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TSA requirement of Security Awareness Training



 
 
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  #1  
Old October 3rd 04, 06:46 AM
dancingstar
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Default TSA requirement of Security Awareness Training

Has anyone seen this?:

http://www.tsa.gov/public/interapp/e...orial_1727.xml

Does anyone know the penalties for ignoring this? I mean: Is the FAA
enforcing this or is this just something that the TSA hopes we will all
just bend over for? Can anyone quote the penalties for non-compliance?

Antonio

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  #2  
Old October 3rd 04, 07:40 AM
Peter Duniho
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"dancingstar" wrote in
message ...
Has anyone seen this?:

http://www.tsa.gov/public/interapp/e...orial_1727.xml


Other than a vague reference to it in a thread posted several days ago in
this newsgroup, no...I haven't seen anything about it. Seems like the
"foreigner background check" stuff has dominated whatever bandwidth the
aviation community has for dealing with stupid TSA proposals.

Of course, all this is, is a jobs program for security professionals who
don't think that the vast expansion of our government in the form of the
DHS, nor the private sector expansion of the home alarm, firearm, and other
related "disaster preparedness" businesses at the expense of public fear is
sufficient. But you'll never get the TSA to admit it.

Pete


  #3  
Old October 3rd 04, 08:27 AM
dancingstar
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dancingstar wrote:
Has anyone seen this?:

http://www.tsa.gov/public/interapp/e...orial_1727.xml

Does anyone know the penalties for ignoring this? I mean: Is the FAA
enforcing this or is this just something that the TSA hopes we will all
just bend over for? Can anyone quote the penalties for non-compliance?

Antonio


I just found my own answer.....I directly quote:


SUBJECT: ENFORCEMENT SANCTION GUIDANCE POLICY

PURPOSE: This policy directive provides sanction guidance for imposing
civil penalties up to $25,000 per violation for aircraft operators and
up to $10,000 per violation for all other “persons,” including
individuals, when a determination is made that civil penalty enforcement
action should be taken. This sanction guidance is being issued to
assist TSA personnel on the appropriate application of penalties under
TSA’s present civil penalty authority.

INTRODUCTION: On November 19, 2001, the Aviation and Transportation
Security Act (ATSA) was enacted. ATSA created the Transportation
Security Administration (TSA), and transferred authority for enforcement
of civil aviation security requirements from the Federal Aviation
Administration (FAA) to TSA. TSA has operated its civil enforcement
program utilizing many of the FAA procedures and policies already in
place. On November 25, 2002, the Homeland Security Act increased the
statutory maximum penalty amounts for civil violations of TSA’s security
regulations. The increased civil penalty amounts became effective on
January 25, 2003. This document incorporates the increased statutory
amounts into TSA’s sanction guidance.

GENERAL GUIDELINES: The Sanction Guidance Table (“Table”) provides
agency enforcement personnel with guidance in selecting appropriate
sanctions for civil penalty enforcement actions and to promote
consistency in enforcement of TSA regulations. The purpose of this
guidance is to assist, not replace, the exercise of prosecutorial
judgment in determining the appropriate civil penalty in a particular
case.

The Table represents the normal sanction range for a single violation of
a particular regulation. Generally, an appropriate sanction for a
single first-time violation, absent aggravating or mitigating factors,
would be the low end of the corresponding range defined in the Table.
Pursuant to a philosophy of progressive enforcement, the sanction
generally increases with each repeated violation or based upon other
aggravating factors.

In selecting an appropriate sanction, the totality of circumstances,
including any aggravating and mitigating factors, should be considered.
A sanction amount at the higher end of a range is appropriate where
there are aggravating factors surrounding the alleged violation, while a
sanction amount at the lower end of the range is appropriate for first
time violations and where mitigating factors exist. A sanction amount
that falls outside a range may be sought based on factors of extreme
aggravation or mitigation, or if necessary to further TSA policy.
Whenever a proposed sanction is outside the range of penalties indicated
in the Table, the Enforcement Investigative Report (EIR) must identify
and explain in detail the factors that justify a civil penalty outside
of the normal range. Prior to the issuance of the initial enforcement
action document, legal counsel shall coordinate a proposed penalty that
falls outside the listed range with Aviation Operations and the Office
of the Chief Counsel at TSA Headquarters.

As a general matter, the following aggravating and mitigating factors
should be considered:

1. Significance/degree of the security risk created by the
alleged violation;

2. Nature of the violation - whether the violation was inadvertent,
deliberate, or the result of gross negligence;

3. Past violation history (compliance should be the norm, this factor
is considered only to assess the need for an increased sanction);

4. Alleged violator's level of experience;

5. Attitude of alleged violator, including the nature of any
corrective action taken by the alleged violator.

The Table describes civil penalties as minimum, moderate or maximum for
a single violation of a particular regulation. These terms are defined
as follows:

(1) Violations Committed by Aircraft Operators.
Maximum $18,000-$25,000
Moderate $9,000-$17,999
Minimum $2,500-$8,999

(2) Violations Committed By Airport Operators.
Maximum $6,000-$10,000
Moderate $3,000-$5,999
Minimum $1,000-$2,999

(3) Violations Committed By Indirect Air Carriers.
Maximum $6,000-$10,000
Moderate $3,000-$5,999
Minimum $1,000-$2,999

Individuals: Aggravating and mitigating factors for violations
committed by individuals are listed in Section IV of the Table, which
addresses sanction amounts for individual violations. Penalty
considerations for violations by individuals, who are not regulated
entities or employed by a regulated entity, differ from the
considerations for regulated entities such as an aircraft operator,
airport, or indirect air carrier. Deterrence against an individual
generally does not require a penalty range as high as that against a
regulated entity. As a result, the Table contains ranges that list
dollar amounts for violations by individuals. Egregious or intentional
violations may support a civil penalty outside of the listed range.
Reduced civil penalties allowed under the Notice of Violation (NOV)
program are a program incentive and are not based on the typical
mitigating factors.

Small Business Entities:
The maximum civil penalty that may be assessed against a violator that
qualifies as a small business entity is $10,000. You may consider the
fact that the entity qualifies as a small business in determining the
appropriate amount of the civil penalty. You may also consider a
person’s ability to pay the proposed civil penalty or the impact that
the proposed civil penalty may have on the person’s ability to continue
in business. This information may not be readily available prior to the
issuance of a proposed civil penalty and may be considered at any time
after the initiation of a civil penalty enforcement matter. Generally,
it is the responsibility of the alleged violator to provide reliable
evidence of its inability to pay a proposed civil penalty or of the
impact that it will have on it ability to continue in business. Ability
to pay should be of limited consideration, if any, when the violation
involves willful or criminal conduct or is part of a pattern of repeated
noncompliance.

Multiple violations: Where multiple violations arise from the same
incident, inspection, or investigation, a sanction amount generally
should be calculated for each violation of the regulations. Similarly,
a separate sanction amount generally should be assessed for each
violation where there are continuing violations or related violations
addressed in the same case.

Criminal Referral: Referral for criminal investigation/enforcement is
appropriate where there appears to be a violation of criminal laws.
Thus, criminal referral is noted for firearms violations and violations
involving falsification. Criminal referral may be appropriate when
there is evidence that a person has intentionally falsified any document
or statement required under a security program or when evidence of
repeated falsification suggests an intentional disregard for compliance
with security requirements.


SANCTION GUIDANCE TABLE

I. AIRPORT OPERATOR*

1. Failure to ensure that Airport Security Coordinator (ASC)
fulfills required functions Min.

2. Failure to train ASC Min.

3. Failure to allow TSA inspection Max.

4. Failure to provide evidence of regulatory compliance Max.

5. Failure to provide SIDA access ID to TSA personnel Mod.

6. Failure to carry out a requirement in the security program
(general violation to be used when more specific violation
is not listed) Mod.-Max.

7. Failure to restrict the distribution, disclosure of SSI Min.-Max.

8. Failure to notify TSA of changes to its security program Min.

9. Access control violations - Secured area, AOA, SIDA, and
access control systems Max.

10. Failure to follow escort procedures Mod.

11. Failure to train or maintain training records Min.-Mod.

12. Criminal history records check - Failure to perform,
failure to suspend, failure to investigate charges Max.

13. Failure to maintain record of law enforcement response Min.-Mod.

14. Failure to comply with Security Directive Max.

15. False entry in record or report Max./Crim. Referral

16. Failure to comply with requirements related to
adequate law enforcement response/support Max.

* Airport tenants operating under valid Exclusive Area Agreements assume
responsibility for certain airport operator security responsibilities.
For violations of security requirements assumed by such airport tenants,
the airport operator section of the sanction guidance should be employed.

II. AIRCRAFT OPERATOR

1. Failure to carry out its security program (Covers any and all
violations of security program requirements. General violation
to be used if more specific violation is not listed in the Table.)
Mod.-Max.

2. Failure to allow TSA inspection Max.

3. Failure to provide evidence of regulatory compliance Max.

4. Failure to provide SIDA access ID to TSA personnel Mod.

5. Failure to restrict distribution and disclosure of security program
Mod.-Max.

6. Failure to comply with a security requirement pertaining to the
acceptance, control, screening of checked baggage Max.

7. Failure to comply with a security requirement pertaining to the
acceptance, control, screening of cargo Max.

8. Screening violations, where conducted by aircraft operator,
Individual, metal detection devices, x-ray, explosives detection Mod.

9. Failure to comply with requirements for carriage of an accessible
weapon by an armed LEO Mod.

10. Failure to prevent unauthorized access to secured area or to
aircraft Max.

11. Failure to conduct a security inspection of aircraft Mod.-Max.

12. Failure to comply with requirements related to criminal history
records check Max.

13. Failure to comply with requirements for air carrier-issued
identification
and access media Mod.

14. Failure to train or to maintain training records Min.-Mod.

15. Failure to comply with Security Directives Max.

16. Failure to comply with security requirements related to screening
Mod.-Max.

17. False entry in record or report Max./Crim. Referral

18. Failure to Transport Federal Air Marshals Max.

19. Failure to pay security fees Mod.


III. CARGO SECURITY

This part applies to all persons who offer, accept, or transport cargo
pursuant to a TSA-approved security program and/or subject to the
requirements of the Transportation Security Regulations. Such persons
include, but are not limited to, aircraft operators and indirect air
carriers (IAC).

1. Acting as an IAC without an approved program Max.

2. Failure to retain or produce training records Min.-Mod.

3. Failure to provide required training Mod.

4. Failure to inform agent in writing of responsibilities under the
program Min.

5. Failure to comply with the TSA-approved program Mod.-Max
(general violation to be used if more specific violation is not listed)

6. Failure to comply with current amendments to the program
Mod.-Max.

7. Failure to produce copy of the program or relevant portions/instructions
at a station(s) where cargo is accepted or processed Min.

8. Failure to restrict distribution of security program or
implementing instructions to persons with a need to know Mod.-Max.

9. Failure to maintain or to be able to produce a current listing of
authorized agents/contractors (Chronic or intentional failures)
Mod-Max.

10. Failure to supply certification to the aircraft operator Min.

11. False Certification to aircraft operator Max./crim. referral

12. Failure to comply with any requirement necessary to establish a
known shipper (Repeated failures would justify a maximum penalty) Mod.

13. Falsification of any document/statement required under the
security program. Max./crim. referral

14. Failure to meet any requirement for accepting cargo from an
all-cargo carrier with an approved security program (Dependent
on nature of the requirement.) Min.-Max.

15. Failure to control access to cargo by unauthorized persons
Mod.-Max.

16. Failure to transport cargo in locked or closely-monitored
vehicles Mod.

17. Failure to comply with cargo acceptance requirements Mod.-Max.

18. Failure to allow access for inspections Mod.-Max.
(Sanction should be imposed for every day that access is denied.)

19. Failure to comply with any requirement related to the screening
or inspection of cargo Mod.-Max.

20. Failure to obtain the required IAC certification Min.-Mod.

IV. OTHER AVIATION SECURITY REQUIREMENTS

Part 1550:

1. Failure to comply with a security requirements set forth in,
or pursuant to, Part 1550 Max.

Flight Training Provider:

1. Failure to comply with any requirement issued pursuant to
49 U.S.C. § 44939 (Alien pilot training rules) Mod.-Max.

Note: The requirements that have been issued pursuant to 49 U.S.C. §
44939 apply to all flight training providers. Some, but not all,
training providers are aircraft operators and subject to a civil penalty
of up to $25,000. Flight training providers that are not aircraft
operators will be subject to a civil penalty maximum of $10,000, and the
maximum range associated with that civil penalty amount.



V. INDIVIDUALS

A. Security Violations by Individuals for Prohibited Items Discovered
at Checkpoint/Sterile Area/Onboard Aircraft
Applicable TSA Regulation: 49 C.F.R. § 1540.111(a)
1. Weapons
a. Firearms
i. Loaded
(or accessible ammunition)
$3,000-$7,500
ii. Unloaded $1,500-$3,000
+crim. referral

b. Other weapons (this category includes sharp objects, club-like
items, and other prohibited items, other than firearms, that may be used
as a weapon. $250-$1,500

2. Disabling chemicals
i. General penalty range $250-$1,500

3. Incendiaries
i. General penalty range $250-$1,500

4. Explosives
i. Penalty range A* $6,000-$10,000 + crim. referral
ii. Penalty range B** $250-$1,500

B. Security Violations by Individuals for Prohibited Items Discovered in
Checked Baggage

Applicable TSA Regulation: 49 C.F.R. § 1540.111(c)

1. Weapons
a. Firearms
i. Loaded $1,000-$2,000 + crim. referral
ii. Unloaded and undeclared/not properly packaged $500-$1,000
2. Incendiaries
i. General penalty range $250-$1,500
3. Explosives i. Penalty range A* $6,000-$10,000 +crim. referral
ii. Penalty range B** $250-$1,500

*Penalty Range A: Blasting Caps Dynamite
Hand grenades Plastic explosives All other “high
explosives” **Penalty Range B: Ammunition (note: See exception
for ammunition in Checked Baggage, 49 C.F.R. § 1540.111(d)).
Fireworks Flares in any form Gunpowder (note: volume
over 10 ounces standard package justifies use of Penalty Range A.


C. Other Security Violations by Individuals or Persons
1. Interference With Screening (49 C.F.R. § 1540.109)

a. physical contact
$1,500-$5,000 b.
non-physical
$500-$1,500 c. false threats

$1,000-$2,000


2. Entering Sterile Area Without Submitting To Screening
$1,000-$3,000
49 C.F.R. § 1540.107


3. Tampering or interfering with, compromising, modifying,
attempting to circumvent, or causing a person to tamper or
interfere with, compromise, modify or attempt to circumvent
any security system, measure, or procedure.
49 C.F.R. § 1540.105(a). $2,500-$6,000


4. Entering or being present within a secured area, AOA, SIDA,
or sterile area without complying with the systems measures or
procedures being applied to control access to, or presence or
movement in, such areas. 49 C.F.R. § 1540.105(a)(2).
$1,000-$3,000

5. Improper use of airport access medium.
49 C.F.R. § 1540.105(a)(3). $1,000-$3,000


6. Fraud and Intentional Falsification
49 C.F.R. § 1540.103 $2,500-$6,000
+crim. referral
7. Failure to allow inspection of airman certificate,
Authorization, FAA license. 49 C.F.R. § 1540.113 $1,000-$3,000



The following is a non-exclusive list of aggravating and mitigating
factors frequently encountered in cases of violations by individuals:

A. Aggravating factors

1. Artful concealment
2. Number of weapons, or volume of explosives and incendiaries
3. Type of weapon, explosive or incendiary
4. Display or use of weapon, explosive or incendiary
5. Past violation history of violator
6. Experience level of violator (e.g., airport/air carrier employees are
trained and experienced).
7. Evidence of intent to interfere with operations (e.g., testing the
system with a prohibited item, attempting to enter sterile area with
prohibited item after previously being allowed to leave in order to divest).
8. Attitude of violator


B. Mitigating Factors

1. Disclosure by violator
2. Inexperienced flyer
3. Violator is a juvenile
4. Other penalties assessed by federal, state, or local law enforcement



  #4  
Old October 5th 04, 02:17 AM
zatatime
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Posts: n/a
Default

On Sun, 03 Oct 2004 07:27:14 GMT, dancingstar
wrote:

PURPOSE: This policy directive provides sanction guidance for imposing
civil penalties up to $25,000 per violation for aircraft operators and
up to $10,000 per violation for all other “persons,” including
individuals,..


Does anyone know how this affects carrying firearms in a personally
owned aircraft (lower 48)

TIA if you do.
z

 




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