US LAWS, STATUTES & CODES ON-LINE

§ 1540.201   Applicability and terms used in this subpart.

(a) This subpart includes the procedures that certain aircraft operators, foreign air carriers, and indirect air carriers must use to have security threat assessments done on certain individuals pursuant to 49 CFR 1544.228, 1546.213, 1548.7, 1548.15, and 1548.16. This subpart applies to—

(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 1548; and

(4) Each individual with, or 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.

(b) For purposes of this subpart—

Individuals means the individuals listed in paragraphs (a)(4) and (a)(5) 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.

(c) An individual poses a security threat under this subpart when TSA determines that he or she is known to pose or suspected of posing a threat—

(1) To national security;

(2) To transportation security; or

(3) Of terrorism.

(d) For purposes of this subpart:

(1) Date of service means—

(i) The date of personal delivery in the case of personal service;

(ii) The mailing date shown on the certificate of service;

(iii) The date shown on the postmark if there is no certificate of service;

(iv) Another mailing date shown by other evidence if there is no certificate of service or postmark; or

(v) The date in an e-mail showing when it was sent.

(2) Day means calendar day.

§ 1540.203   Operator responsibilities.

(a) Each operator subject to this subpart must ensure that each individual described in §1540.201(a)(4) and (a)(5) completes the Security Threat Assessment described in this section.

(b) Each operator must:

(1) Authenticate the identity of the individual by—

(i) Reviewing two forms of identification, one of which must be a government-issued picture identification; or

(ii) Other means approved by TSA.

(2) Submit to TSA a Security Threat Assessment application for each individual that is signed by the individual and that includes:

(i) Legal name, including first, middle, and last; any applicable suffix; and any other names used previously.

(ii) Current mailing address, including residential address if it differs from the current mailing address, and all other residential addresses for the previous five years, and e-mail address, if the individual has an e-mail address.

(iii) Date and place of birth.

(iv) Social security number, (submission is voluntary, although recommended).

(v) Gender.

(vi) Country of citizenship, and if naturalized in the United States, date of naturalization and certificate number.

(vii) Alien registration number, if applicable.

(viii) The following statement reading:

Privacy Act Notice: Authority: The authority for collecting this information is 49 U.S.C. 114, 40113, and 49 U.S.C. 5103a. Purpose: This information is needed to verify your identity and to conduct a Security Threat Assessment to evaluate your suitability for completing the functions required by this position. Failure to furnish your SSN may result in delays in processing your application, but will not prevent completion of your Security Threat Assessment. Furnishing the other information is also voluntary; however, failure to provide it may delay or prevent the completion of your Security Threat Assessment, without which you may not be granted authorization to have unescorted access to air cargo subject to TSA security requirements. Routine Uses: Routine uses of this information include disclosure to TSA contractors or other agents who are providing services relating to the Security Threat Assessments; to appropriate governmental agencies for law enforcement or security purposes, or in the interests of national security; and to foreign and international governmental authorities in accordance with law and international agreement. For further information, please consult DHS/TSA 002 Transportation Security Threat Assessment System.

(3) Retain the individual's signed Security Threat Assessment application and any communications with TSA regarding the individual's application, for 180 days following the end of the individual's service to the operator.

(c) Records under this section may include electronic documents with electronic signature or other means of personal authentication, where accepted by TSA.

§ 1540.205   Notification.

(a) TSA review. In conducting the Security Threat Assessment, TSA reviews—

(1) The information required in §1540.203(b) and transmitted to TSA; and

(2) Domestic and international databases relevant to determining whether an individual poses a security threat or that confirm an individual's identity.

(b) Determination of No Security Threat. TSA serves a Determination of No Security Threat on the individual and the operator, if TSA determines that an individual does not pose a security threat.

(c) Initial Determination of Threat Assessment. TSA serves an Initial Determination of Threat Assessment on the individual and the operator, if TSA determines that the individual poses a security threat. The Initial Determination of Threat Assessment includes—

(1) A statement that TSA has determined that the individual poses a security threat;

(2) The basis for the determination;

(3) Information about how the individual may appeal the determination; and

(4) A statement that if the individual chooses not to appeal TSA's determination within 30 days of receipt of the Initial Determination of Threat Assessment in accordance with §1540.207, or does not request an extension of time within 30 days of the Initial Determination of Threat Assessment in order to file an appeal, the Initial Determination of Threat Assessment becomes a Final Determination of Threat Assessment.

(d) Final Determination of Threat Assessment. If TSA determines that an individual poses a security threat, TSA serves a Final Determination of Threat Assessment on the operator and the individual who appealed the Initial Determination of Threat Assessment.

(e) Withdrawal by TSA. TSA serves a Withdrawal of the Initial Determination of Threat Assessment on the individual and a Determination of No Security Threat on the operator, if the appeal results in a determination that the individual does not pose a security threat.

§ 1540.207   Appeal procedures.

(a) Scope. This section applies to individuals who wish to appeal an Initial Determination of Threat Assessment.

(b) Grounds for Appeal. An individual may appeal an Initial Determination of Threat Assessment if the individual is asserting that he or she does not pose a security threat.

(c) Appeal. An individual initiates an appeal by submitting a written reply or written request for materials from TSA or by requesting more time in accordance with §1540.205(c)(4). If the individual fails to initiate an appeal within 30 days of receipt, the Initial Determination of Threat Assessment becomes final, and TSA serves a Final Determination of Threat Assessment on the operator and the individual.

(1) Request for materials. An individual receiving an Initial Determination of Threat Assessment may serve upon TSA a written request for copies of the materials upon which the Initial Determination of Threat Assessment was based.

(2) TSA response. Within 30 days of receiving the individual's request for materials, TSA serves copies upon the individual of the releasable materials upon which the Initial Determination of Threat Assessment was based. TSA will exclude any classified information or other protected information described in paragraph (f) of this section.

(3) Correction of records. If the Initial Determination of Threat Assessment was based on a record that the individual believes is erroneous, he or she may correct the record, as follows:

(i) The individual may contact the jurisdiction or entity responsible for the information and attempt to correct or complete information contained in his or her record.

(ii) The individual must then provide TSA with the revised record, or a certified true copy of the information from the appropriate entity, before TSA may determine that the individual meets the standards for the Security Threat Assessment.

(4) Reply. (i) The individual may serve upon TSA a written reply to the Initial Determination of Threat Assessment within 30 days of service of the Initial Determination of Threat Assessment, or 30 days after the date of service of TSA's response to the individual's request for materials under paragraph (c)(1) of this section, if the individual served such a request.

(ii) In an individual's reply, TSA will consider only material that is relevant to verifying identification or determining that the individual does not pose a security threat.

(5) Final determination. Within 30 days after TSA receives the individual's reply, TSA serves a Final Determination of Threat Assessment or a Withdrawal of the Initial Determination of Threat Assessment.

(d) Final Determination of Threat Assessment. (1) If TSA determines that the individual poses a security threat, TSA serves a Final Determination of Threat Assessment upon the individual and the operator. The Final Determination of Threat Assessment includes—

(2) A statement that TSA has reviewed the Initial Determination of Threat Assessment, the individual's reply, if any, and any other materials or information available to him or her and has determined that the individual poses a security threat.

(e) Withdrawal of Initial Determination of Threat Assessment. If TSA concludes that the individual does not pose a security threat, TSA serves a Withdrawal of the Initial Determination of Threat Assessment on the individual and the operator.

(f) Nondisclosure of certain information. In connection with the procedures under this section, TSA does not disclose to the individual or counsel classified information, as defined in sec. 1.1(d) of Executive Order 12968, and reserves the right not to disclose any other information or material not warranting disclosure or protected from disclosure under law.

(g) Extension of time. TSA may grant an individual an extension of time of the limits set forth in this section for good cause shown. An individual's request for an extension of time must be in writing and be received by TSA at least 2 days before the due date to be extended. TSA may grant itself an extension of time for good cause.

(h) Judicial review. The Final Determination of Threat Assessment constitutes a final TSA order subject to judicial review in accordance with 49 U.S.C. 46110.

§ 1540.209   Security threat assessment fee.

(a) Imposition of fees. The fee of $28 is required for TSA to conduct a security threat assessment for an individual.

(b) Remittance of fees. (1) The fee required under this subpart must be remitted to TSA, in a form and manner acceptable to TSA, each time the individual or an aircraft operator, foreign air carrier, or indirect air carrier submits the information required under §1540.203 to TSA.

(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.