358
49 CFR Ch. XII (10–1–23 Edition)
§ 1544.229
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 trans-
portation, dispatch, or security of
cargo for transport on a passenger air-
craft or all-cargo aircraft, as specified
in the aircraft operator’s security pro-
gram; from the time—
(i) The cargo reaches a location
where an aircraft operator with a full
all-cargo program consolidates or in-
spects it pursuant to security program
requirements until the cargo enters an
airport Security Identification Display
Area or is transferred to another TSA-
regulated 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 Identi-
fication Display Area;
(B) Is removed from the destination
airport; or
(C) Is transferred to another TSA-
regulated aircraft operator, foreign air
carrier, or indirect air carrier.
(2) Each individual the aircraft oper-
ator authorizes to screen cargo or to
supervise the screening of cargo under
§ 1544.205.
[74 FR 47704, Sept. 16, 2009]
§ 1544.229
Fingerprint-based criminal
history records checks (CHRC):
Unescorted access authority, au-
thority to perform screening func-
tions, and authority to perform
checked baggage or cargo func-
tions.
This section applies to each aircraft
operator operating under a full pro-
gram, a private charter program, or a
full all-cargo program.
(a)
Scope. The following individuals
are within the scope of this section.
Unescorted access authority, authority
to perform screening functions, and au-
thority to perform checked baggage or
cargo functions, are collectively re-
ferred to as ‘‘covered functions.’’
(1)
New unescorted access authority or
authority to perform screening functions.
(i) Each employee or contract em-
ployee covered under a certification
made to an airport operator on or after
December 6, 2001, pursuant to 14 CFR
107.209(n) in effect prior to November
14, 2001 (see 14 CFR parts 60 to 139 re-
vised as of January 1, 2001) or
§ 1542.209(n) of this chapter.
(ii) Each individual issued on or after
December 6, 2001, an aircraft operator
identification media that one or more
airports accepts as airport-approved
media for unescorted access authority
within a security identification display
area (SIDA), as described in § 1542.205 of
this chapter (referred to as ‘‘unescorted
access authority’’).
(iii) Each individual granted author-
ity to perform the following screening
functions at locations within the
United States (referred to as ‘‘author-
ity to perform screening functions’’):
(A) Screening passengers or property
that will be carried in a cabin of an air-
craft of an aircraft operator required to
screen passengers under this part.
(B) Serving as an immediate super-
visor (checkpoint security supervisor
(CSS)), and the next supervisory level
(shift or site supervisor), to those indi-
viduals described in paragraphs
(a)(1)(iii)(A) or (a)(1)(iii)(C) of this sec-
tion.
(C) Screening cargo that will be car-
ried on an aircraft of an aircraft oper-
ator with a full all-cargo program.
(2)
Current unescorted access authority
or authority to perform screening func-
tions. (i) Each employee or contract
employee covered under a certification
made to an airport operator pursuant
to 14 CFR 107.31(n) in effect prior to
November 14, 2001 (see 14 CFR parts 60
to 139 revised as of January 1, 2001), or
pursuant to 14 CFR 107.209(n) in effect
prior to December 6, 2001 (see 14 CFR
parts 60 to 139 revised as of January 1,
2001).
(ii) Each individual who holds on De-
cember 6, 2001, an aircraft operator
identification media that one or more
airports accepts as airport-approved
media for unescorted access authority
within a security identification display
area (SIDA), as described in § 1542.205 of
this chapter.
(iii) Each individual who is per-
forming on December 6, 2001, a screen-
ing function identified in paragraph
(a)(1)(iii) of this section.
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(3)
New authority to perform checked
baggage or cargo functions. Each indi-
vidual who, on and after February 17,
2002, is granted the authority to per-
form the following checked baggage
and cargo functions (referred to as
‘‘authority to perform checked baggage
or cargo functions’’), except for indi-
viduals described in paragraph (a)(1) of
this section:
(i) Screening of checked baggage or
cargo of an aircraft operator required
to screen passengers under this part, or
serving as an immediate supervisor of
such an individual.
(ii) Accepting checked baggage for
transport on behalf of an aircraft oper-
ator required to screen passengers
under this part.
(4)
Current authority to perform
checked baggage or cargo functions. Each
individual who holds on February 17,
2002, authority to perform checked bag-
gage or cargo functions, except for in-
dividuals described in paragraph (a)(1)
or (2) of this section.
(b)
Individuals seeking unescorted ac-
cess authority, authority to perform
screening functions, or authority to per-
form checked baggage or cargo functions.
Each aircraft operator must ensure
that each individual identified in para-
graph (a)(1) or (3) of this section has
undergone a fingerprint-based CHRC
that does not disclose that he or she
has a disqualifying criminal offense, as
described in paragraph (d) of this sec-
tion, before—
(1) Making a certification to an air-
port operator regarding that indi-
vidual;
(2) Issuing an aircraft operator iden-
tification medium to that individual;
(3) Authorizing that individual to
perform screening functions; or
(4) Authorizing that individual to
perform checked baggage or cargo
functions.
(c)
Individuals who have not had a
CHRC—(1) Deadline for conducting a
CHRC. Each aircraft operator must en-
sure that, on and after December 6,
2002:
(i) No individual retains unescorted
access authority, whether obtained as
a result of a certification to an airport
operator under 14 CFR 107.31(n) in ef-
fect prior to November 14, 2001 (see 14
CFR parts 60 to 139 revised as of Janu-
ary 1, 2001), or under 14 CFR 107.209(n)
in effect prior to December 6, 2001 (see
14 CFR Parts 60 to 139 revised as of
January 1, 2001), or obtained as a result
of the issuance of an aircraft operator’s
identification media, unless the indi-
vidual has been subject to a finger-
print-based CHRC for unescorted access
authority under this part.
(ii) No individual continues to have
authority to perform screening func-
tions described in paragraph (a)(1)(iii)
of this section, unless the individual
has been subject to a fingerprint-based
CHRC under this part.
(iii) No individual continues to have
authority to perform checked baggage
or cargo functions described in para-
graph (a)(3) of this section, unless the
individual has been subject to a finger-
print-based CHRC under this part.
(2)
Lookback for individuals with
unescorted access authority or authority
to perform screening functions. When a
CHRC discloses a disqualifying crimi-
nal offense for which the conviction or
finding was on or after December 6,
1991, the aircraft operator must imme-
diately suspend that individual’s
unescorted access authority or author-
ity to perform screening functions.
(3)
Lookback for individuals with au-
thority to perform checked baggage or
cargo functions. When a CHRC discloses
a disqualifying criminal offense for
which the conviction or finding was on
or after February 17, 1992, the aircraft
operator must immediately suspend
that individual’s authority to perform
checked baggage or cargo functions.
(d)
Disqualifying criminal offenses. An
individual has a disqualifying criminal
offense if the individual has been con-
victed, or found not guilty by reason of
insanity, of any of the disqualifying
crimes listed in this paragraph in any
jurisdiction during the 10 years before
the date of the individual’s application
for authority to perform covered func-
tions, or while the individual has au-
thority to perform covered functions.
The disqualifying criminal offenses are
as follows:
(1) Forgery of certificates, false
marking of aircraft, and other aircraft
registration violation; 49 U.S.C. 46306.
(2) Interference with air navigation;
49 U.S.C. 46308.
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(3) Improper transportation of a haz-
ardous material; 49 U.S.C. 46312.
(4) Aircraft piracy; 49 U.S.C. 46502.
(5) Interference with flight crew
members or flight attendants; 49 U.S.C.
46504.
(6) Commission of certain crimes
aboard aircraft in flight; 49 U.S.C.
46506.
(7) Carrying a weapon or explosive
aboard aircraft; 49 U.S.C. 46505.
(8) Conveying false information and
threats; 49 U.S.C. 46507.
(9) Aircraft piracy outside the special
aircraft jurisdiction of the United
States; 49 U.S.C. 46502(b).
(10) Lighting violations involving
transporting controlled substances; 49
U.S.C. 46315.
(11) Unlawful entry into an aircraft
or airport area that serves air carriers
or foreign air carriers contrary to es-
tablished security requirements; 49
U.S.C. 46314.
(12) Destruction of an aircraft or air-
craft facility; 18 U.S.C. 32.
(13) Murder.
(14) Assault with intent to murder.
(15) Espionage.
(16) Sedition.
(17) Kidnapping or hostage taking.
(18) Treason.
(19) Rape or aggravated sexual abuse.
(20) Unlawful possession, use, sale,
distribution, or manufacture of an ex-
plosive or weapon.
(21) Extortion.
(22) Armed or felony unarmed rob-
bery.
(23) Distribution of, or intent to dis-
tribute, a controlled substance.
(24) Felony arson.
(25) Felony involving a threat.
(26) Felony involving—
(i) Willful destruction of property;
(ii) Importation or manufacture of a
controlled substance;
(iii) Burglary;
(iv) Theft;
(v) Dishonesty, fraud, or misrepresen-
tation;
(vi) Possession or distribution of sto-
len property;
(vii) Aggravated assault;
(viii) Bribery; or
(ix) Illegal possession of a controlled
substance punishable by a maximum
term of imprisonment of more than 1
year.
(27) Violence at international air-
ports; 18 U.S.C. 37.
(28) Conspiracy or attempt to commit
any of the criminal acts listed in this
paragraph (d).
(e)
Fingerprint application and proc-
essing. (1) At the time of fingerprinting,
the aircraft operator must provide the
individual to be fingerprinted a finger-
print application that includes only
the following—
(i) The disqualifying criminal of-
fenses described in paragraph (d) of this
section.
(ii) A statement that the individual
signing the application does not have a
disqualifying criminal offense.
(iii) A statement informing the indi-
vidual that Federal regulations under
49 CFR 1544.229 impose a continuing ob-
ligation to disclose to the aircraft op-
erator within 24 hours if he or she is
convicted of any disqualifying criminal
offense that occurs while he or she has
authority to perform a covered func-
tion.
(iv) A statement reading, ‘‘The infor-
mation I have provided on this applica-
tion is true, complete, and correct to
the best of my knowledge and belief
and is provided in good faith. I under-
stand that a knowing and willful false
statement on this application can be
punished by fine or imprisonment or
both. (See section 1001 of Title 18
United States Code.)’’
(v) A line for the printed name of the
individual.
(vi) A line for the individual’s signa-
ture and date of signature.
(2) Each individual must complete
and sign the application prior to sub-
mitting his or her fingerprints.
(3) The aircraft operator must verify
the identity of the individual through
two forms of identification prior to
fingerprinting, and ensure that the
printed name on the fingerprint appli-
cation is legible. At least one of the
two forms of identification must have
been issued by a government authority,
and at least one must include a photo.
(4) The aircraft operator must:
(i) Advise the individual that a copy
of the criminal record received from
the FBI will be provided to the indi-
vidual, if requested by the individual in
writing; and
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(ii) Identify a point of contact if the
individual has questions about the re-
sults of the CHRC.
(5) The aircraft operator must col-
lect, control, and process one set of leg-
ible and classifiable fingerprints under
direct observation by the aircraft oper-
ator or a law enforcement officer.
(6) Fingerprints may be obtained and
processed electronically, or recorded
on fingerprint cards approved by the
FBI and distributed by TSA for that
purpose.
(7) The fingerprint submission must
be forwarded to TSA in the manner
specified by TSA.
(f)
Fingerprinting fees. Aircraft opera-
tors must pay for all fingerprints in a
form and manner approved by TSA.
The payment must be made at the des-
ignated rate (available from the local
TSA security office) for each set of fin-
gerprints submitted. Information about
payment options is available though
the designated TSA headquarters point
of contact. Individual personal checks
are not acceptable.
(g)
Determination of arrest status. (1)
When a CHRC on an individual de-
scribed in paragraph (a)(1) or (3) of this
section discloses an arrest for any dis-
qualifying criminal offense listed in
paragraph (d) of this section without
indicating a disposition, the aircraft
operator must determine, after inves-
tigation, that the arrest did not result
in a disqualifying offense before grant-
ing authority to perform a covered
function. If there is no disposition, or if
the disposition did not result in a con-
viction or in a finding of not guilty by
reason of insanity of one of the offenses
listed in paragraph (d) of this section,
the individual is not disqualified under
this section.
(2) When a CHRC on an individual de-
scribed in paragraph (a)(2) or (4) of this
section discloses an arrest for any dis-
qualifying criminal offense without in-
dicating a disposition, the aircraft op-
erator must suspend the individual’s
authority to perform a covered func-
tion not later than 45 days after ob-
taining the CHRC unless the aircraft
operator determines, after investiga-
tion, that the arrest did not result in a
disqualifying criminal offense. If there
is no disposition, or if the disposition
did not result in a conviction or in a
finding of not guilty by reason of in-
sanity of one of the offenses listed in
paragraph (d) of this section, the indi-
vidual is not disqualified under this
section.
(3) The aircraft operator may only
make the determinations required in
paragraphs (g)(1) and (g)(2) of this sec-
tion for individuals for whom it is
issuing, or has issued, authority to per-
form a covered function; and individ-
uals who are covered by a certification
from an aircraft operator under
§ 1542.209(n) of this chapter. The air-
craft operator may not make deter-
minations for individuals described in
§ 1542.209(a) of this chapter.
(h)
Correction of FBI records and notifi-
cation of disqualification. (1) Before
making a final decision to deny author-
ity to an individual described in para-
graph (a)(1) or (3) of this section, the
aircraft operator must advise him or
her that the FBI criminal record dis-
closes information that would dis-
qualify him or her from receiving or re-
taining authority to perform a covered
function and provide the individual
with a copy of the FBI record if he or
she requests it.
(2) The aircraft operator must notify
an individual that a final decision has
been made to grant or deny authority
to perform a covered function.
(3) Immediately following the suspen-
sion of authority to perform a covered
function, the aircraft operator must
advise the individual that the FBI
criminal record discloses information
that disqualifies him or her from re-
taining his or her authority, and pro-
vide the individual with a copy of the
FBI record if he or she requests it.
(i)
Corrective action by the individual.
The individual may contact the local
jurisdiction responsible for the infor-
mation and the FBI to complete or cor-
rect the information contained in his
or her record, subject to the following
conditions—
(1) For an individual seeking
unescorted access authority or author-
ity to perform screening functions on
or after December 6, 2001; or an indi-
vidual seeking authority to perform
checked baggage or cargo functions on
or after February 17, 2002; the following
applies:
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(i) Within 30 days after being advised
that the criminal record received from
the FBI discloses a disqualifying crimi-
nal offense, the individual must notify
the aircraft operator in writing of his
or her intent to correct any informa-
tion he or she believes to be inac-
curate. The aircraft operator must ob-
tain a copy, or accept a copy from the
individual, of the revised FBI record or
a certified true copy of the information
from the appropriate court, prior to au-
thority to perform a covered function.
(ii) If no notification, as described in
paragraph (h)(1) of this section, is re-
ceived within 30 days, the aircraft oper-
ator may make a final determination
to deny authority to perform a covered
function.
(2) For an individual with unescorted
access authority or authority to per-
form screening functions before De-
cember 6, 2001; or an individual with
authority to perform checked baggage
or cargo functions before February 17,
2002; the following applies: Within 30
days after being advised of suspension
because the criminal record received
from the FBI discloses a disqualifying
criminal offense, the individual must
notify the aircraft operator in writing
of his or her intent to correct any in-
formation he or she believes to be inac-
curate. The aircraft operator must ob-
tain a copy, or accept a copy from the
individual, of the revised FBI record, or
a certified true copy of the information
from the appropriate court, prior to re-
instating authority to perform a cov-
ered function.
(j)
Limits on dissemination of results.
Criminal record information provided
by the FBI may be used only to carry
out this section and § 1542.209 of this
chapter. No person may disseminate
the results of a CHRC to anyone other
than:
(1) The individual to whom the record
pertains, or that individual’s author-
ized representative.
(2) Officials of airport operators who
are determining whether to grant
unescorted access to the individual
under part 1542 of this chapter when
the determination is not based on the
aircraft operator’s certification under
§ 1542.209(n) of this chapter.
(3) Other aircraft operators who are
determining whether to grant author-
ity to perform a covered function under
this part.
(4) Others designated by TSA.
(k)
Recordkeeping. The aircraft oper-
ator must maintain the following in-
formation.
(1)
Investigation conducted before De-
cember 6, 2001. The aircraft operator
must maintain and control the access
or employment history investigation
files, including the criminal history
records results portion, for investiga-
tions conducted before December 6,
2001.
(2)
Fingerprint application process on or
after December 6, 2001. The aircraft oper-
ator must physically maintain, con-
trol, and, as appropriate, destroy the
fingerprint application and the crimi-
nal record. Only direct aircraft oper-
ator employees may carry out the re-
sponsibility for maintaining, control-
ling, and destroying criminal records.
(3)
Protection of records—all investiga-
tions. The records required by this sec-
tion must be maintained in a manner
that is acceptable to TSA and in a
manner that protects the confiden-
tiality of the individual.
(4)
Duration—all investigations. The
records identified in this section with
regard to an individual must be main-
tained until 180 days after the termi-
nation of the individual’s authority to
perform a covered function. When files
are no longer maintained, the criminal
record must be destroyed.
(l)
Continuing responsibilities. (1) Each
individual with unescorted access au-
thority or the authority to perform
screening functions on December 6,
2001, who had a disqualifying criminal
offense in paragraph (d) of this section
on or after December 6, 1991, must, by
January 7, 2002, report the conviction
to the aircraft operator and surrender
the SIDA access medium to the issuer
and cease performing screening func-
tions, as applicable.
(2) Each individual with authority to
perform a covered function who has a
disqualifying criminal offense must re-
port the offense to the aircraft oper-
ator and surrender the SIDA access
medium to the issuer within 24 hours of
the conviction or the finding of not
guilty by reason of insanity.
(3) If information becomes available
to the aircraft operator indicating that
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an individual with authority to per-
form a covered function has a possible
conviction for any disqualifying crimi-
nal offense in paragraph (d) of this sec-
tion, the aircraft operator must deter-
mine the status of the conviction. If a
disqualifying criminal offense is con-
firmed the aircraft operator must im-
mediately revoke any authority to per-
form a covered function.
(4) Each individual with authority to
perform checked baggage or cargo
functions on February 17, 2002, who had
a disqualifying criminal offense in
paragraph (d) of this section on or after
February 17, 1992, must, by March 25
2002, report the conviction to the air-
craft operator and cease performing
check baggage or cargo functions.
(m)
Aircraft operator responsibility.
The aircraft operator must—
(1) Designate an individual(s) to be
responsible for maintaining and con-
trolling the employment history inves-
tigations for those whom the aircraft
operator has made a certification to an
airport operator under 14 CFR
107.209(n) in effect prior to November
14, 2001 (see 14 CFR parts 60 to 139 re-
vised as of January 1, 2001), and for
those whom the aircraft operator has
issued identification media that are
airport-accepted. The aircraft operator
must designate a direct employee to
maintain, control, and, as appropriate,
destroy criminal records.
(2) Designate an individual(s) to
maintain the employment history in-
vestigations of individuals with au-
thority to perform screening functions
whose files must be maintained at the
location or station where the screener
is performing his or her duties.
(3) Designate an individual(s) at ap-
propriate locations to serve as the con-
tact to receive notification from indi-
viduals seeking authority to perform
covered functions of their intent to
seek correction of their FBI criminal
record.
(4) Audit the employment history in-
vestigations performed in accordance
with this section and 14 CFR 108.33 in
effect prior to November 14, 2001 (see 14
CFR parts 60 to 139 revised as of Janu-
ary 1, 2001). The aircraft operator must
set forth the audit procedures in its se-
curity program.
[67 FR 8364, Feb. 22, 2002, as amended at 71
FR 30511, May 26, 2006]
§ 1544.230
Fingerprint-based criminal
history records checks (CHRC):
Flightcrew members.
(a)
Scope. This section applies to each
flightcrew member for each aircraft op-
erator, except that this section does
not apply to flightcrew members who
are subject to § 1544.229.
(b)
CHRC required. Each aircraft oper-
ator must ensure that each flightcrew
member has undergone a fingerprint-
based CHRC that does not disclose that
he or she has a disqualifying criminal
offense, as described in § 1544.229(d), be-
fore allowing that individual to serve
as a flightcrew member.
(c)
Application and fees. Each aircraft
operator must ensure that each
flightcrew member’s fingerprints are
obtained and submitted as described in
§ 1544.229 (e) and (f).
(d)
Determination of arrest status. (1)
When a CHRC on an individual de-
scribed in paragraph (a) of this section
discloses an arrest for any disquali-
fying criminal offense listed in
§ 1544.229(d) without indicating a dis-
position, the aircraft operator must de-
termine, after investigation, that the
arrest did not result in a disqualifying
offense before the individual may serve
as a flightcrew member. If there is no
disposition, or if the disposition did not
result in a conviction or in a finding of
not guilty by reason of insanity of one
of the offenses listed in § 1544.229(d), the
flight crewmember is not disqualified
under this section.
(2) When a CHRC on an individual de-
scribed in paragraph (a) of this section
discloses an arrest for any disquali-
fying criminal offense listed in
§ 1544.229(d) without indicating a dis-
position, the aircraft operator must
suspend the individual’s flightcrew
member privileges not later than 45
days after obtaining a CHRC, unless
the aircraft operator determines, after
investigation, that the arrest did not
result in a disqualifying criminal of-
fense. If there is no disposition, or if
the disposition did not result in a con-
viction or in a finding of not guilty by
reason of insanity of one of the offenses
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