DOT 49 CFR PART 1522-2010 TSA-APPROVED VALIDATION FIRMS AND VALIDATORS.pdf

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1、305 Transportation Security Administration, DHS 1522.1 and essential transactions, DHS de-stroys SSI when no longer needed to carry out the agencys function. (b) Other covered persons(1) In gen-eral. A covered person must destroy SSI completely to preclude recognition or reconstruction of the inform

2、ation when the covered person no longer needs the SSI to carry out transpor-tation security measures. (2) Exception. Paragraph (b)(1) of this section does not require a State or local government agency to destroy in-formation that the agency is required to preserve under State or local law. PART 152

3、2TSA-APPROVED VALI-DATION FIRMS AND VALIDATORS Subpart AGeneral Sec. 1522.1 Scope and terms used in this part. 1522.3 Fraud and intentional falsification of records. 1522.5 TSA inspection authority. Subpart BTSA-Approved Validation Firms and Validators for the Certified Cargo Screening Program 1522.

4、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 app

5、roval. 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.

6、S.C. 114, 5103, 40113, 44901 44907, 4491344914, 4491644918, 44932, 44935 44936, 44942, 46105. SOURCE: 74 FR 47695, Sept. 16, 2009, unless otherwise noted. Subpart AGeneral 1522.1 Scope and terms used in this part. (a) This part governs the use of TSA- approved validation firms and indi-vidual valida

7、tors to assess whether cer-tain persons regulated under this chap-ter are in compliance with this chap-ter. (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

8、 part. Assessment means the physical inspec-tions, records reviews, personnel inter-views, and other procedures conducted by a validator to assess whether a per-son is in compliance with relevant re-quirements of a security program. Conflict of interest means a situation in which the validation firm

9、, the validator, or an individual assisting in the assessment, or the spouse or imme-diate 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 i

10、nclude, 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 in-terest in the person under assessment, or has common management or organi-zational governance (for example, interlocking boards of direct

11、ors) with the person under assessment. (2) The validation firm, the validator, or an individual who will assist in con-ducting the assessment, or an imme-diate family member of such a validator or individual, is a creditor or debtor of the person under assessment. (3) The validator, or an individual

12、 who will assist in conducting the as-sessment, 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 as-sessed. (4) The validator, or

13、an individual who will assist in conducting the as-sessment, or the spouse or immediate VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00315 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted with

14、out license from IHS-,-,-306 49 CFR Ch. XII (10110 Edition) 1522.3 family member of such a person, is, or at any time has been, an individual, of-ficer, or contractor of the person under assessment whose duties or responsibil-ities did involve the operations being assessed. (5) The validator, or an

15、individual who will assist in conducting the as-sessment, 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, part-nership, limite

16、d liability partnership, limited liability corporation, and a corporation. National of the United States means a citizen of the United States, or a per-son 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 S

17、wains Island. TSA-approved validation firm or valida-tion firm means a firm that has been ap-proved under this part to conduct an assessment under this chapter. Validator means an individual as-signed by the validation firm to be re-sponsible for conducting a given assess-ment under this part. 1522.

18、3 Fraud and intentional fal-sification 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 use

19、d to show compli-ance 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 me-dium, or identification medium issued or submitted under this part. 1522.5 TSA inspection auth

20、ority. (a) Each validation firm and each validator must allow TSA, during nor-mal business hours, in a reasonable manner, without advance notice, to enter the facility and make any inspec-tions or tests, including copying records, to (1) Determine compliance of a valida-tion firm or validator with t

21、his chapter and 49 U.S.C. 114 and Subtitle VII, as amended; or (2) Carry out TSAs statutory or reg-ulatory authorities, including its au-thority to (i) Assess threats to transportation; (ii) Enforce security-related regula-tions, directives, and requirements: (iii) Inspect, maintain, and test the se

22、curity of facilities, equipment, and systems; (iv) Ensure the adequacy of security measures for the transportation of pas-sengers and cargo; (v) Oversee the implementation, and ensure the adequacy, of security meas-ures at airports and other transpor-tation facilities; (vi) Review security plans; an

23、d (vii) Carry out such other duties, and exercise such other powers, relating to transportation security as the Assist-ant Secretary of Homeland Security for the TSA considers appropriate, to the extent authorized by law. (b) At the request of TSA, each vali-dation firm and validator must provide ev

24、idence of compliance with this chap-ter, 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 h

25、ave identification media issued by TSA or DHS. Subpart BTSA-Approved Valida-tion Firms and Validators for the Certified Cargo Screening Program 1522.101 Applicability. This subpart governs the use of TSA- approved validation firms and validators to assess whether certified cargo screening facilities

26、 (CCSFs), or facilities seeking to be approved as such, comply with the requirements of 49 CFR part 1549. VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00316 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or network

27、ing permitted without license from IHS-,-,-307 Transportation Security Administration, DHS 1522.105 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 screenin

28、g facilities: (a) Resources. The validation firm must have sufficient facilities, re-sources, and personnel to conduct the assessments. (b) Security Coordinator. The valida-tion firm must designate and use a Se-curity Coordinator and at least one al-ternate Security Coordinator. (1) The Security Coo

29、rdinator and al-ternates must be senior employees or officers of the firm, and must be read-ily available during normal business hours. (2) The Security Coordinator and des-ignated alternates must serve as the validation firms primary contact for security-related activities and commu-nications with

30、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. (c) Security Program. The validation firm must obtain TSA approval of a se-curity program and must implement the secur

31、ity program. (d) Personnel. The validation firm must ensure that its personnel carry out the requirements of this chapter and the validation firms security pro-gram. (e) Change in information. (1) The vali-dation firm must inform TSA, in a form and manner prescribed by TSA, of any change in the info

32、rmation required to be submitted by the validation firm to TSA under this part within seven days of the change. (2) Changes included within the re-quirement of this paragraph include, but are not limited to, changes in the validation firms address, phone num-ber, or other contact information, the id

33、entity of the Security Coordinator or alternate, significant changes in own-ership of the firm. 1522.105 Adoption and implementa-tion of the security program. (a) Security program required. No per-son may operate as a validation firm unless that person holds and carries out an approved security prog

34、ram 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 firms security program. Each security program under this part must (1) Provide for the security of a

35、ir-craft, as well as that of persons and property traveling in air transpor-tation, against acts of criminal vio-lence and air piracy, and against the introduction into aircraft of any unau-thorized explosive, incendiary, and other destructive substance or item; (2) Describe the processes and proce-

36、dures to be used to maintain current qualifications, credentials, or accredi-tations, 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 d

37、esignate and use a Security Coordi-nator and at least one alternate Secu-rity Coordinator. (c) Amendment requested by a valida-tion 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

38、 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 pro-posal for an amendment that is on be-half of it and other validation firms that co-sign the proposal. (1) Within 30 calendar d

39、ays after re-ceiving a proposed amendment, the designated official, in writing, must ei-ther approve or deny the request to amend. (2) An amendment to a validation firms security program may be ap-proved if the designated official deter-mines that safety and the public inter-est will allow it, and i

40、f the proposed amendment provides the level of secu-rity required under this part. (3) Within 30 calendar days after re-ceiving a denial of the proposed amend-ment, the validation firm may petition VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00317 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 2

41、20220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-308 49 CFR Ch. XII (10110 Edition) 1522.107 TSA to reconsider the denial. A Peti-tion for Reconsideration must be filed with the designated official. (4) Upon receip

42、t of a Petition for Re-consideration, the designated official must either approve the request to amend the security program or trans-mit the petition, along with any perti-nent information, to TSA for reconsid-eration. TSA will make a determina-tion on the petition within 30 calendar days of receipt

43、 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 inter-est of safety and the public interest, as follows: (1) TSA must notify the validation firm, in writing, of the proposed amendment, fix

44、ing a period of not less than 30 calendar days within which the validation firm may submit written in-formation, views, and arguments on the amendment. (2) After considering all relevant ma-terial, the designated official must no-tify the validation firm of any amend-ment adopted or rescind the noti

45、ce of amendment. If the amendment is adopted, it becomes effective not less than 30 calendar days after the valida-tion firm receives the notice of amend-ment, unless the validation firm dis-agrees with the proposed amendment and petitions the TSA to reconsider, no later than 15 calendar days before

46、 the effective date of the amendment. The validation firm must send the petition for reconsideration to the designated official. A timely Petition for Recon-sideration stays the effective date of the amendment. (3) Upon receipt of a Petition for Re-consideration, the designated official must either

47、amend or withdraw the no-tice of amendment, or transmit the Pe-tition, together with any pertinent in-formation, to TSA for reconsideration. TSA must make a determination on the Petition within 30 calendar days of receipt, either by directing the des-ignated official to withdraw or amend the notice

48、of amendment, or by affirm-ing the notice of amendment. (e) Emergency Amendments. (1) If TSA finds that there is an emergency re-quiring immediate action that makes compliance with the procedural re-quirements in this section contrary to the public interest, the designated offi-cial may issue an eme

49、rgency amend-ment, without the prior notice and comment procedures described in para-graph (d) of this section. (2) The emergency amendment is ef-fective without stay on the date the validation firm receives notification. TSA will incorporate in the notifica-tion a brief statement of the reasons and findings for the emergency amend-ment to be adopted. (3) The validation firm may file a Pe-tition for Reconsideration with TSA no later than 15 calendar days af