DOT 49 CFR PART 1503-2010 INVESTIGATIVE AND ENFORCEMENT PROCEDURES.pdf

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1、240 49 CFR Ch. XII (10110 Edition) Pt. 1503 Administrator and the Deputy Admin-istrator, officials designated by TSAs internal order on succession shall serve as Acting Deputy Administrator and shall perform the duties of the Admin-istrator, except for any non-delegable statutory and/or regulatory d

2、uties. PART 1503INVESTIGATIVE AND ENFORCEMENT PROCEDURES Subpart A Reserved Subpart BScope of Investigative and Enforcement Procedures Sec. 1503.101 TSA requirements. 1503.103 Terms used in this part. Subpart CInvestigative Procedures 1503.201 Reports of violations. 1503.203 Investigations. 1503.205

3、 Records, documents, and reports. Subpart DNon-Civil Penalty Enforcement 1503.301 Warning notices and letters of cor-rection. Subpart EAssessment of Civil Penalties by TSA 1503.401 Maximum penalty amounts. 1503.403 Delegation of authority. 1503.405 Injunctions. 1503.407 Military personnel. 1503.409

4、Service of documents. 1503.411 Computation of time. 1503.413 Notice of Proposed Civil Penalty. 1503.415 Request for portions of the enforce-ment investigative report (EIR). 1503.417 Final Notice of Proposed Civil Pen-alty and Order. 1503.419 Order Assessing Civil Penalty. 1503.421 Streamlined civil

5、penalty proce-dures for certain security violations. 1503.423 Consent orders. 1503.425 Compromise orders. 1503.427 Request for a formal hearing. 1503.429 Filing of documents with the En-forcement Docket Clerk. 1503.431 Certification of documents. Subpart F Reserved Subpart GRules of Practice in TSA

6、Civil Penalty Actions 1503.601 Applicability. 1503.603 Separation of functions. 1503.605 Appearances and rights of parties. 1503.607 Administrative law judges. 1503.609 Complaint. 1503.611 Answer. 1503.613 Consolidation and separation of cases. 1503.615 Notice of hearing. 1503.617 Extension of time.

7、 1503.619 Intervention. 1503.621 Amendment of pleadings. 1503.623 Withdrawal of complaint or request for hearing. 1503.625 Waivers. 1503.627 Joint procedural and discovery schedule. 1503.629 Motions. 1503.631 Interlocutory appeals. 1503.633 Discovery. 1503.635 Evidence. 1503.637 Standard of proof. 1

8、503.639 Burden of proof. 1503.641 Offer of proof. 1503.643 Public disclosure of evidence. 1503.645 Expert or opinion witnesses. 1503.647 Subpoenas. 1503.649 Witness fees. 1503.651 Record. 1503.653 Argument before the ALJ. 1503.655 Initial decision. 1503.657 Appeal from initial decision. 1503.659 Pet

9、ition to reconsider or modify a final decision and order of the TSA deci-sion maker on appeal. 1503.661 Judicial review of a final order. Subpart HJudicial Assessment of Civil Penalties 1503.701 Applicability of this subpart. 1503.703 Civil penalty letter; referral. Subpart IFormal Complaints 1503.8

10、01 Formal complaints. AUTHORITY: 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 114, 20109, 31105, 4011340114, 40119, 4490144907, 4610146107, 4610946110, 46301, 46305, 46311, 4631346314; Sec. 1413(i), Public Law 11053, 121 Stat. 414 (6 U.S.C. 1142). SOURCE: 74 FR 36039, July 21, 2009, unless other

11、wise noted. Subpart A Reserved Subpart BScope of Investigative and Enforcement Procedures 1503.101 TSA requirements. (a) The investigative and enforce-ment procedures in this part apply to TSAs investigation and enforcement of violations of TSA requirements. (b) For purposes of this part, the term T

12、SA requirements means the fol-lowing statutory provisions and a regu-lation prescribed or order issued under any of those provisions: VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00250 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for Resa

13、leNo reproduction or networking permitted without license from IHS-,-,-241 Transportation Security Administration, DHS 1503.203 (1) Those provisions of title 49 U.S.C. administered by the Administrator; and (2) 46 U.S.C. chapter 701. 1503.103 Terms used in this part. In addition to the terms in 1500

14、.3 of this chapter, the following definitions apply in this part: Administrative law judge or ALJ means an ALJ appointed pursuant to the pro-visions of 5 U.S.C. 3105. Agency attorney means the Deputy Chief Counsel for Enforcement or an attorney that he or she designates. An agency attorney will not

15、include (1) Any attorney in the Office of the Chief Counsel who advises the TSA de-cision maker regarding an initial deci-sion or any appeal to the TSA decision maker; or (2) Any attorney who is supervised in a civil penalty action by a person who provides such advice to the TSA deci-sion maker in t

16、hat action or a factu-ally related action. Attorney means any person who is eli-gible to practice law in, and is a mem-ber in good standing of the bar of, the highest court of any State, possession, territory, or Commonwealth of the United States, or of the District of Co-lumbia, and is not under an

17、y order sus-pending, enjoining, restraining, disbar-ring, or otherwise restricting him or her in the practice of law. Enforcement Investigative Report or EIR means a written report prepared by a TSA Inspector or other authorized agency official detailing the results of an inspection or investigation

18、 of a vio-lation of a TSA requirement, including copies of any relevant evidence. Mail includes regular First Class U.S. mail service, U.S. certified mail, or U.S. registered mail. Party means the respondent or TSA. Personal delivery includes hand-deliv-ery or use of a contract or express mes-senger

19、 service, including an overnight express courier service. Personal deliv-ery does not include the use of Govern-ment interoffice mail service. Pleading means a complaint, an an-swer, motion and any amendment of these documents permitted under this subpart as well as any other written submission to t

20、he ALJ or a party dur-ing the course of the hearing pro-ceedings. Properly addressed means a document that shows an address contained in agency records, a residential, business, or other address submitted by a person on any document provided under this part, or any other address obtained by other re

21、asonable and available means. Public transportation agency means a publicly owned operator of public transportation eligible to receive Fed-eral assistance under 49 U.S.C. chapter 53. Respondent means the person named in a Notice of Proposed Civil Penalty, a Final Notice of Proposed Civil Penalty an

22、d Order, or a complaint. TSA decision maker means the Admin-istrator, acting in the capacity of the decision maker on appeal, or any per-son to whom the Administrator has delegated the Administrators decision- making authority in a civil penalty ac-tion. As used in this part, the TSA deci-sion maker

23、 is the official authorized to issue a final decision and order of the Administrator in a civil penalty ac-tion. Subpart CInvestigative Procedures 1503.201 Reports of violations. (a) Any person who knows of a viola-tion of a TSA requirement should re-port it to appropriate personnel of any TSA offic

24、e. (b) TSA will review each report made under this section, together with any other information TSA may have that is relevant to the matter reported, to determine the appropriate response, in-cluding additional investigation or ad-ministrative or legal enforcement ac-tion. 1503.203 Investigations. (

25、a) General. The Administrator, or a designated official, may conduct inves-tigations, hold hearings, issue sub-poenas, require the production of rel-evant documents, records, and prop-erty, and take evidence and deposi-tions. VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00251 Fmt 8010

26、Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-242 49 CFR Ch. XII (10110 Edition) 1503.205 (b) Delegation of authority. For the purpose of investigating alleged viola-tions of a TSA re

27、quirement, the Ad-ministrators authority may be exer-cised by the agencys various offices for matters within their respective areas for all routine investigations. When the compulsory processes of 49 U.S.C. 46104 are invoked, the Administrators au-thority has been delegated to the Chief Counsel, eac

28、h Deputy Chief Counsel, and in consultation with the Office of Chief Counsel, the Assistant Adminis-trator for Security Operations, the As-sistant Administrator for Transpor-tation Sector Network Management, the Assistant Administrator for Inspec-tions, the Assistant Administrator for Law Enforcemen

29、t/Director of the Fed-eral Air Marshal Service, each Special Agent in Charge, and each Federal Se-curity Director. 1503.205 Records, documents, and re-ports. Each record, document, and report that regulations issued by the Trans-portation Security Administration re-quire to be maintained, exhibited,

30、 or submitted to the Administrator may be used in any investigation conducted by the Administrator; and, except to the extent the use may be specifically lim-ited or prohibited by the section that imposes the requirement, the records, documents, and reports may be used in any civil penalty action or

31、 other legal proceeding. Subpart DNon-Civil Penalty Enforcement 1503.301 Warning notices and letters of correction. (a) If TSA determines that a viola-tion or an alleged violation of a TSA requirement does not require the as-sessment of a civil penalty, an appro-priate official of the TSA may take a

32、d-ministrative action in disposition of the case. (b) An administrative action under this section does not constitute a for-mal adjudication of the matter, and may be taken by issuing the alleged vi-olator (1) A Warning Notice that recites available facts and information about the incident or condit

33、ion and indicates that it may have been a violation; or (2) A Letter of Correction that confirms the TSA decision in the mat-ter and states the necessary corrective action the alleged violator has taken or agrees to take. If the agreed correc-tive action is not fully completed, legal enforcement act

34、ion may be taken. (c) The issuance of a Warning Notice or Letter of Correction is not subject to appeal under this part. (d) In the case of a public transpor-tation agency that is determined to be in violation of a TSA requirement, an appropriate TSA official will seek cor-rection of the violation t

35、hrough a writ-ten Notice of Noncompliance to the public transportation agency giving the public transportation agency rea-sonable opportunity to correct the vio-lation or propose an alternative means of compliance acceptable to TSA. (e) TSA will not take legal enforce-ment action against a public tr

36、anspor-tation agency under subpart E unless it has provided the Notice of Noncompli-ance described in paragraph (d) of this section and the public transportation agency fails to correct the violation or propose an alternative means of com-pliance acceptable to TSA within the timeframe provided in th

37、e notice. (f) TSA will not initiate civil enforce-ment action for violations of adminis-trative and procedural requirements pertaining to the application for, and the expenditure of, funds awarded pur-suant to transportation security grant programs under Public Law 11053. Subpart EAssessment of Civi

38、l Penalties by TSA 1503.401 Maximum penalty amounts. (a) General. TSA may assess civil pen-alties not exceeding the following amounts against a person for the viola-tion of a TSA requirement. (b) In general. Except as provided in paragraph (c) of this section, in the case of violation of title 49 U.

39、S.C. or 46 U.S.C. chapter 701, or a regulation pre-scribed or order issued under any of those provisions, TSA may impose a civil penalty in the following amounts: (1) $10,000 per violation, up to a total of $50,000 per civil penalty action, in VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 F

40、rm 00252 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-243 Transportation Security Administration, DHS 1503.401 the case of an individual or small busi-ness concern, as defin

41、ed in section 3 of the Small Business Act (15 U.S.C. 632); and (2) $10,000 per violation, up to a total of $400,000 per civil penalty action, in the case of any other person. (c) Certain aviation related violations. In the case of a violation of 49 U.S.C. chapter 449 (except sections 44902, 44903(d)

42、, 44907(a)(d)(1)(A), 44907(d)(1)(C)(f), 44908, and 44909), or 49 U.S.C. 46302 or 46303, or a regulation prescribed or order issued under any of those provisions, TSA may impose a civil penalty in the following amounts: (1) $10,000 per violation, up to a total of $50,000 per civil penalty action, in

43、the case of an individual (except an air-man serving as an airman), any person not operating an aircraft for the trans-portation of passengers or property for compensation, or a small business con-cern, as defined in section 3 of the Small Business Act (15 U.S.C. 632). (2) $25,000 per violation, up

44、to a total of $400,000 per civil penalty action, in the case of a person operating an air-craft for the transportation of pas-sengers or property for compensation (except an individual serving as an air-man). (d) Inflation adjustment. TSA may ad-just the maximum civil penalty amounts in conformity w

45、ith the Fed-eral Civil Penalties Inflation Adjust-ment Act of 1990, 28 U.S.C. 2461 (note). Minimum and maximum civil penalties within the jurisdiction of TSA are ad-justed for inflation as follows: TABLE 1MINIMUM AND MAXIMUM CIVIL PENALTIESADJUSTED FOR INFLATION, EFFECTIVE DECEMBER 12, 2003 TO AUGUS

46、T 20, 2009 United States Code citation Civil penalty description Minimum penalty Adjusted minimum penalty Maximum pen-alty amount when last set or adjusted pursuant to law Maximum pen-alty amount 49 U.S.C. 46301(a)(1), (4).Violation of 49 U.S.C. ch. 449 (except secs. 44902, 44903(d), 44907(a)(d)(1)(

47、A), 44907(d)(1)(C)(f), 44908, and 44909), or 49 U.S.C. 46302 or 46303, a regulation pre-scribed, or order issued thereunder by a person operating an aircraft for the transpor-tation of passengers or property for com-pensation.N/A N/A $25,000 per violation, reset 12/12/ 2003.$25,000 per violation. 49

48、 U.S.C. 46301(a)(1), (4).Violation of 49 U.S.C. ch. 449 (except secs. 44902, 44903(d), 44907(a)(d)(1)(A), 44907(d)(1)(C)(f), 44908, and 44909), or 49 U.S.C. 46302 or 46303, a regulation pre-scribed, or order issued thereunder by an in-dividual (except an airman serving as an air-man), any person not

49、 operating an aircraft for the transportation of passengers or prop-erty for compensation, or a small business concern.N/A N/A $10,000 per violation, reset 12/12/ 2003.$10,000 per violation. TABLE 2MINIMUM AND MAXIMUM CIVIL PENALTIESADJUSTED FOR INFLATION, EFFECTIVE AUGUST 20, 2009 United States Code Citation Civil penalty description Minimum penalty Adjusted minimum penalty Maximum pen-alty amount when last set or adjusted