch list matching results date, or served by express courier on a by covered aircraft operators. specific date. 1560.109 Aircraft Operator Implementation Plan. (2) The date of service is— 1560.111 Covered airport operators. (i) The date of personal delivery; (ii) If served by certified mail, the Subpart C—Passenger Redress mailing date shown on the certificate 1560.201 Applicability. of service, the date shown on the post- 1560.203 Representation by counsel. mark if there is no certificate of serv- 1560.205 Redress process. ice, or other mailing date shown by 1560.207 Oversight of process. other evidence if there is no certificate AUTHORITY: 49 U.S.C. 114, 40113, 44901, 44902, of service or postmark; or 44903. (iii) If served by express courier, the SOURCE: 73 FR 64061, Oct. 28, 2008, unless service date shown on the certificate of otherwise noted. service, or by other evidence if there is no certificate of service. Subpart A—General (e) Extension of time. TSA may grant an extension of time to the limits set § 1560.1 Scope, purpose, and implementation. forth in this section for good cause shown. A repair station must request (a) Scope. This part applies to the fol- an extension of time in writing, and lowing: TSA must receive it at least two days (1) Aircraft operators required to before the due date in order to be con- adopt a full program under 49 CFR 1544.101(a). sidered. TSA may grant itself an exten- (2) Foreign air carriers required to sion of time for good cause. adopt a security program under 49 CFR 1546.101(a) or (b). § 1554.205 Nondisclosure of certain information. (3) Airport operators that seek to authorize individuals to enter a sterile In connection with the procedures area for purposes approved by TSA. under this subpart, TSA does not dis- (4) Individuals who seek redress in close classified information, as defined accordance with subpart C of this part. in Executive Order 12968, section 1.1(d), (b) Purpose. The purpose of this part or any successor order, and TSA re- is to enhance the security of air travel serves the right not to disclose any within the United States and support other information or material not war- the Federal government’s counterter- ranting disclosure or protected from rorism efforts by assisting in the detec- disclosure under law or regulation. tion of individuals identified on Fed- eral government watch lists who seek to travel by air, and to facilitate the PART 1560—SECURE FLIGHT secure travel of the public. This part PROGRAM enables TSA to operate a watch list matching program known as Secure Subpart A—General Flight, which involves the comparison of passenger and non-traveler informa- Sec. tion with the identifying information 1560.1 Scope, purpose, and implementation. of individuals on Federal government watch lists.

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(c) Implementation. Each covered air- 1544.101(a). Covered flight also means craft operator must begin requesting any operation of an aircraft that is the information described in subject to or operates under a security § 1560.101(a)(1) and have the capability program under 49 CFR 1546.101(a) or (b) to transmit SFPD to TSA in accord- arriving in or departing from the ance with its Aircraft Operator Imple- United States, or overflying the conti- mentation Plan (AOIP) as approved by nental United States. Covered flight TSA. Each covered aircraft operator does not include any flight for which must begin transmitting information TSA has determined that the Federal to TSA as required in § 1560.101(b) on government is conducting passenger the date specified in, and in accordance matching comparable to the matching with, its AOIP as approved by TSA. conducted pursuant to this part. TSA will inform each covered aircraft Date of birth means the day, month, operator 60 days prior to the date on and year of an individual’s birth. which TSA will assume the watch list Department of Homeland Security Trav- matching function from that aircraft eler Redress Inquiry Program or DHS operator. TRIP means the voluntary program § 1560.3 Terms used in this part. through which individuals may request redress if they believe they have been: In addition to the terms in §§ 1500.3 (1) Denied or delayed boarding trans- and 1540.5 of this chapter, the following portation due to DHS screening pro- terms apply to this part: grams; Aircraft Operator Implementation Plan (2) Denied or delayed entry into or or AOIP means a written procedure describing how and when a covered air- departure from the United States at a craft operator or airport operator port of entry; or transmits passenger and flight infor- (3) Identified for additional (sec- mation and non-traveler information ondary) screening at U.S. transpor- to TSA, as well as other related mat- tation facilities, including airports, ters. and seaports. Airport code means the official code, Full name means an individual’s full designated by the International Air name as it appears on a verifying iden- Transport Association (IATA), for an tity document held by the individual. airport. Inhibited status means the status of a Consolidated User Guide means a docu- passenger or non-traveling individual ment developed by the Department of to whom TSA has instructed a covered Homeland Security (DHS) to provide aircraft operator or a covered airport guidance to aircraft operators that operator not to issue a boarding pass or must transmit passenger information to provide access to the sterile area. to one or more components of DHS on Itinerary information means informa- operational processing and trans- tion reflecting a passenger’s or non- mission of passenger information to all traveling individual’s itinerary speci- required components in a unified man- fied in the covered aircraft operator’s ner. The Consolidated User Guide is AOIP. For non-traveling individuals, part of the covered aircraft operator’s itinerary information is the airport security program. code for the sterile area to which the Covered aircraft operator means each non-traveler seeks access. For pas- aircraft operator required to carry out sengers, itinerary information includes a full program under 49 CFR 1544.101(a) the following: or a security program under 49 CFR (1) Departure airport code. 1546.101(a) or (b). (2) Aircraft operator. Covered airport operator means each (3) Scheduled departure date. airport operator that seeks to author- (4) Scheduled departure time. ize non-traveling individuals to enter a sterile area for a purpose permitted by (5) Scheduled arrival date. TSA. (6) Scheduled arrival time. Covered flight means any operation of (7) Arrival airport code. an aircraft that is subject to or oper- (8) Flight number. ates under a full program under 49 CFR (9) Operating carrier (if available).

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Known Traveler Number means a ited status and from whom the covered unique number assigned to an indi- aircraft operator or covered airport op- vidual for whom the Federal govern- erator is required to request additional ment has conducted a security threat information and a Verifying Identity assessment and determined does not Document. Passenger Resolution Infor- pose a security threat. mation includes, but is not limited to, Non-traveling individual or non-trav- the following: eler means an individual to whom a (1) Covered aircraft operator’s agent covered aircraft operator or covered identification number or agent sine. airport operator seeks to issue an au- (2) Type of Verifying Identity Docu- thorization to enter the sterile area of ment presented by the passenger. an airport in order to escort a minor or (3) The identification number on the a passenger with disabilities or for Verifying Identity Document. some other purpose permitted by TSA. (4) Issue date of the Verifying Iden- The term non-traveling individual or tity Document. non-traveler does not include employees (5) Name of the governmental author- or agents of airport or aircraft opera- ity that issued the Verifying Identity tors or other individuals whose access Document. to a sterile area is governed by another (6) Physical attributes of the pas- TSA requirement. senger such as height, eye color, or Overflying the continental United scars, if requested by TSA. States means departing from an airport Passport information means the fol- or location outside the United States lowing information from an individ- and transiting the airspace of the con- ual’s passport: tinental United States en route to an- (1) Passport number. other airport or location outside the (2) Country of issuance. United States. Airspace of the conti- (3) Expiration date. nental United States includes the air- (4) Gender. space over the lower 48 states of the (5) Full name. United States, not including Alaska or Hawaii, and the airspace overlying the Redress Number means the number as- territorial waters between the U.S. signed by DHS to an individual proc- coast of the lower 48 states and 12 nau- essed through the redress procedures tical miles from the continental U.S. described in 49 CFR part 1560, subpart coast. Overflying the continental United C. States does not apply to: Secure Flight Passenger Data or (1) Flights that transit the airspace (SFPD) means information regarding a of the continental United States be- passenger or non-traveling individual tween two airports or locations in the that a covered aircraft operator or cov- same country, where that country is ered airport operator transmits to Canada or Mexico; or TSA, to the extent available, pursuant (2) Any other category of flights that to § 1560.101. SFPD is the following in- the Assistant Secretary of Homeland formation regarding a passenger or Security (Transportation Security Ad- non-traveling individual: ministration) designates in a notice in (1) Full name. the FEDERAL REGISTER. (2) Date of birth. Passenger means an individual who is (3) Gender. traveling on a covered flight. The term (4) Redress number or Known Trav- passenger does not include: eler Number (once implemented). (1) A crew member who is listed as a (5) Passport information. crew member on the flight manifest; or (6) Reservation control number. (2) An individual with flight deck (7) Record sequence number. privileges under 49 CFR 1544.237 trav- (8) Record type. eling on the flight deck. (9) Passenger update indicator. Passenger Resolution Information or (10) Traveler reference number. PRI means the information that a cov- (11) Itinerary information. ered aircraft operator or covered air- Self-service kiosk means a kiosk oper- port operator transmits to TSA for an ated by a covered aircraft operator individual who TSA places in an inhib- that is capable of accepting a passenger

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reservation or a request for authoriza- hours prior to the scheduled time of de- tion to enter a sterile area from a non- parture of the covered flight. For an in- traveling individual. dividual that makes a reservation for a Sterile area means ‘‘sterile area’’ as covered flight within 72 hours of the defined in 49 CFR 1540.5. scheduled time of departure for the Terrorist Screening Center or TSC covered flight, the covered aircraft op- means the entity established by the erator must collect the individual’s Attorney General to carry out Home- full name, date of birth, and gender at land Security Presidential Directive 6 the time of reservation. The covered (HSPD–6), dated September 16, 2003, to aircraft operator must include the in- consolidate the Federal government’s formation provided by the individual in approach to terrorism screening and response to this request in the SFPD. provide for the appropriate and lawful (i) Except as provided in paragraph use of terrorist information in screen- (a)(1)(ii) of this section, each covered ing processes. aircraft operator must begin request- Verifying Identity Document means ing the information described in para- one of the following documents: graph (a)(1) of this section in accord- (1) An unexpired passport issued by a ance with its AOIP as approved by foreign government. TSA. (2) An unexpired document issued by (ii) An aircraft operator that be- a U.S. Federal, State, or tribal govern- comes a covered aircraft operator after ment that includes the following infor- the effective date of this part must mation for the individual: begin requesting the information on (i) Full name. the date it becomes a covered aircraft (ii) Date of birth. operator. (iii) Photograph. (2) Beginning on a date no later than (3) Such other documents that TSA 30 days after being notified in writing may designate as valid verifying iden- by TSA, each covered aircraft operator tity documents. must additionally request the Known Watch list refers to the No Fly and Traveler Number for passengers on a Selectee List components of the Ter- covered flight and non-traveling indi- rorist Screening Database maintained viduals seeking access to an airport by the Terrorist Screening Center. For sterile area. The covered aircraft oper- certain flights, the ‘‘watch list’’ may ator must include the Known Traveler include the larger set of watch lists Number provided by the passenger in maintained by the Federal government response to this request in the SFPD. as warranted by security consider- (3) Each covered aircraft operator ations. may not submit SFPD for any passenger on a covered flight who does not Subpart B—Collection and Trans- provide a full name, date of birth and mission of Secure Flight Pas- gender. Each covered aircraft operator senger Data for Watch List may not accept a request for authoriza- Matching tion to enter a sterile area from a non- traveling individual who does not pro- § 1560.101 Request for and trans- vide a full name, date of birth and gen- mission of information to TSA. der. (a) Request for information. (1) Each (4) Each covered aircraft operator covered aircraft operator must request must ensure that each third party that the full name, gender, date of birth, accepts a reservation, or accepts a re- and Redress Number for passengers on quest for authorization to enter a ster- a covered flight and non-traveling indi- ile area, on the covered aircraft opera- viduals seeking access to an airport tor’s behalf complies with the require- sterile area. For reservations made 72 ments of this section. hours prior to the scheduled time of de- (5) If the covered aircraft operator parture for each covered flight, the also has an operation of an aircraft covered aircraft operator must collect that is subject to 49 CFR 1544.101(b) full name, gender, and date of birth for through (i), the covered aircraft oper- each passenger when the reservation is ator may submit SFPD for passengers made or at a time no later than 72 on these operations for watch list

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matching under this part, provided in order to comply with § 1560.101(a) that the covered aircraft operator— through an electronic means not de- (i) Collects and transmits the SFPD scribed in paragraph (a)(1) of this sec- for the passengers in accordance with tion, the covered aircraft operator this section; must make available the complete pri- (ii) Provides the privacy notice to the vacy notice set forth in paragraph (b) passengers in accordance with 49 CFR of this section. 1560.103; and (3) Third party Web site. Each covered (iii) Complies with the requirements aircraft operator must ensure that of 49 CFR 1560.105 and 1560.107. each third party that maintains a Web (b) Transmission of Secure Flight Pas- site capable of making a reservation senger Data to TSA. Beginning on the for the covered aircraft operator’s res- date provided in a covered aircraft op- ervation system, make available on its erator’s AOIP, the covered aircraft op- Web site the complete privacy notice erator must electronically transmit set forth in paragraph (b) of this sec- SFPD to TSA, prior to the scheduled tion prior to collecting information departure of each covered flight, in ac- through the Web site. cordance with its AOIP as approved by (b) Privacy notice. The covered air- TSA. craft operator may substitute its name (1) To the extent available, each cov- for the word ‘‘us,’’ but the complete ered aircraft operator must electroni- privacy notice otherwise must be iden- cally transmit SFPD to TSA for each tical to the following paragraph unless passenger on a covered flight. TSA has approved alternative lan- (2) Each covered aircraft operator guage: must transmit SFPD to TSA prior to the scheduled flight departure time, in The Transportation Security Administra- accordance with its AOIP as approved tion of the U.S. Department of Homeland Se- by TSA. curity requires us to collect information (c) Transmission of non-traveler infor- from you for purposes of watch list screening, under the authority of 49 U.S.C. section mation to TSA. Beginning on the date 114, and the Intelligence Reform and Ter- provided in a covered aircraft opera- rorism Prevention Act of 2004. Providing this tor’s AOIP, the covered aircraft oper- information is voluntary; however, if it is ator must electronically transmit not provided, you may be subject to addi- SFPD to TSA for each non-traveling tional screening or denied transport or au- individual, prior to authorizing access thorization to enter a sterile area. TSA may to an airport sterile area. share information you provide with law en- (d) Retransmission of information. Each forcement or intelligence agencies or others under its published system of records notice. covered aircraft operator must re- For more on TSA Privacy policies, or to view transmit to TSA updates to the infor- the system of records notice and the privacy mation listed in paragraphs (b) and (c) impact assessment, please see TSA’s Web of this section to reflect most recent site at www.tsa.gov. changes to that information, as specified in its AOIP as approved by TSA. § 1560.105 Denial of transport or sterile area access; designation for en- § 1560.103 Privacy notice. hanced screening. (a) Electronic collection of informa- (a) Applicability. (1) This section ap- tion—(1) Current electronic collection of plies to each covered aircraft operator information. Prior to collecting infor- beginning on the date that TSA as- mation through a Web site or self-serv- sumes the watch list matching func- ice kiosk from a passenger or non-trav- tion for the passengers and non-traveling individual in order to comply eling individuals to whom that covered with § 1560.101(a), a covered aircraft op- aircraft operator issues a boarding pass erator must make available the com- or other authorization to enter a ster- plete privacy notice set forth in para- ile area. TSA will provide prior written graph (b) of this section. notification to the covered aircraft op- (2) Other electronic collection of infor- erator no later than 60 days before the mation. If a covered aircraft operator date on which it will assume the watch collects information directly from a list matching function from that cov- passenger or non-traveling individual ered aircraft operator.

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(2) Prior to the date that TSA as- (3) Cleared for boarding or entry into a sumes the watch list matching func- sterile area. If TSA sends a covered air- tion from a covered aircraft operator, craft operator a boarding pass printing the covered aircraft operator must result that instructs a covered aircraft comply with existing watch list match- operator that a passenger or non-trav- ing procedures for passengers and non- eling individual is cleared, the covered traveling individuals, including denial aircraft operator may issue a boarding of transport or sterile area access or pass or other authorization to enter a designation for enhanced screening for sterile area to that individual, unless individuals identified by the covered required under another TSA require- aircraft operator or TSA. ment to identify the passenger or non- (b) Watch list matching results. Except traveling individual for enhanced as provided in paragraph (b) of this sec- screening or to deny entry into the tion, a covered aircraft operator must sterile area. The covered aircraft oper- not issue a boarding pass or other au- ator must place a code on the boarding thorization to enter a sterile area to a pass or authorization to enter the ster- passenger or a non-traveling indi- ile area that meets the requirements vidual, and must not allow that indi- described in the Consolidated User vidual to board an aircraft or enter a Guide. sterile area, until TSA informs the cov- (4) Override by a covered aircraft oper- ered aircraft operator of the results of ator. No covered aircraft operator may watch list matching for that passenger override a TSA boarding pass printing or non-traveling individual, in response result that instructs a covered aircraft to the covered aircraft operator’s most operator to place a passenger or non- recent SFPD submission for that pas- traveling individual in an inhibited senger or non-traveling individual. status or to identify a passenger or (1) Denial of boarding pass. If TSA non-traveling individual for enhanced sends a covered aircraft operator a screening, unless explicitly authorized boarding pass printing result that says by TSA to do so. the passenger or non-traveling indi- (5) Updated SFPD from covered aircraft vidual must be placed on inhibited sta- operator. When a covered aircraft oper- tus, the covered aircraft operator must ator sends updated SFPD to TSA under not issue a boarding pass or other au- § 1560.101(d) for a passenger or non-trav- thorization to enter a sterile area to eling individual for whom TSA has al- that individual and must not allow ready issued a boarding pass printing that individual to board an aircraft or result, all previous TSA results con- enter a sterile area. cerning the passenger or non-traveling (2) Selection for enhanced screening. If individual are voided. The covered air- TSA sends a covered aircraft operator craft operator may not issue a board- a boarding pass printing result that ing pass or grant authorization to says the passenger has been selected enter a sterile area until it receives an for enhanced screening at a security updated result from TSA authorizing checkpoint, the covered aircraft oper- the issuance of a boarding pass or au- ator may issue a boarding pass to that thorization to enter a sterile area. individual and must identify the indi- Upon receiving an updated result from vidual for enhanced screening, in ac- TSA, the covered aircraft operator cordance with procedures approved by must acknowledge receipt of the up- TSA. The covered aircraft operator dated result, comply with the updated must place a code on the boarding pass result, and disregard all previous that meets the requirements described boarding pass printing results. in the Consolidated User Guide. If TSA (6) Updated boarding pass printing re- sends a covered aircraft operator a sults from TSA. After TSA sends a cov- boarding pass printing result that says ered aircraft operator a result under the non-traveling individual has been paragraph (b)(1), (b)(2), or (b)(3) of this selected for enhanced screening at a se- section, TSA may receive additional curity checkpoint, the covered aircraft information concerning the passenger operator must not issue an authoriza- or non-traveling individual and may tion to enter a sterile area to that indi- send an updated boarding pass printing vidual. result concerning that passenger or

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non-traveling individual to the covered must present a verifying identity docu- aircraft operator. Upon receiving an ment to the covered aircraft operator updated boarding pass printing result at the airport. from TSA, the covered aircraft oper- (2) Transmission of Updated Secure ator must acknowledge receipt of the Flight Passenger Data. Upon reviewing a updated result, comply with the up- passenger’s verifying identity docu- dated result, and disregard all previous ment, the covered aircraft operator results. must transmit the SFPD elements (7) Boarding pass issuance for covered from the individual’s verifying identity flights to or overflying the United States. document to TSA. Covered aircraft operators may permit (3) Provision of Passenger Resolution another aircraft operator to issue a Information. If requested by TSA, the boarding pass for a covered flight de- covered aircraft operator must also parting from a foreign location to the provide to TSA the individual’s Pas- United States or overflying the United senger Resolution Information as spec- States without regard to the require- ified by TSA. ments in paragraphs (b)(1) through (4) Exception for minors. If a covered (b)(6) of this section provided that— aircraft operator is required to obtain (i) Before allowing the individual to information from an individual’s board the aircraft for a covered flight, verifying identity document under this the covered aircraft operator confirms paragraph (c), and the individual is that it has received a boarding pass younger than 18 years of age and does printing result from DHS for individ- not have a verifying identity docu- uals who are issued boarding passes ment, TSA may, on a case-by-case under paragraph (b)(7) of this section; basis, authorize the minor or an adult (ii) Before allowing the individual to accompanying the minor to state the board an aircraft for a covered flight, individual’s full name and date of birth the covered aircraft operator applies in lieu of providing a verifying identity the measures in its security program document. to prevent an individual for whom DHS (d) Failure to obtain identification. If a has returned an inhibited status board- passenger or non-traveling individual ing pass printing result under para- does not present a verifying identity graph (b)(1) of this section from board- document when requested by the cov- ing the aircraft; and ered aircraft operator, in order to com- (iii) The covered aircraft operator apply with paragraph (c) of this section, plies the measures in its security pro- the covered aircraft operator must not gram, as provided in 49 CFR part 1544, issue a boarding pass or give authoriza- subpart B or 49 CFR part 1546, subpart tion to enter a sterile area to that indi- B, to ensure that an individual for vidual and must not allow that indi- whom DHS returns a Selectee result vidual to board an aircraft or enter a under paragraph (b)(2) of this section sterile area, unless otherwise author- undergoes enhanced screening pursuant ized by TSA. to the covered aircraft operator’s security program prior to that individual § 1560.107 Use of watch list matching boarding the aircraft. results by covered aircraft opera- (c) Request for identification—(1) In tors. general. If TSA has not informed the A covered aircraft operator must not covered aircraft operator of the results use any watch list matching results of watch list matching for an indi- provided by TSA for purposes other vidual by the time the individual at- than those provided in § 1560.105 and tempts to check in, or informs the cov- other security purposes. ered aircraft operator that an individual has been placed in inhibited sta- § 1560.109 Aircraft Operator Imple- tus, the aircraft operator must request mentation Plan. from the individual a verifying iden- (a) Content of the Aircraft Operator Im- tity document pursuant to procedures plementation Plan (AOIP). Each covered in its security program., as provided in aircraft operator must adopt and carry 49 CFR part 1544, subpart B or 49 CFR out an AOIP that sets forth the fol- part 1546, subpart B. The individual lowing:

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(1) The covered aircraft operator’s craft operator’s security program as test plan with TSA. described in 49 CFR part 1544, subpart (2) When the covered operator will B, or 49 CFR part 1546, subpart B, as ap- begin to collect and transmit to TSA propriate, and any amendments will be each data element of the SFPD for made in accordance with the proce- each covered flight. dures in those subparts. (3) The specific means by which the (d) Handling of Aircraft Operator Im- covered aircraft operator will request plementation Plan (AOIP). An AOIP con- and transmit information under tains sensitive security information § 1560.101, the timing and frequency of (SSI) and must be handled and pro- transmission, and any other related tected in accordance with 49 CFR part matters, in accordance with the Con- 1520. solidated User Guide. (b) Adoption of Aircraft Operator Imple- § 1560.111 Covered airport operators. mentation Plan (AOIP). Each covered (a) Applicability. This section applies aircraft operator must adopt an AOIP to a covered airport operator that has pursuant to the procedures set forth in a program approved by TSA through this paragraph (b). which the covered airport operator (1) TSA notifies each covered aircraft may authorize non-traveling individ- operator in writing of a proposed AOIP, uals to enter a sterile area. fixing a period of not less than 30 days (b) Requirements. A covered airport within which the covered aircraft oper- operator must adopt and carry out an ator may submit written information, AOIP in accordance with § 1560.109. views, and arguments on the proposed Each covered airport operator must AOIP. comply with the procedures required of (2) After considering all relevant ma- covered aircraft operators in terial, TSA’s designated official noti- §§ 1560.101(a), (c), and (d), 1560.103, and fies each covered aircraft operator of 1560.107 of this part and any other ap- its AOIP. The AOIP becomes effective plicable TSA requirements when au- not less than 30 days after the covered thorizing non-traveling individuals to aircraft operator receives the notice of enter a sterile area. its AOIP, unless the covered aircraft operator petitions the Assistant Sec- Subpart C—Passenger Redress retary or designated official to reconsider no later than 15 days before the § 1560.201 Applicability. effective date of the AOIP. The covered This subpart applies to individuals aircraft operator must send the peti- who believe they have been improperly tion for reconsideration to the des- or unfairly delayed or prohibited from ignated official. A timely petition for boarding an aircraft or entering a ster- reconsideration stays the effective date ile area as a result of the Secure Flight of the AOIP. program. (3) Upon receipt of a petition for reconsideration, the designated official § 1560.203 Representation by counsel. either amends the AOIP or transmits A person may be represented by the petition, together with any perti- counsel at his or her own expense dur- nent information, to the Assistant Sec- ing the redress process. retary or designee for reconsideration. The Assistant Secretary or designee § 1560.205 Redress process. disposes of the petition within 30 days (a) If an individual believes he or she of receipt by either directing the des- has been improperly or unfairly de- ignated official to withdraw or amend layed or prohibited from boarding an the AOIP, or by affirming the AOIP. aircraft or entering a sterile area as a (4) TSA may, at its discretion, grant result of the Secure Flight program, extensions to any schedule deadlines, the individual may seek assistance on its own initiative or upon the re- through the redress process established quest of a covered aircraft operator. under this section. (c) Incorporation into Security Pro- (b) An individual may obtain the gram. Once an AOIP is approved, the forms and information necessary to AOIP becomes part of the covered air- initiate the redress process on the DHS

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TRIP Web site at http://www.dhs.gov/ 1562.3 Operating requirements. trip or by contacting the DHS TRIP office by mail. Individuals should send Subpart B—Ronald Reagan Washington written requests for forms to the DHS National Airport: Enhanced Security TRIP office and include their name and Procedures for Certain Operations address in the request. DHS will pro- 1562.21 Scope, general requirements, and vide the necessary forms and informa- definitions. tion to individuals through its Web site 1562.23 Aircraft operator and passenger re- or by mail. quirements. (c) The individual must send to the 1562.25 Fixed base operator requirements. DHS TRIP office the personal informa- 1562.27 Costs. tion and copies of the specified identi- 1562.29 Armed security officer requirements. fication documents. If TSA needs addi- AUTHORITY: 49 U.S.C. 114, 40114, Sec. 823, tional information in order to continue Pub. L. 108–176, 117 Stat. 2595. the redress process, TSA will so notify SOURCE: 70 FR 7162, Feb. 10, 2005, unless the individual in writing and request otherwise noted. that additional information. The DHS TRIP Office will assign the passenger a Subpart A—Maryland Three Air- unique identifier, which TSA will rec- ports: Enhanced Security Pro- ognize as the Redress Number, and the cedures for Operations at passenger may use that Redress Num- Certain Airports in the Wash- ber in future correspondence with TSA and when making future travel res- ington, DC, Metropolitan Area ervations. Flight Restricted Zone (d) TSA, in coordination with the § 1562.1 Scope and definitions. TSC and other appropriate Federal law enforcement or intelligence agencies, if (a) Scope. This subpart applies to the necessary, will review all the docu- following airports, and individuals who mentation and information requested operate an aircraft to or from those from the individual, correct any erro- airports, that are located within the neous information, and provide the in- airspace designated as the Washington, DC, Metropolitan Area Flight Re- dividual with a timely written restricted Zone by the Federal Aviation sponse. Administration: § 1560.207 Oversight of process. (1) College Park Airport (CGS); (2) Potomac Airfield (VKX); and The redress process and its imple- (3) Washington Executive/Hyde Field mentation are subject to review by the (W32). TSA and DHS Privacy Offices and the (b) Definitions. For purposes of this TSA and DHS Offices for Civil Rights section: and Civil Liberties. Airport security coordinator means the official at a Maryland Three Airport PART 1562—OPERATIONS IN THE who is responsible for ensuring that WASHINGTON, DC, METROPOLI- the airport’s security procedures are TAN AREA implemented and followed. Maryland Three Airport means any of Subpart A—Maryland Three Airports: En- the airports specified in paragraph (a) hanced Security Procedures for Oper- of this section. ations at Certain Airports in the Wash- ington, DC, Metropolitan Area Flight § 1562.3 Operating requirements. Restricted Zone (a) Airport operator requirements. Each operator of a Maryland Three Airport Sec. must: 1562.1 Scope and definitions. (1) Appoint an airport employee as the airport security coordinator; (2) Maintain and carry out security procedures approved by TSA;

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(3) Maintain at the airport a copy of (5) Contain procedures for limited ap- the airport’s TSA-approved security proval of pilots who violate the Wash- procedures; ington, DC, Metropolitan Area Flight (4) Maintain at the airport a copy of Restricted Zone and are forced to land each Federal Aviation Administration at the airport. Notice to Airmen and rule that affects (6) Contain any additional procedures security procedures at the Maryland required by TSA to provide for the se- Three Airports; and curity of aircraft operations to or from (5) Permit officials authorized by the airport. TSA to inspect— (d) Amendments to security procedures. (i) The airport; Airport security procedures approved (ii) The airport’s TSA-approved secu- by TSA remain in effect unless TSA de- rity procedures; and termines that— (iii) Any other documents required (1) Operations at the airport have not under this section. been conducted in accordance with (b) Airport security coordinator require- those procedures; or ments. Each airport security coordinator for a Maryland Three Airport (2) The procedures must be amended must be approved by TSA. To obtain to provide for the security of aircraft TSA approval, an airport security coor- operations to or from the airport. dinator must: (e) Pilot requirements for TSA approval. (1) Present to TSA, in a form and Except as specified in paragraph (g) of manner acceptable to TSA, his or her— this section, each pilot of an aircraft (i) Name; operating to or from any of the Mary- (ii) Social Security Number; land Three Airports must be approved (iii) Date of birth; by TSA. To obtain TSA approval, a (iv) Address; pilot must: (v) Phone number; and (1) Present to TSA— (vi) Fingerprints. (i) The pilot’s name; (2) Successfully complete a TSA ter- (ii) The pilot’s Social Security Num- rorist threat assessment; and ber; (3) Not have been convicted or found (iii) The pilot’s date of birth; not guilty by reason of insanity, in any (iv) The pilot’s address; jurisdiction, during the 10 years prior (v) The pilot’s phone number; to applying for authorization to oper- (vi) The pilot’s current and valid air- ate to or from the airport, or while au- man certificate or current student thorized to operate to or from the air- pilot certificate; port, of any crime specified in 49 CFR (vii) The pilot’s current medical cer- 1542.209 or 1572.103. tificate; (c) Security procedures. To be approved by TSA, an airport’s security (viii) One form of Government-issued procedures, at a minimum, must: picture identification of the pilot; (1) Identify and provide contact infor- (ix) The pilot’s fingerprints, in a form mation for the airport’s airport secu- and manner acceptable to TSA; and rity coordinator. (x) A list containing the make, (2) Contain a current record of the in- model, and registration number of each dividuals and aircraft authorized to op- aircraft that the pilot intends to oper- erate to or from the airport. ate to or from the airport. (3) Contain procedures to— (2) Successfully complete a TSA ter- (i) Monitor the security of aircraft at rorist threat assessment. the airport during operational and non- (3) Receive a briefing acceptable to operational hours; and TSA and the Federal Aviation Admin- (ii) Alert the aircraft owner(s) and istration that describes procedures for operator(s), the airport operator, and operating to and from the airport. TSA of unsecured aircraft. (4) Not have been convicted or found (4) Contain procedures to implement not guilty by reason of insanity, in any and maintain security awareness pro- jurisdiction, during the 10 years prior cedures at the airport.

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to applying for authorization to oper- aeromedical services aircraft on an au- ate to or from the airport, or while authorized mission to or from any of the thorized to operate to or from the air- Maryland Three Airports provided that port, of any crime specified in 49 CFR the individual complies with any re- 1542.209 or 1572.103. quirements for operating to or from (5) Not, in TSA’s discretion, have a the airport specified by TSA or the record on file with the Federal Avia- Federal Aviation Administration. tion Administration of a violation of— (i) Continuing responsibilities. (1) If an (i) A prohibited area designated airport security coordinator, or a pilot under 14 CFR part 73; who is approved to operate to or from (ii) A flight restriction established any of the Maryland Three Airports, is under 14 CFR 91.141; convicted or found not guilty by reason (iii) Special security instructions of insanity, in any jurisdiction, of any issued under 14 CFR 99.7; crime specified in 49 CFR 1542.209 or (iv) A restricted area designated 1572.103, the airport security coordi- under 14 CFR part 73; nator or pilot must notify TSA within (v) Emergency air traffic rules issued 24 hours of the conviction or finding of under 14 CFR 91.139; not guilty by reason of insanity. TSA (vi) A temporary flight restriction may withdraw its approval of the air- designated under 14 CFR 91.137, 91.138, port security coordinator or pilot as a or 91.145; or result of the conviction or finding of (vii) An area designated under 14 CFR not guilty by reason of insanity. 91.143. (2) If a pilot who is approved to oper- (f) Additional pilot requirements. Ex- ate to or from any of the Maryland cept as specified in paragraph (g) of Three Airports commits any of the vio- this section, each pilot of an aircraft lations described in paragraph (e)(5) of operating to or from any of the Mary- this section, the pilot must notify TSA land Three Airports must: within 24 hours of the violation. TSA, (1) Protect from unauthorized disclo- in its discretion, may withdraw its ap- sure any identification information proval of the pilot as a result of the issued by TSA or the Federal Aviation violation. Administration for the conduct of oper- (3) If an airport security coordinator, ations to or from the airport. or a pilot who is approved to operate to (2) Secure the aircraft after returning or from any of the Maryland Three Air- to the airport from any flight. ports, is determined by TSA to pose a (3) Comply with any other require- threat to national or transportation se- ments for operating to or from the air- curity, or a threat of terrorism, TSA port specified by TSA or the Federal may withdraw its approval of the air- Aviation Administration. port security coordinator or pilot. (g) Operations to any of the Maryland (j) Waivers. TSA, in coordination with Three Airports. A pilot who is approved the Federal Aviation Administration, by TSA in accordance with paragraph the United States Secret Service, and (d) of this section may operate an air- any other relevant agency, may permit craft to any of the Maryland Three Air- an operation to or from any of the ports, provided that the pilot— Maryland Three Airports, in deviation (1) Files an instrument flight rules or from the provisions of this section, if visual flight rules flight plan with TSA finds that such action— Leesburg Automated Flight Service (1) Is in the public interest; and Station; (2) Provides the level of security re- (2) Obtains an Air Traffic Control quired by this section. clearance with a discrete transponder code; and (3) Follows any arrival/departure pro- Subpart B—Ronald Reagan Wash- cedures required by the Federal Avia- ington National Airport: En- tion Administration. hanced Security Procedures (h) U.S. Armed forces, law enforcement, for Certain Operations and aeromedical services aircraft. An individual may operate a U.S. Armed SOURCE: 70 FR 41600, July 19, 2005, unless Forces, law enforcement, or otherwise noted.

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§ 1562.21 Scope, general requirements, DASSP means the aircraft operator and definitions. security program (DCA Access Stand- (a) Scope. This subpart applies to air- ard Security Program) approved by craft operations into or out of Ronald TSA under this part for aircraft oper- Reagan Washington National Airport ations into and out of DCA. (DCA), fixed base operators located at FBO means a fixed base operator that DCA or gateway airports; individuals has been approved by TSA under this designated as a security coordinator by part to serve as a last point of depar- aircraft operators or fixed base opera- ture for flights into or out of DCA. tors; and crewmembers, passengers, FBO Security Program means the se- and armed security officers on aircraft curity program approved by TSA under operations subject to this subpart. this part for FBOs to serve flights into or out of DCA. (b) General requirements. Each person means a pilot, operating an aircraft into or out of Flightcrew member flight engineer, or flight navigator as- DCA must comply with this subpart, signed to duty in an aircraft during except: flight time. (1) Military, law enforcement, and Gateway airport means an airport medivac aircraft operations; that has been approved by TSA under (2) Federal and State government air- this part as a last point of departure craft operations operating under an for flights into DCA under this part. airspace waiver approved by TSA and Passenger means any person on an the Federal Aviation Administration; aircraft other than a flightcrew mem- (3) All-cargo aircraft operations; and ber. A ‘‘passenger’’ includes an armed (4) Passenger aircraft operations con- security officer authorized to carry a ducted under: firearm in accordance with the rule. (i) A full security program approved by TSA in accordance with 49 CFR § 1562.23 Aircraft operator and pas- 1544.101(a); or senger requirements. (ii) A foreign air carrier security pro- (a) General. To operate into or out of gram approved by TSA in accordance DCA, an aircraft operator must: with 49 CFR 1546.101(a) or (b). (1) Designate a security coordinator (c) Other security programs. Each air- responsible for implementing the craft operator required to comply with DASSP and other security require- this subpart for an aircraft operation ments required under this section, and into or out of DCA must also comply provide TSA with the security coordi- with any other TSA-approved security nator’s contact information and avail- program that covers that operation. If ability in accordance with the DASSP. any requirements of the DASSP con- (2) Adopt and carry out the DASSP. flict with the requirements of another (3) Ensure that each crewmember of TSA-approved security program, the an aircraft operating into or out of aircraft operation must be conducted DCA meets the requirements of para- in accordance with the requirements of graph (c) of this section. the DASSP. (4) Apply for and receive a reserva- (d) Definitions. For purposes of this tion from the Federal Aviation Admin- subpart, the following definitions istration and authorization from TSA apply: for each flight into and out of DCA in Armed Security Officer Program means accordance with paragraph (d) of this the security program approved by TSA, section. in coordination with the Federal Air (5) Comply with the operating re- Marshal Service, for security officers quirements in paragraph (e) of this sec- authorized to carry a firearm under tion for each flight into and out of § 1562.29 of this part. DCA. Crewmember means a person assigned (6) Pay any costs and fees required to perform duty in an aircraft during under this part. flight time. This does not include an (7) Restrict the distribution, disclo- armed security officer. sure, and availability of sensitive secu- DCA means Ronald Reagan Wash- rity information (SSI), as defined in ington National Airport. part 1520 of this chapter, to persons

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with a need to know, and refer all re- 1544.229, or 1544.230 of this chapter with quests for SSI by other persons to TSA. his or her current employer. (8) Comply with any additional secu- (2) Must not have a record on file rity procedures required by TSA with the Federal Aviation Administra- through order, Security Directive, or tion of a violation of— other means. (i) A prohibited area designated (b) Security coordinator. Each security under 14 CFR part 73; coordinator designated by an aircraft (ii) A flight restriction established operator under paragraph (a) of this under 14 CFR 91.141; section: (iii) Special security instructions (1) Must undergo a fingerprint-based issued under 14 CFR 99.7; criminal history records check that (iv) A restricted area designated does not disclose that he or she has a under 14 CFR part 73; disqualifying criminal offense as de- (v) Emergency air traffic rules issued scribed in § 1544.229(d) of this chapter. under 14 CFR 91.139; This standard is met if the security co- (vi) A temporary flight restriction ordinator is in compliance with the fin- designated under 14 CFR 91.137, 91.138, gerprint-based criminal history records or 91.145; or check requirements of §§ 1542.209, (vii) An area designated under 14 CFR 1544.229, or 1544.230 of this chapter with 91.143. his or her current employer. (3) May, if informed that a disquali- (2) Must submit to TSA his or her: fying offense has been disclosed, cor- (i) Legal name, including first, mid- rect the record in accordance with the dle, and last; any applicable suffix, and procedures set forth in paragraphs (h) any other names used. and (i) of § 1544.229 of this chapter re- (ii) Current mailing address, includ- garding notification and correction of ing residential address if different than records. current mailing address. (iii) Date and place of birth. (d) Flight authorization requirements. (iv) Social security number, (submis- To receive authorization to operate an sion is voluntary, although rec- aircraft into or out of DCA, an aircraft ommended). operator must follow the procedures in (v) Citizenship status and date of nat- this paragraph. uralization if the individual is a natu- (1) The aircraft operator must apply ralized citizen of the United States. to the Federal Aviation Administra- (vi) Alien registration number, if ap- tion for a tentative reservation, in a plicable. form and manner approved by the Fed- (3) Must successfully complete a TSA eral Aviation Administration. security threat assessment. (2) The aircraft operator must submit (4) May, if informed that a disquali- to TSA, in a form and manner approved fying offense has been disclosed, cor- by TSA, the following information at rect the record in accordance with the least 24 hours prior to aircraft depar- procedures set forth in paragraphs (h) ture: and (i) of § 1544.229 of this chapter re- (i) For each passenger and crew- garding notification and correction of member on the aircraft: records. (A) Legal name, including first, mid- (c) Flightcrew member requirements. dle, and last; any applicable suffix, and Each flightcrew member of an aircraft, any other names used. as defined in 49 CFR 1540.5, operating (B) Current mailing address, includ- into or out of DCA: ing residential address if different than (1) Must undergo a fingerprint-based current mailing address. criminal history records check that (C) Date and place of birth. does not disclose that he or she has a (D) Social security number, (submis- disqualifying criminal offense as de- sion is voluntary, although rec- scribed in § 1544.229(d) of this chapter. ommended). This standard is met if the flightcrew (E) Citizenship status and date of member is in compliance with the fin- naturalization if the individual is a gerprint-based criminal history records naturalized citizen of the United check requirements of §§ 1542.209, States.

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(F) Alien registration number, if ap- (4) Ensure that each aircraft oper- plicable. ating into or out of DCA has been (ii) The registration number of the searched in accordance with the aircraft. DASSP. (iii) The flight plan. (5) Ensure that each passenger and (iv) Any other information required crewmember on an aircraft operating by TSA. into or out of DCA provides TSA with (3) TSA will conduct a name-based a valid government-issued picture iden- security threat assessment for each tification in accordance with the passenger and crewmember. If TSA no- DASSP. tifies the aircraft operator that a pas- (6) If the aircraft operating into or senger or crewmember may pose a se- out of DCA is equipped with a cockpit curity threat, the aircraft operator door, ensure that the door is closed and must ensure that the passenger or locked at all times during the oper- crewmember does not board the air- ation of the aircraft to or from DCA, craft before the aircraft departs out of unless Federal Aviation Administra- DCA or out of a gateway airport to tion regulations require the door to re- DCA. main open. (4) If TSA approves the flight, TSA (7) Ensure that each aircraft oper- will transmit such approval to the Fed- ating into or out of DCA has onboard eral Aviation Administration for as- at least one armed security officer who signment of a final reservation to oper- meets the requirements of § 1562.29 of ate into or out of DCA. Once the Fed- this chapter. This requirement does eral Aviation Administration assigns not apply if— the final reservation, TSA will notify (i) There is a Federal Air Marshal on- the aircraft operator. board; or (5) TSA may, at its discretion, cancel (ii) The aircraft is being flown with- any or all flight approvals at any time out passengers into DCA to pick up without prior notice to the aircraft op- passengers, or out of DCA after erator. deplaning all passengers. (6) TSA may, at its discretion, permit (8) Ensure that an aircraft operating a flight into or out of DCA to deviate into or out of DCA has any Federal Air from the requirements of this subpart, Marshal onboard, at no cost to the Fed- if TSA finds that such action would not eral Government, if TSA or the Federal be detrimental to transportation secu- Air Marshal Service so requires. rity or the safe operation of the aircraft. (9) Notify the National Capital Re- (7) TSA may, at its discretion, region Coordination Center prior to de- quire any flight into or out of DCA parture of the aircraft from DCA or a under this subpart to comply with ad- gateway airport. ditional security measures. (10) Ensure that each aircraft oper- (e) Operating requirements. Each air- ating into or out of DCA operates craft operator must: under instrument flight rules. (1) Ensure that each flight into DCA (11) Ensure that each passenger com- departs from a gateway airport and plies with any security measures man- makes no intermediate stops before ar- dated by TSA. rival at DCA. (12) Ensure that no prohibited items (2) Ensure that each passenger and are onboard the aircraft. crewmember on an aircraft operating (f) Compliance. (1) Each aircraft oper- into or out of DCA has been screened in ator must: accordance with the DASSP prior to (i) Permit TSA to conduct any in- boarding the aircraft. spections or tests, including copying (3) Ensure that all accessible prop- records, to determine compliance with erty and property in inaccessible cargo this part and the DASSP. holds on an aircraft operating into or (ii) At the request of TSA, provide out of DCA has been screened in ac- evidence of compliance with this part cordance with the DASSP prior to and the DASSP, including copies of boarding the aircraft. records.

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(2) Noncompliance with this part or (5) Perform any other duties required the DASSP may result in the cancella- under the FBO Security Program. tion of an aircraft operator’s flight ap- (c) Compliance. (1) Each FBO must: provals and other remedial or enforce- (i) Permit TSA to conduct any in- ment action, as appropriate. spections or tests, including copying (g) Passenger requirements. Each pas- records, to determine compliance with senger, including each armed security this part and the FBO Security Pro- officer, who boards or attempts to gram. board an aircraft under this section (ii) At the request of TSA, provide must: evidence of compliance with this part (1) Provide information to the air- and the FBO Security Program, includ- craft operator as provided in this sec- ing copies of records. tion. (2) Noncompliance with this part or (2) Provide to TSA upon request a the FBO Security Program may result valid government-issued photo identi- in the cancellation of an aircraft oper- fication. ator’s flight approvals and other reme- (3) Comply with security measures as dial or enforcement action, as appro- conveyed by the aircraft operator. priate. (4) Comply with all applicable regulations in this chapter, including § 1562.27 Costs. § 1540.107 regarding submission to (a) Each aircraft operator must pay a screening and inspection, § 1540.109 re- threat assessment fee of $15 for each garding prohibition against inter- passenger and crewmember whose in- ference with screening personnel, and formation the aircraft operator sub- § 1540.111 regarding carriage of weapons, mits to TSA in accordance with explosives, and incendiaries by individ- § 1562.23(d) of this part. uals. (b) Each aircraft operator must pay § 1562.25 Fixed base operator require- to TSA the costs associated with car- ments. rying out this subpart, as provided in its DASSP. (a) Security program. Each FBO must adopt and carry out an FBO Security (c) All fees and reimbursement must Program. be remitted to TSA in a form and man- (b) Screening and other duties. Each ner approved by TSA. FBO must— (d) TSA will not issue any refunds, (1) Designate a security coordinator unless any fees or reimbursement funds who meets the requirements in were paid in error. § 1562.23(b) of this part and is respon- (e) If an aircraft operator does not sible for implementing the FBO Secu- remit to TSA the fees and reimburse- rity Program and other security re- ment funds required under this section, quirements required under this section, TSA may decline to process any re- and provide TSA with the security co- quests for authorization from the air- ordinator’s contact information and craft operator. availability in accordance with the FBO Security Program. § 1562.29 Armed security officer requirements. (2) Support the screening of persons and property in accordance with the re- (a) General. Unless otherwise author- quirements of this subpart and the ized by TSA, each armed security offi- FBO Security Program. cer must meet the following require- (3) Support the search of aircraft in ments: accordance with the requirements of (1) Be qualified to carry a firearm in this subpart and the FBO Security Pro- accordance with paragraph (b) of this gram. section. (4) Restrict the distribution, disclo- (2) Successfully complete a TSA se- sure, and availability of sensitive secu- curity threat assessment as described rity information (SSI), as defined in in paragraph (c) of this section. part 1520 of this chapter, to persons (3) Meet such other requirements as with a need to know, and refer all re- TSA, in coordination with the Federal quests for SSI by other persons to TSA. Air Marshal Service, may establish in

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the Armed Security Officer Security (vi) Is not prohibited by Federal law Program. from receiving a firearm. (4) Be authorized by TSA, in coordi- (3) Other individuals. Any other indi- nation with the Federal Air Marshal vidual must— Service, under 49 U.S.C. 44903(d). (i) Meet qualifications established by (b) Qualifications. To be qualified to TSA, in coordination with the Federal carry a firearm under this subpart, an Air Marshal Service, in the Armed Se- individual must meet the requirements curity Officer Program; in paragraph (1), (2), or (3) of this sec- (ii) Not be under the influence of al- tion, unless otherwise authorized by cohol or another intoxicating or hallu- TSA, in coordination with the Federal cinatory drug or substance; and Air Marshal Service. (iii) Not be prohibited by Federal law (1) Active law enforcement officers. An from receiving a firearm. active law enforcement officer must be (c) Threat assessments. To be author- an employee of a governmental agency ized under this section, each armed se- who— curity officer: (i) Is authorized by law to engage in (1) Must undergo a fingerprint-based or supervise the prevention, detection, criminal history records check that investigation, or prosecution of, or the does not disclose that he or she has a incarceration of any person for, any criminal offense that would disqualify violation of law; him or her from possessing a firearm (ii) Has statutory powers of arrest; under 18 U.S.C. 922(g). (iii) Is authorized by the agency to (2) May, if informed that a disquali- carry a firearm; fying offense has been disclosed, cor- (iv) Is not the subject of any discipli- rect the record in accordance with the nary action by the agency; procedures set forth in paragraphs (h) (v) Is not under the influence of alco- and (i) of § 1544.229 of this chapter re- hol or another intoxicating or hallu- garding notification and correction of cinatory drug or substance; and records. (vi) Is not prohibited by Federal law (3) Must submit to TSA his or her: from receiving a firearm. (i) Legal name, including first, mid- (2) Retired law enforcement officers. A dle, and last; any applicable suffix, and retired law enforcement officer must any other names used. be an individual who— (i) Retired in good standing from (ii) Current mailing address, includ- service with a public agency as a law ing residential address if different than enforcement officer, other than for rea- current mailing address. sons of mental instability; (iii) Date and place of birth. (ii) Before such retirement, was au- (iv) Social security number, (submis- thorized by law to engage in or super- sion is voluntary, although rec- vise the prevention, detection, inves- ommended). tigation, or prosecution of, or the in- (v) Citizenship status and date of nat- carceration of any person for, any vio- uralization if the individual is a natu- lation of law, and had statutory powers ralized citizen of the United States. of arrest; (vi) Alien registration number, if ap- (iii) Before such retirement, was reg- plicable. ularly employed as a law enforcement (4) Must undergo a threat assessment officer for an aggregate of 15 years or by TSA prior to receiving authoriza- more, or retired from service with such tion under this section and prior to agency, after completing any applica- boarding an aircraft operating into or ble probationary period of such service, out of DCA as provided in § 1562.23(d)(1) due to a service-connected disability, of this part. as determined by such agency; (d) Training. Each armed security of- (iv) Has a non-forfeitable right to ficer onboard an aircraft operating into benefits under the retirement plan of or out of DCA must: the agency; (1) Have basic law enforcement train- (v) Is not under the influence of alco- ing acceptable to TSA; and hol or another intoxicating or hallu- (2) Successfully complete a TSA-ap- cinatory drug or substance; and proved training course, developed in

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coordination with the Federal Air Mar- with the Armed Security Officer Pro- shal Service, at the expense of the gram. armed security officer. (h) Use of alcohol or intoxicating or (e) Armed security officer program. (1) hallucinatory drugs or substances. An Each armed security officer onboard an armed security officer onboard an air- aircraft operating into or out of DCA craft operating into or out of DCA may must— not consume alcohol or use an intoxi- (i) Comply with the Armed Security cating or hallucinatory drug or sub- Officer Program. stance during the flight and within 8 (ii) Restrict the distribution, disclo- hours before boarding the aircraft. sure, and availability of sensitive secu- (i) Credential—(1) TSA credential. An rity information (SSI), as defined in armed security officer under this sec- part 1520 of this chapter, to persons tion must carry a credential issued by with a need to know, and refer all re- TSA. quests for SSI by other persons to TSA. (2) TSA and the Federal Air Marshal (2) Inspection of credential. An armed Service may conduct random inspec- security officer must present the TSA- tions of armed security officers to en- issued credential for inspection when sure compliance with the Armed Secu- requested by an authorized representa- rity Officer Program. tive of TSA, the Federal Aviation Ad- (f) Authority to carry firearm. An ministration, the Federal Air Marshal armed security officer approved under Service, the National Transportation this section is authorized— Safety Board, any Federal, State, or (1) To carry a firearm in accordance local law enforcement officer, or any with the Armed Security Officer Pro- authorized aircraft operator represent- gram on an aircraft operating under a ative. DASSP into or out of DCA; and (3) Preflight identification to crew- (2) To transport a firearm in accord- members. When carrying a firearm, an ance with the Armed Security Officer armed security officer must identify Program at any airport as needed to himself or herself to all crewmembers carry out duties under this subpart, in- either personally or through another cluding for travel to and from flights member of the crew before the flight. conducted under this subpart. (j) Suspension or withdrawal of author- (g) Use of force. Each armed security ization. At the discretion of TSA, au- officer authorized to carry a firearm thorization under this subpart and 49 under this section may use force, in- U.S.C. 44903(d) is suspended or with- cluding deadly force, in accordance drawn upon notification by TSA.

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PART 1570—GENERAL RULES The Assistant Administrator may appoint a designee to assume his or her Sec. duties. 1570.1 Scope. Assistant Secretary means Assistant 1570.3 Terms used in this subchapter. Secretary for Homeland Security, 1570.5 Fraud and intentional falsification of Transportation Security Administra- records. tion (Assistant Secretary), the highest 1570.7 Fraudulent use or manufacture; re- ranking TSA official, or his or her des- sponsibilities of persons. ignee, and who is responsible for mak- 1570.9 Inspection of credential. ing the final determination on the ap- 1570.11 Compliance, inspection, and enforcement. peal of an intelligence-related check 1570.13 False statements regarding security under this part. background checks by public transpor- Commercial drivers license (CDL) is tation agency or railroad carrier. used as defined in 49 CFR 383.5. Convicted means any plea of guilty or AUTHORITY: 46 U.S.C. 70105; 49 U.S.C. 114, 5103a, 40113, and 46105; 18 U.S.C. 842, 845; 6 nolo contendere, or any finding of U.S.C. 469; Pub. L. 110–53 secs. 1414, 1522. guilt, except when the finding of guilt is subsequently overturned on appeal, SOURCE: 72 FR 3593, Jan. 25, 2007, unless pardoned, or expunged. For purposes of otherwise noted. this subchapter, a conviction is ex- § 1570.1 Scope. punged when the conviction is removed from the individual’s criminal history This part applies to any person in- record and there are no legal disabil- volved in land or maritime transpor- ities or restrictions associated with the tation as specified in this subchapter. expunged conviction, other than the fact that the conviction may be used § 1570.3 Terms used in this subchapter. for sentencing purposes for subsequent convictions. In addition, where an indi- For purposes of this subchapter: vidual is allowed to withdraw an origi- Adjudicate means to make an admin- nal plea of guilty or nolo contendere istrative determination of whether an and enter a plea of not guilty and the applicant meets the standards in this case is subsequently dismissed, the in- subchapter, based on the merits of the dividual is no longer considered to have issues raised. a conviction for purposes of this sub- Alien means any person not a citizen chapter. or national of the United States. Determination of No Security Threat Alien registration number means the means an administrative determina- number issued by the U.S. Department tion by TSA that an individual does of Homeland Security to an individual not pose a security threat warranting when he or she becomes a lawful per- denial of an HME or a TWIC. manent resident of the United States Federal Maritime Security Coordinator or attains other lawful, non-citizen sta- (FMSC) has the same meaning as de- tus. fined in 46 U.S.C. 70103(a)(2)(G); is the Applicant means a person who has ap- Captain of the Port (COTP) exercising plied for one of the security threat as- authority for the COTP zones described sessments identified in this subchapter. in 33 CFR part 3, and is the Port Facil- Assistant Administrator for Threat As- ity Security Officer as described in the sessment and Credentialing (Assistant International Ship and Port Facility Administrator) means the officer des- Security (ISPS) Code, part A. ignated by the Assistant Secretary to Final Determination of Threat Assess- administer the appeal and waiver pro- ment means a final administrative de- grams described in this part, except termination by TSA, including the res- where the Assistant Secretary is spe- olution of related appeals, that an indi- cifically designated in this part to ad- vidual poses a security threat war- minister the appeal or waiver program. ranting denial of an HME or a TWIC.

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Hazardous materials endorsement residence, as defined in 8 U.S.C. (HME) means the authorization for an 1101(a)(20). individual to transport hazardous ma- Maritime facility has the same mean- terials in commerce, an indication of ing as ‘‘facility’’ together with ‘‘OCS which must be on the individual’s com- facility’’ (Outer Continental Shelf fa- mercial driver’s license, as provided in cility), as defined in 33 CFR 101.105. the Federal Motor Carrier Safety Ad- Mental health facility means a mental ministration (FMCSA) regulations in institution, mental hospital, sani- 49 CFR part 383. tarium, psychiatric facility, and any Imprisoned or imprisonment means other facility that provides diagnoses confined to a prison, jail, or institution by licensed professionals of mental re- for the criminally insane, on a full- tardation or mental illness, including a time basis, pursuant to a sentence im- psychiatric ward in a general hospital. posed as the result of a criminal con- National of the United States means a viction or finding of not guilty by rea- citizen of the United States, or a person of insanity. Time spent confined or son who, though not a citizen, owes restricted to a half-way house, treat- permanent allegiance to the United ment facility, or similar institution, States, as defined in 8 U.S.C. pursuant to a sentence imposed as the 1101(a)(22), and includes American result of a criminal conviction or find- Samoa and Swains Island. ing of not guilty by reason of insanity, Owner/operator with respect to a mar- does not constitute imprisonment for itime facility or a vessel has the same purposes of this rule. meaning as defined in 33 CFR 101.105. Incarceration means confined or otherwise restricted to a jail-type institu- Revocation means the termination, tion, half-way house, treatment facil- deactivation, rescission, invalidation, ity, or another institution, on a full or cancellation, or withdrawal of the part-time basis, pursuant to a sentence privileges and duties conferred by an imposed as the result of a criminal con- HME or TWIC, when TSA determines viction or finding of not guilty by rea- an applicant does not meet the secu- son of insanity. rity threat assessment standards of 49 Initial Determination of Threat Assess- CFR part 1572. ment means an initial administrative Secure area means the area on board a determination by TSA that an appli- vessel or at a facility or outer conti- cant poses a security threat war- nental shelf facility, over which the ranting denial of an HME or a TWIC. owner/operator has implemented secu- Initial Determination of Threat Assess- rity measures for access control, as de- ment and Immediate Revocation means fined by a Coast Guard approved secu- an initial administrative determina- rity plan. It does not include passenger tion that an individual poses a security access areas or public access areas, as threat that warrants immediate rev- those terms are defined in 33 CFR ocation of an HME or invalidation of a 104.106 and 105.106 respectively. Vessels TWIC. In the case of an HME, the State operating under the waivers provided must immediately revoke the HME if for at 46 U.S.C. 8103(b)(3)(A) or (B) have TSA issues an Initial Determination of no secure areas. Facilities subject to 33 Threat Assessment and Immediate CFR chapter I, subchapter H, part 105 Revocation. In the case of a TWIC, TSA may, with approval of the Coast Guard, invalidates the TWIC when TSA issues designate only those portions of their an Initial Determination of Threat As- facility that are directly connected to sessment and Immediate Revocation. maritime transportation or are at risk Invalidate means the action TSA of being involved in a transportation takes to make a credential inoperative security incident as their secure areas. when it is reported as lost, stolen, dam- Security threat means an individual aged, no longer needed, or when TSA whom TSA determines or suspects of determines an applicant does not meet posing a threat to national security; to the security threat assessment stand- transportation security; or of ter- ards of 49 CFR part 1572. rorism. Lawful permanent resident means an Sensitive security information (SSI) alien lawfully admitted for permanent means information that is described in,

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and must be managed in accordance § 1570.9 Inspection of credential. with, 49 CFR part 1520. State means a State of the United (a) Each person who has been issued States and the District of Columbia. or possesses a TWIC must present the Transportation Worker Identification TWIC for inspection upon a request Credential (TWIC) means a Federal bio- from TSA, the Coast Guard, or other metric credential, issued to an indi- authorized DHS representative; an au- vidual, when TSA determines that the thorized representative of the National individual does not pose a security Transportation Safety Board; or a Fed- threat. eral, State, or local law enforcement Withdrawal of Initial Determination of officer. Threat Assessment is the document that (b) Each person who has been issued TSA issues after issuing an Initial De- or who possesses a TWIC must allow termination of Security Threat, when his or her TWIC to be read by a reader TSA determines that an individual and must submit his or her reference does not pose a security threat that biometric, such as a fingerprint, and warrants denial of an HME or TWIC. any other required information, such [72 FR 3593, Jan. 25, 2007; 72 FR 14050, Mar. 26, as a PIN, to the reader, upon a request 2007] from TSA, the Coast Guard, other authorized DHS representative; or a Fed- § 1570.5 Fraud and intentional fal- eral, State, or local law enforcement sification of records. officer. No person may make, cause to be made, attempt, or cause to attempt § 1570.11 Compliance, inspection, and any of the following: enforcement. (a) Any fraudulent or intentionally (a) Each owner/operator must allow false statement in any record or report TSA, at any time or place, to make that is kept, made, or used to show any inspections or tests, including compliance with the subchapter, or ex- copying records, to determine compli- ercise any privileges under this sub- ance of an owner/operator with— chapter. (1) This subchapter and part 1520 of (b) Any reproduction or alteration, this chapter; and for fraudulent purpose, of any record, (2) 46 U.S.C. 70105 and 49 U.S.C. 114. report, security program, access me- (b) At the request of TSA, each dium, or identification medium issued owner/operator must provide evidence under this subchapter or pursuant to of compliance with this subchapter and standards in this subchapter. part 1520 of this chapter, including cop- § 1570.7 Fraudulent use or manufac- ies of records. ture; responsibilities of persons. § 1570.13 False statements regarding (a) No person may use or attempt to security background checks by pub- use a credential, security threat assess- lic transportation agency or rail- ment, access control medium, or iden- road carrier. tification medium issued or conducted (a) Scope. This section implements under this subchapter that was issued sections 1414(e) (6 U.S.C. 1143) and or conducted for another person. (b) No person may make, produce, 1522(e) (6 U.S.C. 1170) of the ‘‘Imple- use or attempt to use a false or fraudu- menting Recommendations of the 9/11 lently created access control medium, Commission Act of 2007,’’ Pub. L. 110– identification medium or security 53. threat assessment issued or conducted (b) Definitions. under this subchapter. Covered individual means an employee (c) No person may tamper or inter- of a public transportation agency or a fere with, compromise, modify, at- contractor or subcontractor of a public tempt to circumvent, or circumvent transportation agency or an employee TWIC access control procedures. of a railroad carrier or a contractor or (d) No person may cause or attempt subcontractor of a railroad carrier. to cause another person to violate Public transportation agency means a paragraphs (a)–(c) of this section. publicly-owned operator of public

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transportation eligible to receive Fed- PART 1572—CREDENTIALING AND eral assistance under chapter 53 of title SECURITY THREAT ASSESSMENTS 49, United States Code. Railroad has the meaning that term Subpart A—Procedures and General has in section 20102 of title 49, United Standards States Code. Railroad carrier has the meaning that Sec. term has in section 20102 of title 49, 1572.1 Applicability. United States Code. 1572.3 Scope. 1572.5 Standards for security threat assess- Security background check means re- ments. viewing the following for the purpose 1572.7 [Reserved] of identifying individuals who may 1572.9 Applicant information required for pose a threat to transportation secu- HME security threat assessment. rity, national security, or of terrorism: 1572.11 Applicant responsibilities for HME (i) Relevant criminal history data- security threat assessment. bases; 1572.13 State responsibilities for issuance of (ii) In the case of an alien (as defined hazardous materials endorsement. in sec. 101 of the Immigration and Na- 1572.15 Procedures for HME security threat tionality Act (8 U.S.C. 1101(a)(3)), the assessment. 1572.17 Applicant information required for relevant databases to determine the TWIC security threat assessment. status of the alien under the immigra- 1572.19 Applicant responsibilities for a tion laws of the United States; and TWIC security threat assessment. (iii) Other relevant information or 1572.21 Procedures for TWIC security threat databases, as determined by the Sec- assessment. retary of Homeland Security. 1572.23 TWIC expiration. (c) Prohibitions. (1) A public transpor- 1572.24–1572.40 [Reserved] tation agency or a contractor or subcontractor of a public transportation Subpart B—Qualification Standards for agency may not knowingly misrepre- Security Threat Assessments sent to an employee or other relevant 1572.101 Scope. person, including an arbiter involved in 1572.103 Disqualifying criminal offenses. a labor arbitration, the scope, applica- 1572.105 Immigration status. tion, or meaning of any rules, regula- 1572.107 Other analyses. tions, directives, or guidance issued by 1572.109 Mental capacity. the Secretary of Homeland Security re- 1572.111–1572.139 [Reserved] lated to security background check requirements for covered individuals Subpart C—Transportation of Hazardous when conducting a security back- Materials From Canada or Mexico To ground check. and Within the United States by Land Modes (2) A railroad carrier or a contractor or subcontractor of a railroad carrier 1572.201 Transportation of hazardous mate- may not knowingly misrepresent to an rials via commercial motor vehicle from employee or other relevant person, in- Canada or Mexico to and within the cluding an arbiter involved in a labor United States. arbitration, the scope, application, or 1572.203 Transportation of explosives from meaning of any rules, regulations, di- Canada to the United States via railroad carrier. rectives, or guidance issued by the Sec- retary of Homeland Security related to Subpart D [Reserved] security background check requirements for covered individuals when Subpart E—Fees for Security Threat conducting a security background Assessments for Hazmat Drivers check. 1572.400 Scope and definitions. [73 FR 44669, July 31, 2008] 1572.401 Fee collection options. 1572.403 Procedures for collection by States.

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1572.405 Procedures for collection by TSA. mines that the applicant poses a security threat; or Subpart F—Fees for Security Threat Assess- (4) The applicant has been adju- ments for Transportation Worker Identi- dicated as lacking mental capacity or fication Credential (TWIC) committed to a mental health facility, 1572.500 Scope. as described in 49 CFR 1572.109. 1572.501 Fee collection. (b) Immediate Revocation/Invalidation. TSA may invalidate a TWIC or direct a AUTHORITY: 46 U.S.C. 70105; 49 U.S.C. 114, State to revoke an HME immediately, 5103a, 40113, and 46105; 18 U.S.C. 842, 845; 6 U.S.C. 469. if TSA determines during the security threat assessment that an applicant SOURCE: 72 FR 3595, Jan. 25, 2007, unless poses an immediate threat to transpor- otherwise noted. tation security, national security, or of terrorism. Subpart A—Procedures and (c) Violation of FMCSA Standards. The General Standards regulations of the Federal Motor Car- rier Safety Administration (FMCSA) § 1572.1 Applicability. provide that an applicant is disquali- This part establishes regulations for fied from operating a commercial credentialing and security threat as- motor vehicle for specified periods, if sessments for certain maritime and he or she has an offense that is listed land transportation workers. in the FMCSA rules at 49 CFR 383.51. If records indicate that an applicant has § 1572.3 Scope. committed an offense that would dis- This part applies to— qualify the applicant from operating a (a) State agencies responsible for commercial motor vehicle under 49 issuing a hazardous materials endorse- CFR 383.51, TSA will not issue a Deter- ment (HME); and mination of No Security Threat until (b) An applicant who— the State or the FMCSA determine (1) Is qualified to hold a commercial that the applicant is not disqualified driver’s license under 49 CFR parts 383 under that section. and 384, and is applying to obtain, (d) Waiver. In accordance with the re- renew, or transfer an HME; or quirements of § 1515.7, applicants may apply for a waiver of certain security (2) Is applying to obtain or renew a threat assessment standards. TWIC in accordance with 33 CFR parts (e) Comparability of Other Security 104 through 106 or 46 CFR part 10; is a Threat Assessment Standards. TSA may commercial driver licensed in Canada determine that security threat assess- or Mexico and is applying for a TWIC ments conducted by other govern- to transport hazardous materials in ac- mental agencies are comparable to the cordance with 49 CFR 1572.201; or other threat assessment described in this individuals approved by TSA. part, which TSA conducts for HME and [72 FR 3595, Jan. 25, 2007, as amended at 72 TWIC applicants. FR 55048, Sept. 28, 2007] (1) In making a comparability determination, TSA will consider— § 1572.5 Standards for security threat (i) The minimum standards used for assessments. the security threat assessment; (a) Standards. TSA determines that (ii) The frequency of the threat as- an applicant poses a security threat sessment; warranting denial of an HME or TWIC, (iii) The date of the most recent if— threat assessment; and (1) The applicant has a disqualifying (iv) Whether the threat assessment criminal offense described in 49 CFR includes biometric identification and a 1572.103; biometric credential. (2) The applicant does not meet the (2) To apply for a comparability de- immigration status requirements determination, the agency seeking the scribed in 49 CFR 1572.105; determination must contact the Assist- (3) TSA conducts the analyses de- ant Program Manager, Attn: Federal scribed in 49 CFR 1572.107 and deter- Agency Comparability Check, Hazmat

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Threat Assessment Program, Transpor- (4) Gender. tation Security Administration, 601 (5) Height, weight, hair color, and eye South 12th Street, Arlington, VA 20598– color. 6019. (6) City, state, and country of birth. (3) TSA will notify the public when a (7) Immigration status and, if the ap- comparability determination is made. plicant is a naturalized citizen of the (4) An applicant, who has completed United States, the date of naturaliza- a security threat assessment that is de- tion. termined to be comparable under this (8) Alien registration number, if ap- section to the threat assessment de- plicable. scribed in this part, must complete the (9) The State of application, CDL enrollment process and provide biomet- number, and type of HME(s) held. ric information to obtain a TWIC, if (10) Name, telephone number, fac- the applicant seeks unescorted access simile number, and address of the ap- to a secure area of a vessel or facility. plicant’s current employer(s), if the ap- The applicant must pay the fee listed plicant’s work for the employer(s) re- in 49 CFR 1572.503 for information col- quires an HME. If the applicant’s cur- lection/credential issuance. rent employer is the U.S. military (5) TSA has determined that the se- service, include branch of the service. curity threat assessment for an HME (11) Whether the applicant is apply- under this part is comparable to the se- ing to obtain, renew, or transfer an curity threat assessment for TWIC. HME or for a waiver. (6) TSA has determined that the security threat assessment for a FAST (12) Social security number. Pro- card, under the Free and Secure Trade viding the social security number is program administered by U.S. Customs voluntary; however, failure to provide and Border Protection, is comparable it will delay and may prevent comple- to the security threat assessment de- tion of the threat assessment. scribed in this part. (13) Passport number. This information is voluntary and may expedite the [72 FR 3595, Jan. 25, 2007, as amended at 77 adjudication process for applicants who FR 18717, Mar. 28, 2012] are U.S. citizens born abroad. § 1572.7 [Reserved] (14) Department of State Consular Report of Birth Abroad. This informa- § 1572.9 Applicant information re- tion is voluntary and may expedite the quired for HME security threat as- adjudication process for applicants who sessment. are U.S. citizens born abroad. An applicant must supply the infor- (15) Whether the applicant has pre- mation required in this section, in a viously completed a TSA threat assess- form acceptable to TSA, when applying ment, and if so the date and program to obtain or renew an HME. When ap- for which it was completed. This infor- plying to transfer an HME from one mation is voluntary and may expedite State to another, 49 CFR 1572.13(e) ap- the adjudication process for applicants plies. who have completed a TSA security (a) Except as provided in (a)(12) threat assessment. through (16), the applicant must pro- (16) Whether the applicant currently vide the following identifying informa- holds a federal security clearance, and tion: if so, the date of and agency for which (1) Legal name, including first, mid- the clearance was performed. This in- dle, and last; any applicable suffix; and formation is voluntary and may expe- any other name used previously. dite the adjudication process for appli- (2) Current and previous mailing ad- cants who have completed a federal se- dress, current residential address if it curity threat assessment. differs from the current mailing ad- (b) The applicant must provide a dress, and e-mail address if available. If statement, signature, and date of sig- the applicant prefers to receive cor- nature that he or she— respondence and notification via e- (1) Was not convicted, or found not mail, the applicant should so state. guilty by reason of insanity, of a dis- (3) Date of birth. qualifying crime listed in 49 CFR

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1572.103(b), in a civilian or military ju- agencies for licensing, law enforcement, or risdiction, during the seven years be- security purposes, or in the interests of na- fore the date of the application, or is tional security; and to foreign and inter- applying for a waiver; national governmental authorities in accordance with law and international agreement. (2) Was not released from incarceration, in a civilian or military jurisdic- (d) The applicant must certify and tion, for committing a disqualifying date receipt the following statement, crime listed in 49 CFR 1572.103(b), dur- immediately before the signature line: ing the five years before the date of the application, or is applying for a waiver; The information I have provided on this application is true, complete, and correct, to (3) Is not wanted, or under indict- the best of my knowledge and belief, and is ment, in a civilian or military jurisdic- provided in good faith. I understand that a tion, for a disqualifying criminal of- knowing and willful false statement, or an fense identified in 49 CFR 1572.103, or is omission of a material fact on this applica- applying for a waiver; tion can be punished by fine or imprison- (4) Was not convicted, or found not ment or both (See section 1001 of Title 18 guilty by reason of insanity, of a dis- United States Code), and may be grounds for qualifying criminal offense identified denial of a hazardous materials endorsement. in 49 CFR 1572.103(a), in a civilian or (e) The applicant must certify the military jurisdiction, or is applying for following statement in writing: a waiver; (5) Has not been adjudicated as lack- I acknowledge that if the Transportation ing mental capacity or committed to a Security Administration determines that I mental health facility involuntarily or pose a security threat, my employer, as listed on this application, may be notified. If is applying for a waiver; TSA or other law enforcement agency be- (6) Meets the immigration status re- comes aware of an imminent threat to a quirements described in 49 CFR maritime facility or vessel, TSA may pro- 1572.105; vide limited information necessary to reduce (7) Has or has not served in the mili- the risk of injury or damage to the facility tary, and if so, the branch in which he or vessel. or she served, the date of discharge, and the type of discharge; and § 1572.11 Applicant responsibilities for (8) Has been informed that Federal HME security threat assessment. regulations, under 49 CFR 1572.11, im- (a) Surrender of HME. If an individual pose a continuing obligation on the is disqualified from holding an HME HME holder to disclose to the State if under 49 CFR 1572.5(c), he or she must he or she is convicted, or found not surrender the HME to the licensing guilty by reason of insanity, of a dis- State. Failure to surrender the HME to qualifying crime, adjudicated as lack- the State may result in immediate rev- ing mental capacity, or committed to a ocation under 49 CFR 1572.13(a) and/or mental health facility. civil penalties. (c) The applicant must certify and (b) Continuing responsibilities. An indi- date receipt the following statement: vidual who holds an HME must sur- Privacy Act Notice: Authority: The au- render the HME as required in para- thority for collecting this information is 49 graph (a) of this section within 24 U.S.C. 114, 40113, and 5103a. Purpose: This in- hours, if the individual— formation is needed to verify your identity (1) Is convicted of, wanted, under in- and to conduct a security threat assessment dictment or complaint, or found not to evaluate your suitability for a hazardous materials endorsement for a commercial guilty by reason of insanity, in a civil- driver’s license. Furnishing this information, ian or military jurisdiction, for a dis- including your SSN or alien registration qualifying criminal offense identified number, is voluntary; however, failure to in 49 CFR 1572.103; or provide it will delay and may prevent com- (2) Is adjudicated as lacking mental pletion of your security threat assessment. capacity, or committed to a mental Routine Uses: Routine uses of this informa- health facility, as described in 49 CFR tion include disclosure to the FBI to retrieve 1572.109; or your criminal history record; to TSA contractors or other agents who are providing (3) Renounces or loses U.S. citizen- services relating to the security threat as- ship or status as a lawful permanent sessments; to appropriate governmental resident; or

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(4) Violates his or her immigration (1) Update the applicant’s permanent status, and/or is ordered removed from record to reflect: the United States. (i) The results of the security threat (c) Submission of fingerprints and infor- assessment; mation. (1) An HME applicant must sub- (ii) The issuance or denial of an HME; mit fingerprints and the information and required in 49 CFR 1572.9, in a form ac- (iii) The new expiration date of the ceptable to TSA, when so notified by HME. the State, or when the applicant ap- (2) Notify the Commercial Drivers Li- plies to obtain or renew an HME. The cense Information System (CDLIS) op- procedures outlined in 49 CFR 1572.13(e) erator of the results of the security apply to HME transfers. threat assessment. (2) When submitting fingerprints and (3) Revoke or deny the applicant’s the information required in 49 CFR HME if TSA serves the State with a 1572.9, the fee described in 49 CFR Final Determination of Threat Assess- 1572.503 must be remitted to TSA. ment. (e) For applicants who apply to § 1572.13 State responsibilities for issuance of hazardous materials en- transfer an existing HME from one dorsement. State to another, the second State will not require the applicant to undergo a Each State must revoke an individ- new security threat assessment until ual’s HME immediately, if TSA in- the security threat assessment renewal forms the State that the individual period established in the preceding does not meet the standards for secu- issuing State, not to exceed five years, rity threat assessment in 49 CFR 1572.5 expires. and issues an Initial Determination of (f) A State that is not using TSA’s Threat Assessment and Immediate Revocation. agent to conduct enrollment for the security threat assessment must retain (a) No State may issue or renew an the application and information re- HME for a CDL, unless the State required in 49 CFR 1572.9, for at least one ceives a Determination of No Security year, in paper or electronic form. Threat from TSA. (b) Each State must notify each indi- § 1572.15 Procedures for HME security vidual holding an HME issued by that threat assessment. State that he or she will be subject to the security threat assessment de- (a) Contents of security threat assess- scribed in this part as part of an appli- ment. The security threat assessment cation for renewal of the HME, at least TSA completes includes a fingerprint- 60 days prior to the expiration date of based criminal history records check the individual’s HME. The notice must (CHRC), an intelligence-related back- inform the individual that he or she ground check, and a final disposition. may initiate the security threat assess- (b) Fingerprint-based check. In order ment required by this section at any to conduct a fingerprint-based CHRC, time after receiving the notice, but no the following procedures must be com- later than 60 days before the expiration pleted: date of the individual’s HME. (1) The State notifies the applicant (c) The State that issued an HME that he or she will be subject to the se- may extend the expiration date of the curity threat assessment at least 60 HME for 90 days, if TSA has not pro- days prior to the expiration of the ap- vided a Determination of No Security plicant’s HME, and that the applicant Threat or a Final Determination of must begin the security threat assess- Threat Assessment before the expira- ment no later than 30 days before the tion date. Any additional extension date of the expiration of the HME. must be approved in advance by TSA. (2) Where the State elects to collect (d) Within 15 days of receipt of a De- fingerprints and applicant information, termination of No Security Threat or the State— Final Determination of Threat Assess- (i) Collects fingerprints and applicant ment from TSA, the State must— information required in 49 CFR 1572.9;

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(ii) Provides the applicant informa- CFR 1572.5. The Initial Determination tion to TSA electronically, unless oth- of Threat Assessment includes— erwise authorized by TSA; (i) A statement that TSA has deter- (iii) Transmits the fingerprints to the mined that the applicant poses a secu- FBI/Criminal Justice Information rity threat warranting denial of the Services (CJIS), in accordance with the HME; FBI/CJIS fingerprint submission stand- (ii) The basis for the determination; ards; and (iii) Information about how the appli- (iv) Retains the signed application, in cant may appeal the determination, as paper or electronic form, for one year described in 49 CFR 1515.5 or 1515.9, as and provides it to TSA, if requested. applicable; and (3) Where the State elects to have a (iv) A statement that if the applicant TSA agent collect fingerprints and ap- chooses not to appeal TSA’s determina- plicant information— tion within 60 days of receipt of the (i) TSA provides a copy of the signed Initial Determination, or does not re- application to the State; quest an extension of time within 60 (ii) The State retains the signed ap- days of receipt of the Initial Deter- plication, in paper or electronic form, mination in order to file an appeal, the for one year and provides it to TSA, if Initial Determination becomes a Final requested; and Determination of Security Threat As- (iii) TSA transmits the fingerprints sessment. to the FBI/CJIS, in accordance with (3) TSA serves an Initial Determina- the FBI/CJIS fingerprint submission tion of Threat Assessment and Imme- standards. diate Revocation on the applicant, the (4) TSA receives the results from the applicant’s employer where appro- FBI/CJIS and adjudicates the results of priate, and the State, if TSA deter- the check, in accordance with 49 CFR mines that the applicant does not meet 1572.103 and, if applicable, 49 CFR the security threat assessment stand- 1572.107. ards described in 49 CFR 1572.5 and may (c) Intelligence-related check. To con- pose an imminent threat to transpor- duct an intelligence-related check, tation or national security, or of ter- TSA completes the following proce- rorism. The Initial Determination of dures: Threat Assessment and Immediate (1) Reviews the applicant information Revocation includes— required in 49 CFR 1572.9. (i) A statement that TSA has deter- (2) Searches domestic and inter- mined that the applicant poses a secu- national Government databases de- rity threat warranting immediate rev- scribed in 49 CFR 1572.105, 1572.107, and ocation of an HME; 1572.109. (ii) The basis for the determination; (3) Adjudicates the results of the (iii) Information about how the appli- check in accordance with 49 CFR cant may appeal the determination, as 1572.103, 1572.105, 1572.107, and 1572.109. described in 49 CFR 1515.5(h) or (d) Final disposition. Following com- 1515.9(f), as applicable; and pletion of the procedures described in (iv) A statement that if the applicant paragraphs (b) and/or (c) of this sec- chooses not to appeal TSA’s determination, the following procedures apply, as tion within 60 days of receipt of the appropriate: Initial Determination and Immediate (1) TSA serves a Determination of No Revocation, the Initial Determination Security Threat on the State in which and Immediate Revocation becomes a the applicant is authorized to hold an Final Determination of Threat Assess- HME, if TSA determines that an appli- ment. cant meets the security threat assess- (4) If the applicant does not appeal ment standards described in 49 CFR the Initial Determination of Threat As- 1572.5. sessment or Initial Determination of (2) TSA serves an Initial Determina- Threat Assessment and Immediate tion of Threat Assessment on the appli- Revocation, TSA serves a Final Deter- cant, if TSA determines that the appli- mination of Threat Assessment on the cant does not meet the security threat State in which the applicant applied assessment standards described in 49 for the HME, the applicant’s employer

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where appropriate, and on the appli- Border Protection Arrival-Departure cant, if the appeal of the Initial Deter- Record, Form I–94. mination results in a finding that the (9) Except as described in paragraph applicant poses a security threat. (a)(9)(i) of this section, the reason that (5) If the applicant appeals the Initial the applicant requires a TWIC, includ- Determination of Threat Assessment ing, as applicable, the applicant’s job or the Initial Determination of Threat description and the primary facility, Assessment and Immediate Revoca- vessel, or maritime port location(s) tion, the procedures in 49 CFR 1515.5 or where the applicant will most likely 1515.9 apply. require unescorted access, if known. (6) Applicants who do not meet cer- This statement does not limit access to tain standards in 49 CFR 1572.103, other facilities, vessels, or ports, but 1572.105, or 1572.109 may seek a waiver establishes eligibility for a TWIC. in accordance with 49 CFR 1515.7. (i) Applicants who are commercial drivers licensed in Canada or Mexico § 1572.17 Applicant information required for TWIC security threat as- who are applying for a TWIC in order sessment. to transport hazardous materials in accordance with 49 CFR 1572.201 and not An applicant must supply the infor- to access secure areas of a facility or mation required in this section, in a vessel, must explain this in response to form acceptable to TSA, when applying the information requested in paragraph to obtain or renew a TWIC. (a)(9) of this section. (a) Except as provided in (a)(12) (10) The name, telephone number, through (16), the applicant must pro- and address of the applicant’s current vide the following identifying information: employer(s), if working for the em- (1) Legal name, including first, mid- ployer requires a TWIC. If the appli- dle, and last; any applicable suffix; and cant’s current employer is the U.S. any other name used previously. military service, include the branch of (2) Current and previous mailing ad- the service. An applicant whose cur- dress, current residential address if it rent employer does not require posses- differs from the current mailing ad- sion of a TWIC, does not have a single dress, and e-mail address if available. If employer, or is self-employed, must the applicant wishes to receive notifi- provide the primary vessel or port loca- cation that the TWIC is ready to be re- tion(s) where the applicant requires trieved from the enrollment center via unescorted access, if known. This telephone rather than e-mail address, statement does not limit access to the applicant should state this and pro- other facilities, vessels, or ports, but vide the correct telephone number. establishes eligibility for a TWIC. (3) Date of birth. (11) If a credentialed mariner or ap- (4) Gender. plying to become a credentialed mar- (5) Height, weight, hair color, and eye iner, proof of citizenship as required in color. 46 CFR chapter I, subchapter B. (6) City, state, and country of birth. (12) Social security number. Pro- (7) Immigration status, and viding the social security number is (i) If the applicant is a naturalized voluntary; however, failure to provide citizen of the United States, the date of it will delay and may prevent comple- naturalization; tion of the threat assessment. (ii) If the applicant is present in the (13) Passport number, city of United States based on a Visa, the type issuance, date of issuance, and date of of Visa, the Visa number, and the date expiration. This information is vol- on which it expires; and untary and may expedite the adjudica- (iii) If the applicant is a commercial tion process for applicants who are driver licensed in Canada and does not U.S. citizens born abroad. hold a FAST card, a Canadian passport. (14) Department of State Consular (8) If not a national or citizen of the Report of Birth Abroad. This informa- United States, the alien registration tion is voluntary and may expedite the number and/or the number assigned to adjudication process for applicants who the applicant on the U.S. Customs and are U.S. citizens born abroad.

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(15) Whether the applicant has pre- reason of insanity, of a disqualifying viously completed a TSA threat assess- crime, adjudicated as lacking mental ment, and if so the date and program capacity, or committed to a mental for which it was completed. This infor- health facility. mation is voluntary and may expedite (c) Applicants, applying to obtain or the adjudication process for applicants renew a TWIC, must submit biometric who have completed a TSA security information to be used for identity threat assessment. verification purposes. If an individual (16) Whether the applicant currently cannot provide the selected biometric, holds a federal security clearance, and TSA will collect an alternative biomet- if so, the date of and agency for which ric identifier. the clearance was performed. This in- (d) The applicant must certify and formation is voluntary and may expe- date receipt the following statement: dite the adjudication process for appli- Privacy Act Notice: Authority: The au- cants who have completed a federal se- thority for collecting this information is 49 curity threat assessment. U.S.C. 114, 40113, and 5103a. Purpose: This in- (b) The applicant must provide a formation is needed to verify your identity statement, signature, and date of sig- and to conduct a security threat assessment nature that he or she— to evaluate your suitability for a Transpor- (1) Was not convicted, or found not tation Worker Identification Credential. Furnishing this information, including your guilty by reason of insanity, of a dis- SSN or alien registration number, is vol- qualifying crime listed in 49 CFR untary; however, failure to provide it will 1572.103(b), in a civilian or military ju- delay and may prevent completion of your risdiction, during the seven years be- security threat assessment. Routine Uses: fore the date of the application, or is Routine uses of this information include dis- applying for a waiver; closure to the FBI to retrieve your criminal (2) Was not released from incarcer- history record; to TSA contractors or other agents who are providing services relating to ation, in a civilian or military jurisdic- the security threat assessments; to appro- tion, for committing a disqualifying priate governmental agencies for licensing, crime listed in 49 CFR 1572.103(b), dur- law enforcement, or security purposes, or in ing the five years before the date of the the interests of national security; and to for- application, or is applying for a waiver; eign and international governmental au- (3) Is not wanted, or under indict- thorities in accordance with law and inter- ment, in a civilian or military jurisdic- national agreement. tion, for a disqualifying criminal of- (e) The applicant must certify the fense identified in 49 CFR 1572.103, or is following statement in writing: applying for a waiver; As part of my employment duties, I am re- (4) Was not convicted, or found not quired to have unescorted access to secure guilty by reason of insanity, of a dis- areas of maritime facilities or vessels in qualifying criminal offense identified which a Transportation Worker Identifica- in 49 CFR 1572.103(a), in a civilian or tion Credential is required; I am now, or I military jurisdiction, or is applying for am applying to be, a credentialed merchant a waiver; mariner; or I am a commercial driver li- (5) Has not been adjudicated as lack- censed in Canada or Mexico transporting hazardous materials in accordance with 49 ing mental capacity, or committed to a CFR 1572.201. mental health facility involuntarily, or is applying for a waiver; (f) The applicant must certify and (6) Meets the immigration status re- date receipt the following statement, quirements described in 49 CFR immediately before the signature line: 1572.105; The information I have provided on this (7) Has, or has not, served in the mili- application is true, complete, and correct, to tary, and if so, the branch in which he the best of my knowledge and belief, and is or she served, the date of discharge, provided in good faith. I understand that a and the type of discharge; and knowing and willful false statement, or an (8) Has been informed that Federal omission of a material fact on this application, can be punished by fine or imprison- regulations under 49 CFR 1572.19 im- ment or both (see section 1001 of Title 18 pose a continuing obligation on the United States Code), and may be grounds for TWIC holder to disclose to TSA if he or denial of a Transportation Worker Identi- she is convicted, or found not guilty by fication Credential.

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(g) The applicant must certify the (4) Violates his or her immigration following statement in writing: status and/or is ordered removed from the United States. I acknowledge that if the Transportation (e) Submission of fingerprints and infor- Security Administration determines that I pose a security threat, my employer, as list- mation. (1) TWIC applicants must sub- ed on this application, may be notified. If mit fingerprints and the information TSA or other law enforcement agency be- required in 49 CFR 1572.17, in a form ac- comes aware of an imminent threat to a ceptable to TSA, to obtain or renew a maritime facility or vessel, TSA may pro- TWIC. vide limited information necessary to reduce (2) When submitting fingerprints and the risk of injury or damage to the facility the information required in 49 CFR or vessel. 1572.17, the fee required in 49 CFR 1572.503 must be remitted to TSA. § 1572.19 Applicant responsibilities for a TWIC security threat assessment. (f) Lost, damaged, or stolen credentials. If an individual’s TWIC is damaged, or (a) Implementation schedule. Except as if a TWIC holder loses possession of his provided in paragraph (b) of this sec- or her credential, he or she must notify tion, applicants must provide the infor- TSA immediately. mation required in 49 CFR 1572.17, when so directed by the owner/operator. [72 FR 3595, Jan. 25, 2007, as amended at 72 FR 55048, Sept. 28, 2007; 73 FR 25566, May 7, (b) Implementation schedule for certain 2008] mariners. An applicant, who holds a Merchant Mariner Document (MMD) § 1572.21 Procedures for TWIC secu- issued after February 3, 2003, and be- rity threat assessment. fore April 15, 2009, or a Merchant Ma- (a) Contents of security threat assess- rine License (License) issued after Jan- ment. The security threat assessment uary 13, 2006, and before April 15, 2009, TSA conducts includes a fingerprint- must submit the information required based criminal history records check in this section, but is not required to (CHRC), an intelligence-related check, undergo the security threat assessment and a final disposition. described in this part. (b) Fingerprint-based check. The fol- (c) Surrender of TWIC. The TWIC is lowing procedures must be completed property of the Transportation Secu- to conduct a fingerprint-based CHRC: rity Administration. If an individual is (1) Consistent with the implementa- disqualified from holding a TWIC under tion schedule described in 49 CFR 49 CFR 1572.5, he or she must surrender 1572.19(a) and (b), and as required in 33 the TWIC to TSA. Failure to surrender CFR 104.200, 105.200, or 106.200, appli- the TWIC to TSA may result in imme- cants are notified. diate revocation under 49 CFR 1572.5(b) (2) During enrollment, TSA— and/or civil penalties. (i) Collects fingerprints, applicant in- (d) Continuing responsibilities. An indi- formation, and the fee required in 49 vidual who holds a TWIC must sur- CFR 1572.17; render the TWIC, as required in para- (ii) Transmits the fingerprints to the graph (a) of this section, within 24 FBI/CJIS in accordance with the FBI/ hours if the individual— CJIS fingerprint submission standards. (1) Is convicted of, wanted, under in- (iii) Receives and adjudicates the re- dictment or complaint, or found not sults of the check from FBI/CJIS, in guilty by reason of insanity, in a civil- accordance with 49 CFR 1572.103 and, if ian or military jurisdiction, for a dis- applicable, 49 CFR 1572.107. qualifying criminal offense identified (c) Intelligence-related check. To con- in 49 CFR 1572.103; or duct an intelligence-related check, (2) Is adjudicated as lacking mental TSA completes the following proce- capacity or committed to a mental dures: health facility, as described in 49 CFR (1) Reviews the applicant information 1572.109; or required in 49 CFR 1572.17; (3) Renounces or loses U.S. citizen- (2) Searches domestic and inter- ship or status as a lawful permanent national Government databases re- resident; or quired to determine if the applicant

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meets the requirements of 49 CFR (i) A statement that TSA has deter- 1572.105, 1572.107, and 1572.109; mined that the applicant poses a secu- (3) Adjudicates the results of the rity threat warranting immediate rev- check in accordance with 49 CFR ocation of a TWIC and unescorted ac- 1572.103, 1572.105, 1572.107, and 1572.109. cess to secure areas; (d) Final disposition. Following com- (ii) The basis for the determination; pletion of the procedures described in (iii) Information about how the appli- paragraphs (b) and/or (c) of this sec- cant may appeal the determination, as tion, the following procedures apply, as described in 49 CFR 1515.5(h) or appropriate: 1515.9(f), as applicable; and (1) TSA serves a Determination of No (iv) A statement that if the applicant Security Threat on the applicant if chooses not to appeal TSA’s determina- TSA determines that the applicant tion within 60 days of receipt of the meets the security threat assessment Initial Determination and Immediate standards described in 49 CFR 1572.5. In Revocation, the Initial Determination the case of a mariner, TSA also serves and Immediate Revocation becomes a a Determination of No Security Threat Final Determination of Threat Assess- ment. on the Coast Guard. (4) If the applicant does not appeal (2) TSA serves an Initial Determina- the Initial Determination of Threat As- tion of Threat Assessment on the appli- sessment or Initial Determination of cant if TSA determines that the appli- Threat Assessment and Immediate cant does not meet the security threat Revocation, TSA serves a Final Deter- assessment standards described in 49 mination of Threat Assessment on the CFR 1572.5. The Initial Determination FMSC and in the case of a mariner, on of Threat Assessment includes— the Coast Guard, and the applicant’s (i) A statement that TSA has deter- employer where appropriate. mined that the applicant poses a secu- (5) If the applicant appeals the Initial rity threat warranting denial of the Determination of Threat Assessment TWIC; or the Initial Determination of Threat (ii) The basis for the determination; Assessment and Immediate Revoca- (iii) Information about how the appli- tion, the procedures in 49 CFR 1515.5 or cant may appeal the determination, as 1515.9 apply. described in 49 CFR 1515.5 or 1515.9, as (6) Applicants who do not meet cer- applicable; and tain standards in 49 CFR 1572.103, (iv) A statement that if the applicant 1572.105, or 1572.109 may seek a waiver chooses not to appeal TSA’s determina- in accordance with 49 CFR 1515.7. tion within 60 days of receipt of the Initial Determination, or does not re- § 1572.23 TWIC expiration. quest an extension of time within 60 (a) A TWIC expires five years after days of receipt of the Initial Deter- the date it was issued at the end of the mination in order to file an appeal, the calendar day, except as follows: Initial Determination becomes a Final (1) The TWIC was issued based on a Determination of Security Threat As- determination that the applicant com- sessment. pleted a comparable threat assessment. (3) TSA serves an Initial Determina- If issued pursuant to a comparable tion of Threat Assessment and Imme- threat assessment, the TWIC expires diate Revocation on the applicant, the five years from the date on the creden- applicant’s employer where appro- tial associated with the comparable priate, the FMSC, and in the case of a threat assessment. mariner applying for a TWIC, on the (2) The applicant is in a lawful non- Coast Guard, if TSA determines that immigrant status category listed in the applicant does not meet the secu- 1572.105(a)(7), and the status expires, rity threat assessment standards de- the employer terminates the employ- scribed in 49 CFR 1572.5 and may pose ment relationship with the applicant, an imminent security threat. The Ini- or the applicant otherwise ceases work- tial Determination of Threat Assess- ing for the employer. Under any of ment and Immediate Revocation in- these circumstances, TSA deems the cludes— TWIC to have expired regardless of the

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expiration date on the face of the ceipt, transfer, shipping, transporting, TWIC. import, export, storage of, or dealing in (b) TSA may issue a TWIC for a term an explosive or explosive device. An ex- less than five years to match the expi- plosive or explosive device includes, ration of a visa. but is not limited to, an explosive or explosive material as defined in 18 §§ 1572.24–1572.40 [Reserved] U.S.C. 232(5), 841(c) through 841(f), and 844(j); and a destructive device, as de- Subpart B—Standards for Security fined in 18 U.S.C. 921(a)(4) and 26 U.S.C. Threat Assessments 5845(f). (8) Murder. § 1572.101 Scope. (9) Making any threat, or maliciously This subpart applies to applicants conveying false information knowing who hold or are applying to obtain or the same to be false, concerning the de- renew an HME or TWIC, or transfer an liverance, placement, or detonation of HME. Applicants for an HME also are an explosive or other lethal device in subject to safety requirements issued or against a place of public use, a state by the Federal Motor Carrier Safety or government facility, a public trans- Administration under 49 CFR part 383 portations system, or an infrastructure and by the State issuing the HME, in- facility. cluding additional immigration status (10) Violations of the Racketeer In- and criminal history standards. fluenced and Corrupt Organizations Act, 18 U.S.C. 1961, et seq., or a com- § 1572.103 Disqualifying criminal of- parable State law, where one of the fenses. predicate acts found by a jury or ad- (a) Permanent disqualifying criminal of- mitted by the defendant, consists of fenses. An applicant has a permanent one of the crimes listed in paragraph disqualifying offense if convicted, or (a) of this section. found not guilty by reason of insanity, (11) Attempt to commit the crimes in in a civilian or military jurisdiction of paragraphs (a)(1) through (a)(4). any of the following felonies: (12) Conspiracy or attempt to commit (1) Espionage or conspiracy to com- the crimes in paragraphs (a)(5) through mit espionage. (a)(10). (2) Sedition, or conspiracy to commit (b) Interim disqualifying criminal of- sedition. fenses. (1) The felonies listed in para- (3) Treason, or conspiracy to commit graphs (b)(2) of this section are dis- treason. qualifying, if either: (4) A federal crime of terrorism as de- (i) the applicant was convicted, or fined in 18 U.S.C. 2332b(g), or com- found not guilty by reason of insanity, parable State law, or conspiracy to of the crime in a civilian or military commit such crime. jurisdiction, within seven years of the (5) A crime involving a transpor- date of the application; or tation security incident. A transpor- (ii) the applicant was incarcerated tation security incident is a security for that crime and released from incar- incident resulting in a significant loss ceration within five years of the date of life, environmental damage, trans- of the TWIC application. portation system disruption, or eco- (2) The interim disqualifying felonies nomic disruption in a particular area, are: as defined in 46 U.S.C. 70101. The term (i) Unlawful possession, use, sale, ‘‘economic disruption’’ does not in- manufacture, purchase, distribution, clude a work stoppage or other em- receipt, transfer, shipping, trans- ployee-related action not related to porting, delivery, import, export of, or terrorism and resulting from an em- dealing in a firearm or other weapon. A ployer-employee dispute. firearm or other weapon includes, but (6) Improper transportation of a haz- is not limited to, firearms as defined in ardous material under 49 U.S.C. 5124, or 18 U.S.C. 921(a)(3) or 26 U.S.C. 5 845(a), a State law that is comparable. or items contained on the U.S. Muni- (7) Unlawful possession, use, sale, dis- tions Import List at 27 CFR 447.21. tribution, manufacture, purchase, re- (ii) Extortion.

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(iii) Dishonesty, fraud, or misrepre- applying for TWIC, TSA will notify the sentation, including identity fraud and Coast Guard that the applicant is dis- money laundering where the money qualified. laundering is related to a crime de- [72 FR 3595, Jan. 25, 2007; 72 FR 5633, Feb. 7, scribed in paragraphs (a) or (b) of this 2007; 72 FR 14050, Mar. 26, 2007] section. Welfare fraud and passing bad checks do not constitute dishonesty, § 1572.105 Immigration status. fraud, or misrepresentation for pur- (a) An individual applying for a secu- poses of this paragraph. rity threat assessment for a TWIC or (iv) Bribery. HME must be a national of the United (v) Smuggling. States or— (vi) Immigration violations. (1) A lawful permanent resident of (vii) Distribution of, possession with the United States; intent to distribute, or importation of (2) A refugee admitted under 8 U.S.C. a controlled substance. 1157; (viii) Arson. (3) An alien granted asylum under 8 (ix) Kidnapping or hostage taking. U.S.C. 1158; (x) Rape or aggravated sexual abuse. (4) An alien in valid M–1 non- (xi) Assault with intent to kill. immigrant status who is enrolled in (xii) Robbery. the United States Merchant Marine (xiii) Fraudulent entry into a seaport Academy or a comparable State mari- as described in 18 U.S.C. 1036, or a com- time academy. Such individuals may parable State law. serve as unlicensed mariners on a docu- (xiv) Violations of the Racketeer In- mented vessel, regardless of their na- fluenced and Corrupt Organizations tionality, under 46 U.S.C. 8103. Act, 18 U.S.C. 1961, et seq., or a com- (5) A nonimmigrant alien admitted parable State law, other than the vio- under the Compact of Free Association lations listed in paragraph (a)(10) of between the United States and the Fed- this section. erated States of Micronesia, the United (xv) Conspiracy or attempt to com- States and the Republic of the Mar- mit the crimes in this paragraph (b). shall Islands, or the United States and (c) Under want, warrant, or indictment. Palau. An applicant who is wanted, or under (6) An alien in lawful nonimmigrant indictment in any civilian or military status who has unrestricted authoriza- jurisdiction for a felony listed in this tion to work in the United States, ex- section, is disqualified until the want cept— or warrant is released or the indict- (i) An alien in valid S–5 (informant of ment is dismissed. criminal organization information) (d) Determination of arrest status. (1) lawful nonimmigrant status; When a fingerprint-based check dis- (ii) An alien in valid S–6 (informant closes an arrest for a disqualifying of terrorism information) lawful non- crime listed in this section without in- immigrant status; dicating a disposition, TSA will so no- (iii) An alien in valid K–1 (Fianco(e)) tify the applicant and provide instruc- lawful nonimmigrant status; or tions on how the applicant must clear (iv) An alien in valid K–2 (Minor child the disposition, in accordance with of Fianco(e)) lawful nonimmigrant sta- paragraph (d)(2) of this section. tus. (2) The applicant must provide TSA (7) An alien in the following lawful with written proof that the arrest did nonimmigrant status who has re- not result in conviction for the dis- stricted authorization to work in the qualifying criminal offense, within 60 United States— days after the service date of the noti- (i) B1/OCS Business Visitor/Outer fication in paragraph (d)(1) of this sec- Continental Shelf; tion. If TSA does not receive proof in (ii) C–1/D Crewman Visa; that time, TSA will notify the appli- (iii) H–1B Special Occupations; cant that he or she is disqualified. In (iv) H–1B1 Free Trade Agreement; the case of an HME, TSA will notify (v) E–1 Treaty Trader; the State that the applicant is dis- (vi) E–3 Australian in Specialty Occu- qualified, and in the case of a mariner pation;

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(vii) L–1 Intracompany Executive (3) Any other databases relevant to Transfer; determining whether an applicant (viii) O–1 Extraordinary Ability; poses, or is suspected of posing, a secu- (ix) TN North American Free Trade rity threat, or that confirm an appli- Agreement; cant’s identity. (x) E–2 Treaty Investor; or (b) TSA may also determine that an (xi) Another authorization that con- applicant poses a security threat, if the fers legal status, when TSA determines search conducted under this part re- that the legal status is comparable to veals extensive foreign or domestic the legal status set out in paragraph criminal convictions, a conviction for a (a)(7) of this section. serious crime not listed in 49 CFR (8) A commercial driver licensed in 1572.103, or a period of foreign or do- Canada or Mexico who is admitted to mestic imprisonment that exceeds 365 the United States under 8 CFR consecutive days. 214.2(b)(4)(i)(E) to conduct business in the United States. § 1572.109 Mental capacity. (b) Upon expiration of a nonimmigrant status listed in paragraph (a) An applicant has mental inca- (a)(7) of this section, an employer must pacity, if he or she has been— retrieve the TWIC from the applicant (1) Adjudicated as lacking mental ca- and provide it to TSA. pacity; or (c) Upon expiration of a non- (2) Committed to a mental health fa- immigrant status listed in paragraph cility. (a)(7) of this section, an employee must (b) An applicant is adjudicated as surrender his or her TWIC to the em- lacking mental capacity if— ployer. (1) A court, board, commission, or (d) If an employer terminates an ap- other lawful authority has determined plicant working under a nonimmigrant that the applicant, as a result of status listed in paragraph (a)(7) of this marked subnormal intelligence, mental section, or the applicant otherwise illness, incompetence, condition, or ceases working for the employer, the disease, is a danger to himself or her- employer must notify TSA within 5 self or to others, or lacks the mental business days and provide the TWIC to capacity to conduct or manage his or TSA if possible. her own affairs. (e) Any individual in removal pro- (2) This includes a finding of insanity ceedings or subject to an order of re- by a court in a criminal case and a moval under the immigration laws of the United States is not eligible to finding of incompetence to stand trial; apply for a TWIC. or a finding of not guilty by reason of (f) To determine an applicant’s immi- lack of mental responsibility, by any gration status, TSA will check rel- court, or pursuant to articles 50a and evant Federal databases and may per- 76b of the Uniform Code of Military form other checks, including the valid- Justice (10 U.S.C. 850a and 876b). ity of the applicant’s alien registration (c) An applicant is committed to a number, social security number, or I–94 mental health facility if he or she is Arrival-Departure Form number. formally committed to a mental health facility by a court, board, commission, [72 FR 3595, Jan. 25, 2007, as amended at 72 FR 55049, Sept. 28, 2007; 73 FR 13156, Mar. 12, or other lawful authority, including in- 2008] voluntary commitment and commitment for lacking mental capacity, § 1572.107 Other analyses. mental illness, and drug use. This does (a) TSA may determine that an appli- not include commitment to a mental cant poses a security threat based on a health facility for observation or vol- search of the following databases: untary admission to a mental health (1) Interpol and other international facility. databases, as appropriate. (2) Terrorist watchlists and related databases.

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§§ 1572.111–1572.139 [Reserved] mercial vehicle drivers who wish to apply for a TWIC must comply with the Subpart C—Transportation of Haz- rules in 49 CFR part 1572. ardous Materials From Can- § 1572.203 Transportation of explosives ada or Mexico To and Within from Canada to the United States the United States by Land via railroad carrier. Modes (a) Applicability. This section applies § 1572.201 Transportation of haz- to railroad carriers that carry explo- ardous materials via commercial sives from Canada to the United motor vehicle from Canada or Mex- States, using a train crew member who ico to and within the United States. is not a U.S. citizen or lawful perma- (a) Applicability. This section applies nent resident alien of the United to commercial motor vehicle drivers li- States. censed by Canada and Mexico. (b) Terms under this section. For pur- (b) Terms used in this section. The poses of this section: terms used in 49 CFR parts 1500, 1570, Customs and Border Protection (CBP) and 1572 also apply in this subpart. In means the Bureau of Customs and Bor- addition, the following terms are used der Protection, an agency within the in this subpart for purposes of this sec- U.S. Department of Homeland Secu- tion: rity. FAST means Free and Secure Trade Explosive means a material that has program of the Bureau of Customs and been examined by the Associate Ad- Border Protection (CBP), a cooperative ministrator for Hazardous Materials effort between CBP and the govern- Safety, Research and Special Programs ments of Canada and Mexico to coordi- Administration, in accordance with 49 nate processes for the clearance of CFR 173.56, and determined to meet the commercial shipments at the border. definition for a Class 1 material in 49 Hazardous materials means material CFR 173.50. that has been designated as hazardous Known railroad carrier means a person under 49 U.S.C. 5103 and is required to that has been determined by the Gov- be placarded under subpart F of 49 CFR ernments of Canada and the United part 172 or any quantity of material States to be a legitimate business, op- that listed as a select agent or toxin in erating in accordance with all applica- 42 CFR part 73. ble laws and regulations governing the (c) Background check required. A com- transportation of explosives. mercial motor vehicle driver who is licensed by Canada or Mexico may not Known offeror means an offeror that transport hazardous materials into or has been determined by the Govern- within the United States unless the ments of Canada and the United States driver has undergone a background to be a legitimate business, operating check similar to the one required of in accordance with all applicable laws U.S.-licensed operators with a haz- and regulations governing the trans- ardous materials endorsement (HME) portation of explosives. on a commercial driver’s license, as Known train crew member means an prescribed in 49 CFR 1572.5. individual used to transport explosives (d) FAST card. A commercial motor from Canada to the United States, who vehicle driver who holds a current Free has been determined by the Govern- and Secure Trade (FAST) program card ments of Canada and the United States satisfies the requirements of this sec- to present no known security concern. tion. Commercial motor vehicle drivers Lawful permanent resident alien means who wish to apply for a FAST program an alien lawfully admitted for perma- card must contact the FAST Commer- nent residence, as defined by 8 U.S.C. cial Driver Program, Bureau of Cus- 1101(a)(20). toms and Border Protection (CBP), De- Offeror means the person offering a partment of Homeland Security. shipment to the railroad carrier for (e) TWIC. A commercial motor vehi- transportation from Canada to the cle driver who holds a TWIC satisfies United States, and may also be known the requirements of this section. Com- as the ‘‘consignor’’ in Canada.

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Railroad carrier means ‘‘railroad car- offerors, and train crew members and rier’’ as defined in 49 U.S.C. 20102. forward the list to CBP. (c) Prior approval of railroad carrier, (5) Once included on the list, the rail- offeror, and train crew member. (1) No road carriers, offerors, and train crew railroad carrier may transport in com- members need not obtain prior ap- merce any explosive into the United proval for future transport of explo- States from Canada, via a train oper- sives under this section. ated by a crew member who is not a (d) TSA checks. TSA may periodically U.S. national or lawful permanent resi- check the data on the railroad carriers, dent alien, unless the railroad carrier, offerors, and train crew members to offeror, and train crew member are confirm their continued eligibility, and identified on a TSA list as a known may remove from the list any that railroad carrier, known offeror, and TSA determines is not known or is a known train crew member, respec- threat to security. tively. (e) At the border. (1) Train crew mem- (2) The railroad carrier must ensure bers who are not U.S. nationals or law- that it, its offeror, and each of its crew ful permanent resident aliens. Upon ar- members have been determined to be a rival at a point designated by CBP for known railroad carrier, known offeror, inspection of trains crossing into the and known train crew member, respec- United States, the train crew members tively. If any has not been so deter- of a train transporting explosives must mined, the railroad carrier must sub- provide sufficient identification to CBP mit the following information to to enable that agency to determine if Transport Canada: each crew member is on the list of known train crew members maintained (i) The railroad carrier’s identifica- by TSA. tion, including— (2) Train crew members who are U.S. (A) Official name; nationals or lawful permanent resident (B) Business number; aliens. If CBP cannot verify that the (C) Any trade names; and crew member is on the list and the (D) Address. crew member is a U.S. national or law- (ii) The following information about ful permanent resident alien, the crew any offeror of explosives whose ship- member may be cleared by CBP upon ments it will carry: providing— (A) Official name. (i) A valid U.S. passport; or (B) Business number. (ii) One or more other document(s), (C) Address. including a form of U.S. Federal or (iii) The following information about state Government-issued identification any train crew member the railroad with photograph, acceptable to CBP. carrier may use to transport explosives (3) Compliance. If a carrier attempts into the United States from Canada, to enter the U.S. without having com- who is neither a U.S. national nor law- plied with this section, CBP will deny ful permanent resident alien: entry of the explosives and may take (A) Full name. other appropriate action. (B) Both current and most recent prior residential addresses. Subpart D [Reserved] (3) Transport Canada will determine whether the railroad carrier and offer- Subpart E—Fees for Security Threat or are legitimately doing business in Assessments for Hazmat Drivers Canada and will also determine whether the train crew members present no § 1572.400 Scope and definitions. known problems for purposes of this (a) Scope. This part applies to— section. Transport Canada will notify (1) States that issue an HME for a TSA of these determinations by for- commercial driver’s license; warding to TSA lists of known railroad (2) Individuals who apply to obtain or carriers, offerors, and train crew mem- renew an HME for a commercial driv- bers and their identifying information. er’s license and must undergo a secu- (4) TSA will update and maintain the rity threat assessment under 49 CFR list of known railroad carriers, part 1572; and

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(3) Entities who collect fees from 49 CFR part 1572; and the procedures an such individuals on behalf of TSA. individual who applies to obtain or (b) Terms. As used in this part: renew an HME, for a CDL in that Commercial driver’s license (CDL) is State, must follow for collection and used as defined in 49 CFR 383.5. transmission of the Threat Assessment Day means calendar day. Fee and the FBI Fee. FBI Fee means the fee required for (a) Imposition of fees. (1) An individual the cost of the Federal Bureau of Inves- who applies to obtain or renew an tigation (FBI) to process fingerprint HME, or the individuals’ employer, records. must remit to the State the Threat As- Information Collection Fee means the sessment Fee and the FBI Fee, in a fee required, in this part, for the cost form and manner approved by TSA and of collecting and transmitting finger- the State, when the individual submits prints and other applicant information the application for the HME to the under 49 CFR part 1572. State. Threat Assessment Fee means the fee (2) TSA shall publish the Threat As- required, in this part, for the cost of TSA adjudicating security threat assessment Fee described in this subpart sessments, appeals, and waivers under for an individual who applies to obtain 49 CFR part 1572. or renew and HME as a Notice in the TSA agent means an entity approved FEDERAL REGISTER. TSA reviews the by TSA to collect and transmit finger- amount of the fees periodically, at prints and applicant information, in least once every two years, to deter- accordance with 49 CFR part 1572, and mine the current cost of conducting se- fees in accordance with this part. curity threat assessments. Fee amounts and any necessary revisions § 1572.401 Fee collection options. to the fee amounts shall be determined (a) State collection and transmission. If by current costs, using a method of a State collects fingerprints and appli- analysis consistent with widely accept- cant information under 49 CFR part ed accounting principles and practices, 1572, the State must collect and trans- and calculated in accordance with the mit to TSA the Threat Assessment provisions of 31 U.S.C. 9701 and other Fee, in accordance with the require- applicable Federal law. ments of 49 CFR 1572.403. The State (3) The FBI Fee required for the FBI also must collect and remit the FBI to process fingerprint identification fee, in accordance with established pro- records and name checks required cedures. under 49 CFR part 1572 is determined (b) TSA agent collection and trans- by the FBI under Public Law 101–515. If mission. If a TSA agent collects finger- the FBI amends this fee, the individual prints and applicant information under must remit the amended fee. 49 CFR part 1572, the agent must— (b) Collection of fees. (1) A State must (1) Collect the Information Collection collect the Threat Assessment Fee and Fee, Threat Assessment Fee, and FBI FBI Fee, when an individual submits Fee, in accordance with procedures ap- an application to the State to obtain or proved by TSA; renew an HME. (2) Transmit to TSA the Threat As- (2) Once TSA receives an application sessment Fee, in accordance with pro- from a State for a security threat as- cedures approved by TSA; and sessment under 49 CFR part 1572, the (3) Transmit to TSA the FBI Fee, in State is liable for the Threat Assess- accordance with procedures approved ment Fee. by TSA and the FBI. (3) Nothing in this subpart prevents a [72 FR 3595, Jan. 25, 2007; 72 FR 14050, Mar. 26, State from collecting any other fees 2007] that a State may impose on an individual who applies to obtain or renew § 1572.403 Procedures for collection by an HME. States. (c) Handling of fees. (1) A State must This section describes the procedures safeguard all Threat Assessment Fees, that a State, which collects finger- from the time of collection until remit- prints and applicant information under tance to TSA.

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(2) All Threat Assessment Fees are § 1572.405 Procedures for collection by held in trust by a State for the bene- TSA. ficial interest of the United States in This section describes the procedures paying for the costs of conducting the that an individual, who applies to ob- security threat assessment, required by tain or renew an HME for a CDL, must 49 U.S.C. 5103a and 49 CFR part 1572. A follow if a TSA agent collects and State holds neither legal nor equitable transmits the Information Collection interest in the Threat Assessment Fee, Threat Assessment Fee, and FBI Fees, except for the right to retain any Fee. accrued interest on the principal (a) Imposition of fees. (1) An individual amounts collected pursuant to this sec- who applies to obtain or renew an tion. HME, or the individuals’ employer, (3) A State must account for Threat must remit to the TSA agent the Infor- Assessment Fees separately, but may mation Collection Fee, Threat Assess- commingle such fees with other ment Fee, and FBI Fee, in a form and sources of revenue. manner approved by TSA, when the in- (d) Remittance of fees. (1) TSA will dividual submits the application re- generate and provide an invoice to a quired under 49 CFR part 1572. State on a monthly basis. The invoice (2) TSA shall publish the Information will indicate the total fee dollars (num- Collection Fee and Threat Assessment ber of applicants times the Threat As- Fee described in this subpart for an in- sessment Fee) that are due for the dividual who applies to obtain or renew month. an HME as a Notice in the FEDERAL (2) A State must remit to TSA full REGISTER. TSA reviews the amount of payment for the invoice, within 30 days the fees periodically, at least once after TSA sends the invoice. every two years, to determine the cur- (3) TSA accepts Threat Assessment rent cost of conducting security threat Fees only from a State, not from an in- assessments. Fee amounts and any nec- dividual applicant for an HME. essary revisions to the fee amounts (4) A State may retain any interest shall be determined by current costs, that accrues on the principal amounts using a method of analysis consistent collected between the date of collec- with widely accepted accounting prin- tion and the date the Threat Assess- ciples and practices, and calculated in ment Fee is remitted to TSA, in ac- accordance with the provisions of 31 cordance with paragraph (d)(2) of this U.S.C. 9701 and other applicable Fed- section. eral law. (5) A State may not retain any por- (3) The FBI Fee required for the FBI tion of the Threat Assessment Fee to to process fingerprint identification offset the costs of collecting, handling, records and name checks required or remitting Threat Assessment Fees. under 49 CFR part 1572 is determined by the FBI under Public Law 101–515. If (6) Threat Assessment Fees, remitted the FBI amends this fee, TSA or its to TSA by a State, must be in U.S. cur- agent, will collect the amended fee. rency, drawn on a U.S. bank, and made payable to the ‘‘Transportation Secu- (b) Collection of fees. A TSA agent will rity Administration.’’ collect the fees required under this section, when an individual submits an ap- (7) Threat Assessment Fees must be plication to the TSA agent, in accord- remitted by check, money order, wire, ance with 49 CFR part 1572. or any other payment method acceptable to TSA. (c) Remittance of fees. (1) Fees required under this section, which are re- (8) TSA will not issue any refunds of mitted to a TSA agent, must be made Threat Assessment Fees. in U.S. currency, drawn on a U.S. bank, (9) If a State does not remit the and made payable to the ‘‘Transpor- Threat Assessment Fees for any tation Security Administration.’’ month, TSA may decline to process (2) Fees required under this section any HME applications from that State. must be remitted by check, money [72 FR 3595, Jan. 25, 2007, as amended at 78 order, wire, or any other payment FR 24359, Apr. 25, 2013] method acceptable to TSA.

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(3) TSA will not issue any refunds of Pub. L. 101–515. If the FBI amends this fees required under this section. fee, TSA or its agent will collect the (4) Applications, submitted in accord- amended fee. ance with 49 CFR part 1572, will be (c) Reduced TWIC Fee. The fee to ob- processed only upon receipt of all ap- tain a TWIC when the applicant has plicable fees under this section. undergone a comparable threat assess- [72 FR 3595, Jan. 25, 2007, as amended at 78 ment in connection with an HME, FR 24359, Apr. 25, 2013] FAST card, other threat assessment deemed to be comparable under 49 CFR Subpart F—Fees for Security Threat 1572.5(e) or holds a Merchant Mariner Assessments for Transportation Document or Merchant Mariner Li- Worker Identification Creden- cense is made up of the total of the fol- tial (TWIC) lowing segments: (1) The Enrollment Segment Fee cov- § 1572.500 Scope. ers the costs for TSA or its agent to (a) Scope. This part applies to— enroll applicants. (1) Individuals who apply to obtain or (2) The Reduced Card Production/Se- renew a Transportation Worker Identi- curity Threat Assessment Segment fication Credential and must undergo a covers the costs for TSA to conduct a security threat assessment under 49 portion of the security threat assess- CFR part 1572; and ment and issue a TWIC. (2) Entities that collect fees from (d) Card Replacement Fee. The Card such individuals on behalf of TSA. Replacement Fee covers the costs for (b) Terms. As used in this part: TSA to replace a TWIC when a TWIC TSA agent means the entity approved holder reports that his/her TWIC has by TSA to collect and transmit finger- been lost, stolen, or damaged. prints and applicant information, and (e) Form of fee. The TSA vendor will collect fees in accordance with this collect the fee required to obtain or part. renew a TWIC and will determine the § 1572.501 Fee collection. method of acceptable payment, subject to approval by TSA. (a) When fee must be paid. When an applicant submits the information and (f) Refunds. TSA will not issue any fingerprints required under 49 CFR part refunds of fees required under this sec- 1572 to obtain or renew a TWIC, the fee tion. must be remitted to TSA or its agent (g) Imposition of fees. TSA routinely in accordance with the requirements of establishes and collects fees to conduct this section. Applications submitted in the security threat assessment and accordance with 49 CFR part 1572 will credentialing process. These fees apply be processed only upon receipt of all re- to all entities requesting a security quired fees under this section. threat assessment and/or credential. (b) Standard TWIC Fees. The fee to ob- The fees described in this section for an tain or renew a TWIC, except as pro- individual who applies to obtain, vided in paragraphs (c) and (d) of this renew, or replace a TWIC under 49 CFR section, includes the following seg- part 1572, shall be published as a Notice ments: in the FEDERAL REGISTER. TSA reviews (1) The Enrollment Segment Fee cov- the amount of these fees periodically, ers the costs for TSA or its agent to at least once every two years, to deter- enroll applicants. mine the current cost of conducting se- (2) The Full Card Production/Secu- curity threat assessments. Fee rity Threat Assessment Segment Fee amounts and any necessary revisions covers the costs for TSA or its agent to to the fee amounts shall be determined conduct a security threat assessment and produce the TWIC. by current costs, using a method of (3) The FBI Segment Fee covers the analysis consistent with widely-accept- costs for the FBI to process fingerprint ed accounting principles and practices, identification records, and is the and calculated in accordance with the amount collected by the FBI under

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provisions of 31 U.S.C. 9701 and other that is part of the general railroad sys- applicable Federal law. tem of transportation; (2) Each rail hazardous materials [72 FR 3595, Jan. 25, 2007, as amended at 72 FR 55049, Sept. 28, 2007; 78 FR 24359, Apr. 25, shipper that offers, prepares, or loads 2013] for transportation in commerce by rail one or more of the categories and quan- PART 1580—RAIL TRANSPORTATION tities of rail security-sensitive mate- SECURITY rials set forth in § 1580.100(b) of this part; (3) Each rail hazardous materials re- Subpart A—General ceiver, located within a High Threat Sec. Urban Area (HTUA) that receives in 1580.1 Scope. commerce by rail or unloads one or 1580.3 Terms used in this part. more of the categories and quantities 1580.5 Inspection authority. of rail security-sensitive materials set Subpart B—Freight Rail Including Freight forth in § 1580.100(b) of this part; Railroad Carriers, Rail Hazardous Ma- (4) Each passenger railroad carrier, terials Shippers, Rail Hazardous Mate- including each carrier operating light rials Receivers, and Private Cars rail or heavy rail transit service on track that is part of the general rail- 1580.100 Applicability. road system of transportation, each 1580.101 Rail security coordinator. carrier operating or providing intercity 1580.103 Location and shipping information passenger train service or commuter or for certain rail cars. 1580.105 Reporting significant security con- other short-haul railroad passenger cerns. service in a metropolitan or suburban 1580.107 Chain of custody and control re- area (as described by 49 U.S.C. 20102), quirements. and each public authority operating 1580.109 Preemptive effect. passenger train service; 1580.111 Harmonization of federal regulation (5) Each passenger or freight railroad of nuclear facilities. carrier hosting an operation described Subpart C—Passenger Rail Including Pas- in paragraph (a)(4) of this section; senger Railroad Carriers, Rail Transit (6) Each tourist, scenic, historic, and Systems, Tourist, Scenic, Historic and excursion rail operator, whether oper- Excursion Operators, and Private Cars ating on or off the general railroad system of transportation; 1580.200 Applicability. (7) Each operator of private cars, in- 1580.201 Rail security coordinator. cluding business/office cars and circus 1580.203 Reporting significant security con- trains, on or connected to the general cerns. railroad system of transportation; and APPENDIX A TO PART 1580—HIGH THREAT (8) Each operator of a rail transit URBAN AREAS (HTUAS). system that is not operating on track APPENDIX B TO PART 1580—SUMMARY OF THE APPLICABILITY OF PART 1580 that is part of the general railroad system of transportation, including heavy AUTHORITY: 49 U.S.C. 114. rail transit, light rail transit, auto- SOURCE: 73 FR 72173, Nov. 26, 2008, unless mated guideway, cable car, inclined otherwise noted. plane, funicular, and monorail systems. (b) This part does not apply to a Subpart A—General freight railroad carrier that operates rolling equipment only on track inside § 1580.1 Scope. an installation that is not part of the (a) Except as provided in paragraph general railroad system of transpor- (b) of this section, this part includes tation. requirements for the following persons. Appendix B of this part summarizes the § 1580.3 Terms used in this part. general requirements for each person, For purposes of this part: and the specific sections in this part Commuter passenger train service provide detailed requirements. means ‘‘train, commuter’’ as defined in (1) Each freight railroad carrier that 49 CFR 238.5, and includes a railroad operates rolling equipment on track operation that ordinarily uses diesel or

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electric powered locomotives and rail- (ii) Tenders or makes the hazardous road passenger cars to serve an urban material available to a carrier for area, its suburbs, and more distant out- transportation in commerce. lying communities in the greater met- (2) A carrier is not an offeror when it ropolitan area. A commuter operation performs a function required as a con- is part of the general railroad system dition of acceptance of a hazardous ma- of transportation regardless of whether terial for transportation in commerce it is physically connected to other rail- (such as reviewing shipping papers, ex- roads. amining packages to ensure that they General railroad system of transpor- are in conformance with the HMR, or tation means the network of standard preparing shipping documentation for gage track over which goods may be its own use) or when it transfers a haz- transported throughout the Nation and ardous material to another carrier for passengers may travel between cities continued transportation in commerce and within metropolitan and suburban without performing a pre-transpor- areas. See 49 CFR part 209, Appendix A. tation function. See 49 CFR 171.8. Hazardous material means ‘‘hazardous Passenger car means rail rolling material’’ as defined in 49 CFR 171.8. equipment intended to provide trans- Heavy rail transit means service pro- portation for members of the general vided by self-propelled electric railcars, public and includes a self-propelled car typically drawing power from a third designed to carry passengers, baggage, rail, operating in separate rights-of- mail, or express. This term includes a way in multiple cars; also referred to passenger coach, cab car, and a Mul- as subways, metros, or regional rail. tiple Unit (MU) locomotive. In the con- High Threat Urban Area (HTUA) text of articulated equipment, ‘‘pas- means an area comprising one or more senger car’’ means that segment of the cities and surrounding areas including rail rolling equipment located between a 10-mile buffer zone, as listed in ap- two trucks. This term does not include pendix A to this part. a private car. See 49 CFR 238.5. Improvised explosive device means a de- Passenger train means a train that vice fabricated in an improvised man- transports or is available to transport ner that incorporates explosives or de- members of the general public. See 49 structive, lethal, noxious, pyrotechnic, CFR 238.5. or incendiary chemicals in its design, Private car means rail rolling equip- and generally includes a power supply, ment that is used only for excursion, a switch or timer, and a detonator or recreational, or private transportation initiator. purposes. A private car is not a pas- Intercity passenger train service means senger car. See 49 CFR 238.5. both ‘‘train, long-distance intercity Rail facility means a location at passenger’’ and ‘‘train, short-distance which rail cargo or infrastructure as- intercity passenger’’ as defined in 49 sets are stored, cargo is transferred be- CFR 238.5. tween conveyances and/or modes of Light rail transit means service pro- transportation, where transportation vided by self-propelled electric railcars, command and control operations are typically drawing power from an over- performed, or maintenance operations head wire, operating in either exclusive are performed. The term also includes, or non-exclusive rights-of-way in single but is not limited to, passenger sta- or multiple cars and with shorter dis- tions and terminals, rail yards, crew tance trips and frequent stops; also re- management centers, dispatching cen- ferred to as streetcars, trolleys, and ters, transportation terminals and sta- trams. tions, fueling centers, and tele- Offers or offeror means: communication centers. (1) Any person who does either or Rail hazardous materials receiver both of the following: means any operator of a fixed-site fa- (i) Performs, or is responsible for per- cility that has a physical connection to forming, any pre-transportation func- the general railroad system of trans- tion for transportation of the haz- portation and receives or unloads from ardous material in commerce. transportation in commerce by rail one

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or more of the categories and quan- erated by the Consolidated Rail Cor- tities of rail security-sensitive mate- poration on January 1, 1979; and high rials set forth in § 1580.100(b) of this speed ground transportation systems part, but does not include the operator that connect metropolitan areas, with- of a facility owned or operated by a de- out regard to whether those systems partment, agency, or instrumentality use new technologies not associated of the Federal government. with traditional railroads; but does not Rail hazardous materials shipper include rapid transit operations in an means the operator of any fixed-site fa- urban area that are not connected to cility that has a physical connection to the general railroad system of trans- the general railroad system of transportation. The term includes rail tran- portation and offers, prepares, or loads sit service operating on track that is for transportation by rail one or more part of the general railroad system of of the categories and quantities of rail transportation but does not include security-sensitive materials set forth rapid transit operations in an urban in § 1580.100(b) of this part, but does not area that are not connected to the gen- include the operator of a facility owned eral railroad system of transportation. or operated by a department, agency, or instrumentality of the Federal gov- See 49 U.S.C. 20102(1). ernment. Railroad carrier means a person pro- Rail secure area means a secure loca- viding railroad transportation. See 49 tion(s) identified by a rail hazardous U.S.C. 20102(2). materials shipper or rail hazardous ma- Residue means the hazardous mate- terials receiver where security-related rial remaining in a packaging, includ- pre-transportation or transportation ing a tank car, after its contents have functions are performed or rail cars been unloaded to the maximum extent containing the categories and quan- practicable and before the packaging is tities of rail security-sensitive mate- either refilled or cleaned of hazardous rials are prepared, loaded, stored, and/ material and purged to remove any or unloaded. hazardous vapors. See 49 CFR 171.8. Rail security-sensitive material means Tourist, scenic, historic, or excursion one or more of the categories and quan- operation means a railroad operation tities of hazardous materials set forth that carries passengers, often using an- in § 1580.100(b) of this part. tiquated equipment, with the convey- Rail transit facility means rail transit ance of the passengers to a particular stations, terminals, and locations at destination not being the principal pur- which rail transit infrastructure assets pose. Train movements of new pas- are stored, command and control oper- senger equipment for demonstration ations are performed, or maintenance purposes are not tourist, scenic, his- is performed. The term also includes toric, or excursion operations. See 49 rail yards, crew management centers, CFR 238.5. dispatching centers, transportation terminals and stations, fueling centers, Transit means mass transportation and telecommunication centers. by a conveyance that provides regular Rail transit system or ‘‘Rail Fixed and continuing general or special Guideway System’’ means any light, transportation to the public, but does heavy, or rapid rail system, monorail, not include school bus, charter, or inclined plane, funicular, cable car, sightseeing transportation. See 49 trolley, or automated guideway that U.S.C 5302(a). Transit may occur on or traditionally does not operate on track off the general railroad system of that is part of the general railroad sys- transportation. For purposes of this tem of transportation. part, the term ‘‘transit’’ excludes buses Railroad means any form of non- and commuter passenger train service. highway ground transportation that Transportation or transport means the runs on rails or electromagnetic guide- movement of property including load- ways, including: Commuter or other ing, unloading, and storage. Transpor- short-haul railroad passenger service in tation or transport also includes the a metropolitan or suburban area and movement of people, boarding, and dis- commuter railroad service that was op- embarking incident to that movement.

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§ 1580.5 Inspection authority. (4) Ensure the adequacy of security measures for the transportation of pas- (a) This section applies to the following: sengers and freight, including haz- (1) Each freight railroad carrier that ardous materials; operates rolling equipment on track (5) Oversee the implementation, and that is part of the general railroad sys- ensure the adequacy, of security meas- tem of transportation. ures at rail yards, stations, terminals, (2) Each rail hazardous materials transportation-related areas of rail shipper. hazardous materials shipper and re- (3) Each rail hazardous materials receiver facilities, crew management ceiver located within an HTUA. centers, dispatch centers, tele- (4) Each passenger railroad carrier, communication centers, and other including each carrier operating light transportation facilities and infra- rail or heavy rail transit service on structure; track that is part of the general rail- (6) Review security plans; and road system of transportation, each (7) Carry out such other duties, and carrier operating or providing intercity exercise such other powers, relating to passenger train service or commuter or transportation security, as the Assist- other short-haul railroad passenger ant Secretary of Homeland Security service in a metropolitan or suburban for the TSA considers appropriate, to area (as described by 49 U.S.C. 20102), the extent authorized by law. and each public authority operating (c) TSA and DHS officials working passenger train service. with TSA, may enter, without advance (5) Each passenger or freight railroad notice, and be present within any area carrier hosting an operation described or within any conveyance without ac- in paragraph (a)(4) of this section. cess media or identification media (6) Each tourist, scenic, historic, and issued or approved by a railroad car- excursion rail operator, whether oper- rier, rail transit system owner or operating on or off the general railroad sys- ator, rail hazardous materials shipper, tem of transportation. or rail hazardous materials receiver in (7) Each operator of private cars, in- order to inspect or test compliance, or cluding business/office cars and circus perform other such duties as TSA may trains, on or connected to the general direct. railroad system of transportation. (d) TSA inspectors and DHS officials (8) Each operator of a rail transit system that is not operating on track working with TSA will, on request, that is part of the general railroad sys- present their credentials for examina- tem of transportation, including heavy tion, but the credentials may not be rail transit, light rail transit, auto- photocopied or otherwise reproduced. mated guideway, cable car, inclined plane, funicular, and monorail systems. Subpart B—Freight Rail Including (b) The persons described in para- Freight Railroad Carriers, Rail graph (a) of this section must allow Hazardous Materials Shippers, TSA and other authorized DHS offi- Rail Hazardous Materials Re- cials, at any time and in a reasonable ceivers, and Private Cars manner, without advance notice, to enter, inspect, and test property, facili- § 1580.100 Applicability. ties, equipment, and operations; and to view, inspect, and copy records, as nec- (a) Applicability. The requirements of essary to carry out TSA’s security-re- this subpart apply to: lated statutory or regulatory authori- (1) Each freight railroad carrier that ties, including its authority to— operates rolling equipment on track (1) Assess threats to transportation; that is part of the general railroad sys- (2) Enforce security-related regula- tem of transportation. tions, directives, and requirements; (2) Each rail hazardous materials (3) Inspect, maintain, and test the se- shipper. curity of facilities, equipment, and sys- (3) Each rail hazardous materials re- tems; ceiver located with an HTUA.

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(4) Each freight railroad carrier (c) The RSC and alternate(s) must be hosting a passenger operation de- appointed at the corporate level. scribed in § 1580.1(a)(4) of this part. (d) Each freight railroad carrier, rail (5) Each operator of private cars, in- hazardous materials shipper, and rail cluding business/office cars and circus hazardous materials receiver required trains, on or connected to the general to have an RSC must provide to TSA railroad system of transportation. the names, title, phone number(s), and (b) Rail security-sensitive materials. e-mail address(es) of the RSCs and al- The requirements of this subpart apply ternate RSCs, and must notify TSA to: within 7 calendar days when any of this (1) A rail car containing more than information changes. 2,268 kg (5,000 lbs) of a Division 1.1, 1.2, (e) Each freight railroad carrier, rail or 1.3 (explosive) material, as defined hazardous materials shipper, and rail in 49 CFR 173.50; hazardous materials receiver required (2) A tank car containing a material to have an RSC must ensure that at poisonous by inhalation as defined in 49 least one RSC: CFR 171.8, including anhydrous ammo- (1) Serves as the primary contact for nia, Division 2.3 gases poisonous by in- intelligence information and security- halation as set forth in 49 CFR related activities and communications 173.115(c), and Division 6.1 liquids meet- with TSA. Any individual designated ing the defining criteria in 49 CFR as an RSC may perform other duties in 173.132(a)(1)(iii) and assigned to hazard addition to those described in this sec- zone A or hazard zone B in accordance tion; with 49 CFR 173.133(a), excluding res- (2) Is available to TSA on a 24-hours idue quantities of these materials; and a day, 7 days a week basis; and (3) A rail car containing a highway (3) Coordinates security practices and route-controlled quantity of a Class 7 procedures with appropriate law en- (radioactive) material, as defined in 49 forcement and emergency response CFR 173.403. agencies. [73 FR 72173, Nov. 26, 2008, as amended at 74 [73 FR 72173, Nov. 26, 2008, as amended at 74 FR 23656, May 20, 2009] FR 23656, May 20, 2009] § 1580.103 Location and shipping infor- § 1580.101 Rail security coordinator. mation for certain rail cars. (a) Applicability. This section applies (a) Applicability. This section applies to: to: (1) Each freight railroad carrier that (1) Each freight railroad carrier operates rolling equipment on track transporting one or more of the cat- that is part of the general railroad sys- egories and quantities of rail security- tem of transportation. sensitive materials. (2) Each rail hazardous materials (2) Each rail hazardous materials shipper. shipper. (3) Each rail hazardous materials re- (3) Each rail hazardous materials receiver located with an HTUA. ceiver located with an HTUA. (4) Each freight railroad carrier (b) General requirement. Each person hosting the passenger operations de- described in paragraph (a) of this sec- scribed in § 1580.1(a)(4) of this part. tion must have procedures in place to (5) Each operator of private cars, in- determine the location and shipping including business/office cars and circus formation for each rail car under its trains, on or connected to the general physical custody and control that con- railroad system of transportation, tains one or more of the categories and when notified by TSA in writing, that quantities of rail security-sensitive a threat exists concerning that oper- materials. ation. (c) Required information. The location (b) Each person described in para- and shipping information required in graph (a) of this section must designate paragraph (b) of this section must in- and use a primary and at least one al- clude the following: ternate Rail Security Coordinator (1) The rail car’s current location by (RSC). city, county, and state, including, for

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freight railroad carriers, the railroad (5) Posting the information to a se- milepost, track designation, and the cure website address approved by TSA. time that the rail car’s location was (6) Another format approved by TSA. determined. (g) Telephone number. Each person de- (2) The rail car’s routing, if a freight scribed in paragraph (a) of this section railroad carrier. must provide a telephone number for (3) A list of the total number of rail use by TSA to request the information cars containing the materials listed in required in paragraph (c) of this sec- § 1580.100(b) of this part, broken down tion. by: (1) The telephone number must be (i) The shipping name prescribed for monitored at all times. the material in column 2 of the table in (2) A telephone number that requires 49 CFR 172.101; a call back (such as an answering serv- (ii) The hazard class or division num- ice, answering machine, or beeper de- ber prescribed for the material in col- vice) does not meet the requirements umn 3 of the table in 49 CFR 172.101; of this paragraph. and (iii) The identification number pre- (h) Definition. As used in this section, scribed for the material in column 4 of Class I has the meaning assigned by the table in 49 CFR 172.101. regulations of the Surface Transpor- (4) Each rail car’s initial and number. tation Board (STB) (49 CFR part 1201; (5) Whether the rail car is in a train, General Instructions 1–1). rail yard, siding, rail spur, or rail haz- [73 FR 72173, Nov. 26, 2008, as amended at 74 ardous materials shipper or receiver fa- FR 23657, May 20, 2009] cility, including the name of the rail yard or siding designation. § 1580.105 Reporting significant secu- (d) Timing-class I freight railroad car- rity concerns. riers. Upon request by TSA, each Class (a) Applicability. This section applies I freight railroad carrier described in to: paragraph (a) of this section must pro- (1) Each freight railroad carrier that vide the location and shipping informa- operates rolling equipment on track tion to TSA no later than: that is part of the general railroad sys- (1) Five minutes if the request con- tem of transportation. cerns only one rail car; and (2) Each rail hazardous materials (2) Thirty minutes if the request con- shipper. cerns two or more rail cars. (3) Each rail hazardous materials re- (e) Timing-other than class I freight ceiver located with an HTUA. railroad carriers. Upon request by TSA, all persons described in paragraph (a) (4) Each freight railroad carrier of this section, other than Class I hosting a passenger operation de- freight railroad carriers, must provide scribed in § 1580.1(a)(4) of this part. the location and shipping information (5) Each operator of private cars, in- to TSA no later than 30 minutes, re- cluding business/office cars and circus, gardless of the number of cars covered on or connected to the general railroad by the request. system of transportation. (f) Method. All persons described in (b) Each person described in para- paragraph (a) of this section must pro- graph (a) of this section must imme- vide the requested location and ship- diately report potential threats and ping information to TSA by one of the significant security concerns to DHS following methods: by telephoning the Freedom Center at (1) Electronic data transmission in 1–866–615–5150. spreadsheet format. (c) Potential threats or significant (2) Electronic data transmission in security concerns encompass incidents, Hyper Text Markup Language (HTML) suspicious activities, and threat infor- format. mation including, but not limited to, (3) Electronic data transmission in the following: Extensible Markup Language (XML). (1) Interference with the train crew. (4) Facsimile transmission of a hard (2) Bomb threats, specific and non- copy spreadsheet in tabular format. specific.

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(3) Reports or discovery of suspicious (6) Description of the threat, inci- items that result in the disruption of dent, or activity. railroad operations. (7) The names and other available bi- (4) Suspicious activity occurring on- ographical data of individuals involved board a train or inside the facility of a in the threat, incident, or activity. freight railroad carrier, rail hazardous (8) The source of any threat informa- materials shipper, or rail hazardous tion. materials receiver that results in a disruption of operations. [73 FR 72173, Nov. 26, 2008, as amended at 74 (5) Suspicious activity observed at or FR 23657, May 20, 2009] around rail cars, facilities, or infra- § 1580.107 Chain of custody and con- structure used in the operation of the trol requirements. railroad, rail hazardous materials shipper, or rail hazardous materials re- (a) Within or outside of an HTUA, rail ceiver. hazardous materials shipper transferring (6) Discharge, discovery, or seizure of to carrier. Except as provided in para- a firearm or other deadly weapon on a graph (g) of this section, at each loca- train, in a station, terminal, facility, tion within or outside of an HTUA, a or storage yard, or other location used rail hazardous materials shipper trans- in the operation of the railroad, rail ferring custody of a rail car containing hazardous materials shipper, or rail one or more of the categories and quan- hazardous materials receiver. tities of rail security-sensitive mate- (7) Indications of tampering with rail rials to a freight railroad carrier must: cars. (1) Physically inspect the rail car be- (8) Information relating to the pos- fore loading for signs of tampering, in- sible surveillance of a train or facility, cluding closures and seals; other signs storage yard, or other location used in that the security of the car may have the operation of the railroad, rail haz- been compromised; suspicious items or ardous materials shipper, or rail haz- items that do not belong, including the ardous materials receiver. presence of an improvised explosive de- (9) Correspondence received by the vice. freight railroad carrier, rail hazardous (2) Keep the rail car in a rail secure materials shipper, or rail hazardous area from the time the security inspec- materials receiver indicating a poten- tion required by paragraph (a)(1) of this tial threat. Other incidents involving section or by 49 CFR 173.31(d), which- breaches of the security of the freight ever occurs first, until the freight rail- railroad carrier, rail hazardous mate- road carrier takes physical custody of rials shipper, or rail hazardous mate- the rail car. rials receiver’s operations or facilities. (3) Document the transfer of custody (d) Information reported should in- to the railroad carrier in writing or clude, as available and applicable: electronically. (1) The name of the reporting freight (b) Within or outside of an HTUA, car- railroad carrier, rail hazardous mate- rier receiving from a rail hazardous materials shipper, or rail hazardous materials shipper. At each location within or rials receiver and contact information, outside of an HTUA where a freight including a telephone number or e-mail railroad carrier receives from a rail address. hazardous materials shipper custody of (2) The affected train, station, ter- a rail car containing one or more of the minal, rail hazardous materials facil- categories and quantities of rail secu- ity, or other rail facility or infrastruc- rity-sensitive materials, the freight ture. railroad carrier must document the (3) Identifying information on the af- transfer in writing or electronically fected train, train line, and route. and perform the required security in- (4) Origination and termination loca- spection in accordance with 49 CFR tions for the affected train, including 174.9. departure and destination city and the (c) Within an HTUA, carrier transfer- rail line and route, as applicable. ring to carrier. Within an HTUA, when- (5) Current location of the affected ever a freight railroad carrier transfers train. a rail car containing one or more of the

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categories and quantities of rail secu- of rail security-sensitive materials rity-sensitive materials to another from a freight railroad carrier must: freight railroad carrier, each freight (1) Ensure that the rail hazardous railroad carrier must adopt and carry materials receiver or railroad carrier out procedures to ensure that the rail maintains positive control of the rail car is not left unattended at any time car during the physical transfer of cus- during the physical transfer of custody. tody of the rail car. These procedures must include the re- (2) Keep the rail car in a rail secure ceiving freight railroad carrier per- area until the car is unloaded. forming the required security inspec- (3) Document the transfer of custody tion in accordance with 49 CFR 174.9. from the railroad carrier in writing or Both the transferring and the receiving electronically. railroad carrier must document the (g) Within or outside of an HTUA, rail transfer of custody in writing or elec- hazardous materials receiver rejecting car. tronically. This section does not apply to a rail (d) Outside of an HTUA, carrier trans- hazardous materials receiver that does ferring to carrier. Outside an HTUA, not routinely offer, prepare, or load for whenever a freight railroad carrier transportation by rail one or more of transfers a rail car containing one or the categories and quantities of rail se- more of the categories and quantities curity-sensitive materials. If such a re- of rail security-sensitive materials to ceiver rejects and returns a rail car another freight railroad carrier, and containing one or more of the cat- the rail car containing this hazardous egories and quantities of rail security- material may subsequently enter an sensitive materials to the originating HTUA, each freight railroad carrier offeror or shipper, the requirements of must adopt and carry out procedures to this section do not apply to the re- ensure that the rail car is not left un- ceiver. The requirements of this sec- attended at any time during the phys- tion do apply to any railroad carrier to ical transfer of custody. These proce- which the receiver transfers custody of dures must include the receiving rail- the rail car. road carrier performing the required (h) Document retention. Covered enti- security inspection in accordance with ties must maintain the documents re- 49 CFR 174.9. Both the transferring and quired under this section for at least 60 the receiving railroad carrier must calendar days and make them available document the transfer of custody in to TSA upon request. writing or electronically. (i) Rail secure area. The rail haz- (e) Within an HTUA, carrier transfer- ardous materials shipper and the rail ring to rail hazardous materials receiver. hazardous materials receiver must use A freight railroad carrier delivering a physical security measures to ensure rail car containing one or more of the that no unauthorized person gains ac- categories and quantities of rail secu- cess to the rail secure area. rity-sensitive materials to a rail haz- (j) Exemption for rail hazardous mate- ardous materials receiver located with- rials receivers. A rail hazardous mate- in an HTUA must not leave the rail car rials receiver located within an HTUA unattended in a non-secure area until may request from TSA an exemption the rail hazardous materials receiver from some or all of the requirements of accepts custody of the rail car. Both this section if the receiver dem- the railroad carrier and the rail haz- onstrates that the potential risk from ardous materials receiver must docu- its activities is insufficient to warrant ment the transfer of custody in writing compliance with this section. TSA will or electronically. consider all relevant circumstances, in- (f) Within an HTUA, rail hazardous cluding— materials receiver receiving from carrier. (1) The amounts and types of all haz- Except as provided in paragraph (j) of ardous materials received. this section, a rail hazardous materials (2) The geography of the area sur- receiver located within an HTUA that rounding the receiver’s facility. receives a rail car containing one or (3) Proximity to entities that may be more of the categories and quantities attractive targets, including other

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businesses, housing, schools, and hos- order of the United States Govern- pitals. ment; and that does not unreasonably (4) Any information regarding burden interstate commerce. For ex- threats to the facility. ample, under 49 U.S.C. 20106, issuance (5) Other circumstances that indicate of § 1580.107 of this subpart preempts the potential risk of the receiver’s fa- any State or tribal law, rule, regula- cility does not warrant compliance tion, order or common law requirement with this section. covering the same subject matter. (k) Terms used in this section. (1) As used in this section, a rail car is at- § 1580.111 Harmonization of federal tended if an employee or authorized regulation of nuclear facilities. representative: TSA will coordinate activities under (i) Is physically located on site in this subpart with the Nuclear Regu- reasonable proximity to the rail car; latory Commission (NRC) and the De- (ii) Is capable of promptly responding partment of Energy (DOE) with respect to unauthorized access or activity at or to regulation of rail hazardous mate- near the rail car, including imme- rials shippers and receivers that are diately contacting law enforcement or also licensed or regulated by the NRC other authorities; and or DOE under the Atomic Energy Act (iii) Immediately responds to any un- of 1954, as amended, to maintain con- authorized access or activity at or near sistency with the requirements im- the rail car either personally or by con- posed by the NRC and DOE. tacting law enforcement or other authorities. (2) As used in this section, maintains Subpart C—Passenger Rail Includ- positive control means that the rail haz- ing Passenger Railroad Car- ardous materials receiver and the rail- riers, Rail Transit Systems, Tour- road carrier communicate and cooper- ist, Scenic, Historic and Excur- ate with each other to provide for the sion Operators, and Private security of the rail car during the Cars physical transfer of custody. Attending the rail car is a component part of § 1580.200 Applicability. maintaining positive control. This subpart includes requirements (3) As used in this section, document for: the transfer means documentation (a) Each passenger railroad carrier, uniquely identifying that the rail car including each carrier operating light was attended during the transfer of rail or heavy rail transit service on custody, including: track that is part of the general rail- (i) Car initial and number. road system of transportation, each (ii) Identification of individuals who carrier operating or providing intercity attended the transfer (names or passenger train service or commuter or uniquely identifying employee num- other short-haul railroad passenger ber). service in a metropolitan or suburban (iii) Location of transfer. area (as described by 49 U.S.C. 20102), (iv) Date and time the transfer was and each public authority operating completed. passenger train service. [73 FR 72173, Nov. 26, 2008, as amended at 74 (b) Each passenger railroad carrier FR 23657, May 20, 2009] hosting an operation described in paragraph (a) of this section. § 1580.109 Preemptive effect. (c) Each tourist, scenic, historic, and Under 49 U.S.C. 20106, issuance of the excursion rail operator, whether oper- regulations in this part preempts any ating on or off the general railroad sys- State law, regulation, or order cov- tem of transportation. ering the same subject matter, except (d) Each operator of private cars, in- an additional or more stringent law, cluding business/office cars and circus regulation, or order that is necessary trains, on or connected to the general to eliminate or reduce an essentially railroad system of transportation. local security hazard; that is not in- (e) Each operator of a rail transit compatible with a law, regulation, or system that is not operating on track

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that is part of the general railroad sys- (e) Each passenger railroad carrier tem of transportation, including heavy and rail transit system required to rail transit, light rail transit, auto- have an RSC must ensure that at least mated guideway, cable car, inclined one RSC: plane, funicular, and monorail systems. (1) Serves as the primary contact for intelligence information and security- § 1580.201 Rail security coordinator. related activities and communications (a) Applicability. This section applies with TSA. Any individual designated to: as an RSC may perform other duties in (1) Each passenger railroad carrier, addition to those described in this sec- including each carrier operating light tion. rail or heavy rail transit service on (2) Is available to TSA on a 24-hours track that is part of the general rail- a day, 7 days a week basis. road system of transportation, each (3) Coordinate security practices and carrier operating or providing intercity procedures with appropriate law en- passenger train service or commuter or forcement and emergency response other short-haul railroad passenger agencies. service in a metropolitan or suburban area (as described by 49 U.S.C. 20102), § 1580.203 Reporting significant secu- and each public authority operating rity concerns. passenger train service. (a) Applicability. This section applies (2) Each passenger railroad carrier to: hosting an operation described in para- (1) Each passenger railroad carrier, graph (a)(1) of this section. including each carrier operating light (3) Each operator of a rail transit rail or heavy rail transit service on system that is not operating on track track that is part of the general rail- that is part of the general railroad sys- road system of transportation, each tem of transportation, including heavy carrier operating or providing intercity rail transit, light rail transit, auto- passenger train service or commuter or mated guideway, cable car, inclined other short-haul railroad passenger plane, funicular, and monorail systems. service in a metropolitan or suburban (4) Each operator of private cars, in- area (as described by 49 U.S.C. 20102), cluding business/office cars and circus and each public authority operating trains, on or connected to the general passenger train service. railroad system of transportation, (2) Each passenger railroad carrier when notified by TSA, in writing, that hosting an operation described in para- a security threat exists concerning graph (a)(1) of this section. that operation. (3) Each tourist, scenic, historic, and (5) Each tourist, scenic, historic, or excursion rail operator, whether oper- excursion operations, whether on or off ating on or off the general railroad sys- the general railroad system of trans- tem of transportation. portation, when notified by TSA, in (4) Each operator of private cars, in- writing, that a security threat exists cluding business/office cars and circus concerning that operation. trains, on or connected to the general (b) Each person described in para- railroad system of transportation. graph (a) of this section must designate (5) Each operator of a rail transit and use a primary and at least one al- system that is not operating on track ternate RSC. that is part of the general railroad sys- (c) The RSC and alternate(s) must be tem of transportation, including heavy appointed at the corporate level. rail transit, light rail transit, auto- (d) Each passenger railroad carrier mated guideway, cable car, inclined and rail transit system required to plane, funicular, and monorail systems. have an RSC must provide to TSA the (b) Each person described in para- names, titles, phone number(s), and e- graph (a) of this section must imme- mail address(es) of the RSCs, and alter- diately report potential threats and nate RSCs, and must notify TSA with- significant security concerns to DHS in 7 calendar days when any of this in- by telephoning the Freedom Center at formation changes. 1–866–615–5150.

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(c) Potential threats or significant sit system indicating a potential security concerns encompass incidents, threat to rail transportation. suspicious activities, and threat infor- (10) Other incidents involving mation including, but not limited to, breaches of the security of the pas- the following: senger railroad carrier or the rail tran- (1) Interference with the train or sit system operations or facilities. transit vehicle crew. (d) Information reported should in- (2) Bomb threats, specific and non- clude, as available and applicable: specific. (3) Reports or discovery of suspicious (1) The name of the passenger rail- items that result in the disruption of road carrier or rail transit system and rail operations. contact information, including a tele- (4) Suspicious activity occurring on- phone number or e-mail address. board a train or transit vehicle or in- (2) The affected station, terminal, or side the facility of a passenger railroad other facility. carrier or rail transit system that re- (3) Identifying information on the af- sults in a disruption of rail operations. fected passenger train or rail transit (5) Suspicious activity observed at or vehicle including number, train or around rail cars or transit vehicles, fa- transit line, and route, as applicable. cilities, or infrastructure used in the (4) Origination and termination loca- operation of the passenger railroad car- tions for the affected passenger train rier or rail transit system. or rail transit vehicle, including depar- (6) Discharge, discovery, or seizure of ture and destination city and the rail a firearm or other deadly weapon on a train or transit vehicle or in a station, or transit line and route. terminal, facility, or storage yard, or (5) Current location of the affected other location used in the operation of passenger train or rail transit vehicle. the passenger railroad carrier or rail (6) Description of the threat, inci- transit system. dent, or activity. (7) Indications of tampering with pas- (7) The names and other available bi- senger rail cars or rail transit vehicles. ographical data of individuals involved (8) Information relating to the pos- in the threat, incident, or activity. sible surveillance of a passenger train (8) The source of any threat informa- or rail transit vehicle or facility, stor- tion. age yard, or other location used in the operation of the passenger railroad car- [73 FR 72173, Nov. 26, 2008, as amended at 74 rier or rail transit system. FR 23657, May 20, 2009] (9) Correspondence received by the passenger railroad carrier or rail tran-

APPENDIX A TO PART 1580—HIGH THREAT URBAN AREAS (HTUAS)

Previously des- State Candidate urban Geographic area captured in the data count ignated urban area areas included

AZ ...... Phoenix Area* ..... Chandler, Gilbert, Glendale, Mesa, Peoria, Phoenix, Scottsdale, Tempe, Phoenix, AZ. and a 10-mile buffer extending from the border of the combined area. CA ...... Anaheim/Santa Anaheim, Costa Mesa, Garden Grove, Fullerton, Huntington Beach, Irvine, Anaheim, CA; Ana Area. Orange, Santa Ana, and a 10-mile buffer extending from the border of Santa Ana, CA. the combined area. Bay Area ...... Berkeley, Daly City, Fremont, Hayward, Oakland, Palo Alto, Richmond, San San Francisco, Francisco, San Jose, Santa Clara, Sunnyvale, Vallejo, and a 10-mile CA; San Jose, buffer extending from the border of the combined area. CA; Oakland, CA. Los Angeles/Long Burbank, Glendale, Inglewood, Long Beach, Los Angeles, Pasadena, Santa Los Angeles, CA; Beach Area. Monica, Santa Clarita, Torrance, Simi Valley, Thousand Oaks, and a 10- Long Beach, mile buffer extending from the border of the combined area. CA. Sacramento Area * Elk Grove, Sacramento, and a 10-mile buffer extending from the border of Sacramento, CA. the combined area. San Diego Area* Chula Vista, Escondido, and San Diego, and a 10-mile buffer extending San Diego, CA. from the border of the combined area. CO ...... Denver Area ...... Arvada, Aurora, Denver, Lakewood, Westminster, Thornton, and a 10-mile Denver, CO. buffer extending from the border of the combined area.

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Previously des- State Candidate urban Geographic area captured in the data count ignated urban area areas included

DC ...... National Capital National Capital Region and a 10-mile buffer extending from the border of National Capital Region. the combined area. Region, DC. FL ...... Fort Lauderdale Fort Lauderdale, Hollywood, Miami Gardens, Miramar, Pembroke Pines, N/A. Area. and a 10-mile buffer extending from the border of the combined area. Jacksonville Area Jacksonville and a 10-mile buffer extending from the city border ...... Jacksonville, FL. Miami Area ...... Hialeah, Miami, and a 10-mile buffer extending from the border of the com- Miami, FL. bined area. Orlando Area ...... Orlando and a 10-mile buffer extending from the city border ...... Orlando, FL. Tampa Area * ...... Clearwater, St. Petersburg, Tampa, and a 10-mile buffer extending from the Tampa, FL. border of the combined area. GA ...... Atlanta Area ...... Atlanta and a 10-mile buffer extending from the city border ...... Atlanta, GA. HI ...... Honolulu Area ...... Honolulu and a 10-mile buffer extending from the city border ...... Honolulu, HI. IL ...... Chicago Area ...... Chicago and a 10-mile buffer extending from the city border ...... Chicago, IL. IN ...... Indianapolis Area Indianapolis and a 10-mile buffer extending from the city border ...... Indianapolis, IN. KY ...... Louisville Area * .... Louisville and a 10-mile buffer extending from the city border ...... Louisville, KY. LA ...... Baton Rouge Baton Rouge and a 10-mile buffer extending from the city border ...... Baton Rouge, LA. Area *. New Orleans Area New Orleans and a 10-mile buffer extending from the city border ...... New Orleans, LA. MA ...... Boston Area ...... Boston, Cambridge, and a 10-mile buffer extending from the border of the Boston, MA. combined area. MD ..... Baltimore Area ..... Baltimore and a 10-mile buffer extending from the city border ...... Baltimore, MD. MI ...... Detroit Area ...... Detroit, Sterling Heights, Warren, and a 10-mile buffer extending from the Detroit, MI. border of the combined area. MN ..... Twin Cities Area ... Minneapolis, St. Paul, and a 10-mile buffer extending from the border of the Minneapolis, MN; combined entity. St. Paul, MN. MO ..... Kansas City Area Independence, Kansas City (MO), Kansas City (KS), Olathe, Overland Kansas City, MO. Park, and a 10-mile buffer extending from the border of the combined area. St. Louis Area ...... St. Louis and a 10-mile buffer extending from the city border ...... St. Louis, MO. NC ...... Charlotte Area ...... Charlotte and a 10-mile buffer extending from the city border ...... Charlotte, NC. NE ...... Omaha Area * ...... Omaha and a 10-mile buffer extending from the city border ...... Omaha, NE. NJ ...... Jersey City/New- Elizabeth, Jersey City, Newark, and a 10-mile buffer extending from the Jersey City, NJ; ark Area. border of the combined area. Newark, NJ. NV ...... Las Vegas Area * Las Vegas, North Las Vegas, and a 10-mile buffer extending from the bor- Las Vegas, NV. der of the combined entity. NY ...... Buffalo Area * ...... Buffalo and a 10-mile buffer extending from the city border ...... Buffalo, NY. New York City New York City, Yonkers, and a 10-mile buffer extending from the border of New York, NY. Area. the combined area. OH ...... Cincinnati Area ..... Cincinnati and a 10-mile buffer extending from the city border ...... Cincinnati, OH. Cleveland Area .... Cleveland and a 10-mile buffer extending from the city border ...... Cleveland, OH. Columbus Area .... Columbus and a 10-mile buffer extending from the city border ...... Columbus, OH. Toledo Area * ...... Oregon, Toledo, and a 10-mile buffer extending from the border of the com- Toledo, OH. bined area. OK ...... Oklahoma City Norman, Oklahoma and a 10-mile buffer extending from the border of the Oklahoma City, Area *. combined area. OK. OR ...... Portland Area ...... Portland, Vancouver, and a 10-mile buffer extending from the border of the Portland, OR. combined area. PA ...... Philadelphia Area Philadelphia and a 10-mile buffer extending from the city border ...... Philadelphia, PA. Pittsburgh Area .... Pittsburgh and a 10-mile buffer extending from the city border ...... Pittsburgh, PA. TN ...... Memphis Area ...... Memphis and a 10-mile buffer extending from the city border ...... Memphis, TN. TX ...... Dallas/Fort Worth/ Arlington, Carrollton, Dallas, Fort Worth, Garland, Grand Prairie, Irving, Dallas, TX; Fort Arlington Area. Mesquite, Plano, and a 10-mile buffer extending from the border of the Worth, TX; Ar- combined area. lington, TX. Houston Area ...... Houston, Pasadena, and a 10-mile buffer extending from the border of the Houston, TX. combined entity. San Antonio Area San Antonio and a 10-mile buffer extending from the city border ...... San Antonio, TX. WA ..... Seattle Area ...... Seattle, Bellevue, and a 10-mile buffer extending from the border of the Seattle, WA. combined area. WI ...... Milwaukee Area ... Milwaukee and a 10-mile buffer extending from the city border ...... Milwaukee, WI. * FY05 Urban Areas eligible for sustainment funding through the FY06 Urban Areas Security Initiative (UASI) program; any Urban Area not identified as eligible through the risk analysis process for two consecutive years will not be eligible for continued funding under the UASI program.

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APPENDIX B TO PART 1580—SUMMARY OF THE APPLICABILITY OF PART 1580 [This is a summary—see body of text for complete requirements]

Rail operations at certain fa- Rail oper- Certain Freight rail- Freight railroad cilities that ations at other rail road car- carriers trans- ship (i.e., certain fa- Passenger operations riers NOT porting speci- offer, pre- cilities that railroad car- (private, Security measure and rule section transporting fied hazardous pare, or receive or riers and business/of- specified materials load for unload haz- rail transit fice, circus, hazardous (§ 1580.100(b)) transpor- ardous ma- systems tourist, his- materials tation) haz- terials with- toric, excur- ardous main an HTUA sion) terials

Allow TSA to inspect (§ 1580.5) ...... X X X X X X Appoint rail security coordinator (§ 1580.101 freight; § 1580.201 passenger)...... X X X X X (1) Report significant security concerns (§ 1580.105 freight; §1580.203 passenger)...... X X X X X X Provide location and shipping information for rail cars containing specified hazardous materials if requested (§ 1580.103) ...... X X X Chain of custody and control requirements for transport of specified hazardous materials that are or may be in HTUA (§ 1580.107) ...... X X X 1 Only if notified in writing that a security threat exists.

PARTS 1581–1699 [RESERVED]

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