47672 Federal Register / Vol. 74, No. 178 / Wednesday, September 16, 2009 / Rules and Regulations 

1 ‘‘Sensitive Security Information’’ or ‘‘SSI’’ is 

information obtained or developed in the conduct 

of security activities, the disclosure of which would 

constitute an unwarranted invasion of privacy, 

reveal trade secrets or privileged or confidential 

information, or be detrimental to the security of 

transportation. The protection of SSI is governed by 

49 CFR part 1520. 

DEPARTMENT OF HOMELAND 

SECURITY 

Transportation Security Administration 

49 CFR Parts 1515, 1520, 1522, 1540, 

1544, 1546, 1548, and 1549 

[Docket No. TSA–2009–0018; Amendment 

Nos. 1515–1, 1520–8, 1522–New, 1540–10, 

1544–9, 1546–5, 1548–5, 1549–New] 

RIN 1652–AA64 

Air Cargo Screening 

AGENCY: Transportation Security 

Administration, DHS. 

ACTION: Interim final rule; request for 

comments. 

SUMMARY: This rule codifies a statutory 

requirement of the Implementing 

Recommendations of the 9/11 

Commission Act that the Transportation 

Security Administration (TSA) establish 

a system to screen 100 percent of cargo 

transported on passenger aircraft by 

August 3, 2010. To assist in carrying out 

this mandate, this rule establishes a 

program under which TSA will certify 

cargo screening facilities located in the 

U.S. that volunteer to screen cargo prior 

to tendering it to aircraft operators for 

carriage on passenger aircraft. This rule 

requires affected passenger aircraft 

operators to ensure that either an 

aircraft operator or certified cargo 

screening facility that does so in 

accordance with TSA standards, or TSA 

itself, screens all cargo loaded on 

passenger aircraft. 

TSA will require certified cargo 

screening facilities (CCSFs) to screen 

cargo using TSA-approved methods and 

implement chain of custody measures to 

ensure the security of the screened cargo 

throughout the air cargo supply chain 

prior to tendering it for transport on 

passenger aircraft. CCSF personnel must 

successfully undergo a TSA-conducted 

security threat assessment (STA) and 

pay a fee for that assessment. TSA 

proposes a fee to cover the 

Government’s costs in conducting the 

STA and requests comment on the fee 

and the methodology used to develop 

the fee. 

Before being certified and periodically 

thereafter, the CCSF must undergo 

examination by a TSA-approved 

validator. Validators must have 

specified qualifications, complete 

training regarding the certified cargo 

screening program (CCSP), and 

successfully undergo a TSA-conducted 

STA as described in the discussion of 

part 1540 in this preamble, and pay a 

fee for that assessment. 

DATES: Effective Date: This rule is 

effective November 16, 2009. 

Comment Date: Comments must be 

received by November 16, 2009. 

ADDRESSES: You may submit comments, 

identified by the TSA docket number to 

this rulemaking, to the Federal Docket 

Management System (FDMS), a 

government-wide, electronic docket 

management system, using any one of 

the following methods: 

Electronically: You may submit 

comments through the Federal 

eRulemaking portal at http:// 

www.regulations.gov. Follow the online 

instructions for submitting comments. 

Mail, In Person, or Fax: Address, 

hand-deliver, or fax your written 

comments to the Docket Management 

Facility, U.S. Department of 

Transportation, 1200 New Jersey 

Avenue, SE., West Building Ground 

Floor, Room W12–140, Washington, DC 

20590–0001; Fax 202–493–2251. The 

Department of Transportation (DOT), 

which maintains and processes TSA’s 

official regulatory dockets, will scan the 

submission and post it to FDMS. 

See SUPPLEMENTARY INFORMATION for 

format and other information about 

comment submissions. 

FOR FURTHER INFORMATION CONTACT: 

Tamika McCree, Manager, Air Cargo 

Stakeholder Relations, Air Cargo 

Security, TSA–28, Transportation 

Security Administration, 601 South 

12th Street, Arlington, VA 20598–6028; 

telephone (571) 227–2632; facsimile 

(571) 227–1947; e-mail AirCargo

ScreeningCommentsIFR@dhs.gov. 

SUPPLEMENTARY INFORMATION: 

Comments Invited 

TSA adopts this interim rule without 

prior notice and prior public comment. 

In this rule, however, TSA seeks prior 

public comment on our proposed fee to 

cover the cost of the STAs. To the 

maximum extent possible, DHS 

provides an opportunity for public 

comment on regulations issued without 

prior notice. Accordingly, TSA invites 

interested persons to participate in this 

rulemaking by submitting written 

comments, data, or views on the 

proposed fee for the STA, as well as all 

other aspects of this rule. We also invite 

comments relating to the economic, 

environmental, energy, or federalism 

impacts that might result from this 

rulemaking action. See ADDRESSES

above for information on where to 

submit comments. 

With each comment, please identify 

the docket number at the beginning of 

your comments. TSA encourages 

commenters to provide their names and 

addresses. The most helpful comments 

reference a specific portion of the 

rulemaking, explain the reason for any 

recommended change, and include 

supporting data. You may submit 

comments and material electronically, 

in person, by mail, or fax as provided 

under ADDRESSES, but please submit 

your comments and material by only 

one means. If you submit comments by 

mail or delivery, submit them in an 

unbound format, no larger than 8.5 by 

11 inches, suitable for copying and 

electronic filing. 

If you would like TSA to acknowledge 

receipt of comments submitted by mail, 

include with your comments a selfaddressed, stamped postcard on which 

the docket number appears. We will 

stamp the date on the postcard and mail 

it to you. 

TSA will file in the public docket all 

comments received by TSA, except for 

comments containing confidential 

information and sensitive security 

information (SSI),1 TSA will consider 

all comments received on or before the 

closing date for comments and will 

consider comments filed late to the 

extent practicable. The docket is 

available for public inspection before 

and after the comment closing date. 

Handling of Confidential or Proprietary 

Information and Sensitive Security 

Information (SSI) Submitted in Public 

Comments 

Do not submit comments that include 

trade secrets, confidential commercial 

or financial information, or SSI to the 

public regulatory docket. Please submit 

such comments separately from other 

comments on the rulemaking. 

Comments containing this type of 

information should be appropriately 

marked as containing such information 

and submitted by mail to the address 

listed in FOR FURTHER INFORMATION

CONTACT section. 

Upon receipt of such comments, TSA 

will not place the comments in the 

public docket and will handle them in 

accordance with applicable safeguards 

and restrictions on access. TSA will 

hold documents containing SSI, 

confidential business information, or 

trade secrets in a separate file to which 

the public does not have access, and 

place a note in the public docket that 

TSA has received such materials from 

the commenter. If TSA determines, 

however, that portions of these 

comments may be made publicly 

available, TSA may include a redacted 


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2The affected aircraft operators are U.S. aircraft 

operators with full programs under 49 CFR 

1544.101(a) and foreign air carriers with security 

programs under 49 CFR 1546.101(a) or (b). This 

includes aircraft operators with scheduled or public 

charter operations with an aircraft having a 

passenger seating configuration of 61 or more seats, 

and those operating smaller aircraft when 

passengers are enplaned from or deplaned into a 

sterile area. 

version of the comment in the public 

docket. If TSA receives a request to 

examine or copy information that is not 

in the public docket, TSA will treat it 

as any other request under the Freedom 

of Information Act (FOIA) (5 U.S.C. 552) 

and the FOIA regulation of the 

Department of Homeland Security 

found in 6 CFR part 5. 

Reviewing Comments in the Docket 

Please be aware that anyone is able to 

search the electronic form of all 

comments received into any of our 

dockets by the name of the individual 

who submitted the comment (or signed 

the comment, if submitted on behalf of 

an association, business, labor union, 

etc.). You may review the applicable 

Privacy Act Statement published in the 

Federal Register on April 11, 2000 (65 

FR 19477) and modified on January 17, 

2008 (73 FR 3316). 

You may review TSA’s electronic 

public docket on the Internet at http:// 

www.regulations.gov. In addition, DOT’s 

Docket Management Facility provides a 

physical facility, staff, equipment, and 

assistance to the public. To obtain 

assistance or to review comments in 

TSA’s public docket, you may visit this 

facility between 9 a.m. to 5 p.m., 

Monday through Friday, excluding legal 

holidays, or call (202) 366–9826. This 

docket operations facility is located in 

the West Building Ground Floor, Room 

W12–140 at 1200 New Jersey Avenue, 

SE., Washington, DC 20590. 

Availability of Rulemaking Document 

You can get an electronic copy using 

the Internet by— 

(1) Searching the electronic Federal 

Docket Management System (FDMS) 

Web page at http://www.regulations.gov; 

(2) Accessing the Government 

Printing Office’s Web page at http:// 

www.gpoaccess.gov/fr/index.html; or 

(3) Visiting TSA’s Security 

Regulations Web page at http:// 

www.tsa.gov and accessing the link for 

‘‘Research Center’’ at the top of the page. 

In addition, copies are available by 

writing or calling the individual in the 

FOR FURTHER INFORMATION CONTACT

section. Make sure to identify the docket 

number of this rulemaking. 

Small Entity Inquiries 

The Small Business Regulatory 

Enforcement Fairness Act (SBREFA) of 

1996 requires TSA to comply with small 

entity requests for information and 

advice about compliance with statutes 

and regulations within TSA’s 

jurisdiction. Any small entity that has a 

question regarding this document may 

contact the person listed in FOR FURTHER

INFORMATION CONTACT. Persons can 

obtain further information regarding 

SBREFA on the Small Business 

Administration’s Web page at http://

www.sba.gov/advo/laws/law_lib.html. 

Abbreviations and Terms Used in This 

Document 

CBP U.S. Customs and Border Protection 

CCSF Certified Cargo Screening Facility 

CCSP Certified Cargo Screening Program 

CFR Code of Federal Regulations 

CHRC Criminal History Records Check 

DHS Department of Homeland Security 

FSD Federal Security Director 

IAC Indirect Air Carrier 

IED Improvised Explosive Device 

MSP Model Security Program 

SIDA Security Identification Display Area 

SSI Sensitive Security Information 

STA Security Threat Assessment 

TSA Transportation Security 

Administration 

Outline of Interim Final Rule 

I. Summary of Rule 

II. Background 

A. Current Air Cargo Screening 

B. 9/11 Act Requirements 

C. Development of the Certified Cargo 

Screening Program 

D. Certified Cargo Screening Pilot Programs 

III. TSA’s Program for Achieving the 

Statutory Mandates for Cargo Loaded 

Domestically 

IV. Organization of the Rule 

V. Section-by-Section Analysis 

VI. Good Cause for Immediate Adoption 

VII. Paperwork Reduction Act 

VIII. Economic Impact Analyses 

A. Regulatory Evaluation Summary 

B. Executive Order 12866 Assessment 

C. Regulatory Flexibility Act Assessment 

D. International Trade Impact Assessment 

E. Unfunded Mandates Assessment 

IX. Executive Order 13132, Federalism 

X. Environmental Analyses 

XI. Energy Impact Analysis 

List of Subjects 

The Amendments 

I. Summary of Rule 

This rule provides that affected U.S. 

aircraft operators and foreign air 

carriers 2 must have screened at least 50 

percent of its cargo transported on 

passenger aircraft by February 3, 2009, 

and must screen 100 percent of cargo by 

August 3, 2010, to carry out sec. 1602 

of the Implementing the 

Recommendations of the 9/11 

Commission Act of 2007 (Pub. L. 110– 

53, 121 Stat. 266, 478, Aug. 3, 2007) (9/ 

11 Act). The rule applies to certain 

commercial passenger operations, and 

applies to foreign air carriers the same 

standards that apply to U.S. aircraft 

operators, for the same types of flights. 

This rule applies only to cargo loaded 

in the United States. It does not apply 

to either U.S. aircraft operators or 

foreign air carriers when they load cargo 

outside the U.S. and transport it into the 

U.S., nor to U.S. or foreign all-cargo 

operations. This rule will not cover 

general aviation operations. 

The Transportation Security 

Administration (TSA) concluded that 

this mandate could not be achieved by 

relying solely on U.S. aircraft operators 

and foreign air carriers to conduct 

screening. Aircraft operators do not 

have the capacity to screen the 

approximately 12 million pounds of 

cargo that is now transported on 

passenger aircraft daily. Requiring 

passenger aircraft operators to screen 

100 percent of air cargo would result in 

carrier delays, backlogs of unscreened 

cargo, and missed flights, which could 

significantly impede the flow of 

commerce. 

Accordingly, TSA will establish the 

certified cargo screening program 

(CCSP) to allow entities other than 

aircraft operators to conduct screening 

off-airport. Under the CCSP, facilities 

upstream in the air cargo supply chain, 

such as shippers, manufacturers, 

warehousing entities, distributors, third 

party logistics companies, and Indirect 

Air Carriers (IACs) that are located in 

the U.S., may apply to TSA to become 

certified cargo screening facilities 

(CCSFs). Aircraft operators that screen 

cargo off-airport must also become 

CCSFs in order to screen cargo for 

transport on passenger aircraft. These 

applicants must submit to TSA an 

application for certification of a single 

facility, including a TSA-approved 

validator’s evaluation of the applicant’s 

security measures. Once certified, the 

CCSF must— 

• Implement the certified cargo 

screening standard security program 

that TSA develops and any amendments 

to it; 

• Appoint security coordinators at the 

corporate and facility levels and 

alternates to be available 24 hours per 

day, 7 days per week; 

• Ensure that the following 

individuals successfully undergo a TSAconducted STA: (1) Each employee and 

authorized representative who screens 

cargo or has unescorted access to 

screened cargo, and (2) each security 

coordinator and alternate, senior 

manager of the facility, and other 

individual who implements the cargo 

screening program; 


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47674 Federal Register / Vol. 74, No. 178 / Wednesday, September 16, 2009 / Rules and Regulations 

3Security Directives and security programs are 

SSI and the details are non-public information. See 

footnote 1. 

4There are several categories of airport 

designations that are based largely on the number 

of enplanements. Category II–IV airports include 

those with less than five million annual domestic 

enplanements or with five million or more annual 

domestic enplanements, but less than one million 

international enplanements. Overall, approximately 

99 percent of cargo loaded on passenger aircraft in 

the United States is loaded at Category X and I 

airports. 

• Adhere to strict physical and access 

control measures for the storage, 

handling, and screening of cargo; 

• Screen cargo using TSA-approved 

methods; 

• Implement chain of custody 

requirements, including the use of 

tamper evident technology, which must 

begin when the cargo is screened and 

remain intact until the cargo is tendered 

to the aircraft operator for transport on 

a passenger aircraft; and 

• Apply for recertification, including 

a new examination by a TSA-approved 

validator, every 36 months. 

TSA believes that it is important for 

CCSFs to submit to a recertification 

assessment of their security programs 

every three years in order to maintain 

good standing in the CCSP. Within the 

36 month period, TSA will inspect the 

CCSF for compliance and the CCSFs 

will conduct quarterly self-audits. TSA 

based the 36-month cycle on a similar 

program in the United Kingdom, the 

Known Consignor program discussed in 

section II.C. below. 

This rule establishes procedures 

under which firms may apply for TSA’s 

approval to conduct validation 

assessments of CCSF facilities. 

Approved validation firms must hold 

and carry out a TSA-approved security 

program, must have security 

coordinators to be the primary point of 

contact for security at the facility, and 

must ensure that individuals conducting 

assessments have professional 

qualifications, receive training, do not 

have conflicts of interest with facilities 

to be assessed, and conduct assessments 

impartially. The rule requires validators 

and their supervisors and validation 

firm security coordinators and their 

alternates to successfully undergo a 

TSA-conducted STA. Individuals 

conducting validation assessments 

must— 

• Be a citizen or national of the 

United States or be a lawful permanent 

resident alien; 

• Hold a certification or accreditation 

from a TSA-recognized organization 

qualified to certify or accredit a 

validator; 

• Have at least five years of 

experience in inspection or validating 

compliance with certain government 

and industry organizations; 

• Have sufficient knowledge of 

certain regulations, policies, and 

security programs and be able to 

determine compliance; 

• Have sufficient knowledge of the 

CCSP; and 

• Conduct no more than two 

assessments of a facility seeking 

approval, unless TSA authorizes 

otherwise. 

This rule also amends the threat 

assessment provisions that currently 

exist in 49 CFR part 1540, subpart C, for 

individuals who work in the air cargo 

sector to enhance TSA’s ability to 

effectively conduct STAs. 

II. Background 

A. Current Air Cargo Screening 

Since 2002, TSA has implemented a 

multilayered, risk-based system for 

securing cargo transported on passenger 

aircraft. U.S. aircraft operators and 

foreign air carriers must ensure that 

cargo transported on passenger aircraft 

is screened or inspected as set forth in 

their security programs. 49 CFR 

1544.205, 1546.205. IACs must screen a 

certain percentage of cargo prior to 

tendering the cargo for transport or take 

other security measures as required in 

the applicable Security Directives and 

in their security programs.3 U.S. aircraft 

operators, foreign air carriers, and IACs 

must screen 100 percent of cargo 

considered to present an ‘‘elevated 

risk,’’ and TSA screens 100 percent of 

all cargo transported on passenger 

aircraft at Category II–IV airports.4

Currently, aircraft operators conduct 

screening of most cargo at the airports. 

Generally applicable TSA-approved 

methods of screening include x-ray, 

explosives trace detection (ETD), 

explosive detection systems (EDS), 

explosives detection canine teams, and 

physical inspection along with 

verification of the description of the 

cargo on the shipping manifest. There 

are certain categories of cargo for which 

these generally applicable methods of 

screening may not be effective or 

feasible, so the aircraft operators and 

IACs use TSA-approved alternative 

methods of screening. 

B. 9/11 Act Requirements 

The 9/11 Act amended 49 U.S.C. 

44901(g)(1), which provides, in 

pertinent part: 

Not later than 3 years after the date of 

enactment of the [9/11 Act], the Secretary of 

Homeland Security shall establish a system 

to screen 100 percent of cargo transported on 

passenger aircraft operated by an air carrier 

or foreign air carrier in air transportation or 

intrastate air transportation to ensure the 

security of all such passenger aircraft 

carrying cargo. 

As amended by the 9/11 Act, 49 U.S.C. 

44901(g)(2) provides that the system 

used to screen cargo on passenger 

aircraft shall provide a level of security 

‘‘commensurate with the level of 

security for the screening of passenger 

checked baggage’’ and directs that— 

• Fifty percent of such cargo must be 

screened not later than February 3, 

2009; and 

• One hundred percent of such cargo 

must be screened not later than August 

3, 2010. 

Section 44901(g)(3)(B) explicitly 

authorizes TSA to issue an interim final 

rule (IFR) to implement the 

requirements. If TSA issues an IFR, TSA 

must issue a final rule not later than one 

year after the effective date of the IFR. 

The 9/11 Act defines the term 

‘‘screening’’ in sec. 44901(g)(5) to mean 

‘‘a physical examination or nonintrusive method of assessing whether 

cargo poses a threat to transportation 

security. Methods include x-ray 

systems, explosives detection systems, 

explosives trace detection, explosives 

detection canine teams certified by TSA 

or a physical search together with 

manifest verification.’’ This section 

further provides that TSA may approve 

additional methods to ensure that the 

cargo does not pose a threat to 

transportation security and to assist in 

meeting the requirements of the 9/11 

Act. TSA will continue to consider 

different technologies or methods for 

screening cargo transported on 

passenger or cargo flights. TSA would 

approve these additional methods and 

technologies based on their applicability 

and effectiveness in screening specific 

commodities. 

C. Development of the Certified Cargo 

Screening Program 

TSA recognized that it needed to 

develop a program that could achieve 

the 9/11 Act’s requirement for 100 

percent screening while still allowing 

for the flow of commerce. 

Approximately 12 million pounds of 

cargo are transported on passenger 

aircraft in the United States each day. In 

evaluating the practical implications of 

100 percent screening, the 

Congressional Research Service has 

stated that ‘‘* * * given the sheer 

volume of cargo that must be 

expediently processed and loaded on 

aircraft * * * full screening of air cargo, 

as is now required of checked passenger 

baggage, is likely to present significant 

logistic and operational challenges.’’ 

CRS Report for Congress, Air Cargo 

Security, Updated July 30, 2007, 

CRS–2. 


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TSA has developed the CCSP by 

working closely with U.S. and 

international agencies and associations 

to incorporate key aspects of similar 

security programs in other countries and 

in the United States. In particular, TSA 

studied the Known Consignor programs 

in Great Britain and Ireland. Such 

programs have been in effect for several 

years and operate successfully. TSA also 

examined the security measures of the 

Customs-Trade Partnership Against 

Terrorism (C–TPAT), a U.S. Customs 

and Border Protection (CBP) program. 

Like the programs in Great Britain and 

Ireland, CBP’s C–TPAT program adopts 

the concept of supply chain security in 

its voluntary program under which 

participants benefit from expedited CBP 

processing. 

The United Kingdom (UK) Known 

Consignor program has key features that 

TSA has incorporated into the CCSP. 

First, like the CCSP, the UK Known 

Consignor program relies on authorized 

entities to augment air carriers’ 

screening of cargo. Both programs rely 

on a chain of custody concept, requiring 

verification that no tampering has 

occurred between the time of screening 

and the time the cargo is tendered to the 

air carrier. 

Second, the UK Known Consignor 

program requires approved validators to 

assess Known Consignors and requires 

Known Consignors to pay a fee for these 

assessments. TSA based the validator 

requirements in this IFR, in part, on the 

UK program. In both programs, entities 

wishing to serve as validators seek 

approval from the government 

regulatory agency. In both programs, the 

government reviews the validators’ 

assessments and, where appropriate, 

government agents may conduct 

inspections to determine if enforcement 

action is necessary. 

In addition to these structural 

similarities, some of the methods to 

secure cargo will be similar in the two 

programs. For example, the UK program 

makes use of tamper-resistant seals, 

tamper evident tape, and procedures to 

document that the cargo is not subject 

to unauthorized access from the time 

the cargo is screened until it is tendered 

to an aircraft operator for transport on 

a passenger aircraft. These are key 

elements in the CCSP ‘‘chain of 

custody’’ framework. 

The UK program has been in place 

since 2003 and has achieved the 

benefits TSA seeks to gain from the 

CCSP. Known consignors screen close to 

50 percent of cargo that otherwise 

would be screened by aircraft operators 

and foreign air carriers on airports; the 

rest of the cargo is screened by air 

carriers. Having aircraft operators and 

foreign air carriers screen all cargo at 

airports could result in delays in flights 

and backlogs of cargo to be screened. 

The UK program significantly reduces 

potential adverse impacts on the flow of 

commerce that otherwise could result if 

aircraft operators and foreign air carriers 

were required to screen all cargo. The 

same concerns exist for screening cargo 

at U.S. airports. 

D. Certified Cargo Screening Pilot 

Programs 

TSA is testing the concept of 

screening earlier in the supply chain by 

conducting two parallel pilot programs: 

(1) The CCSP pilot involving shippers 

and other entities, such as 

manufacturers, distributors, and third 

party logistics companies, and (2) the 

IAC technology pilot. The CCSP pilots 

began at the following major gateway 

airports representing over 65% of all air 

cargo loaded on passenger flights: San 

Francisco (SFO), Chicago (ORD), 

Philadelphia (PHL), Seattle (SEA), Los 

Angeles (LAX), Dallas-Fort Worth 

(DFW), Miami (MIA), Atlanta (ATL), 

and New York/Newark (JFK/EWR). The 

IAC pilot is now in effect at all U.S. 

airports. 

Over 65 percent of all cargo 

transported on passenger aircraft is 

carried on wide-body passenger aircraft, 

such as a B–767, from the airports listed 

above. Approximately 43 percent of 

cargo transported on wide-body aircraft 

originates in 6 of these airports. Thus, 

TSA focused its outreach for the pilot 

programs on the entities using the 

airports with the highest volume of 

cargo transported on wide body 

passenger aircraft. Industry agreed to 

participate in the pilots. 

TSA conducted outreach for the CCSP 

pilot program by contacting 120 

shippers and other entities in 9 major 

cities. The CCSP pilot focuses on the 

ability of these entities to screen cargo 

according to methods approved by TSA, 

primarily by physical search of the 

shipping box before it is closed, sealed, 

and leaves the facility using a secure 

chain of custody. Shippers, 

manufacturers, distributors, and thirdparty logistics companies are in the best 

position to screen the contents of the 

box before it leaves their facility, as they 

know what should be in the box and can 

spot anomalies quickly. As long as the 

screening is conducted in accordance 

with TSA procedures and the chain of 

custody remains intact when the cargo 

is loaded on passenger aircraft, the cargo 

does not have to be rescreened. 

The IAC technology pilot is 

evaluating the effectiveness of cargo 

screening technology and processes 

recommended by TSA by commodity 

class at each participant’s consolidation 

facility. Congressional appropriations 

provided TSA with funds for the 

screening of air cargo. TSA is using 

these funds in part to assist in the 

deployment of appropriate screening 

technology for use in the IAC pilot. The 

IAC technology pilot participants must 

use either x-ray or Explosive Trace 

Detection (ETD) equipment during the 

screening process. This pilot is also 

evaluating the IAC community’s ability 

to screen cargo volumes, and the use of 

chain of custody procedures. 

When the IFR becomes effective, the 

CCSP pilot program will end. 

Participants will become CCSFs under 

the IFR. The IACs in the IAC technology 

pilot will continue to collect and submit 

information to TSA regarding the cargo 

screening technology until August 2010. 

TSA will collect information after the 

IFR becomes effective under OMB’s 

Paperwork Reduction Act approval for 

the IFR; this information will include 

the data collected during the IAC 

technology pilot. After the completion 

of the IAC technology pilot, DHS will 

conduct an evaluation of the pilot. 

III. TSA’s Program for Achieving the 

Statutory Mandates for Cargo Loaded 

Domestically 

With respect to cargo loaded within 

the United States, TSA implemented 

two measures that assisted industry in 

achieving the requirement that 50 

percent of cargo transported on 

passenger aircraft be screened by 

February 3, 2009. First, on August 1, 

2008, TSA issued an amendment to the 

Aircraft Operator Standard Security 

Program that requires 100 percent 

screening of cargo transported on 

narrow-body passenger aircraft. Narrowbody aircraft represent 96 percent of all 

domestic passenger flights, and 

approximately one-quarter of all cargo 

on passenger aircraft travels on narrowbody aircraft. TSA has required that all 

cargo on narrow-body passenger aircraft, 

such as a B–737, must be screened. This 

requirement was a key component of 

achieving the 9/11 Act’s requirement to 

ensure that 50 percent of cargo on 

passenger aircraft was screened by 

February 2009. The second key 

component was to have IACs 

participating in the pilot program at the 

major gateway airports screen cargo 

prior to their consolidating the cargo for 

the airlines. Data from the pilot 

programs, as well as inspections by TSA 

Inspectors, demonstrates that industry 

has achieved the 50 percent milestone 

of the 9/11 Act. 

This rule is a key component of our 

strategy to maintain 50 percent 

screening as of February 3, 2009, and to 


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achieve 100 percent screening by 

August 3, 2010. The rule will allow 

shippers to screen their cargo prior to 

tendering it to the airlines. We have 

developed this IFR implementing the 

permanent CCSP based on lessons 

learned in the CCSP pilot program. We 

estimate that, at full implementation, 

certified cargo screening facilities and 

aircraft operators will screen cargo 

traveling on passenger aircraft as 

follows: 

• Of the 4.3 billion pounds of cargo 

shipped on passenger aircraft annually, 

aircraft operators will screen 30 percent 

of the cargo or 1.3 billion pounds; 

• CCSFs using screening equipment 

will screen 38 percent of the cargo or 1.6 

billion pounds; and 

• CCSFs using physical search 

methods to screen will screen 32 

percent of the cargo or 1.4 billion 

pounds. 

IV. Organization of the Rule 

The section-by-section analysis below 

is organized sequentially to follow the 

CFR numbering. This rule amends a 

number of TSA’s existing regulations 

and adds several new parts to the CFR. 

Briefly, these changes include the 

following: 

• The rule expands 49 CFR part 1515 

to provide redress procedures for 

individuals who undergo STAs in 

connection with their air cargo work for 

aircraft operators, certified cargo 

screening facilities, and validation 

firms, if they receive an adverse 

decision from TSA. 

• The rule amends 49 CFR part 1520, 

the regulations governing sensitive 

security information (SSI), requiring 

these newly-regulated populations, such 

as CCSFs and validators, to protect such 

information from disclosure. 

• The rule adds a new 49 CFR part 

1522, establishing a system to authorize 

TSA-approved validators to perform 

assessments of CCSFs. It also provides 

a framework for potential future use in 

other TSA programs. 

• The rule amends the existing STA 

regulations in 49 CFR part 1540, subpart 

C, to encompass newly-required STAs 

for certain personnel of certified cargo 

screening facilities and approved 

validation firms. Also, the rule amends 

the list of biographic information that 

applicants and operators must provide 

TSA, so that TSA can conduct more 

efficient threat assessments. In addition, 

the rule adds provisions to facilitate the 

use of comparable threat assessments in 

place of the assessments that TSA 

requires in subpart C of part 1540. 

• The rule amends 49 CFR parts 1544 

and 1546 to impose new requirements 

on U.S. aircraft operators and foreign air 

carriers with respect to the cargo 

screening and acceptance of cargo from 

CCSFs. 

• The rule also amends 49 CFR parts 

1544, 1546, and 1548 to clarify which 

individuals are subject to the STA 

requirements and to better reflect 

current TSA requirements in the 

standard security programs for U.S. 

aircraft operators, foreign air carriers, 

and IACs. 

• The rule adds a new 49 CFR part 

1549, which provides the regulatory 

requirements for facilities participating 

in the CCSP. Requirements include 

qualifications of screening personnel, 

STAs, adoption of security programs, 

and cargo screening procedures. 

V. Section-by-Section Analysis 

Part 1515—Appeal and Waiver 

Procedures for Security Threat 

Assessments for Individuals 

Section 1515.1—Scope 

In part 1515, TSA sets forth redress 

procedures for many of the 

transportation workers who must 

successfully complete an STA. These 

STAs are described more fully in the 

Section-by-Section analysis for part 

1540, subpart C. The redress procedures 

include administrative appeals, requests 

for waivers, and review of certain cases 

by administrative law judges. This rule 

amends § 1515.1 to expand the scope of 

part 1515 to include applicants engaged 

in air cargo operations who work for 

certified cargo screening facilities or 

validation firms who have applied for 

an STA and wish to appeal an Initial 

Determination of Threat Assessment or 

an Initial Determination of Threat 

Assessment and Immediate Revocation. 

Section 1515.9—Appeal of Security 

Threat Assessment Based on Other 

Analyses 

This rule revises § 1515.9 to expand 

its scope to allow applicants engaged in 

air cargo operations who work for 

certified cargo screening facilities or 

validation firms to appeal an Initial 

Determination of Threat Assessment in 

which TSA has determined that the 

applicants pose a security threat under 

49 CFR 1549.107. 

Section 1515.11—Review by 

Administrative Law Judge and TSA 

Final Decision Maker 

This rule revises § 1515.11 to allow 

applicants engaged in air cargo 

operations who work for certified cargo 

screening facilities or validation firms 

and who have received Final 

Determinations of Threat Assessment 

after appeals as described in § 1515.9 to 

obtain review of these determinations 

by an administrative law judge and the 

TSA Final Decision Maker. 

Part 1520—Protection of Sensitive 

Security Information 

Implementation of this rule will 

create new types of sensitive security 

information (SSI) and new populations 

of persons with access to, and 

responsibilities for, protecting all SSI. 

See Footnote 1. Therefore, TSA is 

making the following changes to part 

1520, which implements the SSI 

program. 

Section 1520.5—Sensitive Security 

Information 

This rule amends the list of 

information constituting SSI in § 1520.5 

to include the SSI to be created under 

this rule. Specifically, TSA adds ‘‘air 

cargo’’ to paragraph (b)(1)(i) of this 

section, which contains the listing of 

security programs that constitute SSI. 

Such programs include those for IACs as 

well as for CCSFs and validation firms. 

TSA has determined that validation firm 

security programs (operating under part 

1522) and CCSF security programs 

(operating under part 1549) to be SSI 

because they will contain specific 

information about how the operation 

will implement measures for personnel 

security, physical security, chain-ofcustody controls, and other measures 

that—if publicly disclosed—would 

allow a terrorist or other person with 

malicious intent to jeopardize air cargo 

security. 

In a related, clarifying change, this 

rule amends § 1520.3 to remove the 

definition of ‘‘security program.’’ This 

definition, which is only used in 

§ 1520.5, is unnecessary, because it only 

describes which security programs are 

SSI, a subject which is entirely covered 

in § 1520.5. Removing this duplicative 

provision will preclude possible 

confusion. TSA moved the phrase 

‘‘including any comments, instructions, 

or implementing guidance’’ from the 

definition of security program to 

§ 1520.5(b)(1) to make clear that 

comments, instructions, and 

implementing guidance for security 

programs are protected in the same way 

as the security programs themselves. 

Section 1520.7—Covered Persons 

This rule also amends the definition 

of ‘‘covered person’’ in § 1520.7 to 

include personnel of certified cargo 

screening facilities and of validation 

firms. These persons will have access to 

SSI, including security programs and 

applicable security directives and 

orders. Including these persons as 

‘‘covered individuals’’ brings them 

within the scope of the responsibilities 


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for protecting SSI that are contained in 

49 CFR 1520.9. These include the duty 

to protect SSI from disclosure and to 

report incidents of unauthorized 

disclosure to TSA. 

Part 1522—TSA-Approved Validation 

Firms and Validators 

The provisions of part 1522 establish 

a system in which TSA approves 

validation firms; these firms are 

responsible for hiring individuals, 

called validators, who must have 

specific qualifications. These validators 

are responsible for conducting the 

assessments of the facility seeking 

certification or recertification as a CCSF 

operating under part 1549. The CCSF 

applicants (whether they are individual 

companies or IACs) will pay the 

validation firm for the validation 

assessment. TSA will not charge or 

establish a fee for that purpose. 

Firms that seek to perform the 

functions of validation firms for 

purposes of the CCSP must apply to 

TSA for approval and, once approved, 

must perform the functions in 

accordance with TSA’s requirements. 

The criteria for approval and the 

performance requirements are set forth 

in part 1522 and described below. Part 

1522 also addresses the qualifications 

and responsibilities of individual 

validators, who, on behalf of a 

validation firm, actually perform the 

assessments of persons, operations, or 

facilities regulated under this chapter. 

Section 1522.1—Scope and Terms Used 

in This Part 

Section 1522.1(a) explains that part 

1522 governs the use of private firms 

employing individual validators to 

assess whether certain persons regulated 

by TSA are complying with security 

programs applicable to those persons 

and other TSA requirements. 

Paragraph (b) of § 1522.1 defines the 

terms used in part 1522. The rule 

defines ‘‘TSA-approved validation firm’’ 

or ‘‘validation firm’’ as a firm that has 

received TSA’s approval to make such 

assessments on whether regulated 

persons have complied with security 

programs and other TSA requirements 

applicable to those persons. The rule 

defines ‘‘applicant’’ as a firm seeking to 

become a TSA-approved validation 

firm. The rule’s definition of ‘‘firm’’ 

includes business enterprises, including 

individuals operating as a business, as 

well as other non-governmental 

organizations, such as non-profit 

corporations. The term ‘‘validator’’ 

means the particular individual 

assigned by the validation firm to 

perform a given assessment; thus, the 

terms ‘‘validation firm’’ and ‘‘validator’’ 

are not synonymous. The term 

‘‘assessment’’ as defined in § 1522.1, 

refers to the validator’s evaluation of 

compliance with the relevant 

requirements of a security program. 

The rule also defines the term 

‘‘national of the United States.’’ For 

purposes of this rule, ‘national’ means a 

citizen of the United States, or a person 

who, though not a citizen, owes 

permanent allegiance to the United 

States, as defined in 8 U.S.C. 

1101(a)(22), and includes American 

Samoa and Swains Island. It is 

consistent with the definition of the 

same term (49 CFR 1570.3) in the 

Maritime and Land Transportation 

Security regulations and with the 

definition in 8 U.S.C. 1101(a)(22). 

Validation firms and validators must 

be free of conflicts of interest to perform 

assessments for TSA programs. Section 

1522.129(a) requires validation firms to 

maintain records demonstrating 

compliance with this regulation, 

including the conflict-of-interest 

requirements. As part of the inspection 

process, TSA may review records 

concerning a facility’s compliance with 

conflict of interest provisions. 

Section 1522.1(b) defines ‘‘conflict of 

interest’’ as a situation in which a 

relationship with, or a financial interest 

in, the person being assessed may 

adversely affect the impartiality of the 

assessment. This definition 

encompasses the validation firm as an 

entity, as well as the individuals of the 

firm who will be conducting, or 

assisting in conducting, the assessment, 

and their immediate family members. 

This definition is derived in part from 

the Government Auditing Standards 

established by the Government 

Accountability Office (GAO) for 

ensuring that Government auditors or 

their employees do not have business or 

personal impairments that would 

interfere with their ability to maintain 

their independence. See GAO, 

Government Auditing Standards (July 

2007), ch. 3. The definition is also 

derived, in part, from the postgovernmental employment restrictions 

applicable to Federal employees. 

The definition of ‘‘conflict of interest’’ 

in § 1522.1(b) contains several 

examples. It includes examples of 

conflict-of-interest situations applicable 

to a validation firm as an entity, such as 

parent-subsidiary relationships and 

common management or organizational 

governance (for example, interlocking 

boards of directors). It also includes an 

example of a conflict of interest 

situation in which the validation firm, 

or validator, or the individual assisting 

the validator, or his or her immediate 

family member as an individual, is a 

creditor or debtor of the person being 

assessed. It also lists examples of 

conflicts of interest related to financial 

interests, such as investments in debt 

and equity, in the person being 

assessed. 

The other examples of conflict of 

interest in the definition address 

situations in which the validator or an 

individual assisting the validator, or his 

or her immediate family member, is a 

former employee, officer, or contractor 

including a consultant of the person 

being assessed. If the former duties and 

responsibilities of the validator or 

individual assisting the validator 

involved the operations or functions to 

be assessed, he or she has a permanent 

conflict of interest; such an individual 

may never conduct or assist in 

conducting an assessment of an 

operation or function with respect to 

which he or she had duties or 

responsibilities. If the former duties and 

responsibilities of the validator or 

individual assisting the validator did 

not involve the operations or functions 

to be assessed, he or she must observe 

a two-year ‘‘cooling-off period’’ during 

which he or she may not conduct 

assessments of his or her former 

employer. These concepts are consistent 

with the post-employment restrictions 

applicable to governmental employees 

found at 18 U.S.C. 207. Individuals who 

are former employees of the person 

being assessed who will not be 

conducting or assisting in the 

assessment do not create a conflict of 

interest if they are segregated from the 

assessment work. 

Section 1522.3—Fraud and Intentional 

Falsification of Records 

Section 1522.3 includes provisions 

that prohibit any person, whether the 

validation firm, the validator, or another 

individual, from making or providing 

any fraudulent or intentionally false 

statements, reports, records, access 

mediums, or identification. The same 

prohibitions apply to persons regulated 

under TSA’s Civil Aviation Security 

regulations; see 49 CFR 1540.103, on 

which this section is based. Any 

intentional falsification or fraud may 

constitute a basis for TSA to withdraw 

the validator’s approval. In addition, 

any intentional falsification or fraud 

may constitute a violation of certain 

criminal laws such as 18 U.S.C. 1001. In 

appropriate cases TSA will refer 

potential criminal violations to the U.S. 

Attorney for investigation. 

Section 1522.5—TSA Inspection 

Authority 

Section 1522.5 sets out TSA’s broad 

authority to inspect a validation firm 


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and a validator, including on-site 

inspections and the copying of records. 

TSA needs such broad authority to 

perform its role in monitoring 

compliance with this part. Paragraph (a) 

requires each validation firm to allow 

TSA to enter the facility to make 

inspections or tests, including copying 

records. A validation firm’s operations 

are unlikely to give rise to the kinds of 

emergencies that would require afterhours inspections, so this paragraph 

only refers to TSA inspections during 

normal business hours. This paragraph 

also provides that the inspection may be 

without advance notice. While TSA 

expects often to provide advance notice 

of an inspection, we must have the 

ability to do so unannounced to verify 

compliance by the validation firm and 

its personnel and to otherwise assess 

security. The inspections referred to in 

paragraph (a) include inspections for 

compliance with the statute and TSA 

rules, and includes inspections that 

TSA may make to carry out duties 

assigned to TSA in 49 U.S.C. 114(f), as 

set out in § 1522.5(a)(2). 

Section 1522.5(b) provides that at the 

request of TSA each validation firm and 

validator must provide evidence of 

compliance with the TSA regulations, 

which are located in 49 CFR chapter XII, 

including parts 1500–1699. This may 

include providing records to TSA or 

other evidence to show compliance. 

Paragraph (c) provides that TSA and 

DHS officials working with TSA may 

conduct inspections without access 

media issued or approved by a 

validation firm or other person. This is 

to facilitate the inspection process and 

make it possible for TSA to conduct 

unannounced inspections. It is based on 

a similar provision in § 1542.5(e) that 

applies to airport operators. Taken as a 

whole, this section will allow TSA to 

evaluate the validation firm’s and the 

validator’s respective performance, and 

to evaluate the reliability of the 

validator’s assessments. 

Section 1522.101—Applicability 

Subpart B, which begins at 

§ 1522.101, applies specifically to the 

use of TSA-approved validation firms 

and validators in the context of the 

CCSP. Each facility that seeks to be a 

CCSF will need to engage a validation 

firm to assess whether that facility 

complies with the security program that 

TSA requires under 49 CFR 1549.5. 

Section 1522.103—Requirements for 

Validation Firms 

Section 1522.103 establishes the 

general requirements for validation 

firms. Paragraph (a) states the 

fundamental requirement, which is that 

the firm must have the necessary 

facilities, resources, and personnel to 

conduct assessments. Among other 

things, this requirement entails the 

demonstrated capability to define, 

execute, and document standardized 

business processes. The validation firm 

must also demonstrate its capability to 

hire and train personnel to perform 

operations similar to the assessments 

required under this subpart and part 

1549. The purpose of this requirement 

is to establish a basis on which TSA 

may evaluate whether a firm has the 

experience and capabilities to perform 

as a validation firm. 

Paragraph (b) provides that each 

validation firm must have a Security 

Coordinator and one or more alternates. 

This provision is based on the concept 

of Security Coordinator for IACs as 

implemented in 49 CFR 1548.13. These 

individuals must be senior officers or 

employees to ensure that they have the 

authority necessary to fulfill their 

functions. They serve as the validation 

firm’s primary point of contact with 

TSA on security-related matters. 

Because a validation firm has a support 

(as opposed to an operational) role in 

the certified cargo security program, the 

Security Coordinator or an alternate 

must be available during regular 

business hours (rather than on a 24-hour 

basis). Also, the Security Coordinator 

and alternates bear the responsibility of 

immediately initiating corrective action 

if the firm discovers an instance of noncompliance with any applicable TSA 

security requirement. These 

requirements ensure that each 

validation firm has at least one readily 

available and accountable individual 

with adequate authority to monitor 

security-related matters. 

Under paragraph (c) of § 1522.103, the 

validation firm must hold and carry out 

a TSA-approved security program. This 

topic is covered in more detail in the 

discussion of § 1522.105, below. 

Paragraph (d) of § 1522.103 imposes 

an affirmative obligation on the 

validation firm to ensure that its 

personnel carry out the requirements of 

TSA’s regulations and the security 

program. ‘‘Personnel’’ includes direct 

employees, contractors, agents, and 

other persons acting on behalf of the 

validation firm. 

Finally, paragraph (e) requires the 

validation firm to notify TSA of all 

pertinent changes in information that 

the validation firm must submit to TSA. 

Examples of such information include 

changes of address, changes in the 

identity of the Security Coordinator or 

alternates, and significant changes in 

the ownership of the firm. A significant 

change in the ownership would include, 

for example, acquisition of the firm by 

another business entity, or the form of 

the firm’s organization, for example, 

incorporation. It would not include a 

minor change in the identity of 

shareholders. 

Section 1522.105—Adoption and 

Implementation of the Security Program 

Paragraph (a) of § 1522.105 provides 

that a validation firm must hold and 

carry out an approved security program 

in order to operate as a validation firm. 

Paragraph (b) outlines the requirements 

for the content of the validation firm 

standard security program. These 

requirements are generally consistent 

with the similar requirement for IACs in 

part 1548. 

Paragraph (b)(1) states the 

fundamental purpose of the security 

program, which is to provide for the 

security of aircraft and protect against 

threats to air security. Paragraph (b)(1) 

thus establishes that validation firms, 

even though they serve a supporting 

role, are important components in the 

overall certified cargo security program. 

Key among these requirements for 

security programs is that the programs 

must specify the processes and 

procedures that the firm will use to 

maintain the qualifications of its 

validators and its personnel assisting 

validators with assessments. This is 

important, because the quality of the 

validation firm’s operational 

performance depends primarily on the 

expertise of its personnel, especially the 

validators. Thus, the security program 

must describe in detail how the 

validation firm will maintain the 

current qualifications, accreditations, 

credentials, training, and STAs for its 

relevant personnel. 

The security program must also 

include provisions for a Security 

Coordinator, as well as for setting 

managerial responsibilities for ensuring 

that the firm’s personnel carry out their 

responsibilities under TSA regulations 

and the security program. 

Paragraph (c) of § 1522.105 sets out 

procedures by which an applicant or a 

validation firm may request 

amendments to a security program. 

Paragraph (d) sets out the process by 

which TSA will initiate amendment of 

a security program. Paragraph (e) covers 

emergency amendments, which TSA 

may make without prior notice and 

which take effect immediately. The 

provisions of paragraphs (c), (d), and (e) 

are analogous to similar provisions 

relating to IAC security programs (49 

CFR 1548.7), which provides that TSA 

may issue emergency amendments to 

aircraft operators if there is an 

emergency requiring immediate action 


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with respect to safety in air 

transportation or in air commerce that 

makes procedures in § 1522.105 

contrary to the public interest; such 

provisions establish an orderly process 

for revising security programs when 

circumstances change. Similar 

provisions exist in 49 CFR 1542.105(d) 

(airport operators), 1544.105(d) (aircraft 

operators), 1546.105(d) (foreign air 

carriers), and 1548.7(e) (indirect air 

carriers). Paragraph (f), parallel with 49 

CFR 1548.5(d), provides basic 

requirements on availability of the 

security program to the firm’s personnel 

and to TSA and requires measures to 

protect it as SSI. 

Section 1522.107—Application 

Section 1522.107 sets out the 

procedures by which a firm may apply 

for approval to operate as a validation 

firm. TSA will prescribe the form and 

manner of the application, which must 

be in writing and submitted at least 90 

days in advance. 

Paragraph (a) enumerates the required 

items that applicants must include in 

their applications. Among other items, 

applicants must include a statement 

declaring whether the applicant is a 

small business; the collection of this 

information assists TSA in developing 

appropriate civil penalty formulas. 

Paragraph (b) of § 1522.107 discusses 

the next step in the application process. 

After TSA receives the initial 

application specified in paragraph (a), 

and after the applicant’s Security 

Coordinator has successfully completed 

a STA, TSA will send the validation 

firm, via the Security Coordinator, a 

copy of the Validation Firm Standard 

Security Program. TSA anticipates that 

all information will be sent to 

participants via electronic means in a 

password protected mode. TSA also 

plans to develop a secure Web address 

that will be available to the participating 

validation firms to obtain copies of the 

security program. The validation firm 

must also submit a supplement to its 

security plan that specifies processes 

and procedures that the firm will use to 

maintain the qualification of its 

validators and its personnel assisting 

validators with assessments to the 

designated TSA official for approval. 

This provision establishes a baseline of 

standardization, while allowing for 

flexibility in appropriate circumstances. 

TSA will seek comment on the 

validation firm security program from 

applicants as part of the application 

process. Thereafter, any approved 

validation firm may request 

amendments to its security program. 

Section 1522.109—TSA Review and 

Approval 

Paragraph (a) of § 1522.109 lists the 

criteria that TSA will employ in 

reviewing an application submitted 

under § 1522.107. As provided in 

paragraph (b), TSA will approve or 

disapprove the application based on 

these criteria. In either case, TSA will 

provide written notice to the applicant. 

In the case of an approval, TSA may 

approve or require modifications to the 

security program applicable to the 

applicant. The validation firm will also 

demonstrate to TSA how the validators 

employed by the firm will meet TSA 

qualifications. In the case of a 

disapproval, TSA will state the basis for 

the disapproval in writing. 

Under paragraphs (b)(1) and (2), a 

validation firm may commence 

operations only after it receives 

approval of its security program and 

approval to operate as a validation firm, 

and after the relevant personnel have 

completed all required training and 

STAs. These paragraphs make it clear 

that the validation firm must satisfy all 

of these elements before the validation 

firm may conduct assessments. 

As provided in paragraph (c), the 

duration of an approval granted under 

this section is 12 months. 

The following table demonstrates the 

certification and training cycles for 

CCSFs and validation firms. 

IAC operating certificate 

(renewal application) 

Validation firm 

operating 

approval 

Certification Recurrent training 

Shipper/CCSF ................................ N/A ................................. N/A ................................. Every three years .......... Annually. 

IAC/CCSF ...................................... Annually ......................... N/A ................................. Every three years .......... Annually. 

Validation Firm/Validator ................ N/A ................................. Annually ......................... N/A ................................. Annually. 

Section 1522.111—Reconsideration of 

Disapproval of an Application 

Section 1522.111 describes the review 

and petition process for TSA’s 

reconsideration of disapproval of the 

validator’s application. If an applicant 

challenges the disapproval, the 

applicant must submit a written petition 

for reconsideration within 30 days of 

receipt of the notice of disapproval. The 

petition must include a statement, with 

supporting documentation, explaining 

why the applicant believes the 

application meets the criteria of 

§ 1522.103. Reconsideration may result 

in confirmation of the disapproval or in 

an approval. Disposition pursuant to 

this section constitutes a final agency 

action for purposes of review under 49 

U.S.C. 46110. 

Section 1522.113—Withdrawal of 

Approval 

Section 1522.113 establishes 

procedures by which TSA may 

withdraw a previously-granted approval 

of a validation firm. This may occur if 

the validation firm no longer meets the 

qualification standards, if the validation 

firm fails to conduct assessments in 

compliance with TSA’s requirements, or 

if withdrawal is in the interest of 

security or the public. 49 CFR 

1522.113(a). If TSA withdraws a 

validation firm’s approval, the 

validation firm must immediately stop 

performing any and all activities related 

to assessments. In determining whether 

withdrawal is appropriate, TSA 

considers the number, frequency, and 

severity of security violations 

committed by a regulated party. If TSA 

determines withdrawal is appropriate, 

TSA will remove the validation firm 

from the list of approved validation 

firms. 

Under paragraph (b) of § 1522.113, 

TSA will provide the validation firm 

with a written notice of proposed 

withdrawal of approval that will 

include a statement of the basis for the 

proposed withdrawal of approval. 

Paragraph (c) provides for immediate 

withdrawal of approval in emergency 

circumstances. Upon receipt of a notice 

of emergency withdrawal under 

paragraph (c), the validation firm must 

immediately stop performing 

assessments, and must discontinue any 

assessments in progress. Paragraphs (d) 

and (e) provide a reconsideration 

procedure that may result in 

confirmation of the withdrawal of 

approval or in a decision to allow the 

validation to retain (or regain) its 

approval. Disposition pursuant to this 

section constitutes a final agency action 


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for purposes of review under 49 U.S.C. 

46110. 

Section 1522.115—Review of TSA 

Approval 

It is important that validation firms 

meet TSA’s standards both before and 

after they begin performing validations. 

TSA will actively monitor validations 

through a process of initial and 

recurrent reviews. Approved validation 

firms must apply for renewal of 

approval annually. During these 

reviews, TSA will examine, among 

other things, whether the validation 

firm’s personnel have received required 

training and whether the relevant 

personnel have maintained the required 

accreditations and/or certifications. The 

review will also focus on the firm’s 

compliance with part 1522 and with its 

security program. 

Section 1522.117—Qualifications for 

Validators 

Section 1522.117 prescribes the 

necessary qualifications for individuals 

selected by validation firms to serve as 

validators for particular assessments. 

The requirements establish minimum 

levels of expertise and experience that 

an individual must have before he or 

she may be employed as a validator. As 

explained in the discussion of 

§ 1522.123 below, a properly qualified 

validator must be directly responsible 

for the conduct of each assessment. A 

validation firm may assign an 

individual to be a validator with direct 

responsibility for an assessment only if 

the individual meets the qualifications 

specified in § 1522.117(a)(1)–(5) 

described below. The validation firm 

will be responsible for determining 

whether an individual has the 

appropriate qualifications to serve as a 

validator, and TSA will inspect for 

compliance with these requirements. 

Pursuant to paragraph (a)(1) of 

§ 1522.117, an individual must be a U.S. 

citizen or national, or be an alien 

lawfully admitted to the United States 

as a Lawful Permanent Resident (LPR) 

in order to function as a validator. For 

aliens to become LPRs (commonly 

referred to as ‘‘green card’’ holders), the 

U.S. Government must have determined 

that they are admissible to the United 

States as immigrants; that determination 

requires security and criminal checks. 

TSA will allow LPRs to function as 

validators based on the fact that the U.S. 

Government has already performed 

security and criminal checks on these 

individuals. 

Validators must have extensive 

experience in conducting assessments, 

inspections, or audits before 

undertaking duties under this part. 

Paragraph (a)(2) identifies two bases on 

which individuals can establish they 

possess the appropriate level of 

experience. Under the first basis, he or 

she must have an accreditation or 

certification from an organization that 

TSA recognizes as qualified to certify or 

accredit a validator assessing facilities, 

such as certified cargo screening 

facilities, or the individual must have 

five years or more experience in 

conducting inspections under State or 

Federal regulatory programs in the 

security industry, the aviation industry, 

or other government programs. TSA will 

review the accreditation of a validator 

when the validation firm submits a plan 

to TSA demonstrating how the firm will 

ensure that the validators in the firm 

meet TSA qualifications. If a validator 

does not meet the accreditation 

standards, TSA may deny approval to 

the validation firm or may approve the 

firm but direct that the individual 

without the necessary accreditation not 

be used for the CCSP program. 

Examples of an organization qualified 

to accredit a validator would include 

the International Standards 

Organization and ASIS International. 

TSA will make publicly available on the 

TSA public Web site a list of acceptable 

accreditation or certification 

organizations. The individual must have 

had this experience within the past ten 

years. Under the second basis, he or she 

must show relevant experience and 

expertise by having been employed by 

a Federal or State government agency as 

an inspector, assessor, or auditor in 

assessment or inspection tasks similar to 

the assessments under this part. 

Inspectors for governmental agencies 

receive thorough training and are 

subject to rigorous qualification 

standards. For example, a former 

Department of Transportation safety 

inspector would presumably have this 

kind of experience. 

Under paragraph (a)(3), the individual 

must have three current professional 

references. The purpose of this 

requirement, which is related to the 

requirements of paragraph (a)(2), is to 

allow the validation firm and TSA to 

further verify the experience and 

expertise of the validator. 

The expertise and experience of the 

validators is a critical component of this 

program. Paragraph (a)(4) states the 

requirement that validators must 

understand the requirements of the 

program in order to perform their 

functions. A validation firm must be 

able to demonstrate that each of its 

validators has this understanding. 

Although a validator’s successful 

completion of the training required in 

§ 1522.119 will demonstrate initial 

understanding, a validator must also 

demonstrate the necessary knowledge 

and its practical application when the 

validator conducts assessments under 

this program. 

Section 1522.119—Training 

As stated above, validators must 

understand the requirements of the 

program and applicable technologies 

and practices before they begin 

conducting assessments. The validation 

firm must ensure that all employees 

associated with the assessment process 

complete training to ensure that they are 

capable of effective performance of their 

duties, and are knowledgeable about 

their security responsibilities. This is 

consistent with training requirements in 

other TSA regulatory programs. TSA 

plans to make a training program 

available for the validation firms. As 

program requirements change and 

technologies and practices improve, 

validators will need to keep up-to-date. 

Therefore, § 1522.119 requires 

validators and other individuals who 

assist in conducting assessments to 

complete initial and annual recurrent 

training provided by TSA. Under 

§ 1522.119(a), the relevant individuals 

must complete initial TSA training on 

the standards, procedures, and forms 

prescribed by TSA for assessments of a 

CCSF before undertaking an assessment 

under subpart B. Under § 1522.119(b), 

validators and other relevant 

individuals must complete annual 

training; the training will include 

current information and will confirm 

that the validators and other individuals 

have maintained the necessary expertise 

to continue to perform assessments. 

Paragraph (c) outlines the general 

requirements for the content of the 

training; this outline is not exhaustive. 

Section 1522.119(c) provides that the 

‘‘training required by this section will 

include coverage of the applicable 

provisions of this chapter, including 

this part, part 1520, and section 

1540.105.’’ (Part 1520 covers Sensitive 

Security Information (SSI), and 

§ 1540.105 covers security 

responsibilities of employees and other 

persons.) TSA intends to specify more 

detailed training requirements in the 

applicable security programs. 

Section 1522.121—Security Threat 

Assessments for Personnel of TSAApproved Validators 

This section requires individuals 

supervising, performing, or assisting in 

the performance of validation 

assessments, and the validation firm’s 

Security Coordinator and alternates, to 

successfully undergo a STA conducted 

by TSA under 49 CFR part 1540, subpart 


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C, or an STA that TSA deems 

comparable. See the discussion of 49 

CFR part 1540, subpart C for a full 

description of those requirements. 

Section 1522.123—Conduct of 

Assessments 

Section 1522.123(a) establishes the 

general rule that a validator must 

conduct each assessment of a CCSF 

under this part in a form and manner to 

be prescribed by TSA. The provision 

will increase the standardization of 

assessments across the program, 

promoting security and fairness. While 

other individuals may assist a validator, 

the validator must be directly 

responsible for the assessment and must 

sign the assessment report required by 

part 1522. This provision emphasizes 

the authority and accountability of the 

validator within the overall regulatory 

scheme. 

Section 1522.123(b) provides that 

validators may not undertake an 

assessment in which the validator, the 

validation firm for which he or she 

works, or any other individual who 

would work on the assessment, has a 

conflict of interest as defined in 

§ 1522.1. 

Section 1522.123(c) applies when a 

validator, while conducting an 

assessment, learns that there is or may 

be an instance of noncompliance with 

TSA’s requirements that presents an 

imminent threat to transportation 

security or public safety. In such a 

situation, the validator must report the 

noncompliance to TSA, through the 

Security Coordinator immediately. The 

purpose of this provision is to allow 

TSA the opportunity to address and 

correct potentially dangerous situations 

promptly. 

Section 1522.123(d) provides that 

neither a validation firm nor a validator 

may require the CCSF being assessed to 

take remedial action. While a validator 

may suggest ‘‘on the spot’’ remedial 

actions in the course of conducting an 

assessment, the validator does not have 

the authority to require such remedial 

action. The validator will, of course, 

include in the report to TSA any matters 

that he or she believes are not in 

compliance with TSA requirements. 

The rule also clarifies that the validation 

firm and validator may not take 

disciplinary or enforcement action 

against a facility it has assessed. Only 

TSA may take disciplinary action 

against the CCSF. If the validator reports 

non-compliance, TSA will evaluate all 

the facts and circumstances, likely will 

conduct an inspection, and determine 

whether to take action. 

Section 1522.123(e) provides that a 

validator must not conduct more than 

two consecutive assessments of a given 

facility seeking approval, or renewal of 

approval, to operate a CCSF. Under 

§ 1549.7(b) each CCSF must apply for 

renewal every three years. Thus, if a 

validator has conducted the initial 

assessment and the first renewal 

assessment, or two consecutive renewal 

assessments, for a given CCSF, that 

validator may not conduct the next 

assessment on that CCSF. The purposes 

of this requirement are to maximize the 

objectivity of the validator and to assure 

a fresh assessment for each CCSF every 

few years. 

Section 1522.125—Protection of 

Information 

Section 1522.125(a) specifies that 

validation firms must comply with 

TSA’s regulations (49 CFR part 1520) for 

identifying, handling, and protecting 

SSI. Under paragraph (b) of § 1522.125, 

validation firms may not disclose any 

proprietary information that is disclosed 

to the validator during the assessment. 

This provision is intended to protect the 

facilities being assessed and to 

encourage their full cooperation with 

the validators. 

Section 1522.127—Assessment Report 

Section 1522.127 requires a validator 

to prepare an assessment report that 

must include information about the 

assessment process and the validator’s 

assessment of the CCSF’s compliance 

with applicable TSA requirements. The 

validator must submit the assessment 

report within 30 days after completing 

the assessment. The validator must 

attest that he or she performed the 

assessment professionally and 

impartially. TSA will use the 

assessment report to determine whether 

additional TSA action, such as further 

inspection by TSA personnel, is 

required. The assessment report must 

contain the information specified in 

§ 1522.127(b). 

Section 1522.129—Recordkeeping 

Requirements 

Section 1522.129(a) requires 

validation firms to maintain records 

demonstrating compliance. Paragraph 

(b) requires the firms to retain records 

pertaining to individuals, including 

training, STAs, and qualification of 

validators (including conflicts of 

interest), until the 180th day after the 

individual leaves the employment of the 

validation firm. The retention period 

parallels the record retention 

requirements related to STAs under part 

1540. 

Paragraph (c) covers records about the 

validation firms’ approvals from TSA, 

which each validation firm must retain 

until completion of the validation firm’s 

next review under § 1522.115. This 

retention period should help ensure that 

TSA has the necessary documentation 

with which to complete the review. 

Paragraph (d) covers assessment 

reports and back-up documentation, 

which includes working papers and 

interview notes, pertaining to particular 

assessments conducted by the 

validation firm. Validation firms must 

retain records covered under this 

paragraph for 42 months after 

completion of the assessment. This 

retention period should assure that the 

materials will be available at least until 

the CCSF’s next recertification. 

With respect to each of the record 

retention periods specified in 

§ 1522.129, the validation firm may 

destroy a record upon the expiration of 

the period, unless TSA instructs the 

firm to retain the record longer. 

Part 1540—Civil Aviation Security: 

General Rules 

Section 1540.5—Terms Used in This 

Subchapter 

This rule amends § 1540.5 to add 

definitions of the terms ‘‘certified cargo 

screening program’’ and ‘‘certified cargo 

screening facility.’’ ‘‘Certified cargo 

screening program’’ means the program, 

established under 49 CFR part 1549, 

under which TSA authorizes facilities to 

screen cargo to be offered for transport 

on certain passenger aircraft. A 

‘‘certified cargo screening facility’’ is a 

facility that TSA certifies to screen this 

cargo and perform the other functions 

required by part 1549. As used in this 

chapter, ‘‘certified cargo screening 

facility’’ refers to the legal entity that 

operates a CCSF at a particular location. 

Part 1540—Civil Aviation Security: 

General Rules 

Subpart C—Security Threat 

Assessments 

This subpart covers the STAs that are 

required throughout the aviation 

security rules, including those for 

certain aircraft operator, foreign air 

carrier, and IAC personnel. This rule 

expands the subpart to include CCSF 

and TSA-approved validation firm 

personnel. 

The STA process works as follows. 

First, the CCSF employee submits the 

biographic data for their STA 

application through secure, Web-based 

tool. Required biographic data includes: 

• Legal name; 

• Current mailing address; 

• Gender; 

• Date and place of birth; 

• Social security number; 

• Citizenship status; 


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• Alien registration number if 

employee is not a U.S. citizen; 

• Daytime phone number; and 

• Name, address, and telephone 

number of individual’s employer. 

Next, TSA sends the STA application 

data to an automated vetting engine 

where a name-based terrorism check is 

performed. The name-based terrorism 

check consists of matching against the 

Terrorist Screening Database (TSDB), 

which includes the No-fly list and 

Selectee list. 

If TSA determines that the individual 

poses a security threat, TSA issues an 

Initial Determination of Threat 

Assessment (IDTA) to the individual. 

The determination includes a statement 

that explains why TSA believes the 

individual is not eligible or may pose a 

security threat and the process by which 

the individual may appeal the 

determination. All STA results, 

favorable or unfavorable, are 

communicated to the CCSF though the 

TSNM STA Tool. 

Section 1540.201—Applicability and 

Terms Used in This Subpart 

This rule amends § 1540.201 to 

provide that the STA requirements in 

subpart C on part 1540 ‘‘Security Threat 

Assessments’’ now apply to validation 

firms and facilities participating in the 

CCSP. Paragraphs (a)(6) through (a)(12) 

list persons who must comply with this 

subpart, which includes entities that are 

subject to the subpart and the specific 

individuals in the CCSP who must 

undergo STAs in accordance with 

subpart C: 

• Each CCSF; 

• Individuals at CCSFs performing or 

supervising screening; 

• Individuals at CCSFs with 

unescorted access to screened cargo; 

• The senior manager or 

representative in control of the 

operations of a CCSF; 

• Employees of validation firms 

supervising, performing, or assisting in 

validations under 49 CFR part 1522; and 

• Security coordinators and alternates 

of certified cargo screening facilities and 

validation firms. 

These individuals must successfully 

complete STAs, because they will have 

unescorted access to cargo and, thus, the 

opportunity to compromise the security 

and safety of the process. In this rule, 

TSA requires these individuals to 

complete the name-based check of 

relevant domestic and international 

watch lists, which also includes a 

limited immigration check. In the 

future, TSA may propose rules to 

require these individuals to also 

complete a fingerprint-based criminal 

history records check (CHRC) and a 

more thorough immigration status 

check. However, TSA has not yet 

developed the enrollment system 

necessary to gather fingerprints from 

these applicants. These individuals play 

important roles in securing cargo 

transported on certain passenger aircraft 

and would have the opportunity to 

contaminate cargo if they so desired. 

Therefore, it is critical that TSA vet 

them to determine whether they may 

pose a threat to national or 

transportation security before allowing 

them access to the cargo screening 

system. 

TSA is also expanding the definition 

of ‘‘operator’’ in paragraph (b) to include 

CCSFs and validators. 

Section 1540.203—Security Threat 

Assessment 

We revise § 1540.203(a) to include the 

new individuals who must successfully 

complete an STA, listed above in 

§§ 1540.201(a)(6)–(12). 

We revise the identity and work 

authorization requirements in paragraph 

(b) of this section. Former paragraph (b) 

required operators to authenticate an 

applicant’s identity by reviewing two 

forms of identification, one of which 

must be a government-issued picture 

identification. Amended paragraph (b) 

requires operators to verify the identity 

and work authorization of each 

applicant by examining standard 

identity and work authorization 

documents and examine the documents 

to determine whether they appear to be 

genuine and relate to the applicant 

presenting them. TSA recommends that 

operators use the identity and work 

authorization documents approved for 

such use by the U.S. Citizenship and 

Immigration Services (USCIS) in the 

‘‘Form I–9, Employment Eligibility 

Verification, List of Acceptable 

Documents’’ to meet the identity and 

work authorization verification. See 

http://www.uscis.gov/files/form/I-9.pdf 

for the most current list of documents 

approved by USCIS for identity and 

work authorization verification. Also, 

we now require operators to retain a 

copy of the document(s) used to verify 

identity and work authorization for at 

least 180 calendar days after the 

applicant is no longer employed by the 

operator. 49 CFR 1540.201(d). This will 

enable the TSA to conduct periodic 

document inspections to verify that 

operators are satisfying the 

requirements. 

Identity verification and confirmation 

that an individual is authorized to work 

in the United States are critical steps in 

the STA process. If an individual 

presents fraudulent documents with an 

incorrect name, date of birth, country of 

citizenship, or other data, TSA’s STA 

will be flawed at inception. Companies 

with more sophisticated personnel 

systems may opt to scan the identity 

and work authorization documents 

electronically and use fraud detection 

software to ‘‘score’’ the documents for 

authenticity. These software programs 

are becoming economically and 

operationally desirable as a standard 

process in many industries, and TSA 

uses these systems in other vetting 

programs where TSA is responsible for 

enrolling applicants. 

Paragraph (c) of this section describes 

the information operators must collect 

from applicants and transmit to TSA for 

the STA. The rule amends this list in 

some respects to ensure that we have 

the best information on which to base 

an accurate STA and that TSA can 

easily contact the applicant if we need 

to resolve incomplete or conflicting 

information. The rule now requires 

submission of the applicant’s daytime 

phone number and the name, address, 

and telephone number of the applicant’s 

employer. TSA has found that this 

information is very helpful in the 

adjudication process when we need 

additional information to determine the 

outcome of the STA. TSA’s adjudicators 

often contact applicants by telephone 

with questions, and this step typically 

saves time and expense for the applicant 

and TSA by resolving issues 

immediately. 

The Privacy Act Notice that operators 

must provide to applicants when they 

begin the STA process is set out in the 

next paragraph. In the Privacy Act 

Notice, TSA explains why TSA collects 

personal information from the applicant 

and how TSA may use the information. 

We amend the Notice to include an 

acknowledgement that TSA may notify 

the applicant’s employer if TSA or other 

law enforcement agency becomes aware 

that the applicant poses an imminent 

security threat. TSA does not anticipate 

that it will be necessary to notify an 

employer often, but we believe all 

applicants should be aware that this 

notification may take place. In addition, 

we amend the Notice to state that TSA 

may transmit the applicant’s fingerprint 

information to the DHS’ Automated 

Biometrics Identification System 

(IDENT) and Social Security Number to 

the Social Security Administration 

(SSA). Using IDENT and SSA data are 

additional tools TSA has available to aid 

the STA process, and applicants should 

be aware that we may use those tools in 

the future. The Privacy Act notice is 

provided below but may be updated in 

the future: 


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Privacy Act Notice: Authority: The 

authority for collecting this information is 49 

U.S.C. 114, 40113. 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 this information, including your 

Social Security Number (SSN), will result in 

delays in processing your application and 

may prevent completion of your security 

threat assessment. DHS will use the 

biographic information to conduct a security 

threat assessment and where applicable, will 

forward any fingerprint information to the 

Federal Bureau of Investigation to conduct a 

criminal history records check. DHS may also 

transmit the fingerprint information into the 

US–VISIT’s Automated Biometrics 

Identification System (IDENT). If you provide 

your SSN, DHS may provide your name and 

SSN to the Social Security Administration 

(SSA) in order to compare that information 

against SSA’s records to ensure the validity 

of your name and SSN. Routine Uses: This 

information may be shared with third parties 

during the course of a security threat 

assessment, employment investigation, or 

adjudication of a waiver or appeal, to the 

extent necessary to obtain information 

pertinent to the assessment, investigation, or 

adjudication of your applicant or in 

accordance with the routine uses identified 

in the Transportation Security Threat 

Assessment System, DHS/TSA 002. 

This rule amends paragraphs (f)–(j) of 

§ 1540.203, which address the 

comparability of other STAs conducted 

by TSA or other government agencies. 

TSA may determine that a threat 

assessment or background check that 

TSA conducts for another program, or 

that another governmental agency 

conducts, is comparable to the STA 

outlined in subpart C of part 1540. If an 

applicant has completed a comparable 

STA, it will not be necessary for the 

individual to complete the threat 

assessment pursuant to part 1540. This 

process reduces redundant background 

checks and the costs associated with 

them. We developed a similar process 

through notice and comment 

rulemaking for surface and maritime 

workers in 49 CFR 1572.5(e), and 

paragraphs (f)–(j) harmonize with 

§ 1572. Paragraph (i) requires a worker 

asserting completion of a comparable 

threat assessment to present the 

credential that the other agency issued 

as a result of the assessment, and the 

operator must retain a copy of it. Also, 

applicants must notify operators if the 

agency that issued the credential that 

corresponds to the comparable 

assessment revokes the credential for 

any reason. This is necessary to ensure 

that a worker who is disqualified from 

holding access privileges to secure areas 

in other programs does not continue to 

have unescorted access to cargo until 

TSA and the operator can determine if 

such access is appropriate. 

In considering whether another 

background check is comparable to the 

STA required in part 1540, TSA 

examines the standards used for the 

other threat assessments, such as the 

kind of databases that the other agency 

checks and the lookback period for the 

check. Also, TSA reviews the frequency 

of the check and the date of the most 

recent check. If TSA determines that 

another check is comparable, TSA will 

notify the public by publishing a notice 

in the Federal Register, amending rule 

text through rulemaking in the Federal 

Register, or posting the information on 

pertinent Web sites to ensure that the 

affected population is aware of the 

determination. 

It is important to note that TSA will 

consider only threat assessments 

performed by other government 

agencies as comparable. 49 CFR 

1540.203(f) introductory text. We 

restrict the checks we will consider as 

comparable, because critical data 

sources for security purposes, such as 

the government’s consolidated terrorist 

watch lists, are not accessible by private 

entities. This factor is so fundamental to 

the threat assessments TSA conducts 

that we are unwilling to accept any 

other check as comparable. It is also 

important to note that TSA has the 

capability to conduct checks perpetually 

against critical security-related data 

sources, allowing TSA to compare 

applicant names automatically with 

new names that appear on watch lists. 

This provides a significant improvement 

over other background checks, and TSA 

considers it important in making 

comparability determinations. 

Section 1540.203(h) lists the STAs 

that TSA has determined are 

comparable to the STA process in part 

1540, subpart C. These include a CHRC 

conducted in accordance with 49 CFR 

1542.209, 1544.229, or 1544.230 that 

also include a TSA name-based check; 

the STA that TSA conducts under 49 

CFR part 1572 for commercial drivers 

authorized to transport hazardous 

materials and maritime workers 

applying for a Transportation Worker 

Identification Credential (TWIC); and 

the STA that CBP conducts for the Free 

and Secure Trade program. 

New § 1540.203(j) provides that the 

STA expires in five years or when the 

applicant is no longer in the United 

States lawfully. If the applicant has 

completed a comparable threat 

assessment, the STA will expire five 

years from the date on which the 

credential associated with the 

comparable assessment expires. When 

the five-year expiration of the STA 

required in this subpart or a comparable 

threat assessment approaches, the 

applicant must submit new identifying 

information to TSA, and TSA will 

conduct a new threat assessment. 

Section 1540.205—Procedures for 

Security Threat Assessment 

This rule amends § 1540.205 by 

adding new paragraph (c), which states 

that if TSA becomes aware that an 

applicant is the subject of an 

outstanding want or warrant or is a 

deportable alien, TSA will notify the 

appropriate law enforcement or 

immigration agency. 

We added a provision in new 

paragraph (d)(3) relating to cases in 

which we believe an applicant may pose 

an imminent threat. TSA may serve an 

Initial Determination of Threat 

Assessment and Immediate Revocation 

on an applicant if TSA believes the 

applicant poses an immediate security 

threat. This situation would most likely 

involve a worker who completed an 

STA in the past and has unescorted 

access to cargo or sensitive areas, if TSA 

believes it is important to immediately 

revoke the worker’s access even before 

the worker has an opportunity to file an 

appeal on the Initial Determination with 

TSA. TSA developed this process for 

use in the threat assessments process for 

surface and maritime workers, and we 

believe it is an important tool that 

should be available in the aviation 

industry as well. 

Section 1540.209—Fees for Security 

Threat Assessments 

Pursuant to sec. 520 of the 2004 DHS 

Appropriations Act (Pub. L. 108–90, 117 

Stat. 1137, Oct. 1, 2003), TSA will 

charge a fee to individuals who must 

obtain an STA under this regulation. 

The fees will reimburse TSA for the 

costs of administering the program. 

Pursuant to the general user fee statute 

(31 U.S.C. 9701) and OMB circular 

A–25, TSA establishes user fees after 

providing the public notice and an 

opportunity to comment on the amount 

of the fee and the methodology TSA 

used to develop the fee amount. 

Therefore, in this preamble, TSA 

proposes a fee range and invites 

comment on the amount of the fee and 

the assumptions we use to estimate the 

fee. After reviewing all comments 

received, TSA will issue a Notice in the 

Federal Register that summarizes and 

addresses the comments we receive, and 

establishes the final fee amount, after 

which the fee will be charged to 

applicants. Note that the rule text that 

appears in this IFR relating to fees (49 

CFR 1540.209), will not have to be 

amended at that time because it does 


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not list the specific fee amounts. TSA 

expects that the total fee will be 

approximately $13 to $21, although that 

figure may increase or decrease as the 

costs involved in the calculation may 

change between now and when TSA 

issues the Notice announcing the final 

fee. TSA will charge a fee once the 

Notice is published, at which time TSA 

will announce the exact fee. TSA 

calculated the estimated fee from an 

estimate of the number of applicants 

(population), the cost of processing the 

applications, the cost of performing the 

STAs, and the cost of maintaining the 

information systems to support the 

process. Table 1 presents the 

methodology supporting the population 

estimates. Table 2, in the Costs section, 

presents the calculations supporting the 

estimated fee. 

Population 

TSA estimates that approximately 

1,202,566 applicants would be required 

to complete a STA during the first five 

years of the program. This estimate is 

derived from the following population 

figures that have been gathered for 

specific segments of the regulated 

population. 

TABLE 1—CCSP POPULATION ESTIMATES

Operational year 1st year 2nd year 3rd year 4th year 5th year Total 

Screening-Base Enrollments ........................................... 18,200 195,000 328,644 .................... .................... 541,844 

Screening-Turnover Enrollments ..................................... 6,461 75,686 192,355 192,355 192,355 659,212 

Approved Validators ......................................................... 1,510 .................... .................... .................... .................... 1,510 

Grand Total ............................................................... 26,171 270,686 520,999 192,355 192,355 1,202,566 

Costs 

TSA proposes that individuals 

required to undergo a STA would be 

required to pay a fee to cover the 

following costs: 

TABLE 2—CCSP COST ESTIMATES

Operational year 1st year 2nd year 3rd year 4th year 5th year Total 

Estimated Annual Applicants ................... 26,171 270,686 520,999 192,355 192,355 1,202,566 

Cost Components: 

Name Check ..................................... $102,067 $1,072,055 $2,223,775 $1,237,843 $1,237,843 $5,873,583 

Platforms/Systems ............................ 5,584,410 2,512,723 2,229,868 2,293,938 2,358,006 14,978,945 

Personnel .......................................... 1,139,223 1,370,137 1,683,908 1,682,020 1,754,441 7,629,729 

Grand Totals .............................. 6,825,700 4,954,915 6,137,551 5,213,801 5,350,290 28,482,257 

For the STA, TSA will check each 

applicant’s information against multiple 

databases and other information 

sources. The threat assessment process 

includes an appeals process for 

individuals who believe the records 

upon which TSA bases its 

determination are incorrect. 

TSA would need to implement and 

maintain the appropriate systems, 

resources, and personnel to process 

applicant information and to allow TSA 

to receive, and act on, the results of the 

STA. 

TSA estimates that the total cost of 

STA services will be $28,482,257 over 

five years. The estimate for STA services 

includes $5,873,583 for TSA namebased checks, $14,978,945 for 

platforms/systems costs, and $7,629,729 

for personnel necessary to facilitate the 

STA processing. 

Total Fee 

The fee TSA establishes for the STA 

should cover all costs related to the STA 

process. TSA estimates that the 

resulting applicant charge would be $13 

to $21 per applicant, based on the total 

estimated cost of services provided 

($28,482,257). A portion of this total 

cost will be funded through a 

$5,875,000 Congressional appropriation. 

Therefore, the fee will cover only the 

remaining $22,607,257 in program costs. 

The remaining cost of $22,607,257 will 

be divided by the estimated population 

(1,202,566) receiving the service. The 

resulting $13 to $21 estimated fee will 

be sufficient to fully recover the 

remaining STA costs. 

TSA will continue to work to 

minimize all costs. Additionally, 

pursuant to the Chief Financial Officers 

Act of 1990 (Pub. L. 101–576, 104 Stat. 

2838, Nov. 15, 1990), DHS/TSA is 

required to review fees no less than 

every two years (31 U.S.C. 3512). Upon 

review, if TSA finds that the fees are 

either too high (that is, total fees exceed 

the total cost to provide the services) or 

too low (that is, total fees do not cover 

the total costs to provide the services), 

TSA will adjust the fee. Finally, TSA 

will be able to adjust the fees for 

inflation following publication of the 

final rule. If TSA were to adjust the fees 

for this reason, TSA would publish a 

notice in the Federal Register notifying 

the public of the change. 

TSA invites comment on the 

proposed fee of $13 to $21 and the 

methodology and population estimates 

we used to arrive at this amount. 

Revised § 1540.209 provides that TSA 

will calculate fees for STAs based on 

widely accepted accounting principles 

and practices and in accordance with 

the provisions of 31 U.S.C. 9701 and 

other Federal law that may affect the 

collection, computation, or issuance of 

fees. 

Part 1544—Aircraft Operator Security: 

Air Carriers and Commercial Operators 

and Part 1546—Foreign Air Carrier 

Security 

Scope 

Part 1544 and part 1546 apply to a 

variety of operators, including different 

sizes of passenger aircraft and all-cargo 

aircraft, by U.S. operators and foreign 

air carriers, respectively. This rule does 

not apply to all such operators. The 

requirement to comply with the 

enhanced cargo screening requirements 

in the 9/11 Act and this rule apply only 


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5For example, while TSA regulates both air 

carriers and indirect air carriers (IACs) 

domestically, and has regulatory authority over 

U.S.-bound foreign air carriers, TSA does not have 

direct authority over foreign IAC equivalents. 

Through the CCSP, TSA is expanding the domestic 

screening requirements beyond the aircraft 

operators and foreign air carriers, to include 

manufacturers, shippers, IACs, and other entities. 

to U.S. aircraft operators under 

§ 1544.101(a) and to foreign air carriers 

under §§ 1546.101(a) and (b). See 49 

CFR 1544.205(g) and 1546.205(g). The 

operators that must comply are air 

carriers or commercial operators under 

FAA rule 14 CFR part 119 (which are 

U.S. operators), and foreign air carriers, 

in scheduled or public charter passenger 

operations with an aircraft having a 

passenger seating configuration of 61 or 

more seats, or that will provide 

deplaned passengers access to a sterile 

area of an airport or will enplane 

passengers from a sterile area. See 49 

CFR 1540.5, 1544.101(a), and 

1546.101(a) and (b). This rule does not 

apply to general aviation operators. 

The 9/11 Act covers cargo originating 

in the United States as well as cargo 

destined to the United States from 

foreign countries. TSA is taking a twopronged approach to addressing the 100 

percent screening mandate for cargo 

loaded in the United States and cargo 

loaded outside the United States that is 

inbound to the U.S. This rule and the 

CCSP, which require TSA regulatory 

oversight and enforcement authority for 

the entire air cargo supply chain, apply 

only to cargo loaded in the United 

States. TSA does not have this same 

regulatory reach to the entire supply 

chain in the international realm 5 and 

therefore is taking a different approach 

to implementing the 9/11 screening 

mandate for inbound cargo. This 

approach focuses on harmonization 

efforts including bi-lateral and 

multilateral agreements, working on 

updating International Civil Aviation 

Organization (ICAO) standards, and 

applying risk assessment for inbound 

cargo. Note that U.S. aircraft operators 

and foreign air carriers that load cargo 

in other countries inbound to the United 

States must carry out security measures 

for that cargo that are set out in their 

TSA-approved or accepted security 

programs. 

Sections 1544.205 and 1546.205— 

Acceptance and Screening of Cargo 

Section 1544.205 sets forth the 

requirements for the acceptance and 

screening of cargo by aircraft operators. 

Current § 1544.205(e) provides that a 

full program operator may only accept 

cargo from a shipper, aircraft operator, 

foreign air carrier, or indirect air carrier. 

This rule revises § 1544.205(e) to allow 

full-program operators to accept 

screened cargo from a CCSF. 

New paragraph (g) includes the major 

revisions to comply with the 9/11 Act 

mandates for air cargo screening. TSA 

adds new paragraph (g)(1) to this 

section, which provides that, with 

respect to cargo loaded within the 

United States, full-program operators 

must have ensured that at least 50 

percent of its cargo was screened prior 

to transport by February 3, 2009, and 

that 100 percent will be screened by 

August 3, 2010. 

TSA adds new paragraph (g)(2), 

which explains the methods of 

screening identified in the 9/11 Act, 

including physical examination or nonintrusive methods of assessing cargo 

such as x-ray systems, explosive 

detection systems, explosives trace 

detection, and explosives detection 

canine teams certified by TSA. 

TSA adds new paragraph (g)(3), 

which imposes requirements for 

screening methods and identifies who 

may conduct screening. The following 

persons may conduct screening: The 

aircraft operator on an airport; another 

aircraft operator or foreign air carrier 

under the Aircraft Operator Standard 

Security Program or Foreign Air Carrier 

Model Security Program; or a CCSF. 

TSA is harmonizing, to the extent 

practicable, all requirements for air 

cargo screening and chain of custody. 

Aircraft operators now conduct most of 

their cargo screening on-airport in 

accordance with their security programs 

and that will continue. Under section 

1544.205(b), aircraft operators must 

ensure that cargo is screened for any 

unauthorized explosives as specified in 

their security programs. If they screen 

off-airport, however, to promote 

consistent chain of custody 

requirements that ensure that the cargo 

remains safe and secure from the time 

of screening until the cargo is 

transported on a passenger aircraft, new 

§ 1544.205(g)(3) provides that an aircraft 

operator who screens cargo off-airport 

must be certified as a CCSF. This 

ensures that all screening conducted offairport be subject to the same 

requirements of part 1549, including the 

same chain-of-custody requirements. 

The phrase ‘‘on airport’’ in paragraph 

(g)(3) has the same meaning as in 49 

CFR 1542.205(a)(3). Under that 

paragraph all areas on-airport that are 

used for certain cargo functions, 

including screening, must be a security 

identification display area (SIDA). A 

SIDA is that portion of an airport within 

the United States, specified in the 

security program, in which individuals 

must display an airport-issued or 

approved ID and carry out other security 

measures. 49 CFR 1540.5 and 1542.205. 

Personnel screening cargo in such areas 

are subject to all SIDA requirements 

including ID media, STAs and CHRCs. 

TSA has provided guidance regarding 

what ‘‘on-airport’’ means under 

§ 1542.205(a)(3), and the same guidance 

applies to § 1544.205(g)(3) in this rule. 

‘‘On-airport’’ cargo screening facilities 

include cargo screening facilities that— 

• Are located on the AOA or border 

the AOA perimeter, as the Airport 

Security Program (ASP) defines the 

perimeter’s boundary; and 

• Share a wall with the AOA 

perimeter boundary, such that an 

individual could enter from the public 

side and exit the facility into the AOA 

or secured area. 

Facilities located entirely outside 

these areas, including where there is 

public area between the facility and one 

of these areas, are ‘‘off-airport.’’ The 

Federal Security Director (FSD) for each 

airport determines whether a facility is 

on-airport or off-airport for these 

purposes. 

Under new paragraph (g)(4), if the 

operator accepts screened cargo from a 

CCSF, the operator must verify that 

there has been no break in the chain of 

custody for the screened cargo between 

the time of screening and the time the 

CCSF tenders it to the aircraft operator. 

If a break has occurred, the aircraft 

operator must re-screen the cargo prior 

to transporting it on a passenger aircraft. 

In this rule, TSA has amended the 

text currently located at § 1546.205, 

which applies to foreign air carriers, to 

make the text essentially the same as the 

corresponding provisions in § 1544.205 

regarding domestic aircraft operators. 

Sections 1544.228, 1546.213, and 

1548.15—Access to Cargo and Cargo 

Screening: Security Threat Assessments 

for Cargo Personnel in the United States 

We amend § 1544.228 to clarify which 

persons must undergo an STA. 

Individuals must undergo an STA as 

specified in the appropriate security 

programs if they meet any of the 

following conditions: 

• Are authorized by the aircraft 

operator to have unescorted access to 

cargo and have knowledge that such 

cargo will be transported on a passenger 

aircraft; 

• Have unescorted access to cargo 

that has been screened for transport on 

a passenger aircraft; 

• Perform certain functions related to 

the transportation, dispatch, or security 

of cargo for transport on a passenger 

aircraft or all-cargo aircraft; or 

• Screen cargo or supervise the 

screening of cargo. 


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6 49 U.S.C. 114(f)(9) and 114(f)(11). 

Section 1546.213 makes similar 

clarifications that apply to foreign air 

carriers. Section 1548.15 makes similar 

clarifications that apply to IACs. See the 

discussion of 49 CFR part 1540, subpart 

C, for a full description of the threat 

assessment process. 

Part 1544 Subpart E and Part 1546 

Subpart E—Screener Qualifications 

We are removing outdated material in 

subpart E of parts 1544 and 1546, which 

apply when the aircraft operator or 

foreign air carrier conduct screening. 

TSA added these subparts when the 

civil aviation security rules were 

transferred from the FAA to TSA (Civil 

Aviation Security Rules, 67 FR 8340, 

Feb. 22, 2002). At that time, TSA 

included in the rule the screener 

qualifications and training requirements 

for aircraft operators and foreign air 

carriers that were applicable at the time. 

TSA also included additional 

requirements for screeners that would 

apply after November 19, 2002. The rule 

referred to these as ‘‘current screeners’’ 

and ‘‘new screeners.’’ The new screener 

requirements became effective several 

years ago, so we have deleted these 

outdated sections. 

Note that while TSA conducts all 

screening of passengers and their 

property in the United States for aircraft 

operators under a full program under 

§ 1544.101(a), and for foreign air carriers 

under program under § 1546.101(a) and 

(b), the aircraft operators and foreign air 

carriers continue to conduct some 

passenger and checked baggage 

screening, such as for certain private 

charter operations and for certain 

operations departing locations outside 

of the United States. They also conduct 

cargo screening. Thus we continue to 

have a need for the requirements in 

subpart E of parts 1544 and 1546. 

Part 1549—Certified Cargo Screening 

Program 

Section 1549.1—Applicability 

This new part applies to each facility 

that applies for TSA certification as a 

CCSF or operates as a CCSF. The 

regulatory text does not limit who may 

apply to be certified as a CCSF. 

Examples of facilities that may apply 

include: Manufacturers; third party 

logistics companies; IACs; warehouses, 

distribution centers and other entities, if 

they own a facility that directly tenders 

cargo to an IAC, an aircraft operator, 

foreign air carrier, or another CCSF for 

transport on a passenger aircraft. For 

example, a manufacturer could 

physically inspect the box prior to 

closing it and initiating chain of 

custody, then tender the cargo to a third 

party logistics company who is a CCSF, 

who then tenders it to the aircraft 

operator for transport on a passenger 

aircraft. If the CCSF could transfer the 

cargo to a non-regulated entity, it would 

be difficult to ensure that the chain of 

custody measures remained intact when 

the non-regulated entity tendered the 

cargo to the aircraft operator. 

Certifications will apply to a single 

facility, not to a single company owning 

several locations where screening would 

occur, because security measures and 

the level of security will vary from one 

facility to another. TSA must evaluate 

and make a determination on the 

security measures of the specific facility 

applying for certification. 

Section 1549.3—TSA Inspection 

Authority 

This section codifies TSA’s inspection 

authority. Section 1549.3(a) provides 

that a CCSF must allow TSA, at any 

time or place, to enter the facility and 

make any inspections or tests to 

determine compliance of the CCSF. 

These areas may include areas off of the 

airport or areas operated by the CCSF’s 

agent in furtherance of the CCSF’s 

security responsibilities. Section 

1549.3(b) explains that a CCSF must 

provide evidence of compliance with 

this part, if TSA requests such evidence. 

Section 1549.3(a) states that the CCSF 

must allow TSA and other authorized 

DHS officials, at any time and in a 

reasonable manner, without advance 

notice, to enter, inspect, and test as 

necessary to carry out TSA’s securityrelated duties. We note that the CCSF 

potentially may operate at all hours of 

the day. Even when the CCSF is not in 

operation it must maintain access 

control measures to, for instance, secure 

any screened cargo at the facility from 

entry by an unauthorized person. This 

section makes clear TSA’s authority, 

and is based on similar sections that 

apply to airport operators, aircraft 

operators, and IACs. See 49 CFR 1542.5, 

1544.3, 1546.3, and 1548.3. TSA may 

enter and be present, at any time, areas 

where a CCSF carries out security 

measures. TSA inspectors may enter 

without access media or identification 

media issued or approved by such a 

facility, but they will have TSA-issued 

identification credentials. TSA may 

copy records, to determine compliance 

of the facility with applicable 

regulations, statutory requirements, 

security programs, directives, or other 

requirements. Certified cargo screening 

facilities must allow TSA inspectors to 

perform these functions, regardless of 

whether the inspectors provide advance 

notice of an inspection. 

TSA has statutory authorities and 

responsibilities that support this 

extensive authority to conduct 

compliance inspections. For example, 

TSA must be able to inspect at any time 

in order to carry out its security-related 

statutory and regulatory authorities, 

including the following authorities in 49 

U.S.C. 114(f): 

(2) Assess threats to transportation. 

(7) Enforce security-related 

regulations and requirements. 

(9) Inspect, maintain, and test security 

facilities, equipment, and systems. 

(10) Ensure the adequacy of security 

measures for the transportation of cargo. 

(11) Oversee the implementation, and 

ensure the adequacy, of security 

measures at airports and other 

transportation facilities. 

(15) Carry out such other duties, and 

exercise such other powers, relating to 

transportation security as the Assistant 

Secretary considers appropriate, to the 

extent authorized by law. 

Because the transportation system 

may be compromised by the 

introduction of an Improvised Explosive 

Device (IED) or other destructive 

instrument, the authority for 

transportation security necessarily 

includes authority to inspect, as 

necessary, the facilities that screen cargo 

prior to aircraft operators’ acceptance of 

that cargo on passenger aircraft. The law 

does not limit TSA to protecting the 

security of cargo only while it is on a 

particular vehicle of transportation, but 

extends to the entire transportation 

system. The statute references TSA’s 

responsibility to protect security 

facilities and transportation facilities.6

Thus, TSA has explicit authority to 

inspect all parts of certified cargo 

screening facilities that relate to 

screening, including loading and 

unloading areas, areas where screening 

and storage occur, and areas where 

CCSFs prepare or maintain records 

pertaining to compliance with TSA’s 

requirements. Although TSA has the 

broad legal authority described above, 

TSA will conduct inspections in a 

reasonable manner consistent with TSA 

guidance for its inspectors. 

Section 1549.5—Adoption and 

Implementation of the Security Program 

Section 1549.5 is very similar to 

§ 1548.5 on the Adoption and 

Implementation of the Security Program 

for IACs. Section 1549.5(a) specifies that 

no person may screen cargo to be 

tendered to an aircraft operator with a 

full program under part 1544, a foreign 

air carrier operating under 

§§ 1546.101(a) or (b) or an indirect air 


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carrier operating under § 1548.5 for 

carriage on a passenger aircraft, unless 

that person holds and carries out an 

approved security program. 

Section 1549.5(b) describes the 

required content of each security 

program and provides that the security 

program must be designed to protect 

against the entry into the aircraft of any 

unauthorized explosive, incendiary, and 

other destructive substance or item. 

Section 1549.5(c) makes clear that the 

CCSF is responsible to ensure that their 

agents and employees carry out the 

CCSF’s security program. 

Section 1549.5(d) provides that 

alternate procedures and amendments 

to the security program are all part of 

the CCSF’s security program that the 

CCSF must comply with. 

Paragraph (e) is parallel with 49 CFR 

1548.5(d), providing basic requirements 

on the availability of the security 

program to the firm’s personnel and to 

TSA, and requirements to protect the 

security program as SSI. 

Section 1549.7—Approval, Amendment, 

Renewal of the Security Program and 

Certification of a Certified Cargo 

Screening Facility 

To participate as a CCSF, the 

applicant must apply for a security 

program and for certification as a CCSF 

at a particular location in a form and 

manner prescribed by TSA not less than 

90 calendar days before the applicant 

intends to begin operations. TSA will 

only approve a facility to operate as a 

CCSF if the facility is located in the 

United States. For example, TSA will 

not allow a CCSF to be located in 

Canada and truck cargo to the U.S. for 

loading onto passenger aircraft. TSA 

must be able to inspect readily the 

facility for compliance with TSA 

requirements. 

The applicant must provide 

information about the business; 

information about the key individuals at 

the business (including their names and 

copies of their identification); and 

information required for TSA to conduct 

STAs of the applicant’s employees and 

senior managers. 49 CFR 1549.7(a)(1). 

After the Security Coordinator for an 

applicant successfully completes an 

STA, TSA will provide the applicant 

with the certified cargo screening 

standard security program. This 

program is SSI and cannot be shared 

with unauthorized persons. The 

applicant may accept the standard 

program or submit a proposed 

modification. 49 CFR 1549.7(a)(2)(i). 

Once the applicant has the security 

program it can determine how it will 

meet the requirements of the security 

program. The applicant must then be 

assessed by either a TSA-approved 

validator under 49 CFR part 1522 or by 

TSA. 49 CFR 1549.7(a)(2)(ii). 

Under §§ 1549.7(a)(3), (4), and (5), a 

CCSF at a particular location may begin 

screening operations after (1) TSA has 

reviewed the assessment prepared by 

the validator and approved and certified 

the facility, and (2) after the CCSF has 

successfully completed the training and 

STAs required under part 1549. Section 

1549.7(b) provides that certified cargo 

screening facilities must apply for a 

renewal of certification every 36 

months, providing the information that 

TSA requires. Generally, the security 

program will be a standard program 

provided by TSA. 

Sections 1549.7(c), (d), and (e) 

include provisions allowing applicants 

to request amendments to the security 

program and allowing TSA to amend 

security programs if warranted by 

considerations of safety and the public 

interest. Except in cases of emergency, 

TSA-initiated amendments will comply 

with notice and comment procedures 

before they become effective. 

Section 1549.101—Acceptance, 

Screening, and Transfer of Cargo 

This section requires each CCSF to 

implement procedures in the security 

program to deter the carriage of 

explosives or incendiaries onboard 

aircraft. 49 CFR 1549.101(a). It also 

requires each CCSF to ensure that cargo 

is screened and inspected for any 

unauthorized explosive, incendiary, or 

other destructive substance or item. 49 

CFR 1549.101(b). If the shipper does not 

consent to search or inspection of the 

cargo in accordance with this part, the 

CCSF must not offer such cargo for 

transport to: (1) Another CCSF, (2) an 

aircraft operator with a full program 

under 49 CFR 1544.101(a), or (3) a 

foreign air carrier operating under 

1546.101(a) or (b). 49 CFR 1549.101(c). 

Finally, § 1549.101(d) requires the 

CCSF to protect the cargo from 

unauthorized access from the time the 

facility screens the cargo until the time 

the facility tenders it to another CCSF, 

an IAC, an aircraft operator under part 

1544, or a foreign air carrier under part 

1546. These chain-of-custody 

requirements are central to the concept 

of the CCSP. The regulation does not 

require specific chain-of-custody 

controls. Based on knowledge of other 

programs and on the TSA cargo pilot 

programs, TSA expects that certified 

cargo screening facilities will use the 

following methods: tamper-evident 

technologies, conveyance level seals, 

and documented processes. The 

certified cargo screening standard 

security program will include specific 

requirements. 

Section 1549.103—Qualifications and 

Training of Individuals with SecurityRelated Duties 

In accordance with this provision, 

each CCSF must ensure that employees 

and agents who are involved in the 

cargo screening process or who have 

unescorted access to cargo that has been 

screened for transport on a passenger 

aircraft successfully undergo STAs. 49 

CFR 1549.103(a). Each CCSF must also 

ensure that such individuals have 

completed the training required by TSA 

and have knowledge of their 

responsibilities under the CCSP, the 

STA provisions of TSA’s regulations, 

and TSA’s SSI regulations. 49 CFR 

1549.103(b)–(c). 

Section 1549.103(d) specifies certain 

qualifications for individuals 

performing screening. These 

qualifications are designed to ensure 

that these individuals understand the 

applicable security program, can 

communicate verbally, and are capable 

of operating screening equipment. 

The requirements in § 1549.103(d) 

closely parallel the existing 

requirements for screeners of passengers 

and checked baggage found in 49 CFR 

1544.405, to the extent they apply to the 

screening of cargo. They include the 

requirement that the screener be a 

citizen or national of the United States 

or be an alien lawfully admitted for 

permanent residence. The discussion of 

§ 1522.117 in this section-by-section 

analysis explains the importance of 

such requirements. A screener must also 

have a high school diploma or 

equivalent and must have color 

perception and physical coordination 

sufficient to operate effectively cargo 

screening technologies that a CCSF 

would use. 

Additionally, § 1540.103(d)(4) 

requires that the screener have the 

ability to read, write, and understand 

English well enough to carry out written 

and oral instructions regarding the 

proper performance of screening duties, 

or be under the direct supervision of 

someone who has this ability. This 

requirement is related to the type of 

work the screener does. If the screener’s 

duties do not include reading labels, 

then TSA believes that such an 

employee need not be able to read and 

write English sufficiently to write log 

entries; a supervisor who can read and 

write English well enough for that 

purpose would satisfy that requirement. 

However, if the employee needs to read 

shipping documentation or seals on the 

cargo, English proficiency is required. 


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Section 1549.105—Recordkeeping 

This provision requires each CCSF to 

maintain records demonstrating 

compliance with all applicable statutes 

regulations, directives, orders, and 

security programs. It also requires the 

CCSF to maintain copies of training 

records, documents pertaining to the 

application and renewal of the facility 

(including copies of the validator’s 

report), documents establishing TSA’s 

certification and renewal of 

certification, and records demonstrating 

satisfaction of the STA requirements. 49 

CFR 1549.105(a). With the exception of 

the training records, the CCSF must 

retain these records until the next recertification. 49 CFR 1549.105(b). The 

facility must retain records indicating 

satisfaction of the rule’s employee 

training requirements for an individual 

for 180 days after the individual is no 

longer employed or acting as an agent of 

the CCSF. 49 CFR 1549.105(a)(1). 

Section 1549.107—Corporate and 

Facility Security Coordinators 

This section requires each facility to 

designate a Security Coordinator and 

alternate appointed at the corporate 

level, and a Security Coordinator and 

alternate appointed at each facility that 

will conduct screening. A corporate 

level Security Coordinator is needed if 

a single company has multiple facilities. 

The Security Coordinator must have 

corporate authority to represent and 

speak for the company and to serve as 

TSA’s point of contact with that 

company. A facility-based Security 

Coordinator is needed so that TSA has 

a point of contact that is familiar with 

the operations and procedures of the 

particular facility certified as a CCSF. A 

corporate level Security Coordinator 

may also serve as a facility level 

Security Coordinator. Both Security 

Coordinators, or their alternates at the 

corporate and facility level, must be 

available 24 hours per day to address 

any adverse security incidents that may 

arise or to receive information from TSA 

or others that might jeopardize the 

security of the cargo handled at the 

facility. 

Section 1549.109—Security Directives 

and Information Circulars 

This provision requires each CCSF to 

comply with any security directives that 

TSA may issue to address a security 

concern that requires immediate action. 

TSA may issue Information Circulars, 

which provide information to regulated 

parties. These do not include mandatory 

security measures but provide useful 

information about potential threats. 

Section 1549.111—Security Threat 

Assessments for Personnel of Certified 

Cargo Screening Facilities 

This section requires personnel of 

certified cargo screening facilities to 

undergo the STA described in 49 CFR 

part 1540, subpart C. We are requiring 

STAs for the following individuals: 

• Individuals authorized to perform 

cargo screening or supervise cargo 

screening; 

• Individuals authorized to have 

unescorted access to cargo from the time 

of screening until the time it is offered 

to an IAC for transport on passenger 

aircraft, an aircraft operator under part 

1544, or a foreign air carrier under part 

1546; 

• The senior manager or 

representative of the CCSFs in control of 

the operations; and 

• Security Coordinators and their 

alternates. 

TSA is requiring STAs for the 

individuals listed above to reduce the 

likelihood of a terrorist’s gaining 

employment in a position with access to 

cargo for the purpose of introducing an 

explosive or other destructive substance 

into cargo on a passenger aircraft. 

Extending the STAs to such individuals 

in a CCSF provides a degree of security 

comparable to TSA’s other programs, 

including the IAC program, in that all 

personnel of regulated parties with 

access to cargo from the time of 

screening until the time the aircraft 

operator loads it will undergo a check 

against the terrorist databases. For a full 

description of the STA process, see the 

discussion of 49 CFR part 1540, 

subpart C. 

VI. Good Cause for Immediate 

Adoption 

TSA is taking this action without 

providing the public prior opportunity 

for notice and comment. The 9/11 Act 

requires TSA to have developed a 

system for the screening of 50 percent 

of cargo transported by passenger 

aircraft by February 2009, and to 

develop a system for the screening of 

100 percent of such cargo by August 

2010. In 49 U.S.C. 44901(g)(2)(A), 

Congress specifically authorized TSA to 

issue an IFR ‘‘as a temporary regulation 

to implement this section without 

regard to the provisions of chapter 5 of 

title 5.’’ The Act further states that if 

TSA issues an IFR, then TSA must 

follow it with a final rule within 12 

months of the effective date of the IFR. 

49 U.S.C. 44901(g)(2)(B)(i). 

TSA cannot meet the screening 

requirements established in the 9/11 Act 

for cargo loaded in the U.S. without a 

system in place to screen cargo offairport by parties other than aircraft 

operators, as this rule will accomplish. 

TSA could not achieve this mandate by 

relying solely on aircraft operators and 

foreign air carriers to conduct screening. 

There is insufficient space and capacity 

for aircraft operators and foreign air 

carriers to screen the approximately 12 

million pounds of cargo transported on 

passenger aircraft in the United States. 

Much of this cargo is gathered by IACs 

off-airport, consolidated into Unit Load 

Devises or pallets, and brought to the 

airport for loading on aircraft. There 

currently is not a way to adequately 

screen most consolidations of cargo 

without breaking them down. Aircraft 

operators and foreign air carriers do not 

have sufficient space or time to remove 

the cargo from the consolidations, 

screen it, and re-consolidate it, before 

loading it onto aircraft. This rule 

establishes more cost-effective and 

efficient options for CCSFs to screen the 

cargo off-airport before it is consolidated 

so that it may be taken to the airport and 

loaded onto aircraft with little delay. 

Aircraft operators, foreign air carriers, 

IACs, and facilities that may decide to 

become CCSFs must have sufficient 

finality in the regulations to develop 

their screening programs and have them 

fully operational in time to meet the 

statutory deadlines. 

It would be contrary to the public 

interest to delay this rule. Meeting the 

statutory requirements for the screening 

of cargo on passenger aircraft with this 

IFR will provide substantial security 

benefits by providing the stakeholders 

with finality in the rule at an earlier 

stage, which will allow them to 

determine how best to comply with the 

requirements. For instance, IACs, 

shippers, and other facilities that choose 

to become CCSFs will have time to 

comply with the new requirements and 

become certified. The rationale for 

issuing this rule as an IFR is fully 

consistent with sections 553(b) and (d) 

of the Administrative Procedure Act 

(APA) (5 U.S.C. 553), which authorize 

agencies to issue final rules without 

affording the public a prior opportunity 

to comment is ‘‘impracticable, 

unnecessary, or contrary to the public 

interest.’’ 

VII. Paperwork Reduction Act 

The Paperwork Reduction Act of 1995 

(PRA) (44 U.S.C. 3501 et seq.) requires 

that TSA consider the impact of 

paperwork and other information 

collection burdens imposed on the 

public and, under the provisions of PRA 

section 3507(d), obtain approval from 

the Office of Management and Budget 

(OMB) for each collection of 

information it conducts, sponsors, or 


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requires through regulations. This 

interim final rule contains new 

information collection activities subject 

to the PRA. Accordingly, TSA has 

submitted the following information 

requirements to OMB for its review. 

Title: Certified Cargo Screening 

Program Interim Final Rule. 

Summary: Section 1602 of the 

Implementing Recommendations of the 

9/11 Commission Act of 2007 (Pub. L. 

110–53) (August 2007) requires the 

development of a system to screen 100 

percent of the cargo transported on a 

passenger aircraft operating within the 

United States by August 2010 and to 

have screened 50 percent of all air cargo 

by February 2009. This rule amends 

several parts of Title 49 of the Code of 

Federal Regulations (CFR) and adds new 

parts, as described in prior sections of 

this preamble. The rule creates several 

new information collections. 

Through this rule, TSA is including 

the following information collections: 

First, an entity that seeks to become 

a CCSF under 49 CFR part 1549 must 

submit an application to TSA. 

Second, a validator from a TSAapproved validation firm must assess 

each CCSF every three years. An entity 

that seeks to become a TSA-approved 

validation firm under 49 CFR part 1522 

must submit an application to TSA. 

Third, TSA must conduct STAs for 

key personnel of CCSFs and validation 

firms. The key personnel must submit 

personal data to TSA for the STAs. This 

STA portion is a previously approved 

collection under OMB control number 

1652–0040, but this IFR expands the 

population from which the information 

is collected. 

Fourth, CCSFs and TSA-approved 

validation firms must accept or submit 

security programs for approval. CCSFs 

must accept a standard security program 

provided by TSA or submit a proposed 

modified security program to the 

designated TSA official for approval 

initially and periodically thereafter as 

required. Validation firms must accept a 

standard security program provided by 

TSA or submit a proposed modified 

security program to the designated TSA 

official for approval initially and 

periodically thereafter as required. The 

validation firm must also submit a 

supplement to the security plan that 

specifies processes and procedures that 

the firm will use to maintain the 

qualification of its validators and its 

personnel assisting validators with 

assessments to the designated TSA 

official for approval. 

Fifth, CCSP participants, indirect air 

carriers, and TSA-approved validation 

firms must maintain records of 

compliance with the IFR and make them 

available for TSA inspection (see 49 

CFR 1522.129 and 1549.105). 

Sixth, TSA-approved validation firms 

must submit their validators’ 

assessments of CCSFs to TSA. 

Finally, CCSFs and air carriers must 

submit TSA-determined monthly cargo 

screening metrics to TSA. 

Use of: TSA will use the applications 

of entities seeking to become CCSFs to 

approve the entity as a CCSF. TSA will 

use the applications of entities seeking 

to become TSA-approved validation 

firms to approve the entities as 

approved validation firms. TSA will 

collect personally identifiable 

information from CCSFs, validation 

firms, and indirect air carriers about 

their key personnel in order to conduct 

STAs on these individuals, which is an 

important security measure that should 

apply to individuals who screen cargo 

and have unescorted access to screened 

cargo as well as to other key 

individuals. CCSF and validation firm 

security programs are necessary because 

they contain specific measures to deter 

incidents that may jeopardize 

transportation security. CCSFs must 

maintain records and provide TSAapproved validators access to their 

records, equipment, and facilities 

necessary for the validators to conduct 

assessments. TSA will require the 

validators to submit their assessment 

reports to TSA in a manner and form 

prescribed by TSA, and to also retain 

validation reports that they have 

prepared for a minimum of 36 months. 

TSA will use the reports to determine 

whether CCSFs and validation firms are 

complying with TSA regulations. 

Finally, CCSFs and TSA-approved 

validation firms must submit security 

programs for approval. These security 

programs contain specific measures to 

deter incidents that may jeopardize 

transportation security. TSA requires 

CCSFs to provide information on the 

amount of cargo screened at an 

approved facility in order to evaluate 

the compliance and performance of the 

CCSFs and to provide information 

needed for congressional reporting and 

future rulemaking relating to air cargo 

security. 

Respondents (including number of): 

The likely respondents to this proposed 

information requirement are the 22,541 

entities that seek to become CCSFs 

under 49 CFR part 1549 and the 83 

entities that seek to become TSAapproved validation firms. 

Frequency: CCSFs will submit an 

application for recertification every 

three years. The rule will require CCSFs 

to submit an application once annually. 

TSA estimates that CCSFs, TSAapproved validation firms, and indirect 

air carriers will submit personally 

identifiable information of their key 

personnel so that TSA can conduct 

STAs every five years. The rule will 

require CCSFs and validation firms to 

accept or submit a security program 

once, and TSA estimates CCSFs will 

submit updates to their security 

program on average once annually. TSA 

estimates that validators will submit 

their assessment reports to TSA as 

frequently as they perform the 

assessments. The recordkeeping 

requirements will be continuous. The 

requirement for CCSFs to provide 

information on the amount of cargo 

screened and other screening data at an 

approved facility will be a monthly 

collection. 

Annual Burden Estimate: TSA 

estimates that the 7,514 entities who 

will seek to become CCSFs annually 

will spend approximately 2 hours each 

to complete the applications for an 

annual burden of 15,028 hours. TSA 

estimates that the 28 entities who will 

seek to become TSA-approved 

validation firms annually will spend 

approximately 30 minutes each to 

complete the applications for an annual 

burden of 14 hours. TSA estimates 

312,433 annual responses from CCSFs, 

validation firms, and indirect air 

carriers and the time spent annually 

submitting personally identifiable 

information of key personnel for TSA to 

conduct STAs for an annual burden of 

78,108 hours. The time to complete an 

STA application is estimated at 15 

minutes per individual. TSA has 

estimated that a total of 16,989 CCSFs 

and validation firms will adopt their 

security programs for an average of 

5,663 security programs annually. Each 

firm will devote approximately 42 hours 

to their initial security program, 

resulting in an annual burden of 

237,846 hours. TSA has estimated that 

a total 31,589 CCSFs and validation 

firms will be required to maintain and 

update their security programs for an 

average of 10,530 security programs 

updated annually. Each firm will devote 

approximately 4 hours each annually, 

beginning in the second year, updating 

their security programs for an annual 

hour burden of 42,119. TSA estimates 

all CCSFs and validation firms will be 

required to maintain records of 

compliance with the IFR. This includes 

a time burden of approximately 5 

minutes (0.083 hours) for every CCSF 

and validation firm employee who is 

required to have an STA as well as other 

records of compliance. This also 

includes validation firm filings of 

validation assessment reports, resulting 

in 312,433 annual record updates. TSA 


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estimates an annual burden of 

approximately 25,932 hours. TSA 

estimates that 28 TSA-approved 

validation firms will spend 

approximately 4 hours each annually to 

prepare their findings and submit them 

to TSA, for annual burden of 22,541 

hours. TSA estimates that 5,635 CCSFs 

will complete monthly cargo reports at 

an estimated time of one hour per week 

for an estimated annual burden of 

293,037 hours. 

INFORMATION COLLECTION AND HOUR BURDEN SUMMARY

[17,117 unique respondents over 3 years] 

Function Annual 

respondents 

Annual 

responses 

Time per 

response 

Annual hours 

(3-year total) 

TSA Form 

Number Regulation cite 

CCSF Applications ................................. (Initial application is a one time collection, re-certification is every three years) 

One Year ............................................... 7,514 7,514 2 hours ........ 15,028 419E § 1549.7 

Three Years ........................................... 22,541 22,541 2 hours ........ 45,083 419E § 1549.7 

Validation Firm Applications .................. Annual collection 

One Year ............................................... 28 28 .5 hours ....... 14 419G § 1522.107 

Three Years ........................................... 83 83 .5 hours ....... 42 419G § 1522.107 

STA Applications .................................... Collected every five years after initial application 

One Year ............................................... 312,433 312,433 .25 hours ..... 78,108 419F §§ 1549.11 & 1549.103 

Three Years ........................................... 937,300 937,300 .25 hours ..... 234,325 419F §§ 1522.117 & 1522.121 

Security Programs Creations ................. One time collection 

One Year ............................................... 5,663 5,663 42 hours ...... 237,846 .................... § 1522.105 

Three Years ........................................... 16,989 16,989 42 hours ...... 713,538 .................... § 1522.105 

Updates .................................................. Once annually 

One Year ............................................... 10,530 10,530 4 hours ........ 42,119 N/A § 1549.5 

Three Years ........................................... 31,589 31,589 4 hours ........ 126,356 .................... § 1549.5 

Recordkeeping ....................................... Continuous as needed 

One Year ............................................... 312,433 312,433 .083 hours ... 25,932 N/A §§ 1549.105 & 1522.129 

Three Years ........................................... 937,300 937,300 .083 hours ... 77,796 .................... §§ 1549.105 & 1522.129 

Validation Assessment Reports ............. Continuous as needed 

One Year ............................................... 28 5,635 4 hours ........ 22,541 N/A § 1522.127 

Three Years ........................................... 83 16,906 4 hours ........ 67,624 .................... § 1522.127 

Cargo Reporting .................................... Monthly collection 

One Year ............................................... 5,635 67,624 52 hours ...... 293,037 N/A § 1549.105 

Three Years ........................................... 16,906 202,872 52 hours ...... 879,112 .................... § 1549.105 

CCSF Subset—1 year ........................... 121 1,452 2.5 hours ..... 3,630 N/A § 1549.105 

TOTAL for One Year ...................... 654,385 723,312 ..................... 718,255 

TOTAL for Three Years .................. 1,962,791 2,165,580 ..................... 2,143,875 

TSA requests comments to— 

(1) Evaluate whether the proposed 

information requirement is necessary for 

the proper performance of the functions 

of the agency, including whether the 

information will have practical utility; 

(2) Evaluate the accuracy of the 

agency’s estimate of the burden; 

(3) Enhance the quality, utility, and 

clarity of the information to be 

collected; and 

(4) Minimize the burden of the 

collection of information on those who 

are to respond, including using 

appropriate automated, electronic, 

mechanical, or other technological 

collection techniques or other forms of 

information technology. 

Individuals and organizations may 

submit comments on the information 

collection requirements by November 

16, 2009. Direct the comments to the 

address listed in the ADDRESSES section 

of this document, and fax a copy of 

them to the Office of Information and 

Regulatory Affairs, Office of 

Management and Budget, Attention: 

DHS–TSA Desk Officer, at (202) 395– 

5806. A comment to OMB is most 

effective if OMB receives it within 30 

days of publication. 

As protection provided by the 

Paperwork Reduction Act, as amended, 

an agency may not conduct or sponsor, 

and a person is not required to respond 

to, a collection of information unless it 

displays a currently valid OMB control 

number. 

VIII. Economic Impact Analyses 

A. Regulatory Evaluation Summary 

Changes to Federal regulations must 

undergo several economic analyses. 

First, Executive Order 12866 (EO 

12866), Regulatory Planning and 

Review, directs each Federal agency to 

propose or adopt a regulation only upon 

a reasoned determination that the 

benefits of the intended regulation 


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justify its costs. Second, the Regulatory 

Flexibility Act of 1980 (5 U.S.C. 601 et 

seq., as amended by the Small Business 

Regulatory Enforcement Fairness Act 

(SBREFA) of 1996) requires agencies to 

analyze the economic impact of 

regulatory changes on small entities. 

Third, the Trade Agreements Act (19 

U.S.C. 2531–2533) prohibits agencies 

from setting standards that create 

unnecessary obstacles to the foreign 

commerce of the United States. Fourth, 

the Unfunded Mandates Reform Act of 

1995 (2 U.S.C. 1531–1538) requires 

agencies to prepare a written assessment 

of the costs, benefits, and other effects 

of proposed or final rules that include 

a Federal mandate likely to result in the 

expenditure by State, local, or Tribal 

governments, in the aggregate, or by the 

private sector, of $100 million or more 

annually (adjusted for inflation). 

TSA has prepared a separate detailed 

analysis document which is available to 

the public in the docket. With respect to 

these analyses, TSA provides the 

following conclusions and summary 

information: 

• This rule is considered to be an 

economically significant rule within the 

definition of EO 12866, as estimated 

annual costs or benefits exceed $100 

million in any year. TSA has included 

the mandatory OMB Circular A–4 

Accounting Statement in the separate 

analysis document and thus has not 

repeated it here. 

• Under the Regulatory Flexibility 

Act of 1980, an agency need not publish 

a formal analysis of the impact to small 

entities with the interim final rule. 

Therefore, TSA has not determined 

whether or not this interim final rule 

will have a significant impact on a 

substantial number of small entities. 

• This regulatory evaluation provides 

the required assessment of the Trade 

Agreement Act of 1979. 

• The regulatory evaluation provides 

the required written assessment of 

Unfunded Mandates. This interim final 

rule is not likely to result in the 

expenditure by State, local, or Tribal 

governments, in the aggregate, of $100 

million or more annually (adjusted for 

inflation). However, because the rule is 

economically significant as defined by 

Executive Order 12866, it does have an 

unfunded mandate impact on the 

economy as a whole. The separate 

analysis of the costs and benefits of the 

rule satisfies the requirements of the 

Unfunded Mandates Reform Act. 

B. Executive Order 12866 Assessment 

This IFR is a major rule within the 

definition of Executive Order (EO) 

12866, as annual costs or benefits to all 

parties exceed the $100 million 

threshold in any year. TSA has not 

identified any significant economic 

impacts for each of the required 

analyses of small business impact, 

international trade, or unfunded 

mandates. This summary highlights the 

costs and benefits of the rule. 

Costs 

This section summarizes the types of 

costs of this rule, which would be borne 

by five relevant parties: CCSFs, nonCCSF entities that receive screened 

cargo from CCSFs, validation firms, 

aircraft operators (including, in this 

context, both U.S. aircraft operators and 

foreign air carriers), and TSA. A 

summary table at the end of this section 

provides an overview of the cost 

estimates. The following paragraphs 

provide brief descriptions of the cost 

components. This rule will require 

expenditures by CCSFs, approved 

validation firms, and aircraft operators. 

CCSFs and approved validation firms 

must adopt security programs and, in 

the case of CCSFs, undergo assessment 

of their security measures by a TSAapproved validation firm prior to 

joining the program. CCSFs and 

validation firms must complete TSAconducted STAs for individuals who 

will be screening cargo or who have 

unescorted access to screened cargo, as 

well as for personnel supporting these 

functions. CCSFs and validation firms 

must employ security coordinators and 

alternates. 

CCSFs must also implement training 

for individuals who perform securityrelated duties. CCSFs may need to 

purchase equipment to perform their 

responsibilities under this program. 

Validation firms will need to pay for 

training for individuals involved in 

conducting assessments. Aircraft 

operators will need to purchase 

equipment and hire personnel to handle 

their additional screening burdens. 

TSA will incur costs to implement the 

rule. These will include the costs 

associated with reviewing applications 

and security programs, reviewing 

validation reports, conducting STAs, 

and inspecting CCSFs and validation 

firms. In addition, TSA will incur the 

cost of developing or approving training 

programs for validation firms and TSA 

employees and of developing the Air 

Cargo Data Management System. Total 

TSA costs can be found in the Total 

section in Table 1, and in Table 32 of 

the Regulatory Evaluation. 

Total 

In summary, over the 10-year period 

of the analysis, TSA estimates the 

aggregate costs of this rulemaking to 

total approximately $2.8 billion, 

undiscounted. Discounted at seven 

percent, the cost is $1.9 billion, and 

discounted at three percent, the cost is 

$2.4 billion. Additionally, industry will 

bear a cost for delayed shipment of 

cargo estimated at $297.1 million over 

the 10-year analysis period ($203.1 

million discounted at seven percent and 

$250.4 million discounted at three 

percent). The regulatory impact analysis 

provides detailed estimates of these 

costs. 

TSA anticipates bearing costs to 

administer the provisions of the 

rulemaking at $384 million over the 10- 

year analysis period. 

TSA presents details in the regulatory 

impact analysis on how it developed 

these estimates. The following table 

displays the annual costs of the rule 

over the 10-year analysis period. The 

total is broken out by costs to TSA; costs 

to industry, estimated using the U.K. 

Known Consignor program as a proxy 

for screening fees; and the estimated 

delay costs due to screening. The TSA 

total represents the estimated costs TSA 

will incur to implement the CCSP and 

enforce compliance. The industry cost is 

estimated using the U.K. fee proxies and 

accounts for the 70 percent of cargo 

shipped on passenger planes expected 

to be screened at CCSFs as well as the 

additional fifteen percent that aircraft 

operators are expected to screen. The 

delay cost assumes the 30 percent of 

cargo expected to be screened by the 

aircraft operators will be the only cargo 

subject to delay. 


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TABLE 1—10-YEAR TOTAL COST SUMMARY OF CCSP 

[$millions] 

Year TSA cost Industry 

cost 

Delay 

cost 

Total 

cost 

Discounted 

(3 percent) 

Discounted 

(7 percent) 

1 ............................................................... $62.1 $171.3 $23.6 $257.0 $249.5 $240.2 

2 ............................................................... 24.5 179.9 24.8 229.3 216.1 200.2 

3 ............................................................... 25.7 188.9 26.0 240.7 220.3 196.5 

4 ............................................................... 35.4 198.4 27.3 261.1 232.0 199.2 

5 ............................................................... 28.7 208.3 28.7 265.6 229.1 189.4 

6 ............................................................... 38.8 218.7 30.1 287.7 240.9 191.7 

7 ............................................................... 43.5 229.6 31.7 304.8 247.8 189.8 

8 ............................................................... 37.1 241.1 33.2 311.4 245.8 181.2 

9 ............................................................... 38.9 253.2 34.9 326.9 250.6 177.8 

10 ............................................................. 49.4 265.8 36.6 351.8 261.8 178.9 

Total .................................................. 384.2 2,155.1 297.1 2,836.4 2,394.0 1,945.0 

Low ................................................... 262.4 1,795.9 281.5 2,339.9 1,974.7 1,604.0 

High ................................................... 512.8 2,514.3 318.9 3,346.0 2,824.3 2,294.8 

100 Percent Aircraft Operator Screening 

As an alternative to establishing the 

CCSP, TSA considered meeting the 

statutory requirements by having 

aircraft operators screen cargo intended 

for transportation on passenger 

aircraft—that is, continuing the current 

cargo screening program but expanding 

it to 85 percent of air cargo on passenger 

aircraft. TSA estimates that the 

remaining fifteen percent will be 

transferred to alternate means of 

transportation due to the increased 

delays and costs of shipping this IFR 

might incur. The cost of the modal shift 

assumed by TSA was not estimated as 

the cost components of this shift would 

be difficult to estimate. Under this 

alternative, aircraft operators would 

bear the costs of screening additional 

cargo, and industry would bear 

significant costs because of delays. TSA 

would not incur costs as a result of this 

alternative. TSA currently requires 

aircraft operators to screen cargo 

intended for transport on passenger 

aircraft at levels set out in their security 

programs. As a result, TSA would not 

have to take any new action. 

Under this alternative, the cost drivers 

for this alternative are screening 

equipment, personnel for screening, 

training of personnel, and delays. 

Delays are the largest cost component, 

totaling $7.0 billion over 10 years, 

undiscounted. In summary, the 

undiscounted 10 year cost of the 

alternative is $11.1 billion. Discounted 

at three percent, the cost is $9.4 billion 

and discounted at seven percent, the 

cost is $7.7 billion. The following table 

presents the costs of the 100 percent 

aircraft operator screening alternative, 

as well as high and low variations and 

totals discounted at 3 percent and 7 

percent. 

TABLE 2—10-YEAR TOTAL COST SUMMARY OF 100 PERCENT AIR CARRIER SCREENING

[$millions] 

Year Equipment Personnel Training Domestic 

delays Total 3% Discount 

7% 

Discount 

1 ............................................................... $85 $307 $4.9 $613 $1,009 $980 $943 

2 ............................................................... 10 322 2.7 631 965 910 843 

3 ............................................................... 10 338 2.9 649 1,000 915 816 

4 ............................................................... 10 355 3.0 668 1,035 920 790 

5 ............................................................... 10 373 3.2 687 1,073 925 765 

6 ............................................................... 10 391 3.3 707 1,112 931 741 

7 ............................................................... 10 411 3.5 728 1,152 937 718 

8 ............................................................... 85 431 3.7 750 1,269 1,002 739 

9 ............................................................... 10 453 3.8 772 1,239 950 674 

10 ............................................................. 10 476 4.0 796 1,286 957 654 

Total .................................................. 249 3,856 35.0 7,002 11,142 9,427 7,683 

Low ................................................... 187 2,892 26 5,251 8,356 7,070 5,762 

High ................................................... 311 4,820 44 8,752 13,927 11,784 9,603 

Benefits 

The interim final rule will allow for 

more standard governance in cargo 

screening and will provide benefits in 

terms of increased security of 

commercial passenger aviation. The 

benefits are four fold. First, the 

passenger airline industry will be more 

firmly protected against an act of 

terrorism or other malicious behaviors 

by the screening of 100 percent of cargo 

shipped on passenger aircraft; currently, 

only a portion of this cargo is screened 

before being loaded onto the plane. 

Second, allowing the screening process 

to occur throughout the supply chain 

via the CCSP will reduce potential 

bottlenecks and delays at the aircraft 

operators. Third, the interim final rule 

will allow market forces to identify the 

most efficient venue for screening along 

the supply chain. As the most costeffective venue for screening varies 

widely depending on the type of goods 

being shipped on passenger aircraft 

operators, the interim final rule will 

permit any entity on the supply chain 

to apply for TSA certification to screen 

cargo and apply chain-of-custody 

procedures to secure that cargo. Finally, 


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validation firms will perform 

assessments of the entities that become 

CCSFs. These assessments will enable 

TSA to set priorities for compliance 

inspections while leveraging TSA 

inspectors with vetted and trained 

validation firms, thereby adding an 

extra layer of security. 

Alternatively, TSA has assessed the 

benefits of this rule via a break-even 

analysis of the cost of the reduction in 

risk with the dollar amount of the 

benefit from the rule. The break-even 

analysis illustrates the tradeoff between 

program costs and program benefits. For 

purposes of the analysis, TSA evaluated 

four scenarios in which an explosive 

device was placed in the aircraft’s cargo 

hold via air cargo and detonated, 

destroying the airplane and all 

passengers and crew on board. For each 

scenario, TSA derived a total monetary 

cost of consequence from an estimated 

value of the statistical human lives lost 

and the value of the plane (including 

cargo) destroyed. TSA obtained a value 

of the monetary cost of an attack under 

a certain probability (the value of which 

equals the total estimated monetary cost 

of the attack multiplied by the 

probability of an attack of that nature 

over a year-long time period) and 

compared it to the undiscounted, 

annualized cost of the CCSP to estimate 

how often an attack of that nature would 

need to be averted for the expected 

benefits to equal costs. 

Table 3 summarizes the results of the 

break-even analysis, based on the 10- 

year cost of the rule, annualized at 

seven percent. Below we describe the 

four scenarios that we used in that 

analysis. To judge the value or 

effectiveness of this IFR in the context 

of these scenarios, it is necessary to 

compare the extent of monetary 

consequence from a successful attack 

with the cost of a program like the IFR 

that would be deployed to reduce the 

risk or likelihood of such an attack 

being successfully undertaken. 

The first scenario describes the 

impact of a situation in which an 

explosive device placed in the cargo 

shipped on the flight in the belly of the 

plane destroys a standard narrow body 

aircraft (from the fleets used by major 

U.S. aircraft operators) during flight. 

This incident results in the loss of the 

lives of all passengers and crew 

members on board, along with the total 

destruction of the airplane. TSA 

estimated 119 total people to be on 

board, including both passengers and 

crew. The value of these statistical lives 

is approximately $690.2 million in 2006 

U.S. dollars, based on the Department of 

Transportation Value of a Statistical Life 

(VSL) estimation of $5.8 million per 

person. The estimated aircraft cost is 

just under $17 million on average, again 

in 2006 dollars. Adding these two 

together, and assuming no damage on 

impact to the crash site, TSA estimates 

the total monetary consequence of the 

attack at $707.2 million. 

The second scenario depicts a 

situation where an explosive device 

placed in the cargo shipped on the flight 

in the belly of the plane destroys an 

average U.S. commercial passenger 

aircraft (from the fleets used by major 

U.S. aircraft operators) in flight. This 

attack results in loss of life for 

passengers and crew members, along 

with complete destruction of the 

aircraft. Based on data reported in the 

FAA Critical Values Guidance, there is 

an assumed loss of 133 lives (128 

passengers and 5 crew members), along 

with an assumed complete loss of the 

aircraft, which on average would be 

valued at $22 million in 2006 dollars. 

The monetary estimate associated with 

the loss of life is $771 million. 

Combining the loss of life monetary 

estimate with the weighted average 

aircraft market value, TSA estimates the 

total monetary consequence of this 

scenario at $793 million. 

The third scenario depicts a situation 

where an explosive device placed in the 

cargo shipped on the flight in the belly 

of the plane destroys an average U.S. 

commercial passenger wide-body 

aircraft (from the fleets used by major 

U.S. aircraft operators) in flight. This 

attack scenario, like the first scenario, 

results in loss of life for passengers and 

crew members, along with complete 

destruction of the wide-body aircraft. 

Based on data reported in the FAA 

Critical Values Guidance, there is an 

assumed loss of 210 lives (202 

passengers and 8 crew members) along 

with the complete loss of the aircraft, 

which on average would be valued at 

$49.6 million in 2006 dollars. Using the 

DOT VSL of $5.8 million, the monetary 

estimate associated with the loss of life 

is $1.22 billion. Combining the loss of 

life monetary estimate with the 

weighted average aircraft market value, 

TSA estimates the total monetary 

consequence of this scenario at $1.27 

billion. 

The fourth scenario is an extension of 

the third that takes into account a 

situation involving multiple planes 

destroyed by an explosive device. In our 

case, four wide body aircraft are the 

targets of the attack. Our estimation of 

the monetary damage took the value of 

the single wide body aircraft attack and 

multiplied that total monetary 

consequential amount by a factor of 

four. Therefore, the resulting estimate of 

monetary damage caused in this 

scenario is $5.1 billion, in 2006 dollars. 

This includes approximately 840 

passenger and crew member lives lost, 

and an estimated $198.2 million loss 

due to the destruction of the four wide 

body airplanes. 

The table below presents the number 

of attacks averted (expressed as a 

number of years between attacks), 

required for the IFR to break even under 

each of the four scenarios. In this 

analysis the comparison is made 

between the estimated scenario 

consequence and the seven percent 

discount annualized Air Cargo 

Screening IFR cost of $276.9 million; 

the ‘‘required risk reduction in attack 

frequency’’ for break-even can be 

derived as the multiplicative inverse of 

the ratio between this annualized 

program cost and the scenario 

consequence total (a ratio which 

expresses a breakeven annual likelihood 

of attack). As shown in the following 

table, the rule will need to reduce the 

existing or baseline frequency of terror 

attack by one attack every 2.6 years for 

Scenario 1, one attack every 2.8 years 

for Scenario 2, one attack every 4.5 

years for Scenario 3, or one attack every 

18.2 years for Scenario 4 in order for the 

IFR to break even. 

TABLE 3—FREQUENCY OF ATTACKS AVERTED FOR PASSENGER AIR CARGO SCREENING IFR COSTS TO EQUAL EXPECTED

BENEFITS, BY ATTACK SCENARIO

[Annualized at 7 percent] 

Attack scenario Lives lost 

Valuation at 

$0.0058 M 

($ billion) 

Avg. aircraft 

market value 

($ billion) 

Property loss 

($ billion) 

Total 

consequence 

($ billion) 

Attacks averted by air cargo 

sec to break-even 

A B = A × 0.0058 C D E = B + C + D = E ÷ $276.9 ** 

1. Narrow Body Target ........ 119 $0.69 $0.017 $0.0 $0.71 One every 2.6 years. 


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TABLE 3—FREQUENCY OF ATTACKS AVERTED FOR PASSENGER AIR CARGO SCREENING IFR COSTS TO EQUAL EXPECTED

BENEFITS, BY ATTACK SCENARIO—Continued 

[Annualized at 7 percent] 

Attack scenario Lives lost 

Valuation at 

$0.0058 M 

($ billion) 

Avg. aircraft 

market value 

($ billion) 

Property loss 

($ billion) 

Total 

consequence 

($ billion) 

Attacks averted by air cargo 

sec to break-even 

A B = A × 0.0058 C D E = B + C + D = E ÷ $276.9 ** 

2. Avg. AO Target ............... 133 0.77 0.022 0.0 0.79 One every 2.8 years. 

3. Wide Body Target ........... 210 1.22 0.050 0.0 1.27 One every 4.5 years. 

4. Multiple Wide Body ......... 840 4.87 0.198 0.0 5.07 One every 18.2 years. 

** The total cost of the rule annualized at 7 percent. 

C. Regulatory Flexibility Act Assessment 

Sections 603(a) and 604(a) of the 

Regulatory Flexibility Act (RFA) require 

that, when an agency issues a interim 

final rule or promulgates a final rule 

‘‘after being required * * * to publish a 

general notice of proposed rulemaking,’’ 

the agency must determine whether a 

proposed or final rule will have a 

significant economic impact on a 

substantial number of small entities 

and, if so, must prepare a regulatory 

flexibility analysis as described in the 

Act. For purposes of the RFA, small 

entities include small businesses, notfor-profit organizations, and small 

governmental jurisdictions. Individuals 

and States are not included in the 

definition of a small entity. These 

requirements do not apply where, as 

here, an agency issues an interim final 

rule. Congress explicitly authorized 

TSA to issue an IFR in the 9/11 Act. 

TSA invites comments that address 

whether this rule would have a 

significant economic impact on a 

substantial number of small entities. 

TSA will consider this information in 

developing the final rule. 

D. International Trade Impact 

Assessment 

The Trade Agreement Act of 1979 

prohibits Federal agencies from 

establishing any standards or engaging 

in related activities that create 

unnecessary obstacles to the foreign 

commerce of the United States. 

Legitimate domestic objectives, such as 

safety, are not considered unnecessary 

obstacles. The statute also requires 

consideration of international standards 

and, where appropriate, that they be the 

basis for U.S. standards. TSA has 

assessed the potential effect of this 

interim final rule and has determined 

that the same measures must apply to 

both U.S. aircraft operators and foreign 

air carriers loading cargo on passenger 

aircraft. At most, the impact of this rule 

creates an even competitive cost 

structure. 

E. Unfunded Mandates Assessment 

The Unfunded Mandates Reform Act 

of 1995 (UMRA) is intended, among 

other things, to curb the practice of 

imposing unfunded Federal mandates 

on State, local, and Tribal governments. 

Title II of UMRA requires each Federal 

agency to prepare a written statement 

assessing the effects of any Federal 

mandate in a proposed or final agency 

rule that may result in an expenditure 

of $100 million or more (adjusted 

annually for inflation) in any one year 

by State, local, and Tribal governments, 

in the aggregate, or by the private sector, 

such a mandate is deemed to be a 

‘‘significant regulatory action.’’ This 

interim final rule does not exceed this 

threshold with respect to State, local, 

and Tribal governments, because it does 

not require them to take any action. The 

impact on the overall economy, 

however, does exceed the threshold, 

resulting in an unfunded mandate on 

the private sector; this regulatory 

evaluation documents the costs and 

alternatives associated with this 

regulatory action. TSA will publish a 

final analysis, including its response to 

public comments, when it publishes a 

final rule. 

IX. Executive Order 13132, Federalism 

TSA has analyzed this final rule 

under the principles and criteria of 

Executive Order 13132, Federalism. We 

determined that this action will not 

have a substantial direct effect on the 

States, or the relationship between the 

national government and the States, or 

on the distribution of power and 

responsibilities among the various 

levels of government, and, therefore, 

does not have federalism implications. 

X. Environmental Analysis 

We have analyzed this interim final 

rule under DHS Management Directive 

5100.1 ‘‘Environmental Planning 

Program’’ (see also 71 FR 16790, Apr. 4, 

2006), which guides DHS in complying 

with the National Environmental Policy 

Act of 1969 (NEPA) (42 U.S.C. 4321– 

4370f). We have concluded that this rule 

is part of a category of actions described 

in items A3, A4, A7, B3, H1 and H2 of 

Table 1 in Appendix A of the 

Management Directive. This interim 

final rule would not have individually 

or cumulatively a significant effect on 

the human environment and, therefore, 

neither an environmental assessment 

nor an environmental impact statement 

is necessary. 

XI. Energy Impact Analysis 

TSA has assessed the energy impact 

of this rule in accordance with the 

Energy Policy and Conservation Act 

(EPCA), Public Law 94–163, as amended 

(42 U.S.C. 6362). We have determined 

that this rulemaking is not a major 

regulatory action under the provisions 

of the EPCA. 

List of Subjects 

49 CFR Part 1515 

Appeals, Commercial drivers license, 

Criminal history background checks, 

Explosives, Facilities, Hazardous 

materials, Incorporation by reference, 

Maritime security, Motor carriers, Motor 

vehicle carriers, Ports, Seamen, Security 

measures, Security threat assessment, 

Vessels, Waivers. 

49 CFR Part 1520 

Air transportation, Law enforcement 

officers, Maritime carriers, Reporting 

and recordkeeping requirements, 

Security measures. 

49 CFR Part 1522 

Accounting, Aircraft operators, 

Aviation safety, Reporting and 

recordkeeping requirements, Security 

measures. 

49 CFR Part 1540 

Air carriers, Aircraft, Airports, Civil 

aviation security, Law enforcement 

officers, Reporting and recordkeeping 

requirements, Security measures, 

Screening. 


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49 CFR Part 1542 

Air carriers, Aircraft, Airport security, 

Aviation safety, Security measures. 

49 CFR Part 1544 

Air carriers, Aircraft, Aviation safety, 

Freight forwarders, Incorporation by 

reference, Reporting and recordkeeping 

requirements, Security measures. 

49 CFR Part 1546 

Aircraft, Aviation safety, foreign air 

carriers, Incorporation by reference, 

Reporting and recordkeeping 

requirements, Security measures. 

49 CFR Part 1549 

Air transportation, Reporting and 

recordkeeping requirements, Security 

measures. 

The Amendments 

■ For the reasons set forth in the 

preamble, the Transportation Security 

Administration amends Chapter XII, of 

Title 49, Code of Federal Regulations as 

follows: 

Subchapter A—Administrative and 

Procedural Rules 

PART 1515—APPEAL AND WAIVER 

PROCEDURES FOR SECURITY 

THREAT ASSESSMENTS FOR 

INDIVIDUALS 

■ 1. The authority citation for part 1515 

continues to read as follows: 

Authority: 46 U.S.C. 70105; 49 U.S.C. 114, 

5103a, 40113, and 46105; 18 U.S.C. 842, 845; 

6 U.S.C. 469. 

■ 2. Amend § 1515.1 by revising 

paragraph (a) to read as follows: 

§ 1515.1 Scope. 

(a) Appeal. This part applies to 

applicants who are appealing an Initial 

Determination of Threat Assessment or 

an Initial Determination of Threat 

Assessment and Immediate Revocation 

in a security threat assessment (STA) as 

described in each of the following: 

(1) 49 CFR part 1572 for a hazardous 

materials endorsement (HME) or a 

Transportation Worker Identification 

Credential (TWIC). 

(2) 49 CFR part 1540, Subpart C, 

which includes individuals engaged in 

air cargo operations who work for 

certain aircraft operators, foreign air 

carriers, IACs, certified cargo screening 

facilities, or validation firms. 

* * * * * 

■ 3. Amend § 1515.9 by adding 

paragraphs (a)(3), (c)(1)(iv) and (v), and 

revising paragraph (f)(3) to read as 

follows: 

§ 1515.9 Appeal of security threat 

assessment based on other analyses. 

(a) * * * 

(3) TSA had determined that an 

individual engaged in air cargo 

operations who works for certain 

aircraft operators, foreign air carriers, 

indirect air carriers (IACs), certified 

cargo screening facilities, or validation 

firms poses a security threat as provided 

in 49 CFR 1549.109. 

* * * * * 

(c) * * * 

(1) * * * 

(iv) In the case of a certified cargo 

screening facilities worker, TSA serves 

a Final Determination of Threat 

Assessment on the operator. 

(v) In the case of a validator of 

certified cargo screening facilities, TSA 

serves a Final Determination of Threat 

Assessment on the operator. 

* * * * * 

(f) * * * 

(3) If TSA withdraws a Determination 

of No Security Threat for an individual 

engaged in air cargo operations who 

works for certain aircraft operators, 

foreign air carriers, IACs, certified cargo 

screening facilities, or validation firms. 

■ 4. Amend § 1515.11 by revising 

paragraph (a)(3) to read as follows: 

§ 1515.11 Review by administrative law 

judge and TSA Final Decision Maker. 

(a) * * * 

(3) An individual engaged in air cargo 

operations who works for certain 

aircraft operators, foreign air carriers, 

IACs, certified cargo screening facilities, 

or validation firms who has been issued 

a Final Determination of Threat 

Assessment after an appeal as described 

in 49 CFR 1515.9. 

* * * * * 

Subchapter B—Security Rules for All 

Modes of Transportation 

PART 1520—PROTECTION OF 

SENSITIVE SECURITY INFORMATION 

■ 5. The authority citation for part 1520 

continues to read as follows: 

Authority: 46 U.S.C. 70102–70106, 70117; 

49 U.S.C. 114, 40113, 44901–44907, 44913– 

44914, 44916–44918, 44935–44936, 44942, 

46105. 

§ 1520.3 [Amended] 

■ 6. In § 1520.3, remove the definition 

of ‘‘Security program’’. 

■ 7. Amend § 1520.5 by revising 

paragraph (b)(1) to read as follows: 

§ 1520.5 Sensitive security information. 

* * * * * 

(b) * * * 

(1) Security programs and 

contingency plans. Any security 

program or security contingency plan 

issued, established, required, received, 

or approved by DOT or DHS, including 

any comments, instructions, or 

implementing guidance, including— 

(i) Any aircraft operator, airport 

operator, fixed base operator, or air 

cargo security program, or security 

contingency plan under this chapter; 

(ii) Any vessel, maritime facility, or 

port area security plan required or 

directed under Federal law; 

(iii) Any national or area security plan 

prepared under 46 U.S.C. 70103; and 

(iv) Any security incident response 

plan established under 46 U.S.C. 70104. 

* * * * * 

■ 8. Amend § 1520.7 by revising 

paragraph (b) to read as follows: 

§ 1520.7 Covered persons. 

* * * * * 

(b) Each indirect air carrier (IAC), as 

described in 49 CFR part 1548; each 

validation firm and its personnel, as 

described in 49 CFR 1522; and each 

certified cargo screening facility and its 

personnel, as described in 49 CFR 1549. 

* * * * * 

■ 9. Add new part 1522 to Subchapter 

B to read as follows: 

PART 1522—TSA-APPROVED 

VALIDATION FIRMS AND 

VALIDATORS 

Subpart A—General 

Sec. 

1522.1 Scope and terms used in this part. 

1522.3 Fraud and intentional falsification of 

records. 

1522.5 TSA inspection authority. 

Subpart B—TSA-Approved Validation Firms 

and Validators for the Certified Cargo 

Screening Program 

1522.101 Applicability. 

1522.103 Requirements for validation firms. 

1522.105 Adoption and implementation of 

the security program. 

1522.107 Application. 

1522.109 TSA review and approval. 

1522.111 Reconsideration of disapproval of 

an application. 

1522.113 Withdrawal of approval. 

1522.115 Renewal of TSA approval. 

1522.117 Qualifications of validators. 

1522.119 Training. 

1522.121 Security threat assessments for 

personnel of TSA-approved validation 

firms. 

1522.123 Conduct of assessments. 

1522.125 Protection of information. 

1522.127 Assessment report. 

1522.129 Recordkeeping requirements. 

Authority: 49 U.S.C. 114, 5103, 40113, 

44901–44907, 44913–44914, 44916–44918, 

44932, 44935–44936, 44942, 46105. 


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Subpart A—General 

§ 1522.1 Scope and terms used in this 

part. 

(a) This part governs the use of TSAapproved validation firms and 

individual validators to assess whether 

certain persons regulated under this 

chapter are in compliance with this 

chapter. 

(b) In addition to the terms in 

§§ 1500.3 and 1540.5 of this chapter, the 

following terms apply in this part: 

Applicant means a firm that seeks to 

become a TSA-approved validation firm 

under this part. 

Assessment means the physical 

inspections, records reviews, personnel 

interviews, and other procedures 

conducted by a validator to assess 

whether a person is in compliance with 

relevant requirements of a security 

program. 

Conflict of interest means a situation 

in which the validation firm, the 

validator, or an individual assisting in 

the assessment, or the spouse or 

immediate family member of such 

person, has a relationship with, or an 

interest in, the person under assessment 

that may adversely affect the 

impartiality of the assessment. 

Examples of conflict of interest 

situations include, but are not limited 

to, any of the following: 

(1) The validation firm is a parent 

company or subsidiary of the person 

under assessment, has a financial 

interest in the person under assessment, 

or has common management or 

organizational governance (for example, 

interlocking boards of directors) with 

the person under assessment. 

(2) The validation firm, the validator, 

or an individual who will assist in 

conducting the assessment, or an 

immediate family member of such a 

validator or individual, is a creditor or 

debtor of the person under assessment. 

(3) The validator, or an individual 

who will assist in conducting the 

assessment, or the spouse or immediate 

family member of such a person, is, or 

within the past two years has been, an 

employee, officer, or contractor of the 

person under assessment whose duties 

did not involve the operations being 

assessed. 

(4) The validator, or an individual 

who will assist in conducting the 

assessment, or the spouse or immediate 

family member of such a person, is, or 

at any time has been, an individual, 

officer, or contractor of the person under 

assessment whose duties or 

responsibilities did involve the 

operations being assessed. 

(5) The validator, or an individual 

who will assist in conducting the 

assessment, or the spouse or immediate 

family member of such a person, has a 

financial interest in the person under 

validation. 

Firm means a business enterprise or 

other non-governmental organization, 

including a sole proprietorship, 

partnership, limited liability 

partnership, limited liability 

corporation, and a corporation. 

National of the United States means 

a citizen of the United States, or a 

person who, though not a citizen, owes 

permanent allegiance to the United 

States, as defined in 8 U.S.C. 

1101(a)(22), and includes American 

Samoa and Swains Island. 

TSA-approved validation firm or 

validation firm means a firm that has 

been approved under this part to 

conduct an assessment under this 

chapter. 

Validator means an individual 

assigned by the validation firm to be 

responsible for conducting a given 

assessment under this part. 

§ 1522.3 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 under 

this part. 

(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 

used to exercise any privilege under this 

part. 

(c) Any reproduction or alteration, for 

fraudulent purpose, of any report, 

record, security program, access 

medium, or identification medium 

issued or submitted under this part. 

§ 1522.5 TSA inspection authority. 

(a) Each validation firm and each 

validator must allow TSA, during 

normal business hours, in a reasonable 

manner, without advance notice, to 

enter the facility and make any 

inspections or tests, including copying 

records, to— 

(1) Determine compliance of a 

validation firm or validator with this 

chapter and 49 U.S.C. 114 and Subtitle 

VII, as amended; or 

(2) Carry out TSA’s statutory or 

regulatory authorities, including its 

authority to— 

(i) Assess threats to transportation; 

(ii) Enforce security-related 

regulations, directives, and 

requirements: 

(iii) Inspect, maintain, and test the 

security of facilities, equipment, and 

systems; 

(iv) Ensure the adequacy of security 

measures for the transportation of 

passengers and cargo; 

(v) Oversee the implementation, and 

ensure the adequacy, of security 

measures at airports and other 

transportation facilities; 

(vi) Review security plans; and 

(vii) Carry out such other duties, and 

exercise such other powers, relating to 

transportation security as the Assistant 

Secretary of Homeland Security for the 

TSA considers appropriate, to the extent 

authorized by law. 

(b) At the request of TSA, each 

validation firm and validator must 

provide evidence of compliance with 

this chapter, including copying records. 

(c) TSA and DHS officials working 

with TSA may conduct inspections 

under this section without access media 

or identification media issued or 

approved by a validation firm or other 

person, except that the TSA and DHS 

officials will have identification media 

issued by TSA or DHS. 

Subpart B—TSA-Approved Validation 

Firms and Validators for the Certified 

Cargo Screening Program 

§ 1522.101 Applicability. 

This subpart governs the use of TSAapproved validation firms and 

validators to assess whether certified 

cargo screening facilities (CCSFs), or 

facilities seeking to be approved as 

such, comply with the requirements of 

49 CFR part 1549. 

§ 1522.103 Requirements for validation 

firms. 

In addition to the other requirements 

of this part, a validation firm must meet 

the following requirements to be 

approved to assess certified cargo 

screening facilities: 

(a) Resources. The validation firm 

must have sufficient facilities, 

resources, and personnel to conduct the 

assessments. 

(b) Security Coordinator. The 

validation firm must designate and use 

a Security Coordinator and at least one 

alternate Security Coordinator. 

(1) The Security Coordinator and 

alternates must be senior employees or 

officers of the firm, and must be readily 

available during normal business hours. 

(2) The Security Coordinator and 

designated alternates must serve as the 

validation firm’s primary contact for 

security-related activities and 

communications with TSA. 

(3) The Security Coordinator must 

immediately initiate corrective action 

for any instance of non-compliance by 

the validation firm with any applicable 

TSA security requirement. 


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(c) Security Program. The validation 

firm must obtain TSA approval of a 

security program and must implement 

the security program. 

(d) Personnel. The validation firm 

must ensure that its personnel carry out 

the requirements of this chapter and the 

validation firm’s security program. 

(e) Change in information. (1) The 

validation firm must inform TSA, in a 

form and manner prescribed by TSA, of 

any change in the information required 

to be submitted by the validation firm 

to TSA under this part within seven 

days of the change. 

(2) Changes included within the 

requirement of this paragraph include, 

but are not limited to, changes in the 

validation firm’s address, phone 

number, or other contact information, 

the identity of the Security Coordinator 

or alternate, significant changes in 

ownership of the firm. 

§ 1522.105 Adoption and implementation 

of the security program. 

(a) Security program required. No 

person may operate as a validation firm 

unless that person holds and carries out 

an approved security program under 

this part. 

(b) Content. The validation firm 

standard security program together with 

approved alternate procedures and 

amendments that TSA has issued to that 

particular firm constitutes that firm’s 

security program. Each security program 

under this part must— 

(1) Provide for the security of aircraft, 

as well as that of persons and property 

traveling in air transportation, against 

acts of criminal violence and air piracy, 

and against the introduction into aircraft 

of any unauthorized explosive, 

incendiary, and other destructive 

substance or item; 

(2) Describe the processes and 

procedures to be used to maintain 

current qualifications, credentials, or 

accreditations, training, and security 

threat assessments for relevant 

personnel; 

(3) Describe the facilities, support 

personnel, and other resources to be 

used in conducting assessments; and 

(4) Require that the validation firm 

designate and use a Security 

Coordinator and at least one alternate 

Security Coordinator. 

(c) Amendment requested by a 

validation firm or applicant. A 

validation firm or applicant may file a 

request for an amendment to its security 

program with the TSA designated 

official at least 45 calendar days before 

the date it proposes for the amendment 

to become effective, unless the 

designated official allows a shorter 

period. Any validation firm may submit 

to TSA a group proposal for an 

amendment that is on behalf of it and 

other validation firms that co-sign the 

proposal. 

(1) Within 30 calendar days after 

receiving a proposed amendment, the 

designated official, in writing, must 

either approve or deny the request to 

amend. 

(2) An amendment to a validation 

firm’s security program may be 

approved if the designated official 

determines that safety and the public 

interest will allow it, and if the 

proposed amendment provides the level 

of security required under this part. 

(3) Within 30 calendar days after 

receiving a denial of the proposed 

amendment, the validation firm may 

petition TSA to reconsider the denial. A 

Petition for Reconsideration must be 

filed with the designated official. 

(4) Upon receipt of a Petition for 

Reconsideration, the designated official 

must either approve the request to 

amend the security program or transmit 

the petition, along with any pertinent 

information, to TSA for reconsideration. 

TSA will make a determination on the 

petition within 30 calendar days of 

receipt by either directing the 

designated official to approve the 

amendment or by affirming the denial. 

(d) Amendment by TSA. TSA may 

amend a security program in the interest 

of safety and the public interest, as 

follows: 

(1) TSA must notify the validation 

firm, in writing, of the proposed 

amendment, fixing a period of not less 

than 30 calendar days within which the 

validation firm may submit written 

information, views, and arguments on 

the amendment. 

(2) After considering all relevant 

material, the designated official must 

notify the validation firm of any 

amendment adopted or rescind the 

notice of amendment. If the amendment 

is adopted, it becomes effective not less 

than 30 calendar days after the 

validation firm receives the notice of 

amendment, unless the validation firm 

disagrees with the proposed amendment 

and petitions the TSA to reconsider, no 

later than 15 calendar days before the 

effective date of the amendment. The 

validation firm must send the petition 

for reconsideration to the designated 

official. A timely Petition for 

Reconsideration stays the effective date 

of the amendment. 

(3) Upon receipt of a Petition for 

Reconsideration, the designated official 

must either amend or withdraw the 

notice of amendment, or transmit the 

Petition, together with any pertinent 

information, to TSA for reconsideration. 

TSA must make a determination on the 

Petition within 30 calendar days of 

receipt, either by directing the 

designated official to withdraw or 

amend the notice of amendment, or by 

affirming the notice of amendment. 

(e) Emergency Amendments. (1) If 

TSA finds that there is an emergency 

requiring immediate action that makes 

compliance with the procedural 

requirements in this section contrary to 

the public interest, the designated 

official may issue an emergency 

amendment, without the prior notice 

and comment procedures described in 

paragraph (d) of this section. 

(2) The emergency amendment is 

effective without stay on the date the 

validation firm receives notification. 

TSA will incorporate in the notification 

a brief statement of the reasons and 

findings for the emergency amendment 

to be adopted. 

(3) The validation firm may file a 

Petition for Reconsideration with TSA 

no later than 15 calendar days after TSA 

issues the emergency amendment. The 

certified cargo screening facility must 

send the Petition for Reconsideration to 

the designated official; however, the 

filing does not stay the effective date of 

the emergency amendment. 

(f) Availability. Each validation firm 

having a security program must do the 

following: 

(1) Maintain an original of the 

security program at its corporate office. 

(2) Have accessible a complete copy, 

or the pertinent portions of its security 

program, or appropriate implementing 

instructions, at each office where it 

conducts validation services. An 

electronic version is adequate. 

(3) Make a copy of the security 

program available for inspection upon 

the request of TSA. 

(4) Restrict the distribution, 

disclosure, and availability of 

information contained in its security 

program to persons with a need to 

know, as described in part 1520 of this 

chapter. 

(5) Refer requests for such information 

by other persons to TSA. 

§ 1522.107 Application. 

(a) Initial application and approval. 

Unless otherwise authorized by TSA, 

each applicant must apply for a security 

program and for approval to operate as 

a validation firm, in a form and a 

manner prescribed by TSA, not less 

than 90 calendar days before the 

applicant intends to begin operations. 

The application must be in writing and 

include the following: 

(1) The firm’s legal name; other 

names, including doing business as 

names; state of incorporation or 


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licensing, if applicable; and tax 

identification number. 

(2) The names of the senior officers or 

employees of the applicant who will 

serve as the Security Coordinator and 

alternates. 

(3) A signed statement from each 

person listed in paragraph (a)(2) of this 

section stating whether he or she has 

been a senior manager or representative 

of any operator, whether or not a 

validation firm, that had its security 

program withdrawn by TSA. 

(4) Copies of Government-issued 

identification of persons listed in 

paragraph (a)(2) of this section. 

(5) The street address and e-mail 

address of the applicant. 

(6) A statement acknowledging the 

requirement that all personnel of the 

applicant who are subject to training 

under the requirements of this part must 

successfully complete such training 

before performing security-related 

duties. 

(7) Other information requested by 

TSA concerning security threat 

assessments. 

(8) A statement acknowledging that 

all personnel of the applicant who must 

successfully complete a security threat 

assessment under the requirements of 

this part must do so before the applicant 

authorizes the personnel to perform 

duties under this part. 

(b) Standard security program. After 

the Security Coordinator successfully 

completes a security threat assessment, 

TSA will provide to the applicant the 

validation firm standard security 

program, any security directives, and 

amendments to the security program 

and other alternative procedures that 

apply to validation firms. The applicant 

may either notify TSA that it accepts the 

standard security program or submit to 

TSA a proposed modified security 

program to the designated official for 

approval. The validation firm must also 

submit a supplement to the security 

program that specifies processes and 

procedures that the firm will use to 

maintain the qualification of its 

validators and its personnel assisting 

validators with assessments to the 

designated TSA official for approval. 

TSA will approve the security program 

under § 1522.109, or issue a written 

notice to modify under § 1522.109(b). 

§ 1522.109 TSA review and approval. 

(a) Review. TSA will review an 

application received under § 1522.107 

to determine whether— 

(1) The applicant has met the 

requirements of this part, the proposed 

security program, and any applicable 

Emergency Amendment and Security 

Directive; 

(2) The applicant is able and willing 

to carry out the requirements of this 

part, its security program, and an 

applicable Emergency Amendment and 

Security Directive; 

(3) The approval of such applicant’s 

security program is not contrary to the 

interests of security and the public 

interest; 

(4) The applicant has not held a 

security program that was withdrawn 

within the previous year, unless 

otherwise authorized by TSA; and 

(5) TSA determines that the applicant 

is qualified to be a validation firm. 

(b) Notice. (1) Approval. If an 

application is approved, TSA will send 

the applicant a written notice of 

approval of its security program, and 

approval to operate as a validation firm. 

(2) Commencement of operations. A 

validation firm may commence 

operations when it has received 

approval under this section, and 

successfully completed training and 

security threat assessments for all 

relevant personnel. 

(3) Disapproval. If an application is 

disapproved, TSA will serve a written 

notice of disapproval to the applicant. 

The notice of disapproval will include 

the basis of the disapproval of the 

application. 

(c) Duration of security program. A 

security program approved under this 

section will remain effective until the 

end of the calendar month 12 months 

after the month it was approved or until 

the program has been surrendered or 

withdrawn, whichever is earlier. 

§ 1522.111 Reconsideration of disapproval 

of an application. 

(a) Petition for reconsideration. If TSA 

disapproves an application under 

section 1522.107, the applicant may 

seek reconsideration of the decision by 

submitting a written petition for 

reconsideration to the Assistant 

Secretary or his or her designee within 

30 days of receiving the notice of 

disapproval. The written petition for 

reconsideration must include a 

statement and any supporting 

documentation explaining why the 

applicant believes the reason for 

disapproval is incorrect. 

(b) Review of petition. Upon review of 

the petition for reconsideration, the 

Assistant Secretary or designee makes a 

determination on the petition by either 

affirming the disapproval of the 

application or approving the 

application. The Assistant Secretary or 

designee may request additional 

information from the applicant prior to 

rendering a decision. This disposition is 

a final agency action for purposes of 49 

U.S.C. 46110. 

§ 1522.113 Withdrawal of approval. 

(a) Basis for withdrawal of approval. 

TSA may withdraw approval of a TSAapproved validation firm if the 

validation firm ceases to meet the 

standards for approval, fails to fulfill its 

responsibilities under this subpart, or if 

TSA determines that continued 

operation is contrary to safety and the 

public interest. 

(b) Notice of withdrawal of approval. 

(1) Except as provided in paragraph (c) 

of this section, TSA will provide a 

written notice of proposed withdrawal 

of approval to the validation firm. 

(2) The notice of proposed withdrawal 

of approval will include the basis for the 

withdrawal of approval. 

(3) Unless the validation firm files a 

written petition for reconsideration 

under paragraph (d) of this section, the 

notice of proposed withdrawal of 

approval will become a final notice of 

withdrawal of approval 31 days after the 

validation firm’s receipt of the notice of 

proposed withdrawal of approval. 

(c) Emergency notice of withdrawal of 

approval. (1) If TSA finds that there is 

an emergency requiring immediate 

action with respect to a TSA-approved 

validation firm’s ability to perform 

assessments, TSA may withdraw 

approval of that validation firm without 

prior notice. 

(2) TSA will incorporate in the 

emergency notice of withdrawal of 

approval a brief statement of the reasons 

and findings for the withdrawal of 

approval. 

(3) The emergency notice of 

withdrawal of approval is effective upon 

the TSA-approved validation firm’s 

receipt of the notice. The validation firm 

may file a written petition for 

reconsideration under paragraph (d) of 

this section; however, this petition does 

not stay the effective date of the 

emergency notice of withdrawal of 

approval. 

(d) Petition for reconsideration. A 

validation firm may seek 

reconsideration of the withdrawal of 

approval by submitting a written 

petition for reconsideration to the 

Assistant Secretary or designee within 

30 days of receiving the notice of 

withdrawal of approval. The filing of a 

petition for reconsideration does not 

stay the effective date of the withdrawal 

pending the reconsideration. 

(e) Review of petition. Upon review of 

the written petition for reconsideration, 

the Assistant Secretary or designee 

makes a determination on the petition 

by either affirming or withdrawing the 

notice of withdrawal of approval. The 

Assistant Secretary or designee may 

request additional information from the 

validation firm prior to rendering a 


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decision. This disposition is a final 

decision for purposes of review under 

49 U.S.C. 46110. 

§ 1522.115 Renewal of TSA approval. 

(a) Application. Every 12 months, 

computed from the date of initial 

approval under § 1522.107, or more 

frequently as required by TSA, each 

validation firm must apply, in a form 

and manner prescribed by TSA, for 

renewal of approval of its security 

program, and of approval to operate as 

a validation firm. If the validation firm 

submits the information in the month 

before or after it is due, the validation 

firm is considered to have submitted the 

information in the month it is due. If the 

validation firm timely submits its 

application for review of approval under 

this section, the validation firm may 

continue to conduct assessments under 

this subpart unless and until TSA 

denies the application. 

(b) Content. In addition to any other 

information required by TSA, the 

validation firm must submit the 

following information to TSA when 

applying for renewal: 

(1) If required, evidence that the 

validators and other individuals of the 

validation firm with responsibilities for 

participating in assessments have 

successfully completed the initial 

training under § 1522.119(a) and any 

recurrent training described in 

§ 1522.119(b). 

(2) Evidence that the individual 

validators with responsibilities for 

conducting assessments continue to be 

certified or accredited by an 

organization that TSA recognizes as 

qualified to certify or accredit a 

validator. 

(3) A statement signed by a senior 

officer or employee of the validation 

firm attesting that the firm has reviewed 

and ensures the continuing accuracy of 

the contents of its initial application for 

a security program, subsequent renewal 

applications, or other submissions to 

TSA confirming a change of information 

and noting the date such applications 

and submissions were made to TSA, 

including the following certification: 

[Name of validation firm] (hereinafter ‘‘the 

validation firm’’) has adopted and is 

currently carrying out a security program in 

accordance with the Transportation Security 

Regulations as originally approved on [Insert 

date of TSA initial approval]. In accordance 

with TSA regulations, the validation firm has 

notified TSA of any new or changed 

information required for the validation firm’s 

initial security program. If new or changed 

information is being submitted to TSA as part 

of this application for reapproval, that 

information is stated in this filing. 

The validation firm understands that 

intentional falsification of certification may 

be subject to both civil and criminal penalties 

under 49 CFR part 1540 and 18 U.S.C. 1001. 

Failure to notify TSA of any new or changed 

information required for initial approval of 

the validation firm’s security program in a 

timely fashion and in a form acceptable to 

TSA may result in withdrawal by TSA of 

approval of the validation firm’s security 

program. 

(c) Renewal. TSA will renew approval 

of the security program and the 

validation firm’s authority to conduct 

assessments if TSA determines that— 

(1) The validation firm has met the 

requirements of this chapter, its security 

program, and any Security Directive; 

and 

(2) The renewal of approval of the 

validation firm’s security program, and 

of the approval to operate as a 

validation firm, is not contrary to the 

interests of security or the public 

interest. 

(d) Effective. The renewal of approval 

issued pursuant to this section will 

remain effective until the end of the 

calendar month 12 months after the 

month it was approved or until the 

program has been surrendered or 

withdrawn, whichever is earlier. 

(e) Withdrawal. If a validation firm 

fails to comply with the requirements of 

this section, TSA may withdraw 

approval of the validation firm under 

§ 1522.113. 

§ 1522.117 Qualifications of validators. 

(a) Each assessment conducted under 

this subpart must be conducted by a 

validator who meets the following 

requirements: 

(1) He or she must be a citizen or 

national of the United States or be an 

alien lawfully admitted for permanent 

residence. 

(2) He or she must meet the 

requirements of paragraph (a)(2)(i) or (ii) 

of this section. 

(i) He or she must hold a certification 

or accreditation from an organization 

that TSA recognizes as qualified to 

certify or accredit a validator for 

assessments and must have at least five 

years of experience in inspection or 

validating compliance with State or 

Federal regulations in the security 

industry, the aviation industry, or 

government programs. The five years of 

experience must have been obtained 

within 10 years of the date of the 

application. 

(ii) He or she must have at least five 

years experience as an inspector for a 

Federal or State government agency 

performing inspections similar to the 

inspections called for in this subpart 

and part 1549. The five years of 

experience must have been obtained 

within 10 years of the date of the 

application. 

(3) The validator must have three 

professional references that address his 

or her abilities in inspection, validation, 

and written communications. 

(4) The validator must have sufficient 

knowledge of the rules, regulations, 

policies, security programs, directives, 

and orders, pertaining to the certified 

cargo screening program (CCSP). 

(5) The validator must have the ability 

to apply the concepts, principles, and 

methods of compliance with the 

requirements of the certified cargo 

screening program to include 

assessment, inspection, investigation, 

and reporting of compliance with the 

certified cargo screening program. 

(b) Each validator and each individual 

who assists in conducting assessments 

must successfully undergo a security 

threat assessment as required under 

§ 1522.121. 

§ 1522.119 Training. 

(a) Initial training. The validation firm 

must ensure that its validators and 

individuals who will assist in 

conducting assessments have completed 

the initial training prescribed by TSA 

before conducting any assessment under 

this subpart. 

(b) Recurrent training. The validation 

firm must ensure that each validator and 

each individual assisting in conducting 

assessments under this subpart 

completes the recurrent training 

prescribed by TSA not later than 12 

months after the validator’s or 

individual’s most recent TSA-prescribed 

training. If the validator or individual 

completes the recurrent training in the 

month before or the month after it is 

due, he or she is considered to have 

taken it in the month it is due. 

(c) Content. The training required by 

this section will include coverage of the 

applicable provisions of this chapter, 

including this part, part 1520, and 

§ 1540.105. 

§ 1522.121 Security threat assessments 

for personnel of TSA-approved validation 

firms. 

Each of the following must 

successfully complete a security threat 

assessment or comparable security 

threat assessment described in part 

1540, subpart C of this chapter: 

(a) Each individual who supervises 

validators or individuals who will assist 

validators. 

(b) The validation firm’s validator 

authorized to perform assessment 

services under this subpart. 

(c) The validation firm’s Security 

Coordinator and alternates. 

(d) Each individual who will assist 

the validator in conducting assessments. 


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§ 1522.123 Conduct of assessments. 

(a) Standards for assessment. Each 

validator must assess, in a form and 

manner prescribed by TSA, whether the 

person seeking to operate or operating 

as a certified cargo screening facility is 

in compliance with 49 CFR part 1549. 

The validator may be assisted by other 

individuals; however, the validator is 

directly responsible for the assessment 

and must sign the assessment report. 

(b) Conflict of interest. A validator 

may not conduct an assessment for 

which there exists a conflict of interest 

as defined in § 1552.1. 

(c) Immediate notification to TSA. If 

during the course of an assessment, the 

validator believes that there is or may be 

an instance of noncompliance with TSA 

requirements that presents an imminent 

threat to transportation security or 

public safety, he or she must report the 

instance immediately to the Security 

Coordinator, and the Security 

Coordinator must report the instance 

immediately to TSA. 

(d) No authorization to take remedial 

or disciplinary action. Neither the 

validation firm nor the validator is 

authorized to require any remedial 

action by, or to take any disciplinary or 

enforcement action against, the facility 

under assessment. 

(e) Prohibition on consecutive 

assessments. Unless otherwise 

authorized by TSA, a validation firm 

must not conduct more than two 

consecutive assessments of a person 

seeking approval, or renewal of 

approval, to operate a certified cargo 

screening facility. 

§ 1522.125 Protection of information. 

(a) Sensitive Security Information. 

Each validation firm must comply with 

the requirements in 49 CFR part 1520 

regarding the handling and protection of 

Sensitive Security Information (SSI). 

(b) Non-disclosure of proprietary 

information. Unless explicitly 

authorized by TSA, no validation firm, 

or any of its officers, Security 

Coordinators, validators, or employees, 

or individuals assisting in validations, 

may make an unauthorized release nor 

disseminate any information that TSA 

or an entity being assessed indicates is 

proprietary information. 

§ 1522.127 Assessment report. 

(a) Each validator must prepare and 

submit to TSA a written assessment 

report, in a manner and form prescribed 

by TSA, within 30 calendar days of 

completing each assessment. 

(b) The assessment report must 

include the following information, in 

addition to any other information 

otherwise required by TSA: 

(1) A description of the facilities, 

equipment, systems, processes, and/or 

procedures that were assessed and any 

other information as determined by 

TSA. 

(2) The validator’s assessment 

regarding the facility’s compliance with 

TSA requirements, including all 

elements of the applicable security 

program. 

(3) Signed attestation by the 

individual validator with responsibility 

for the assessment that no conflicts of 

interest existed with regard to the 

assessment and that the assessment was 

conducted impartially, professionally, 

and consistent with the standards set 

forth by TSA. 

§ 1522.129 Recordkeeping requirements. 

(a) Each validation firm must 

maintain records demonstrating 

compliance with all statutes, 

regulations, directives, orders, and 

security programs that apply to 

operation as a validation firm, including 

the records listed below. 

(b) Each validation firm must retain 

the following records for 180 days after 

the individual is no longer employed by 

the validation firm or is no longer acting 

as the firm’s agent. 

(1) Records of all training and 

instruction given to each individual 

under the requirements of this subpart. 

(2) Records demonstrating that the 

validation firm has complied with the 

security threat assessment provisions of 

§ 1522.121. 

(3) Records about the qualifications of 

validators it uses to conduct 

assessments under this subpart. 

(c) Each validation firm must retain 

the following records until completion 

of the validation firm’s next review 

under § 1522.115, after which the 

records may be destroyed unless TSA 

instructs the validation firm to retain 

the records for a longer period. 

(1) Copies of all applications for 

approval, or renewal of approval, by 

TSA to operate as a validation firm 

under part 1522. 

(2) Copies of TSA’s approval and 

renewals of approval as required by part 

1522. 

(d) Each validation firm must retain 

assessment reports and copies of backup documentation supporting each 

assessment report submitted to TSA for 

42 months after the assessment. 

Subchapter C—Civil Aviation Security 

PART 1540—CIVIL AVIATION 

AUTHORITY: GENERAL RULES 

■ 10. The authority citation for part 

1540 continues to read as follows: 

Authority: 49 U.S.C. 114, 5103, 40113, 

44901–44907, 44913–44914, 44916–44918, 

44935–44936, 44942, 46105. 

Subpart A—General 

■ 11. Amend § 1540.5 by adding 

definitions of ‘‘certified cargo screening 

program’’, ‘‘certified cargo screening 

facility’’, and ‘‘standard security 

program’’ in alphabetical order to read 

as follows: 

§ 1540.5 Terms used in this subchapter. 

* * * * * 

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. 

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. 

* * * * * 

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 procedures 

approved or accepted by TSA. 

* * * * * 

■ 12. Revise part 1540, subpart C to read 

as follows: 

Subpart C—Security Threat 

Assessments 

Sec. 

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. 

§ 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, certified cargo screening 

facilities, and TSA-approved validation 

firms must use to have security threat 

assessments performed on certain 

individuals pursuant to 49 CFR 

1522.121, 1544.228, 1546.213, 1548.7, 

1548.15, 1548.16, and 1549.113. This 

subpart applies to the following: 


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(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. 

(10) Each TSA-approved validation 

firm for the certified cargo screening 

program described in 49 CFR part 1522 

subpart B. 

(11) Each individual of the TSAapproved validation firm under 49 CFR 

part 1522 subpart B who supervises, 

conducts, or assists in the validation. 

(12) The security coordinator and 

alternates of each TSA-approved 

validation firm under 49 CFR part 1522 

subpart B and of each certified cargo 

screening facility. 

(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, a certified 

cargo screening facility described in 

paragraph (a)(6) of this section, and a 

TSA-approved validator described in 

paragraph (a)(10) 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. 

§ 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) Personnel of TSA-approved 

validation firms, as described in 

§ 1522.121. 

(2) Cargo personnel in the United 

States, as described in § 1544.228. 

(3) Cargo personnel in the United 

States, as described in § 1546.213. 

(4) Individuals with unescorted access 

to cargo, as described in § 1548.15. 

(5) Proprietors, general partners, 

officers, directors, and owners of an 

indirect air carrier, as described in 

§ 1548.16. 

(6) 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 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: 

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. 

(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 


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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 

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. 

§ 1540.205 Procedures for security threat 

assessment. 

(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 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] 

§ 1540.209 Fees for security threat 

assessment. 

This section describes the payment 

process for completion of the security 

threat assessments required under 

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, certified 

cargo screening facility, or TSAapproved validation firm submits the 

information required under § 1540.203 

or § 1540.207 to TSA. 


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(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. 

■ 13. Add new subpart D to part 1540 

to read as follows: 

Subpart D—Responsibilities of Holders 

of TSA-Approved Security Programs 

Sec. 

1540.301 Withdrawal of approval of a 

security program. 

1540.303 [Reserved] 

Subpart D—Responsibilities of Holders 

of TSA-Approved Security Programs 

§ 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 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 1544—AIRCRAFT OPERATOR 

SECURITY: AIR CARRIERS AND 

COMMERCIAL OPERATORS 

■ 14. The authority citation for part 

1544 continues to read as follows: 

Authority: 49 U.S.C. 114, 5103, 40113, 

44901–44905, 44907, 44913–44914, 44916– 

44918, 44932, 44935–44936, 44942, 46105. 

Subpart C—Operations 

■ 15. Amend § 1544.205 by revising 

paragraph (e) and adding new paragraph 

(g) to read as follows: 

§ 1544.205 Acceptance and screening of 

cargo. 

* * * * * 

(e) Acceptance of cargo only from 

specified persons. Each aircraft operator 

operating under a full program or a full 

all-cargo program may accept cargo to 

be loaded in the United States for air 

transportation only from the shipper, an 

aircraft operator, foreign air carrier, or 

indirect air carrier operating under a 

security program under this chapter 

with a comparable cargo security 

program, or, in the case of an operator 

under a full program, from a certified 

cargo screening facility, as provided in 

its security program. 

* * * * * 

(g) Screening of cargo loaded inside 

the United States by a full program 


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operator. For cargo to be loaded in the 

United States, each operator under a full 

program in § 1544.101(a) must ensure 

that all cargo is screened in the United 

States as follows: 

(1) Amount screened. (i) Not later 

than February 3, 2009, each operator 

under a full program must ensure that 

at least 50 percent of its cargo is 

screened prior to transport on a 

passenger aircraft. 

(ii) Not later than August 3, 2010, 

each operator under a full program must 

ensure that 100 percent of its cargo is 

screened prior to transport on a 

passenger aircraft. 

(2) Methods of screening. For the 

purposes of this paragraph (g), the 

aircraft operator must ensure that cargo 

is screened using a physical 

examination or non-intrusive method of 

assessing whether cargo poses a threat 

to transportation security, as provided 

in its security program. Such methods 

may include TSA-approved x-ray 

systems, explosives detection systems, 

explosives trace detection, explosives 

detection canine teams certified by TSA, 

or a physical search together with 

manifest verification, or other method 

approved by TSA. 

(3) Limitation on who may conduct 

screening. Screening must be conducted 

by the aircraft operator on an airport 

with a complete program under 49 CFR 

part 1542, by another aircraft operator or 

foreign air carrier operating under a 

security program under this chapter 

with a comparable cargo security 

program on an airport, by a certified 

cargo screening facility in accordance 

with 49 CFR part 1549, or by TSA. If an 

aircraft operator or foreign air carrier 

screens cargo off an airport, it must do 

so as a certified cargo screening facility 

in accordance with part 1549. 

(4) Verification. The aircraft operator 

must verify that the chain of custody 

measures for the screened cargo are 

intact prior to loading such cargo on 

aircraft, or must ensure that the cargo is 

re-screened in accordance with this 

chapter. 

■ 16. Revise § 1544.228 to read as 

follows: 

§ 1544.228 Access to cargo and cargo 

screening: Security threat assessments for 

cargo personnel in the United States. 

This section applies in the United 

States to each aircraft operator operating 

under a full program under 

§ 1544.101(a) or a full all-cargo program 

under § 1544.101(h). 

(a) Before an aircraft operator 

authorizes and before an individual 

performs a function described in 

paragraph (b) of this section— 

(1) Each individual must successfully 

complete a security threat assessment or 

comparable security threat assessment 

described in part 1540 subpart C of this 

chapter; and 

(2) Each aircraft operator must 

complete the requirements in part 1540 

subpart C. 

(b) The security threat assessment 

required in paragraph (a) of this section 

applies to the following: 

(1) Each individual who has 

unescorted access to cargo and access to 

information that such cargo will be 

transported on a passenger aircraft; or 

who has unescorted access to cargo that 

has been screened for transport on a 

passenger aircraft; or who performs 

certain functions related to the 

transportation, dispatch, or security of 

cargo for transport on a passenger 

aircraft or all-cargo aircraft, as specified 

in the aircraft operator’s security 

program; from the time— 

(i) The cargo reaches a location where 

an aircraft operator with a full all-cargo 

program consolidates or inspects it 

pursuant to security program 

requirements until the cargo enters an 

airport Security Identification Display 

Area or is transferred to another TSAregulated aircraft operator, foreign air 

carrier, or indirect air carrier; or 

(ii) An aircraft operator with a full 

program accepts the cargo until the 

cargo— 

(A) Enters an airport Security 

Identification Display Area; 

(B) Is removed from the destination 

airport; or 

(C) Is transferred to another TSAregulated aircraft operator, foreign air 

carrier, or indirect air carrier. 

(2) Each individual the aircraft 

operator authorizes to screen cargo or to 

supervise the screening of cargo under 

§ 1544.205. 

Subpart E—Screener Qualifications 

When the Aircraft Operator Performs 

Screening 

■ 17. Revise § 1544.401 to read as 

follows: 

§ 1544.401 Applicability of this subpart. 

This subpart applies when the aircraft 

operator is conducting inspections as 

provided in § 1544.207. 

§ 1544.403 [Removed and Reserved] 

■ 18. Remove and reserve § 1544.403. 

§ 1544.405 Qualifications of screening 

personnel. 

■ 19. Revise the heading of § 1544.405 

to read as set forth above. 

■ 20. Amend § 1544.407 by revising the 

heading and paragraph (c) to read as 

follows: 

§ 1544.407 Training, testing, and 

knowledge of individuals who perform 

screening functions. 

* * * * * 

(c) Citizenship. A screener must be a 

citizen or national of the United States. 

* * * * * 

§ 1544.409 Integrity of screener tests. 

■ 21. Revise the heading of § 1544.409 

to read as set forth above. 

§ 1544.411 Continuing qualifications of 

screening personnel. 

■ 22. Revise the heading of § 1544.411 

to read as set forth above. 

PART 1546—FOREIGN AIR CARRIER 

SECURITY 

■ 23. The authority citation for part 

1546 continues to read as follows: 

Authority: 49 U.S.C. 114, 5103, 40113, 

44901–44905, 44907, 44914, 44916–44917, 

44935–44936, 44942, 46105. 

Subpart C—Operations 

■ 24. Amend § 1546.205 by revising 

paragraphs (d) and (e) and adding new 

paragraph (g) to read as follows: 

§ 1546.205 Acceptance and screening of 

cargo. 

* * * * * 

(d) Screening and inspection of cargo 

in the United States. For cargo to be 

loaded in the United States, each foreign 

air carrier operating a program under 

§ 1546.101(1)(a), (b), (e), or (f) must 

ensure that cargo is screened and 

inspected for any unauthorized person, 

and any unauthorized explosive, 

incendiary, and other destructive 

substances or items as provided in the 

foreign air carrier’s security program 

and § 1546.207, and as provided in 

§ 1546.213 for operations under 

§ 1546.101(a) or (b), before loading it on 

its aircraft in the United States. 

(e) Acceptance of cargo only from 

specified persons. Except as otherwise 

provided in its program, each foreign air 

carrier operating a program under 

§ 1546.101(a), (b), (e) or (f) may accept 

cargo for air transportation to be loaded 

in the United States only from the 

shipper, or from an aircraft operator, 

foreign air carrier, or indirect air carrier 

operating under a security program 

under this chapter with a comparable 

cargo security program, or, in the case 

of a foreign air carrier under 

§ 1546.101(a) or (b), from a certified 

cargo screening facility, as provided in 

its security program. 

* * * * * 

(g) Screening of cargo loaded inside 

the United States under § 1546.101(a) or 


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(b). For cargo to be loaded in the United 

States, each foreign air carrier under 

§ 1546.101(a) or (b) must ensure that all 

cargo is screened in the United States as 

follows: 

(1) Amount screened. (i) Not later 

than February 3, 2009, each foreign air 

carrier must ensure that at least 50 

percent of its cargo is screened prior to 

transport on a passenger aircraft. 

(ii) Not later than August 3, 2010, 

each foreign air carrier must ensure that 

100 percent of its cargo is screened prior 

to transport on a passenger aircraft. 

(2) Methods of screening. For the 

purposes of this paragraph (g), the 

foreign air carrier must ensure that cargo 

is screened using a physical 

examination or non-intrusive method of 

assessing whether cargo poses a threat 

to transportation security, as provided 

in its security program. Such methods 

may include TSA-approved x-ray 

systems, explosives detection systems, 

explosives trace detection, explosives 

detection canine teams certified by TSA, 

a physical search together with manifest 

verification, or other method approved 

by TSA. 

(3) Limitation on who may conduct 

screening. Screening must be conducted 

by the foreign air carrier on an airport, 

by another aircraft operator or foreign 

air carrier operating under a security 

program under this chapter with a 

comparable cargo security program on 

an airport with a complete program 

under 49 CFR part 1542, by a certified 

cargo screening facility in accordance 

with 49 CFR part 1549, or by TSA. If an 

aircraft operator or foreign air carrier 

screens cargo off an airport, it must do 

so as a certified cargo screening facility 

in accordance with part 1549. 

(4) The foreign air carrier must verify 

that the chain of custody measures for 

the screened cargo are intact prior to 

loading such cargo on aircraft, or must 

ensure that the cargo is re-screened in 

accordance with this chapter. 

■ 25. Revise § 1546.213 to read as 

follows: 

§ 1546.213 Access to cargo: Security 

threat assessments for cargo personnel in 

the United States. 

This section applies in the United 

States to each foreign air carrier 

operating under § 1546.101(a), (b), or (e). 

(a) Before a foreign air carrier 

authorizes and before an individual 

performs a function described in 

paragraph (b) of this section— 

(1) Each individual must successfully 

complete a security threat assessment or 

comparable security threat assessment 

described in part 1540 subpart C of this 

chapter; and 

(2) Each aircraft operator must 

complete the requirements in part 1540 

subpart C. 

(b) The security threat assessment 

required in paragraph (a) of this section 

applies to the following: 

(1) Each individual who has 

unescorted access to cargo and access to 

information that such cargo will be 

transported on a passenger aircraft; or 

who has unescorted access to cargo that 

has been screened for transport on a 

passenger aircraft; or who performs 

certain functions related to the 

transportation, dispatch or security of 

cargo for transport on a passenger 

aircraft or all-cargo aircraft, as specified 

in the foreign air craft operator’s or 

foreign air carrier’s security program; 

from the time— 

(i) The cargo reaches a location where 

a foreign air carrier operating under 

§ 1546.101(e) consolidates or inspects it 

pursuant to security program 

requirements, until the cargo enters an 

airport Security Identification Display 

Area or is transferred to another TSAregulated aircraft operator, foreign air 

carrier, or indirect air carrier; or 

(ii) A foreign air carrier under 

§§ 1546.101(a) or (b) accepts the cargo, 

until the cargo— 

(A) Enters an airport Security 

Identification Display Area; 

(B) Is removed from the destination 

airport; or 

(C) Is transferred to another TSAregulated aircraft operator, foreign air 

carrier, or indirect air carrier. 

(2) Each individual the foreign air 

carrier authorizes to screen cargo or to 

supervise the screening of cargo under 

§ 1546.205. 

Subpart E—Screener Qualifications 

When the Foreign Air Carrier Conducts 

Screening 

■ 26. Revise § 1546.401 to read as 

follows: 

§ 1546.401 Applicability of this subpart. 

This subpart applies when the aircraft 

operator is conducting inspections as 

provided in § 1546.207. 

§ 1546.403 [Removed and Reserved] 

■ 27. Remove and reserve § 1546.403. 

§ 1546.405 Qualifications of screening 

personnel. 

■ 28. Revise the heading of § 1546.405 

to read as set forth above. 

§ 1546.407 Training, testing, and 

knowledge of individuals who perform 

screening functions. 

■ 29. Revise the heading of § 1546.407 

to read as set forth above. 

§ 1546.409 Integrity of screener tests. 

■ 30. Revise the heading of § 1546.409 

to read as set forth above. 

§ 1546.411 Continuing qualifications of 

screening personnel. 

■ 31. Revise the heading of § 1546.411 

to read as set forth above. 

PART 1548—INDIRECT AIR CARRIER 

SECURITY 

■ 32. The authority citation for part 

1548 continues to read as follows: 

Authority: 49 U.S.C. 114, 5103, 40113, 

44901–44905, 44913–44914, 44916–44917, 

44932, 44935–44936, 46105. 

■ 33. Revise § 1548.7(f) to read as 

follows: 

§ 1548.7 Approval, amendment, annual 

renewal, and withdrawal of approval of the 

security program. 

* * * * * 

(f) Withdrawal of approval of a 

security program. Section 1540.301 

includes procedures for withdrawal of 

approval of a security program. 

* * * * * 

■ 34. Revise § 1548.15 to read as 

follows: 

§ 1548.15 Access to cargo: Security threat 

assessments for individuals having 

unescorted access to cargo. 

(a) Before an aircraft operator 

authorizes and before an individual 

performs a function described in 

paragraph (b) of this section— 

(1) Each individual must successfully 

complete a security threat assessment or 

comparable security threat assessment 

described in part 1540 subpart C of this 

chapter; and 

(2) Each aircraft operator must 

complete the requirements in part 1540 

subpart C. 

(b) The security threat assessment 

required in paragraph (a) of this section 

applies to the following: 

(1) Each individual who has 

unescorted access to cargo and access to 

information that such cargo will be 

transported on a passenger aircraft; or 

who has unescorted access to cargo 

screened for transport on a passenger 

aircraft; or who performs certain 

functions related to the transportation, 

dispatch or security of cargo for 

transport on a passenger aircraft or allcargo aircraft, as specified in the 

indirect air carrier’s security program; 

from the time— 

(i) Cargo to be transported on an allcargo aircraft operated by an aircraft 

operator with a full all-cargo program 

under § 1544.101(h) of this chapter, or 

by a foreign air carrier under 

§ 1546.101(e) of this chapter, reaches an 


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indirect air carrier facility where the 

indirect air carrier consolidates or holds 

the cargo, until the indirect air carrier 

transfers the cargo to an aircraft operator 

or foreign air carrier; or 

(ii) Cargo to be transported on a 

passenger aircraft operated by an aircraft 

operator with a full program under 

§ 1544.101(a) or by a foreign air carrier 

under § 1546.101(a) or (b) of this 

chapter, is accepted by the indirect air 

carrier, until the indirect air carrier 

transfers the cargo to an aircraft operator 

or foreign air carrier. 

(2) Each individual the indirect air 

carrier authorizes to screen cargo or to 

supervise the screening of cargo under 

§ 1548.21. 

■ 35. Revise § 1548.16(a) to read as 

follows: 

§ 1548.16 Security threat assessments for 

each proprietor, general partner, officer, 

director, and certain owners of the entity. 

(a) Before an indirect air carrier 

permits a proprietor, general partner, 

officer, director, or owner of the entity 

to perform those functions— 

(1) The proprietor, general partner, 

officer, director, or owner of the entity 

must successfully complete a security 

threat assessment or comparable 

security threat assessment described in 

part 1540 subpart C of this chapter; and 

(2) Each indirect air carrier must 

complete the requirements in 49 CFR 

part 1540, subpart C. 

* * * * * 

■ 36. Add new § 1548.21 to read as 

follows: 

§ 1548.21 Screening of cargo. 

An IAC may only screen cargo for 

transport on a passenger aircraft under 

§§ 1544.205 and 1546.205 if the IAC is 

a certified cargo screening facility as 

provided in part 1549. 

■ 37. Add new part 1549 to subchapter 

C to read as follows: 

PART 1549—CERTIFIED CARGO 

SCREENING PROGRAM 

Subpart A—General 

Sec. 

1549.1 Applicability. 

1549.3 TSA inspection authority. 

1549.5 Adoption and implementation of the 

security program. 

1549.7 Approval, amendment, renewal of 

the security program and certification of 

the certified cargo screening facility. 

Subpart B—Operations 

1549.101 Acceptance, screening, and 

transfer of cargo. 

1549.103 Qualifications and Training of 

individuals with security-related duties. 

1549.105 Recordkeeping. 

1549.107 Security coordinators. 

1549.109 Security Directives and 

Information Circulars. 

1549.111 Security threat assessments for 

personnel of certified cargo screening 

facilities. 

Authority: 49 U.S.C. 114, 5103, 40113, 

44901–44905, 44913–44914, 44916–44917, 

44932, 44935–44936, 46105. 

Subpart A—General 

§ 1549.1 Applicability. 

This part applies to each facility 

applying for or certified by TSA as a 

certified cargo screening facility to 

screen cargo that will be transported on 

a passenger aircraft operated under a 

full program under 49 CFR 1544.101(a), 

or a foreign air carrier operating under 

a program under 49 CFR 1546.101(a) or 

(b). 

§ 1549.3 TSA inspection authority. 

(a) Each certified cargo screening 

facility must allow TSA, at any time or 

place, in a reasonable manner, without 

advance notice, to enter the facility and 

make any inspections or tests, including 

copying records, to— 

(1) Determine compliance of a 

certified cargo screening facility, airport 

operator, foreign air carrier, indirect air 

carrier, or airport tenant with this 

chapter and 49 U.S.C. 114 and Subtitle 

VII, as amended; or 

(2) Carry out TSA’s statutory or 

regulatory authorities, including its 

authority to— 

(i) Assess threats to transportation; 

(ii) Enforce security-related 

regulations, directives, and 

requirements: 

(iii) Inspect, maintain, and test the 

security of facilities, equipment, and 

systems; 

(iv) Ensure the adequacy of security 

measures for the transportation of 

passengers and cargo; 

(v) Oversee the implementation, and 

ensure the adequacy, of security 

measures at airports and other 

transportation facilities; 

(vi) Review security plans; and 

(vii) Carry out such other duties, and 

exercise such other powers, relating to 

transportation security as the Assistant 

Secretary of Homeland Security for the 

TSA considers appropriate, to the extent 

authorized by law. 

(b) At the request of TSA, each 

certified cargo screening facility must 

provide evidence of compliance with 

this chapter, including copying records. 

(c) TSA and DHS officials working 

with TSA may conduct inspections 

under this section without access media 

or identification media issued or 

approved by a certified cargo screening 

facility or other person, except that the 

TSA and DHS officials will have 

identification media issued by TSA or 

DHS. 

§ 1549.5 Adoption and implementation of 

the security program. 

(a) Security program required. No 

person may screen cargo to be tendered 

to an aircraft operator operating under a 

full program under part 1544, a foreign 

air carrier operating under § 1546.101(a) 

or (b), or an indirect air carrier operating 

under § 1548.5 for carriage on a 

passenger aircraft, unless that person 

holds and carries out an approved 

security program under this part. 

(b) Content. Each security program 

under this part must— 

(1) Provide for the security of the 

aircraft, as well as that of persons and 

property traveling in air transportation 

against acts of criminal violence and air 

piracy and against the introduction into 

the aircraft of any unauthorized 

explosive, incendiary, and other 

destructive substance or item as 

provided in the certified cargo screening 

facility’s security program; 

(2) Be designed to prevent or deter the 

introduction of any unauthorized 

explosive, incendiary, and other 

destructive substance or item onto an 

aircraft; and 

(3) Include the procedures and 

description of the facilities and 

equipment used to comply with the 

requirements of this part. 

(c) Employees and agents. The 

certified cargo screening facility must 

ensure that its employees and agents 

carry out the requirements of this 

chapter and the certified cargo screening 

facility’s security program. 

(d) Facility’s security program. The 

certified cargo screening facility 

standard security program together with 

approved alternate procedures and 

amendments issued to a particular 

facility constitutes that facility’s 

security program. 

(e) Availability. Each certified cargo 

screening facility must: 

(1) Maintain an original of the 

security program at its corporate office. 

(2) Have accessible a complete copy, 

or the pertinent portions of its security 

program, or appropriate implementing 

instructions, at its facility. An electronic 

version is adequate. 

(3) Make a copy of the security 

program available for inspection upon 

the request of TSA. 

(4) Restrict the distribution, 

disclosure, and availability of 

information contained in its security 

program to persons with a need to 

know, as described in part 1520 of this 

chapter. 

(5) Refer requests for such information 

by other persons to TSA. 


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§ 1549.7 Approval, amendment, renewal of 

the security program and certification of a 

certified cargo screening facility. 

(a) Initial application and approval. 

(1) Application. Unless otherwise 

authorized by TSA, each applicant must 

apply for a security program and for 

certification as a certified cargo 

screening facility at a particular 

location, in a form and a manner 

prescribed by TSA not less than 90 

calendar days before the applicant 

intends to begin operations. TSA will 

only approve a facility to operate as a 

CCSF if it is located in the United 

States. The CCSF application must be in 

writing and include the following: 

(i) The business name; other names, 

including doing business as; state of 

incorporation, if applicable; and tax 

identification number. 

(ii) The name of the senior manager or 

representative of the applicant in 

control of the operations at the facility. 

(iii) A signed statement from each 

person listed in paragraph (a)(1)(ii) of 

this section stating whether he or she 

has been a senior manager or 

representative of a facility that had its 

security program withdrawn by TSA. 

(iv) Copies of government-issued 

identification of persons listed in 

paragraph (a)(1)(ii) of this section. 

(v) The street address of the facility 

where screening will be conducted. 

(vi) A statement acknowledging and 

ensuring that each individual and agent 

of the applicant, who is subject to 

training under § 1549.11, will have 

successfully completed the training 

outlined in its security program before 

performing security-related duties. 

(vii) Other information requested by 

TSA concerning Security Threat 

Assessments. 

(viii) A statement acknowledging and 

ensuring that each individual will 

successfully complete a Security Threat 

Assessment under § 1549.111 before the 

applicant authorizes the individual to 

have unescorted access to screened 

cargo or to screen or supervise the 

screening of cargo. 

(2) Standard security program and 

assessment. (i) After the Security 

Coordinator for an applicant 

successfully completes a security threat 

assessment, TSA will provide to the 

applicant the certified cargo screening 

standard security program, any security 

directives, and amendments to the 

security program and other alternative 

procedures that apply to the facility. 

The applicant may either accept the 

standard security program or submit a 

proposed modified security program to 

the designated official for approval. TSA 

will approve the security program under 

paragraphs (a)(3) and (a)(4) of the 

section or issue a written notice to 

modify under paragraph (a)(4) of this 

section. 

(ii) An applicant must successfully 

undergo an assessment by a TSAapproved validation firm under 49 CFR 

part 1522 or by TSA. 

(3) Review. TSA will review a facility 

at a particular location to determine 

whether— 

(i) The applicant has met the 

requirements of this part, its security 

program, and any applicable Security 

Directive; 

(ii) The applicant has successfully 

undergone an assessment by a TSAapproved validation firm under 49 CFR 

part 1522 or by TSA; 

(iii) The applicant is able and willing 

to carry out the requirements of this 

part, its security program, and an 

applicable Security Directive; 

(iv) The approval of such applicant’s 

security program is not contrary to the 

interests of security and the public 

interest; 

(v) The applicant has not held a 

security program that was withdrawn 

within the previous year, unless 

otherwise authorized by TSA; and 

(vi) TSA determines that the applicant 

is qualified to be a certified cargo 

screening facility. 

(4) Approval and certification. If TSA 

determines that the requirements of 

paragraph (a)(4) of this section are met 

and the application is approved, TSA 

will send the applicant a written notice 

of approval of its security program, and 

certification to operate as a certified 

cargo screening facility. 

(5) Commencement of operations. The 

certified cargo screening facility may 

operate under a security program when 

it meets all TSA requirements, 

including but not limited to a validation 

by TSA or a TSA-approved validation 

firm, successful completion of training, 

and Security Threat Assessments by 

relevant personnel. 

(6) Duration of security program. The 

security program will remain effective 

until the end of the calendar month 

three years after the month it was 

approved or until the program has been 

surrendered or withdrawn, whichever is 

earlier. 

(7) Requirement to report changes in 

information. Each certified cargo 

screening facility under this part must 

notify TSA, in a form and manner 

approved by TSA, of any changes to the 

information submitted during its initial 

application. 

(i) The CCSF must submit this 

notification to TSA not later than 30 

days prior to the date the change is 

expected to occur. 

(ii) Changes included in the 

requirement of this paragraph include, 

but are not limited to, changes in the 

certified cargo screening facility’s 

contact information, senior manager or 

representative, business addresses and 

locations, and form of business facility. 

(iii) If the certified cargo screening 

facility relocates, TSA will withdraw 

the existing certification and require the 

new facility to undergo a validation and 

certification process. 

(b) Renewal Application. Upon timely 

submittal of an application for renewal, 

and unless and until TSA denies the 

application, the certified cargo 

screening facility’s approved security 

program remains in effect. 

(1) Unless otherwise authorized by 

TSA, each certified cargo screening 

facility must timely submit to TSA, at 

least 30 calendar days prior to the first 

day of the 36th anniversary month of 

initial approval of its security program, 

an application for renewal of its security 

program in a form and a manner 

approved by TSA. 

(2) The certified cargo screening 

facility must demonstrate that it has 

successfully undergone a revalidation of 

its operations by a TSA or a TSAapproved validation firm prior to the 

first day of the 36th anniversary month 

of initial approval of its security 

program. 

(3) The application for renewal must 

be in writing and include a signed 

statement that the certified cargo 

screening facility has reviewed and 

ensures the continuing accuracy of the 

contents of its initial application for a 

security program, subsequent renewal 

applications, or other submissions to 

TSA confirming a change of information 

and noting the date such applications 

and submissions were sent to TSA, 

including the following certification: 

[Name of certified cargo screening facility] 

(hereinafter ‘‘the CCSF’’) has adopted and is 

currently carrying out a security program in 

accordance with the Transportation Security 

Regulations as originally approved on [Insert 

date of TSA initial approval]. In accordance 

with TSA regulations, the CCSF has notified 

TSA of any new or changed information 

required for the CCSF’s initial security 

program. If new or changed information is 

being submitted to TSA as part of this 

application for reapproval, that information 

is stated in this filing. 

The CCSF understands that intentional 

falsification of certification to an aircraft 

operator, foreign air carrier, indirect air 

carrier, or to TSA may be subject to both civil 

and criminal penalties under 49 CFR part 

1540 and 18 U.S.C. 1001. Failure to notify 

TSA of any new or changed information 

required for initial approval of the CCSF’s 

security program in a timely fashion and in 

a form acceptable to TSA may result in 


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withdrawal by TSA of approval of the CCSF’s 

security program. 

(4) TSA will renew approval of the 

security program if TSA determines 

that— 

(i) The CCSF has met the 

requirements of this chapter, its security 

program, and any Security Directive; 

and 

(ii) The renewal of its security 

program is not contrary to the interests 

of security and the public interest. 

(5) If TSA determines that the 

certified cargo screening facility meets 

the requirements of paragraph (b)(3) of 

this section, it will renew the certified 

cargo screening facility’s security 

program and certification. The security 

program and certification will remain 

effective until the end of the calendar 

month three years after the month it was 

renewed. 

(c) Amendment requested by a 

certified cargo screening entity or 

applicant. A certified cargo screening 

facility or applicant may file a request 

for an amendment to its security 

program with the TSA designated 

official at least 45 calendar days before 

the date it proposes for the amendment 

to become effective, unless the 

designated official allows a shorter 

period. Any certified cargo screening 

facility may submit to TSA a group 

proposal for an amendment that is on 

behalf of it and other certified cargo 

screening facilities that co-sign the 

proposal. 

(1) Within 30 calendar days after 

receiving a proposed amendment, the 

designated official, in writing, either 

approves or denies the request to 

amend. 

(2) TSA may approve an amendment 

to a certified cargo screening facility’s 

security program, if the TSA designated 

official determines that safety and the 

public interest will allow it, and if the 

proposed amendment provides the level 

of security required under this part. 

(3) Within 30 calendar days after 

receiving a denial of the proposed 

amendment, the certified cargo 

screening facility may petition TSA to 

reconsider the denial. The CCSF must 

file the Petition for Reconsideration 

with the designated official. 

(4) Upon receipt of a Petition for 

Reconsideration, the designated official 

either approves the request to amend or 

transmits the petition, together with any 

pertinent information, to TSA for 

reconsideration. TSA will dispose of the 

petition within 30 calendar days of 

receipt by either directing the 

designated official to approve the 

amendment or by affirming the denial. 

(d) Amendment by TSA. TSA may 

amend a security program in the interest 

of safety and the public interest, as 

follows: 

(1) TSA notifies the certified cargo 

screening facility, in writing, of the 

proposed amendment, fixing a period of 

not less than 30 calendar days within 

which the certified cargo screening 

facility may submit written information, 

views, and arguments on the 

amendment. 

(2) After considering all relevant 

material, the designated official notifies 

the certified cargo screening facility of 

any amendment adopted or rescinds the 

notice of amendment. If the amendment 

is adopted, it becomes effective not less 

than 30 calendar days after the certified 

cargo screening facility receives the 

notice of amendment, unless the 

certified cargo screening facility 

disagrees with the proposed amendment 

and petitions the TSA to reconsider, no 

later than 15 calendar days before the 

effective date of the amendment. The 

certified cargo screening facility must 

send the petition for reconsideration to 

the designated official. A timely Petition 

for Reconsideration stays the effective 

date of the amendment. 

(3) Upon receipt of a Petition for 

Reconsideration, the designated official 

either amends or withdraws the notice 

of amendment, or transmits the Petition, 

together with any pertinent information, 

to TSA for reconsideration. TSA 

disposes of the Petition within 30 

calendar days of receipt, either by 

directing the designated official to 

withdraw or amend the notice of 

amendment, or by affirming the notice 

of amendment. 

(e) Emergency amendments. (1) If 

TSA finds that there is an emergency 

requiring immediate action, with 

respect to aviation security that makes 

procedures in this section contrary to 

the public interest, the designated 

official may issue an emergency 

amendment, without the prior notice 

and comment procedures described in 

paragraph (d) of this section. 

(2) The emergency amendment is 

effective without stay on the date the 

certified cargo screening facility 

receives notification. TSA will 

incorporate in the notification a brief 

statement of the reasons and findings for 

the emergency amendment to be 

adopted. 

(3) The certified cargo screening 

facility may file a Petition for 

Reconsideration with the TSA no later 

than 15 calendar days after TSA issued 

the emergency amendment. The 

certified cargo screening facility must 

send the Petition for Reconsideration to 

the designated official; however, the 

filing does not stay the effective date of 

the emergency amendment. 

Subpart B—Operations 

§ 1549.101 Acceptance, screening, and 

transfer of cargo. 

(a) Preventing or deterring the carriage 

of any explosive or incendiary. Each 

certified cargo screening facility must 

use the facilities, equipment, and 

procedures described in its security 

program to prevent or deter the carriage 

onboard an aircraft of any unauthorized 

explosives, incendiaries, and other 

destructive substances or items in cargo 

onboard an aircraft, as provided in the 

facility’s security program. 

(b) Screening and inspection of cargo. 

Each certified cargo screening facility 

must ensure that cargo is screened and 

inspected for any unauthorized 

explosive, incendiary, and other 

destructive substance or item as 

provided in the facility’s security 

program before it is tendered to another 

certified cargo screening facility, an 

aircraft operator with a full program 

under part 1544, a foreign air carrier 

operating under §§ 1546.101(a) or (b), or 

an indirect air carrier operating under 

§ 1548.5 for transport on a passenger 

aircraft. Cargo that the facility 

represents as screened, must be 

screened in accordance with this part. 

(c) Refusal to transport. Each certified 

cargo screening facility must refuse to 

offer to another certified cargo screening 

facility, an aircraft operator with a full 

program under part 1544, a foreign air 

carrier operating under §§ 1546.101(a) 

or (b), or an indirect air carrier operating 

under § 1548.5 for transport on a 

passenger aircraft any cargo, if the 

shipper does not consent to a search or 

inspection of that cargo in accordance 

with this part, or parts 1544, 1546, or 

1548 of this chapter. 

(d) Chain of custody. Each certified 

cargo screening facility must protect the 

cargo from unauthorized access from the 

time it is screened until the time it is 

tendered to another certified cargo 

screening facility as approved by TSA, 

an indirect air carrier under 49 CFR part 

1548, an aircraft operator under part 

1544, or a foreign air carrier under part 

1546. 

§ 1549.103 Qualifications and training of 

individuals with security-related duties. 

(a) Security threat assessments. Each 

certified cargo screening facility must 

ensure that individuals listed in 49 CFR 

1540.201(a)(6), (7), (8), (9), and (12) 

relating to a certified cargo screening 

facility complete a security threat 

assessment or comparable security 

threat assessment described in part 

1540, subpart C of this chapter, before 

conducting screening or supervising 

screening or before having unescorted 


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access to screened cargo, unless the 

individual is authorized to serve as law 

enforcement personnel at that location. 

(b) Training required. Each certified 

cargo screening facility must ensure that 

individuals have received training, as 

specified in this section and its security 

program, before such individual 

perform any duties to meet the 

requirements of its security program. 

(c) Knowledge and training 

requirements. Each certified cargo 

screening facility must ensure that each 

individual who performs duties to meet 

the requirements of its security program 

have knowledge of, and annual training 

in, the— 

(1) Applicable provisions of this 

chapter, including this part, part 1520, 

and § 1540.105; 

(2) The certified cargo screening 

facility’s security program, to the extent 

that such individuals need to know in 

order to perform their duties; 

(3) Applicable Security Directives and 

Information Circulars; and 

(4) The applicable portions of 

approved airport security program(s) 

and aircraft operator security 

program(s). 

(d) Screener qualifications. Each 

certified cargo screening facility must 

ensure that each individual who screens 

cargo or who supervises cargo 

screening— 

(1) Is a citizen or national of the 

United States, or an alien lawfully 

admitted for permanent residence; 

(2) Has a high school diploma, a 

General Equivalency Diploma, or a 

combination of education and 

experience that the certified cargo 

screening facility has determined to 

have equipped the person to perform 

the duties of the position; 

(3) Has basic aptitudes and physical 

abilities including color perception, 

visual and aural acuity, physical 

coordination, and motor skills to the 

extent required to effectively operate 

cargo screening technologies that the 

facility is authorized to use. These 

include: 

(i) The ability to operate x-ray 

equipment and to distinguish on the xray monitor the appropriate imaging 

standard specified in the certified cargo 

screening facility security program. 

Wherever the x-ray system displays 

colors, the operator must be able to 

perceive each color. 

(ii) The ability to distinguish each 

color displayed on every type of 

screening equipment and explain what 

each color signifies. 

(iii) The ability to hear and respond 

to the spoken voice and to audible 

alarms generated by screening 

equipment. 

(4) Has the ability to read, write and 

understand English well enough to carry 

out written and oral instructions 

regarding the proper performance of 

screening duties or be under the direct 

supervision of someone who has this 

ability, including reading labels and 

shipping papers, and writing log entries 

into security records in English. 

§ 1549.105 Recordkeeping. 

(a) Each certified cargo screening 

facility must maintain records 

demonstrating compliance with all 

statutes, regulations, directives, orders, 

and security programs that apply to 

operation as a certified cargo screening 

facility, including the records listed 

below, at the facility location or other 

location as approved by TSA: 

(1) Records of all training and 

instructions given to each individual 

under § 1549.103. The CCSF must retain 

these records for 180 days after the 

individual is no longer employed by the 

certified cargo screening facility or is no 

longer acting as the facility’s agent. 

(2) Copies of all applications for, or 

renewals of, TSA certification to operate 

under part 1549. Copies of reports by 

TSA-certified validators must be 

included in these records. 

(3) Documents establishing TSA’s 

certification and renewal of certification 

as required by part 1549. 

(4) Records demonstrating that each 

individual has complied with the 

security threat assessment provisions of 

§ 1549.111. 

(b) Unless otherwise stated, records 

must be retained until the next recertification. 

§ 1549.107 Security coordinators. 

Each certified cargo screening facility 

must have a Security Coordinator and 

designated alternate Security 

Coordinator appointed at the corporate 

level. In addition, each certified cargo 

screening facility must have a facility 

Security Coordinator and alternate 

facility Security Coordinator appointed 

at the facility level. The facility Security 

Coordinator must serve as the certified 

cargo screening facility’s primary 

contact for security-related activities 

and communications with TSA, as set 

forth in the security program. The 

Security Coordinator and alternate 

appointed at the corporate level, as well 

as the facility Security Coordinator and 

alternate, must be available on a 24- 

hour, 7-days a week basis. 

§ 1549.109 Security Directives and 

Information Circulars. 

(a) TSA may issue an Information 

Circular to notify certified cargo 

screening facilities of security concerns. 

(b) When TSA determines that 

additional security measures are 

necessary to respond to a threat 

assessment, or to a specific threat 

against civil aviation, TSA issues a 

Security Directive setting forth 

mandatory measures. 

(1) Each certified cargo screening 

facility must comply with each Security 

Directive that TSA issues to it, within 

the time prescribed in the Security 

Directive for compliance. 

(2) Each certified cargo screening 

facility that receives a Security Directive 

must comply with the following: 

(i) Within the time prescribed in the 

Security Directive, acknowledge in 

writing receipt of the Security Directive 

to TSA. 

(ii) Within the time prescribed in the 

Security Directive, specify the method 

by which the measures in the Security 

Directive have been implemented (or 

will be implemented, if the Security 

Directive is not yet effective). 

(3) In the event that the certified cargo 

screening facility is unable to 

implement the measures in the Security 

Directive, the certified cargo screening 

facility must submit proposed 

alternative measures and the basis for 

submitting the alternative measures to 

TSA for approval. 

(i) The certified cargo screening 

facility must submit the proposed 

alternative measures within the time 

prescribed in the Security Directive. 

(ii) The certified cargo screening 

facility must implement any alternative 

measures approved by TSA. 

(4) Each certified cargo screening 

facility that receives a Security Directive 

may comment on it by submitting data, 

views, or arguments in writing to TSA. 

(i) TSA may amend the Security 

Directive based on comments received. 

(ii) Submission of a comment does not 

delay the effective date of the Security 

Directive. 

(5) Each certified cargo screening 

facility that receives a Security Directive 

or Information Circular, and each 

person who receives information from a 

Security Directive or Information 

Circular, must— 

(i) Restrict the availability of the 

Security Directive or Information 

Circular, and information contained in 

either document, to those persons with 

a need-to-know; and 

(ii) Refuse to release the Security 

Directive or Information Circular, and 

information contained in either 

document, to persons other than those 

with a need-to-know without the prior 

written consent of TSA. 


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§ 1549.111 Security threat assessments 

for personnel of certified cargo screening 

facilities. 

(a) Scope. This section applies to the 

following: 

(1) Each individual the certified cargo 

screening facility authorizes to perform 

cargo screening or supervise cargo 

screening. 

(2) Each individual the certified cargo 

screening facility authorizes to have 

unescorted access to cargo at any time 

from the time it is screened until the 

time it is tendered to another certified 

cargo screening facility, an indirect air 

carrier under 49 CFR part 1548 for 

transport on a passenger aircraft, an 

aircraft operator under part 1544, or a 

foreign air carrier under part 1546. 

(3) The senior manager or 

representative of its facility in control of 

the operations. 

(4) The security coordinators and 

their alternates. 

(b) Security threat assessment. Before 

a certified cargo screening facility 

authorizes an individual to perform the 

functions described in paragraph (a) of 

this section, and before the individual 

performs those functions— 

(1) Each individual must successfully 

complete a security threat assessment or 

comparable security threat assessment 

described in part 1540, subpart C of this 

chapter; and 

(2) Each certified screening facility 

must complete the requirements in 49 

CFR part 1540, subpart C. 

Issued in Arlington, VA, on September 1, 

2009. 

Gale D. Rossides, 

Acting Administrator. 

[FR Doc. E9–21794 Filed 9–15–09; 8:45 am] 

BILLING CODE 9110–05–P 


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