49 Cfr 1540

SUBCHAPTER C—CIVIL AVIATION SECURITY
PART 1540—CIVIL AVIATION
SECURITY: GENERAL RULES

Subpart A—General
§ 1540.1 Applicability of
chapter and this part.

Subpart A—General
Sec.
1540.1 Applicability of this subchapter and
this part.
1540.3 Delegation of authority.
1540.5 Terms used in this subchapter.

Subpart B—Responsibilities of Passengers
and Other Individuals and Persons
1540.101 Applicability of this subpart.
1540.103 Fraud and intentional falsification
of records.
1540.105 Security responsibilities of employees and other persons.
1540.107 Submission to screening and inspection.
1540.109 Prohibition against interference
with screening personnel.
1540.111 Carriage of weapons, explosives,
and incendiaries by individuals.
1540.113 Inspection of airman certificate.
1540.115 Threat assessments regarding citizens of the United States holding or applying for FAA certificates, ratings, or
authorizations.
1540.117 Threat
assessments
regarding
aliens holding or applying for FAA certificates, ratings, or authorizations.

Subpart C—Security Threat Assessments
1540.201 Applicability and terms used in this
subpart.
1540.203 Security threat assessment.
1540.205 Procedures for security threat assessment.
1540.207 [Reserved]
1540.209 Fees for security threat assessment.

Subpart D—Responsibilities of Holders of
TSA–Approved Security Programs
1540.301 Withdrawal of approval of a security program.
1540.303 [Reserved]

jstallworth on DSK7TPTVN1PROD with CFR

AUTHORITY: 49 U.S.C. 114, 5103, 40113, 44901–
44907, 44913–44914, 44916–44918, 44935–44936,
44942, 46105.
SOURCE: 67 FR 8353, Feb. 22, 2002, unless
otherwise noted.

this

This subchapter and this part apply
to persons engaged in aviation-related
activities.
§ 1540.3

Delegation of authority.

(a) Where the Administrator is
named in this subchapter as exercising
authority over a function, the authority is exercised by the Administrator
or the Deputy Administrator, or any
individual formally designated to act
as the Administrator or the Deputy
Administrator.
(b) Where TSA or the designated official is named in this subchapter as exercising authority over a function, the
authority is exercised by the official
designated by the Administrator to
perform that function.
§ 1540.5 Terms
chapter.

used

in

this

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In addition to the terms in part 1500
of this chapter, the following terms are
used in this subchapter:
Air operations area (AOA) means a
portion of an airport, specified in the
airport security program, in which security measures specified in this part
are carried out. This area includes aircraft movement areas, aircraft parking
areas, loading ramps, and safety areas,
for use by aircraft regulated under 49
CFR part 1544 or 1546, and any adjacent
areas (such as general aviation areas)
that are not separated by adequate security systems, measures, or procedures. This area does not include the
secured area.
Aircraft operator means a person who
uses, causes to be used, or authorizes
to be used an aircraft, with or without
the right of legal control (as owner,
lessee, or otherwise), for the purpose of
air navigation including the piloting of
aircraft, or on any part of the surface
of an airport. In specific parts or sections of this subchapter, ‘‘aircraft operator’’ is used to refer to specific types
of operators as described in those parts
or sections.

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§ 1540.5

49 CFR Ch. XII (10–1–15 Edition)

Airport operator means a person that
operates an airport serving an aircraft
operator or a foreign air carrier required to have a security program
under part 1544 or 1546 of this chapter.
Airport security program means a security program approved by TSA under
§ 1542.101 of this chapter.
Airport tenant means any person,
other than an aircraft operator or foreign air carrier that has a security program under part 1544 or 1546 of this
chapter, that has an agreement with
the airport operator to conduct business on airport property.
Airport tenant security program means
the agreement between the airport operator and an airport tenant that
specifies the measures by which the
tenant will perform security functions,
and approved by TSA, under § 1542.113
of this chapter.
Approved, unless used with reference
to another person, means approved by
TSA.
Cargo means property tendered for
air transportation accounted for on an
air waybill. All accompanied commercial courier consignments, whether or
not accounted for on an air waybill, are
also classified as cargo. Aircraft operator security programs further define
the term ‘‘cargo.’’
Certified cargo screening facility (CCSF)
means a facility certified by TSA to
screen air cargo in accordance with
part 1549. As used in this subchapter,
‘‘certified cargo screening facility’’ refers to the legal entity that operates a
CCSF at a particular location.
Certified cargo screening program
(CCSP) means the program under which
facilities are authorized to screen
cargo to be offered for transport on certain passenger aircraft in accordance
with 49 CFR part 1549.
Checked baggage means property tendered by or on behalf of a passenger
and accepted by an aircraft operator
for transport, which is inaccessible to
passengers during flight. Accompanied
commercial courier consignments are
not classified as checked baggage.
Escort means to accompany or monitor the activities of an individual who
does not have unescorted access authority into or within a secured area or
SIDA.

Exclusive area means any portion of a
secured area, AOA, or SIDA, including
individual access points, for which an
aircraft operator or foreign air carrier
that has a security program under part
1544 or 1546 of this chapter has assumed
responsibility under § 1542.111 of this
chapter.
Exclusive area agreement means an
agreement between the airport operator and an aircraft operator or a foreign air carrier that has a security program under parts 1544 or 1546 of this
chapter that permits such an aircraft
operator or foreign air carrier to assume responsibility for specified security measures in accordance with
§ 1542.111 of this chapter.
FAA means the Federal Aviation Administration.
Flightcrew member means a pilot,
flight engineer, or flight navigator assigned to duty in an aircraft during
flight time.
Indirect air carrier (IAC) means any
person or entity within the United
States not in possession of an FAA air
carrier operating certificate, that undertakes to engage indirectly in air
transportation of property, and uses
for all or any part of such transportation the services of an air carrier.
This does not include the United States
Postal Service (USPS) or its representative while acting on the behalf of the
USPS.
Loaded firearm means a firearm that
has a live round of ammunition, or any
component thereof, in the chamber or
cylinder or in a magazine inserted in
the firearm.
Passenger seating configuration means
the total maximum number of seats for
which the aircraft is type certificated
that can be made available for passenger use aboard a flight, regardless of
the number of seats actually installed,
and includes that seat in certain aircraft that may be used by a representative of the FAA to conduct flight
checks but is available for revenue purposes on other occasions.
Private charter means any aircraft operator flight—
(1) For which the charterer engages
the total passenger capacity of the aircraft for the carriage of passengers; the
passengers
are
invited
by
the
charterer; the cost of the flight is

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Transportation Security Administration, DHS
borne entirely by the charterer and not
directly or indirectly by any individual
passenger; and the flight is not advertised to the public, in any way, to solicit passengers.
(2) For which the total passenger capacity of the aircraft is used for the
purpose of civilian or military air
movement conducted under contract
with the Government of the United
States or the government of a foreign
country.
Public charter means any charter
flight that is not a private charter.
Scheduled passenger operation means
an air transportation operation (a
flight) from identified air terminals at
a set time, which is held out to the
public and announced by timetable or
schedule, published in a newspaper,
magazine, or other advertising medium.
Screening function means the inspection of individuals and property for
weapons, explosives, and incendiaries.
Screening location means each site at
which individuals or property are inspected for the presence of weapons, explosives, or incendiaries.
Secured area means a portion of an
airport, specified in the airport security program, in which certain security
measures specified in part 1542 of this
chapter are carried out. This area is
where aircraft operators and foreign
air carriers that have a security program under part 1544 or 1546 of this
chapter enplane and deplane passengers
and sort and load baggage and any adjacent areas that are not separated by
adequate security measures.
Security Identification Display Area
(SIDA) means a portion of an airport,
specified in the airport security program, in which security measures specified in this part are carried out. This
area includes the secured area and may
include other areas of the airport.
Standard security program means a security program issued by TSA that
serves as a baseline for a particular
type of operator. If TSA has issued a
standard security program for a particular type of operator, unless otherwise authorized by TSA, each operator’s security program consists of the
standard security program together
with any amendments and alternative

§ 1540.103

procedures approved or accepted by
TSA.
Sterile area means a portion of an airport defined in the airport security
program that provides passengers access to boarding aircraft and to which
the access generally is controlled by
TSA, or by an aircraft operator under
part 1544 of this chapter or a foreign air
carrier under part 1546 of this chapter,
through the screening of persons and
property.
Unescorted access authority means the
authority granted by an airport operator, an aircraft operator, foreign air
carrier, or airport tenant under part
1542, 1544, or 1546 of this chapter, to individuals to gain entry to, and be
present without an escort in, secured
areas and SIDA’s of airports.
Unescorted access to cargo means the
authority granted by an aircraft operator or IAC to individuals to have access to air cargo without an escort.
[67 FR 8353, Feb. 22, 2002, as amended at 67
FR 8209, Feb. 22, 2002; 71 FR 30507, May 26,
2006; 74 FR 47700, Sept. 16, 2009]

Subpart B—Responsibilities of Passengers and Other Individuals
and Persons
§ 1540.101
part.

Applicability

of

this

This subpart applies to individuals
and other persons.
§ 1540.103 Fraud and intentional falsification of records.
No person may make, or cause to be
made, any of the following:
(a) Any fraudulent or intentionally
false statement in any application for
any security program, access medium,
or identification medium, or any
amendment thereto, under this subchapter.
(b) Any fraudulent or intentionally
false entry in any record or report that
is kept, made, or used to show compliance with this subchapter, or exercise
any privileges under this subchapter.
(c) Any reproduction or alteration,
for fraudulent purpose, of any report,
record, security program, access medium, or identification medium issued
under this subchapter.

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§ 1540.105

49 CFR Ch. XII (10–1–15 Edition)

§ 1540.105 Security responsibilities of
employees and other persons.
(a) No person may:
(1) Tamper or interfere with, compromise, modify, attempt to circumvent, or cause a person to tamper
or interfere with, compromise, modify,
or attempt to circumvent any security
system, measure, or procedure implemented under this subchapter.
(2) Enter, or be present within, a secured area, AOA, SIDA or sterile area
without complying with the systems,
measures, or procedures being applied
to control access to, or presence or
movement in, such areas.
(3) Use, allow to be used, or cause to
be used, any airport-issued or airportapproved access medium or identification medium that authorizes the access, presence, or movement of persons
or vehicles in secured areas, AOA’s, or
SIDA’s in any other manner than that
for which it was issued by the appropriate authority under this subchapter.
(b) The provisions of paragraph (a) of
this section do not apply to conducting
inspections or tests to determine compliance with this part or 49 U.S.C. Subtitle VII authorized by:
(1) TSA, or
(2) The airport operator, aircraft operator, or foreign air carrier, when acting in accordance with the procedures
described in a security program approved by TSA.

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§ 1540.107 Submission
and inspection.

to

screening

(a) No individual may enter a sterile
area or board an aircraft without submitting to the screening and inspection
of his or her person and accessible
property in accordance with the procedures being applied to control access to
that area or aircraft under this subchapter.
(b) An individual must provide his or
her full name, as defined in § 1560.3 of
this chapter, date of birth, and gender
when—
(1) The individual, or a person on the
individual’s behalf, makes a reservation for a covered flight, as defined in
§ 1560.3 of this chapter, or
(2) The individual makes a request
for authorization to enter a sterile
area.

(c) An individual may not enter a
sterile area or board an aircraft if the
individual does not present a verifying
identity document as defined in § 1560.3
of this chapter, when requested for purposes of watch list matching under
§ 1560.105(c), unless otherwise authorized by TSA on a case-by-case basis.
[73 FR 64061, Oct. 28, 2008]

§ 1540.109 Prohibition against interference with screening personnel.
No person may interfere with, assault, threaten, or intimidate screening personnel in the performance of
their screening duties under this subchapter.
§ 1540.111 Carriage of weapons, explosives, and incendiaries by individuals.
(a) On an individual’s person or accessible property—prohibitions. Except as
provided in paragraph (b) of this section, an individual may not have a
weapon, explosive, or incendiary, on or
about the individual’s person or accessible property—
(1) When performance has begun of
the inspection of the individual’s person or accessible property before entering a sterile area, or before boarding an
aircraft for which screening is conducted under this subchapter;
(2) When the individual is entering or
in a sterile area; or
(3) When the individual is attempting
to board or onboard an aircraft for
which screening is conducted under
§§ 1544.201, 1546.201, or 1562.23 of this
chapter.
(b) On an individual’s person or accessible property—permitted carriage of a
weapon. Paragraph (a) of this section
does not apply as to carriage of firearms and other weapons if the individual is one of the following:
(1) Law enforcement personnel required to carry a firearm or other
weapons while in the performance of
law enforcement duty at the airport.
(2) An individual authorized to carry
a weapon in accordance with §§ 1544.219,
1544.221, 1544.223, 1546.211, or subpart B
of part 1562 of this chapter.
(3) An individual authorized to carry
a weapon in a sterile area under a security program.

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Transportation Security Administration, DHS
(c) In checked baggage. A passenger
may not transport or offer for transport in checked baggage or in baggage
carried in an inaccessible cargo hold
under § 1562.23 of this chapter:
(1) Any loaded firearm(s).
(2) Any unloaded firearm(s) unless—
(i) The passenger declares to the aircraft operator, either orally or in writing, before checking the baggage, that
the passenger has a firearm in his or
her bag and that it is unloaded;
(ii) The firearm is unloaded;
(iii) The firearm is carried in a hardsided container; and
(iv) The container in which it is carried is locked, and only the passenger
retains the key or combination.
(3) Any unauthorized explosive or incendiary.
(d) Ammunition. This section does not
prohibit the carriage of ammunition in
checked baggage or in the same container as a firearm. Title 49 CFR part
175 provides additional requirements
governing carriage of ammunition on
aircraft.
[67 FR 8353, Feb. 22, 2002, as amended at 67
FR 41639, June 19, 2002; 70 FR 41600, July 19,
2005; 71 FR 30507, May 26, 2006]

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§ 1540.113 Inspection of airman certificate.
Each individual who holds an airman
certificate, medical certificate, authorization, or license issued by the FAA
must present it for inspection upon a
request from TSA.
§ 1540.115 Threat assessments regarding citizens of the United States
holding or applying for FAA certificates, ratings, or authorizations.
(a) Applicability. This section applies
when TSA has determined that an individual who is a United States citizen
and who holds, or is applying for, an
airman certificate, rating, or authorization issued by the Administrator,
poses a security threat.
(b) Definitions. The following terms
apply in this section:
Administrator means the Administrator of the Transportation Security
Administration.
Assistant Administrator means the Assistant Administrator for Intelligence
for TSA.
Date of service means—

§ 1540.115

(1) The date of personal delivery in
the case of personal service;
(2) The mailing date shown on the
certificate of service;
(3) The date shown on the postmark
if there is no certificate of service; or
(4) Another mailing date shown by
other evidence if there is no certificate
of service or postmark.
Deputy Administrator means the officer next in rank below the Administrator.
FAA Administrator means the Administrator of the Federal Aviation Administration.
Individual means an individual whom
TSA determines poses a security
threat.
(c) Security threat. An individual
poses a security threat when the individual is suspected of posing, or is
known to pose—
(1) A threat to transportation or national security;
(2) A threat of air piracy or terrorism;
(3) A threat to airline or passenger
security; or
(4) A threat to civil aviation security.
(d) Representation by counsel. The individual may, if he or she so chooses,
be represented by counsel at his or her
own expense.
(e) Initial Notification of Threat Assessment—(1) Issuance. If the Assistant Administrator determines that an individual poses a security threat, the Assistant Administrator serves upon the
individual an Initial Notification of
Threat Assessment and serves the determination upon the FAA Administrator. The Initial Notification includes—
(i) A statement that the Assistant
Administrator personally has reviewed
the materials upon which the Initial
Notification was based; and
(ii) A statement that the Assistant
Administrator has determined that the
individual poses a security threat.
(2) Request for Materials. Not later
than 15 calendar days after the date of
service of the Initial Notification, the
individual may serve a written request
for copies of the releasable materials
upon which the Initial Notification was
based.

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§ 1540.117

49 CFR Ch. XII (10–1–15 Edition)

(3) TSA response. Not later than 30
calendar days, or such longer period as
TSA may determine for good cause,
after receiving the individual’s request
for copies of the releasable materials
upon which the Initial Notification was
based, TSA serves a response. TSA will
not include in its response any classified information or other information
described in paragraph (g) of this section.
(4) Reply. The individual may serve
upon TSA a written reply to the Initial
Notification of Threat Assessment not
later than 15 calendar days after the
date of service of the Initial Notification, or the date of service of TSA’s response to the individual’s request
under paragraph (e)(2) if such a request
was served. The reply may include any
information that the individual believes TSA should consider in reviewing the basis for the Initial Notification.
(5) TSA final determination. Not later
than 30 calendar days, or such longer
period as TSA may determine for good
cause, after TSA receives the individual’s reply, TSA serves a final determination in accordance with paragraph
(f) of this section.
(f) Final Notification of Threat Assessment—(1) In general. The Deputy Administrator reviews the Initial Notification, the materials upon which the
Initial Notification was based, the individual’s reply, if any, and any other
materials or information available to
him.
(2) Review and Issuance of Final Notification. If the Deputy Administrator determines that the individual poses a security threat, the Administrator reviews the Initial Notification, the materials upon which the Initial Notification was based, the individual’s reply,
if any, and any other materials or information available to him. If the Administrator determines that the individual poses a security threat, the Administrator serves upon the individual
a Final Notification of Threat Assessment and serves the determination
upon the FAA Administrator. The
Final Notification includes a statement that the Administrator personally has reviewed the Initial Notification, the individual’s reply, if any, and
any other materials or information

available to him, and has determined
that the individual poses a security
threat.
(3) Withdrawal of Initial Notification. If
the Deputy Administrator does not determine that the individual poses a security threat, or upon review, the Administrator does not determine that
the individual poses a security threat,
TSA serves upon the individual a Withdrawal of the Initial Notification and
provides a copy of the Withdrawal to
the FAA Administrator.
(g) Nondisclosure of certain information. In connection with the procedures
under this section, TSA does not disclose to the individual classified information, as defined in Executive Order
12968 section 1.1(d), and reserves the
right not to disclose any other information or material not warranting disclosure or protected from disclosure
under law.
[68 FR 3761, Jan. 24, 2003, as amended at 68
FR 49721, Aug. 19, 2003]

§ 1540.117 Threat assessments regarding aliens holding or applying for
FAA certificates, ratings, or authorizations.
(a) Applicability. This section applies
when TSA has determined that an individual who is not a citizen of the
United States and who holds, or is applying for, an airman certificate, rating, or authorization issued by the
FAA Administrator, poses a security
threat.
(b) Definitions. The following terms
apply in this section:
Assistant Administrator means the Assistant Administrator for Intelligence
for TSA.
Date of service means—
(1) The date of personal delivery in
the case of personal service;
(2) The mailing date shown on the
certificate of service;
(3) The date shown on the postmark
if there is no certificate of service; or
(4) Another mailing date shown by
other evidence if there is no certificate
of service or postmark.
Deputy Administrator means the officer next in rank below the Administrator.
FAA Administrator means the Administrator of the Federal Aviation Administration.

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Transportation Security Administration, DHS
Individual means an individual whom
TSA determines poses a security
threat.
(c) Security threat. An individual
poses a security threat when the individual is suspected of posing, or is
known to pose—
(1) A threat to transportation or national security;
(2) A threat of air piracy or terrorism;
(3) A threat to airline or passenger
security; or
(4) A threat to civil aviation security.
(d) Representation by counsel. The individual may, if he or she so chooses,
be represented by counsel at his or her
own expense.
(e) Initial Notification of Threat Assessment—(1) Issuance. If the Assistant Administrator determines that an individual poses a security threat, the Assistant Administrator serves upon the
individual an Initial Notification of
Threat Assessment and serves the determination upon the FAA Administrator. The Initial Notification includes—
(i) A statement that the Assistant
Administrator personally has reviewed
the materials upon which the Initial
Notification was based; and
(ii) A statement that the Assistant
Administrator has determined that the
individual poses a security threat.
(2) Request for materials. Not later
than 15 calendar days after the date of
service of the Initial Notification, the
individual may serve a written request
for copies of the releasable materials
upon which the Initial Notification was
based.
(3) TSA response. Not later than 30
calendar days, or such longer period as
TSA may determine for good cause,
after receiving the individual’s request
for copies of the releasable materials
upon which the Initial Notification was
based, TSA serves a response. TSA will
not include in its response any classified information or other information
described in paragraph (g) of this section.
(4) Reply. The individual may serve
upon TSA a written reply to the Initial
Notification of Threat Assessment not
later than 15 calendar days after the
date of service of the Initial Notifica-

§ 1540.117

tion, or the date of service of TSA’s response to the individual’s request
under paragraph (e)(2) if such a request
was served. The reply may include any
information that the individual believes TSA should consider in reviewing the basis for the Initial Notification.
(5) TSA final determination. Not later
than 30 calendar days, or such longer
period as TSA may determine for good
cause, after TSA receives the individual’s reply, TSA serves a final determination in accordance with paragraph
(f) of this section.
(f) Final Notification of Threat Assessment—(1) In general. The Deputy Administrator reviews the Initial Notification, the materials upon which the
Initial Notification was based, the individual’s reply, if any, and any other
materials or information available to
him.
(2) Issuance of Final Notification. If the
Deputy Administrator determines that
the individual poses a security threat,
the Deputy Administrator serves upon
the individual a Final Notification of
Threat Assessment and serves the determination upon the FAA Administrator. The Final Notification includes
a statement that the Deputy Administrator personally has reviewed the Initial Notification, the individual’s
reply, if any, and any other materials
or information available to him, and
has determined that the individual
poses a security threat.
(3) Withdrawal of Initial Notification. If
the Deputy Administrator does not determine that the individual poses a security threat, TSA serves upon the individual a Withdrawal of the Initial
Notification and provides a copy of the
Withdrawal to the FAA Administrator.
(g) Nondisclosure of certain information. In connection with the procedures
under this section, TSA does not disclose to the individual classified information, as defined in Executive Order
12968 section 1.1(d), and TSA reserves
the right not to disclose any other information or material not warranting
disclosure or protected from disclosure
under law.
[68 FR 3768, Jan. 24, 2003]

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§ 1540.201

49 CFR Ch. XII (10–1–15 Edition)

Subpart C—Security Threat
Assessments

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SOURCE: 74 FR 47700, Sept. 16, 2009, unless
otherwise noted.

§ 1540.201 Applicability
and
terms
used in this subpart.
(a) This subpart includes the procedures that certain aircraft operators,
foreign air carriers, indirect air carriers, and certified cargo screening facilities must use to have security
threat assessments performed on certain individuals pursuant to 49 CFR
1544.228, 1546.213, 1548.7, 1548.15, 1548.16
and 1549.111. This subpart applies to the
following:
(1) Each aircraft operator operating
under a full program or full all-cargo
program described in 49 CFR 1544.101(a)
or (h).
(2) Each foreign air carrier operating
under a program described in 49 CFR
1546.101(a), (b), or (e).
(3) Each indirect air carrier operating
under a security program described in
49 CFR part 1548.
(4) Each applicant applying for
unescorted access to cargo under one of
the programs described in (a)(1)
through (a)(3) of this section.
(5) Each proprietor, general partner,
officer, director, or owner of an indirect air carrier as described in 49 CFR
1548.16.
(6) Each certified cargo screening facility described in 49 CFR part 1549.
(7) Each individual a certified cargo
screening facility authorizes to perform screening or supervise screening.
(8) Each individual the certified
cargo screening facility authorizes to
have unescorted access to cargo at any
time from the time it is screened until
the time it is tendered to an indirect
air carrier under 49 CFR part 1548, an
aircraft operator under part 1544, or a
foreign air carrier under part 1546.
(9) The senior manager or representative of its facility in control of the operations of a certified cargo screening
facility under 49 CFR part 1549.
(b) For purposes of this subpart—
Applicant means the individuals listed in paragraph (a) of this section.
Operator means an aircraft operator,
foreign air carrier, and indirect air carrier listed in paragraphs (a)(1) through

(a)(3) of this section, and a certified
cargo screening facility described in
paragraph (a)(6) of this section.
(c) An applicant poses a security
threat under this subpart when TSA
determines that he or she is known to
pose or is suspected of posing a
threat—
(1) To national security;
(2) To transportation security; or
(3) Of terrorism.
[74 FR 47700, Sept. 16, 2009, as amended at 76
FR 51867, Aug. 18, 2011]

§ 1540.203

Security threat assessment.

(a) Each operator subject to this subpart must ensure that each of the following undergoes a security threat assessment or a comparable security
threat
assessment
described
in
§ 1540.205:
(1) Cargo personnel in the United
States, as described in § 1544.228.
(2) Cargo personnel in the United
States, as described in § 1546.213.
(3) Individuals with unescorted access
to cargo, as described in § 1548.15.
(4) Proprietors, general partners, officers, directors, and owners of an indirect air carrier, as described in § 1548.16.
(5) Personnel of certified cargo
screening facilities, as described in
§ 1549.111.
(b) Each operator must verify the
identity and work authorization of
each applicant and examine the document(s) presented by the applicant to
prove identity and work authorization
to determine whether they appear to be
genuine and relate to the applicant
presenting them.
(c) Each operator must submit to
TSA a security threat assessment application for each applicant that is
dated and signed by the applicant and
that includes the following:
(1) Legal name, including first, middle, and last; any applicable suffix; and
any other names used previously.
(2) Current mailing address, including residential address if it differs from
the current mailing address; all other
residential addresses for the previous
five years; and e-mail address if the applicant has an e-mail address.
(3) Date and place of birth.
(4) Social security number (submission is voluntary, although failure to

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Transportation Security Administration, DHS
provide it may delay or prevent completion of the threat assessment).
(5) Gender.
(6) Country of citizenship.
(7) If the applicant is a U.S. citizen
born abroad or a naturalized U.S. citizen, their U.S. passport number; or the
10-digit document number from the applicant’s Certificate of Birth Abroad,
Form DS–1350.
(8) If the applicant is not a U.S. citizen, the applicant’s Alien Registration
Number.
(9) The applicant’s daytime telephone
number.
(10) The applicant’s current employer(s), and the address and telephone number of the employer(s).
(11) A Privacy Notice as required in
the security program and the following
statement:

jstallworth on DSK7TPTVN1PROD with CFR

The information I have provided on this
application is true, complete, and correct to
the best of my knowledge and belief and is
provided in good faith. I understand that a
knowing and willful false statement, or an
omission of a material fact, on this application can be punished by fine or imprisonment or both (see section 1001 of Title 18
United States Code), and may be grounds for
denial of authorization or in the case of parties regulated under this section, removal of
authorization to operate under this chapter,
if applicable.
I acknowledge that if I do not successfully
complete the security threat assessment, the
Transportation
Security
Administration
may notify my employer. If TSA or other
law enforcement agency becomes aware that
I may pose an imminent threat to an operator or facility, TSA may provide limited information necessary to reduce the risk of injury or damage to the operator or facility.

(d) Each operator must retain the following for 180 days following the end of
the applicant’s service to the operator:
(1) The applicant’s signed security
threat assessment application.
(2) Copies of the applicant’s document(s) used to verify identity and
work authorization.
(3) Any notifications or documents
sent to or received from TSA relating
to the applicant’s application and security threat assessment.
(4) As applicable, a copy of the applicant’s credential evidencing completion of a threat assessment deemed
comparable under paragraph (f) of this
section.

§ 1540.203

(e) Records under this section may
include electronic documents with
electronic signature or other means of
personal authentication, where accepted by TSA.
(f) TSA may determine that a security threat assessment conducted by
another governmental agency is comparable to a security threat assessment
conducted under this subpart. Individuals who have successfully completed a
comparable security threat assessment
are not required to undergo the security threat assessments described in
this subpart. If TSA makes a comparability determination under this
section, TSA will so notify the public.
In making a comparability determination, TSA will consider—
(i) The minimum standards used for
the security threat assessment;
(ii) The frequency of the security
threat assessment;
(iii) The date of the most recent
threat assessment; and
(iv) Other factors TSA deems appropriate.
(g) To apply for a comparability determination, the agency seeking the
determination must contact the Assistant Program Manager, Attn: Federal
Agency Comparability Check, Hazmat
Threat Assessment Program, Transportation Security Administration, 601
South 12th Street, Arlington, VA 20598–
6019.
(h) TSA has determined that each of
the following are comparable to the security threat assessment required in
this subpart:
(1) A CHRC conducted in accordance
with §§ 1542.209, 1544.229, or 1544.230 that
includes a name-based check conducted
by TSA.
(2) A security threat assessment conducted under 49 CFR part 1572 for the
Transportation Worker Identification
Credential or Hazardous Materials Endorsement programs.
(3) A security threat assessment conducted for the Free and Secure Trade
(FAST) program administered by U.S.
Customs and Border Protection.
(i) If asserting completion of a comparable threat assessment listed in
paragraph (h) of this section, an individual must—
(1) Present the credential that corresponds to successful completion of

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§ 1540.205

49 CFR Ch. XII (10–1–15 Edition)

the comparable assessment to the operator so the operator may retain a copy
of it; and
(2) Notify the operator when the credential that corresponds to successful
completion of the comparable assessment expires or is revoked for any reason.
(j) A security threat assessment conducted under this subpart remains
valid for five years from the date that
TSA issues a Determination of No Security Threat or a Final Determination
of Threat Assessment, except—
(1) If the applicant is no longer authorized to be in the United States, the
security threat assessment and the
privileges it conveys expire on the date
lawful presence expires; or
(2) If the applicant asserts completion of a comparable threat assessment, it expires five years from the
date of issuance of the credential that
corresponds to the comparable assessment, or the date on which the credential is revoked for any reason.
[74 FR 47700, Sept. 16, 2009, as amended at 76
FR 51867, Aug. 18, 2011]

jstallworth on DSK7TPTVN1PROD with CFR

§ 1540.205 Procedures
threat assessment.

for

security

(a) Contents of security threat assessment. The security threat assessment
TSA conducts under this subpart includes an intelligence-related check
and a final disposition.
(b) Intelligence-related check. To conduct an intelligence-related check,
TSA completes the following procedures:
(1) Reviews the applicant information
required in 49 CFR 1540.203.
(2) Searches domestic and international government databases to determine if an applicant meets the requirements of 49 CFR 1540.201(c) or to
confirm an applicant’s identity.
(3) Adjudicates the results in accordance with 49 CFR 1540.201(c).
(c) Wants, warrants, deportable aliens.
If the searches listed in paragraph
(b)(2) of this section indicate that an
applicant has an outstanding want or
warrant, or is a deportable alien under
the immigration laws of the United
States, TSA sends the applicant’s information to the appropriate law enforcement or immigration agency.

(d) Final disposition. Following completion of the procedures described in
paragraph (b), the following procedures
apply, as appropriate:
(1) TSA serves a Determination of No
Security Threat on the applicant and
operator if TSA determines that the
applicant meets the security threat assessment
standards
in
49
CFR
1540.201(c).
(2) TSA serves an Initial Determination of Threat Assessment on the applicant, if TSA determines that the applicant does not meet the security threat
assessment standards in 49 CFR
1540.201(c). The Initial Determination
of Threat Assessment includes—
(i) A statement that TSA has determined that the applicant is suspected
of posing or poses a security threat;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as
described in 49 CFR 1515.9; and
(iv) A statement that if the applicant
chooses not to appeal TSA’s determination within 60 days of receipt of the
Initial Determination, or does not request an extension of time within 60
days of the Initial Determination of
Threat Assessment in order to file an
appeal, the Initial Determination becomes a Final Determination of Security Threat Assessment.
(3) TSA serves an Initial Determination of Threat Assessment and Immediate Revocation on the applicant and
the applicant’s operator or other operator as approved by TSA, where appropriate, if TSA determines that the applicant does not meet the security
threat assessment standards in 49 CFR
1540.201(c) and may pose an imminent
threat to transportation or national security, or of terrorism. The Initial Determination of Threat Assessment and
Immediate Revocation includes—
(i) A statement that TSA has determined that the applicant is suspected
of posing or poses an imminent security threat;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as
described in 49 CFR 1515.5(h) or
1515.9(h), as applicable; and
(iv) A statement that if the applicant
chooses not to appeal TSA’s determination within 60 days of receipt of the

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Transportation Security Administration, DHS
Initial Determination, or does not request an extension of time within 60
days of the Initial Determination of
Threat Assessment in order to file an
appeal, the Initial Determination becomes a Final Determination of Security Threat Assessment.
(4) If the applicant does not appeal
the Initial Determination of Threat Assessment or Initial Determination of
Threat Assessment and Immediate
Revocation, or if TSA does not grant
the appeal, TSA serves a Final Determination of Threat Assessment on the
individual and the applicant.
(5) If the applicant appeals an Initial
Determination of Threat Assessment,
the procedures in 49 CFR 1515.5 or 1515.9
apply.
§ 1540.207

[Reserved]

jstallworth on DSK7TPTVN1PROD with CFR

§ 1540.209 Fees for security threat assessment.
This section describes the payment
process for completion of the security
threat assessments required under this
subpart.
(a) Fees for security threat assessment.
(1) TSA routinely establishes and collects fees to conduct the security
threat assessment process. These fees
apply to all entities requesting a security threat assessment. TSA reviews
the amount of the fee periodically, at
least once every two years, to determine the current cost of conducting security threat assessments. TSA determines fee amounts and any necessary
revisions to the fee amounts based on
current costs, using a method of analysis consistent with widely accepted
accounting principles and practices,
and calculated in accordance with the
provisions of 31 U.S.C. 9701 and other
applicable Federal law.
(2) TSA will publish fee amounts and
any revisions to the fee amounts as a
notice in the FEDERAL REGISTER.
(b) [Reserved]
(c) Remittance of fees. (1) The fees required under this subpart must be remitted to TSA in a form and manner
acceptable to TSA each time the applicant or an aircraft operator, foreign air
carrier, indirect air carrier, or certified
cargo screening facility submits the information required under § 1540.203 or
§ 1540.207 to TSA.

§ 1540.301

(2) Fees remitted to TSA under this
subpart must be payable to the
‘‘Transportation Security Administration’’ in U.S. currency and drawn on a
U.S. bank.
(3) TSA will not issue any fee refunds, unless a fee was paid in error.
[74 FR 47700, Sept. 16, 2009, as amended at 76
FR 51867, Aug. 18, 2011]

Subpart
D—Responsibilities
of
Holders of TSA-Approved Security Programs
SOURCE: 74 FR 47703, Sept. 16, 2009, unless
otherwise noted.

§ 1540.301 Withdrawal of approval of a
security program.
(a) Applicability. This section applies
to holders of a security program approved or accepted by TSA under 49
CFR chapter XII, subchapter C.
(b) Withdrawal of security program approval. TSA may withdraw the approval of a security program, if TSA
determines continued operation is contrary to security and the public interest, as follows:
(1) Notice of proposed withdrawal of approval. TSA will serve a Notice of Proposed Withdrawal of Approval, which
notifies the holder of the security program, in writing, of the facts, charges,
and applicable law, regulation, or order
that form the basis of the determination.
(2) Security program holder’s reply. The
holder of the security program may respond to the Notice of Proposed Withdrawal of Approval no later than 15 calendar days after receipt of the withdrawal by providing the designated official, in writing, with any material
facts, arguments, applicable law, and
regulation.
(3) TSA review. The designated official will consider all information available, including any relevant material
or information submitted by the holder
of the security program, before either
issuing a Withdrawal of Approval of
the security program or rescinding the
Notice of Proposed Withdrawal of Approval. If TSA issues a Withdrawal of

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jstallworth on DSK7TPTVN1PROD with CFR

§ 1540.303

49 CFR Ch. XII (10–1–15 Edition)

Approval, it becomes effective upon receipt by the holder of the security program, or 15 calendar days after service,
whichever occurs first.
(4) Petition for reconsideration. The
holder of the security program may petition TSA to reconsider its Withdrawal of Approval by serving a petition for consideration no later than 15
calendar days after the holder of the
security program receives the Withdrawal of Approval. The holder of the
security program must serve the Petition for Reconsideration on the designated official. Submission of a Petition for Reconsideration will not stay
the Withdrawal of Approval. The holder of the security program may request
the designated official to stay the
Withdrawal of Approval pending review
of and decision on the Petition.
(5) Assistant Secretary’s review. The
designated official transmits the Petition together with all pertinent information to the Assistant Secretary for
reconsideration. The Assistant Secretary will dispose of the Petition
within 15 calendar days of receipt by
either directing the designated official
to rescind the Withdrawal of Approval
or by affirming the Withdrawal of Approval. The decision of the Assistant
Secretary constitutes a final agency
order subject to judicial review in accordance with 49 U.S.C. 46110.
(6) Emergency withdrawal. If TSA
finds that there is an emergency with
respect to aviation security requiring
immediate action that makes the procedures in this section contrary to the
public interest, the designated official
may issue an Emergency Withdrawal of
Approval of a security program without first issuing a Notice of Proposed
Withdrawal of Approval. The Emergency Withdrawal would be effective
on the date that the holder of the security program receives the emergency
withdrawal. In such a case, the designated official will send the holder of
the security program a brief statement
of the facts, charges, applicable law,
regulation, or order that forms the
basis for the Emergency Withdrawal.
The holder of the security program
may submit a Petition for Reconsideration under the procedures in paragraphs (b)(4) through (b)(5) of this section; however, this petition will not

stay the effective date of the Emergency Withdrawal.
(c) Service of documents for withdrawal
of approval of security program proceedings. Service may be accomplished
by personal delivery, certified mail, or
express courier. Documents served on
the holder of a security program will
be served at its official place of business as designated in its application for
approval or its security program. Documents served on TSA must be served to
the address noted in the Notice of
Withdrawal of Approval or Withdrawal
of Approval, whichever is applicable.
(1) Certificate of service. An individual
may attach a certificate of service to a
document tendered for filing. A certificate of service must consist of a statement, dated and signed by the person
filing the document, that the document
was personally delivered, served by certified mail on a specific date, or served
by express courier on a specific date.
(2) Date of service. The date of service
is—
(i) The date of personal delivery;
(ii) If served by certified mail, the
mailing date shown on the certificate
of service, the date shown on the postmark if there is no certificate of service, or other mailing date shown by
other evidence if there is no certificate
of service or postmark; or
(iii) If served by express courier, the
service date shown on the certificate of
service, or by other evidence if there is
no certificate of service.
(d) Extension of time. TSA may grant
an extension of time to the limits set
forth in this section for good cause
shown. A security program holder must
submit a request for an extension of
time in writing, and TSA must receive
it at least two days before the due date
in order to be considered. TSA may
grant itself an extension of time for
good cause.
§ 1540.303

[Reserved]

PART 1542—AIRPORT SECURITY
Subpart A—General
Sec.
1542.1
1542.3
1542.5

Applicability of this part.
Airport security coordinator.
Inspection authority.

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