[Federal Register: September 20, 2004 (Volume 69, Number 181)]
[Rules and Regulations]
[Page 56323-56343]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr20se04-9]
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Part V
Department of Homeland Security
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Transportation Security Administration
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49 CFR Part 1552
Flight Training for Aliens and Other Designated Individuals; Security
Awareness Training for Flight School Employees; Interim Rule
[[Page 56324]]
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DEPARTMENT OF HOMELAND SECURITY
Transportation Security Administration
49 CFR Part 1552
[Docket No. TSA-2004-19147]
RIN 1652-AA35
Flight Training for Aliens and Other Designated Individuals;
Security Awareness Training for Flight School Employees
AGENCY: Transportation Security Administration (TSA), Department of
Homeland Security (DHS).
ACTION: Interim final rule; request for comments.
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SUMMARY: In response to recent statutory requirements, the
Transportation Security Administration is requiring flight schools to
notify TSA when aliens and other individuals designated by TSA apply
for flight training. TSA is establishing standards relating to the
security threat assessment process that TSA will conduct to determine
whether such individuals are a threat to aviation or national security,
and thus prohibited from receiving flight training. In addition, TSA is
establishing a fee to cover a portion of the costs of the security
threat assessments that TSA will perform under this rule. Finally, TSA
is establishing standards relating to security awareness training for
certain flight school employees. These requirements will help ensure
that individuals who intend to use aircraft to perform terrorist
attacks in the U.S. do not obtain flight training that would enable
them to do so. These requirements also will improve security at flight
schools.
DATES: Effective Date: This rule is effective September 20, 2004.
Compliance Dates: Flight schools that provide, and individuals who
apply for, flight training in the operation of aircraft with a maximum
certificated takeoff weight of greater than 12,500 pounds must comply
with the requirements of this rule regarding such training beginning
October 5, 2004. Flight schools that provide, and individuals who apply
for, flight training in the operation of aircraft with a maximum
certificated takeoff weight of 12,500 pounds or less must comply with
the requirements of this rule regarding such training beginning October
20, 2004.
Comment Date: Comments must be received by October 20, 2004.
ADDRESSES: You may submit comments, identified by the TSA docket number
to this rulemaking, using any one of the following methods:
Comments Filed Electronically: You may submit comments through the
docket Web site at http://dms.dot.gov. 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 submitting the comment (or
signing 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), or you may visit http://dms.dot.gov.
You also may submit comments through the Federal eRulemaking portal
at http://www.regulations.gov.
Comments Submitted by Mail, Fax, or In Person: Address or deliver
your written, signed comments to the Docket Management System, U.S.
Department of Transportation, Room Plaza 401, 400 Seventh Street, SW.,
Washington, DC 20590-0001; Fax: (202) 493-2251.
Comments that include trade secrets, confidential commercial or
financial information, or sensitive security information (SSI) should
not be submitted to the public regulatory docket. Please submit such
comments separately from other comments on the rule. Comments
containing trade secrets, confidential commercial or financial
information, or SSI should be appropriately marked as containing such
information and submitted by mail to the individual(s) listed in FOR
FURTHER INFORMATION CONTACT.
Reviewing Comments in the Docket: You may review the public docket
containing comments in person in the Dockets Office between 9 a.m. and
5 p.m., Monday through Friday, except Federal holidays. The Dockets
Office is located on the plaza level of the NASSIF Building at the
Department of Transportation address above. Also, you may review public
dockets on the Internet at http://dms.dot.gov.
See SUPPLEMENTARY INFORMATION for format and other information
about comment submissions.
FOR FURTHER INFORMATION CONTACT: For questions related to flight
training for aliens: Timothy Upham, Credentialing Program Office,
Transportation Security Administration Headquarters, East Building,
Floor 8, TSA-19, 601 South 12th Street, Arlington, VA 22202; telephone:
(571) 227-3940; e-mail: Timothy.Upham@dhs.gov.
For questions related to fees: Randall Fiertz, Office of Revenue,
Transportation Security Administration Headquarters, West Building,
Floor 12, TSA-14, 601 South 12th Street, Arlington, VA 22202;
telephone: (571) 227-2323; e-mail: TSA-Fees@dhs.gov.
For questions related to security awareness training: Michael
Derrick, Office of Aviation Initiatives, Transportation Security
Administration Headquarters, West Building, Floor 11, TSA-9, 601 South
12th Street, Arlington, VA 22202-4220; telephone: (571) 227-1198; e-
mail: Michael.Derrick@dhs.gov.
For legal questions: Dion Casey, Office of Chief Counsel,
Transportation Security Administration Headquarters, West Building,
Floor 8, TSA-2, 601 South 12th Street, Arlington, VA 22202; telephone:
(571) 227-2663; e-mail: Dion.Casey@dhs.gov.
SUPPLEMENTARY INFORMATION:
Comments Invited
As required by Section 612 of Vision 100--Century of Aviation
Reauthorization Act,\1\ this final rule is being adopted without prior
notice and prior public comment. However, to the maximum extent
possible, operating administrations within DHS will provide 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. We also
invite comments relating to the economic, environmental, energy, or
federalism impacts that might result from this rulemaking. See
ADDRESSES above for information on where to submit comments.
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\1\ Pub. L. 108-176, December 12, 2003, 117 Stat. 2490.
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Comments that include trade secrets, confidential commercial or
financial information, or SSI should not be submitted to the public
regulatory docket. Please submit such comments separately from other
comments on the rule. Comments containing this type of information
should be appropriately marked and submitted to the address specified
in the ADDRESSES 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 them 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 receives a request to examine
or copy this information, TSA will treat it as any other request under
the Freedom of Information Act (FOIA) (5 U.S.C. 552) and the Department
of
[[Page 56325]]
Homeland Security's FOIA regulation found in 6 CFR part 5.
With each comment, please include your name and address, identify
the docket number at the beginning of your comments, and give the
reason for each comment. The most helpful comments reference a specific
portion of the rule, 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 two copies, in an
unbound format, no larger than 8.5 by 11 inches, suitable for copying
and electronic filing.
If you want the TSA to acknowledge receipt of your comments on this
rulemaking, include with your comments a self-addressed, stamped
postcard on which the docket number appears. We will stamp the date on
the postcard and mail it to you.
Except for comments containing confidential information and SSI, we
will file in the public docket all comments we receive, as well as a
report summarizing each substantive public contact with TSA personnel
concerning this rulemaking. The docket is available for public
inspection before and after the comment closing date.
We will consider all comments we receive on or before the closing
date for comments. We will consider comments filed late to the extent
practicable. We may change this rulemaking in light of the comments we
receive.
Availability of Rulemaking Document
You may obtain an electronic copy using the Internet by--
(1) Searching the Department of Transportation's electronic Docket
Management System (DMS) Web page (http://dms.dot.gov/search); (2) Accessing the Government Printing Office's Web page at http://www.access.gpo.gov/su_docs/aces/aces140.html
; or
(3) Visiting the TSA's Law and Policy Web page at http://www.tsa.dot.gov/public/index.jsp
.
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
or advice about compliance with statutes and regulations within TSA's
jurisdiction. Any small entity that has a question regarding this
document may contact the persons listed in the FOR FURTHER INFORMATION
CONTACT section for information or advice. You may obtain further
information regarding SBREFA on the Small Business Administration's Web
page at http://www.sba.gov/advo/laws/law_lib.html.
Good Cause for Immediate Adoption
This action is being taken without providing the opportunity for
prior notice and public comment. Section 612 requires TSA to promulgate
an interim final rule (IFR) implementing the requirements of Section
612, including the fee provisions, not later than 60 days after the
enactment of Vision 100. See the Background section below for a more
detailed description of the Section 612 requirements.
TSA also believes there is good cause under Section 553(b) of the
Administrative Procedure Act (APA) (5 U.S.C. 553) for issuing an
interim final rule. Section 553(b) of the APA authorizes agencies to
dispense with certain notice procedures for rules when they find ``good
cause'' to do so. The requirements of notice and opportunity for
comment do not apply when the agency for good cause finds that those
procedures are ``impracticable, unnecessary, or contrary to the public
interest.''
Section 612 of Vision 100--Century of Aviation Reauthorization Act
prohibits a flight school from providing flight training to aliens or
other individuals designated by the Secretary of Homeland Security
(referred to hereinafter as ``candidates''), unless the candidate has
first provided the Secretary with certain identifying information, and
the Secretary has not determined that the candidate is a threat to
aviation or national security. The Department of Justice (DOJ)
currently performs this function. However, Section 612 transfers the
responsibility for determining whether a candidate poses a threat to
aviation or national security from the DOJ to TSA. To ensure that
flight schools may continue to provide flight training only to
candidates who do not pose a threat to aviation security, TSA must
issue this rulemaking as quickly as possible. Although this regulation
would prohibit flight schools from training aliens until the TSA
security threat assessment program takes effect, this prohibition will
not be known until this rule is issued.
TSA notes that the DOJ final rule, requiring candidates who apply
for flight training at U.S. flight schools to be screened, was issued
on February 13, 2003. Thus, DOJ has performed this screening function
for over a year. In developing this rule, TSA consulted with DOJ to
address stakeholder concerns with the DOJ screening program. TSA also
met with flight training providers, aircraft manufacturers, and other
stakeholders to identify their areas of concern. As a result, TSA's
issuance of this interim final rule is not likely to have significant
adverse impacts on the regulated community.
For these reasons, TSA finds that notice and public comment to this
final rule are impracticable, unnecessary, and contrary to the public
interest. However, TSA is requesting public comments on all aspects of
the rule. If, based upon information provided in public comments, TSA
determines that changes to the rule are necessary to address
transportation security more effectively, or in a less burdensome but
equally effective manner, the agency will not hesitate to make such
changes.
This IFR will take effect upon publication in the Federal Register.
Section 553(d) of the APA mandates that a substantive rule may take
effect no less than 30 days after the date it is published in the
Federal Register, unless as otherwise provided by the agency for ``good
cause.''
The DOJ will stop accepting completed applications from candidates
under its rule on September 28, 2004, and thereafter will not accept
any further training applications. Section 612 prohibits a flight
school from providing flight training to candidates, unless the
candidate first provides TSA with certain identifying information, and
TSA does not determine that the person is a threat to aviation or
national security. Thus, flight schools will be barred from providing
flight training to candidates until the IFR establishing the TSA
security threat assessment program takes effect. This could have a
significant adverse economic impact on flight schools.
Moreover, as noted above, TSA consulted extensively with DOJ to
address stakeholder concerns with the DOJ program and met with flight
training providers, aircraft manufacturers, and other stakeholders to
identify their areas of concern. TSA also is using an application
process similar to the DOJ process, including the use of the same Web
site for submission of information. Thus, the agency believes that both
candidates and flight schools will be able to comply with the
requirements of the IFR fairly easily.
In addition, the security benefits of the rule also justify making
the rule
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effective upon publication. Doing so will eliminate any gap between the
DOJ program and implementation of the TSA program. In the event that
information on flight school candidates is submitted to TSA after the
DOJ program has ended, TSA will be in a position to identify
individuals who pose a risk and should not be trained. An additional
security benefit of implementing this regulation as soon as possible is
that the TSA program applies to candidates for training on aircraft
whose maximum takeoff weight is below 12,500 pounds; the DOJ program
does not apply to these candidates. It is important that these
candidates be evaluated as soon as practicable because training in the
operation of these smaller aircraft can be sufficient to allow a
candidate to operate a larger aircraft.
Finally, the IFR provides two compliance dates, one for flight
training in the operation of aircraft with a maximum certificated
takeoff weight of greater than 12,500 pounds and another for flight
training in the operation of aircraft with a maximum certificated
takeoff weight of 12,500 pounds or less. Flight schools that provide,
and individuals who apply for, flight training in the operation of
aircraft with a maximum certificated takeoff weight of greater than
12,500 pounds must comply with the requirements of this rule regarding
such training beginning October 5, 2004. Flight schools that provide,
and individuals who apply for, flight training in the operation of
aircraft with a maximum certificated takeoff weight of 12,500 pounds or
less must comply with the requirements of this rule regarding such
training beginning October 20, 2004. TSA believes that flight schools
and individuals who train in smaller aircraft will need additional time
to comply with the IFR because they currently are not subject to the
DOJ rule, as are flight schools and individuals who train in larger
aircraft.
For these reasons, TSA finds good cause for this IFR taking effect
upon publication in the Federal Register.
Abbreviations and Terms Used in This Document
Administrator--Administrator of the Transportation Security
Administration
ATSA--Aviation and Transportation Security Act
DHS--Department of Homeland Security
DOD--Department of Defense
DOJ--Department of Justice
FAA--Federal Aviation Administration
FBI--Federal Bureau of Investigation
FTCCP--Flight Training Candidate Checks Program
GA--General Aviation
IFR--Interim Final Rule
INS--Immigration and Naturalization Service
MTOW--Maximum Certificated Takeoff Weight
Secretary--Secretary of Homeland Security
TSA--Transportation Security Administration
USCIS--United States Citizenship and Immigration Services
Vision 100--Vision 100--Century of Aviation Reauthorization Act
I. Background
A. Aviation and Transportation Security Act
On November 19, 2001, Congress enacted the Aviation and
Transportation Security Act (ATSA).\2\ Under Section 113 of ATSA (49
U.S.C. 44939), certain aviation training providers were prohibited from
providing training to aliens and other designated individuals in the
operation of aircraft with a maximum certificated takeoff weight of
12,500 pounds or more, unless the aviation training provider notified
the Attorney General of the identity of the candidate seeking training,
and the Attorney General did not notify the aviation training provider
within 45 days that the candidate presented a threat to aviation or
national security. If the Attorney General determined that a candidate
presented a threat to aviation or national security more than 45 days
after receiving notification from the training provider, the Attorney
General was required to notify the training provider, and the training
provider was required to terminate the training immediately.
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\2\ Pub. L. 107-71, 115 Stat. 597, November 19, 2001.
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For purposes of Section 113, flight training included in-flight
training, training in a simulator, and any other form or aspect of
training.
Also, under Section 113 the training provider was required to
furnish the Attorney General with the candidate's identification in a
form required by the Attorney General. Thus, the Attorney General had
the discretion to request a wide variety of information from a
candidate in order to determine whether the candidate presented a
threat to aviation or national security.
B. Department of Justice Rule
On February 13, 2003, the Department of Justice (DOJ) issued a
final rule implementing Section 113 of ATSA.\3\ The DOJ rule applies to
individual training providers, training centers, certificated carriers,
and flight schools, including those located in countries other than the
United States if they provided training leading to a U.S. license,
certification, or rating (referred to as ``providers'' in the DOJ
rule). The DOJ rule does not apply to any military training provided by
the Department of Defense (DOD), the U.S. Coast Guard, or an entity
under contract with the DOD or Coast Guard because such training is not
subject to FAA regulations. Under the DOJ rule, ``training'' includes
any instruction in the operation of an aircraft with a maximum
certificated takeoff weight (MTOW) of 12,500 pounds or more, including
ground school, flight simulator, and in-flight training, but not the
provision of training manuals or other materials or mechanical training
that would not enable the trainee to operate such an aircraft in
flight.
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\3\ 68 FR 7313, February 13, 2003.
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The DOJ rule requires a provider to submit to DOJ certain
identifying information (including fingerprints and financial
information) for each alien and other individual designated by the
Administrator of TSA \4\ (referred to as ``candidates'' in the DOJ
rule) before the provider may provide training to the candidate. A
provider is not required to submit such information for U.S. citizens
or nationals, unless they have been designated by the Administrator of
TSA. An individual seeking training may establish U.S. citizenship or
nationality by showing the provider certain documentation, such as a
valid, unexpired U.S. passport or birth certificate or a selection of
U.S. Citizenship and Immigration Services (USCIS) or Immigration and
Naturalization Service (INS) forms documenting naturalization.
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\4\ The Administrator is now known as the Assistant Secretary of
Homeland Security for TSA.
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The DOJ rule provides for two types of processing, expedited and
non-expedited. Expedited processing is typically completed within 5 to
15 days of receiving all of a candidate's identifying information,
while non-expedited processing is typically completed within 45 days of
receiving all of a candidate's identifying information (including
fingerprints). A candidate is eligible for expedited processing if he
or she is part of any of several categories of pilots whom the Attorney
General has determined present a minimal additional risk to aviation or
national security, including foreign nationals who are current and
qualified as a pilot in command, second in command, or flight engineer
with respective certificates with ratings recognized by the FAA for
aircraft with an MTOW of over 12,500 pounds. If a candidate does not
fall into any of these categories, he or she must undergo the non-
expedited processing.
Either a provider or a candidate must submit the candidate's
identifying
[[Page 56327]]
information to DOJ via the Internet at https://www.flightschoolcandidates.gov.
A candidate's fingerprints must be
taken by, or under the supervision of, a Federal, State, or local law
enforcement agency, by another entity approved by DOJ, or, where
available, by U.S. Government personnel at a U.S. embassy or consulate.
A candidate is required to pay for all costs associated with taking and
processing his or her fingerprints.
DOJ performs a risk assessment based on the information submitted
by the candidate and the provider. If DOJ determines that a candidate
does not present a risk to aviation or national security, DOJ notifies
the candidate and/or the provider electronically that the provider may
initiate the candidate's training. If DOJ determines that a candidate
does present some risk to aviation or national security, DOJ notifies
the provider electronically that training is prohibited or must be
terminated.
If DOJ does not complete a candidate's risk assessment within the
appropriate time period, the provider may initiate the candidate's
training. However, if DOJ subsequently determines that the candidate
presents a risk to aviation or national security, DOJ notifies the
provider, and the provider is required to cease the candidate's
training.
C. Section 612 of Vision 100--Century of Aviation Reauthorization Act
On December 12, 2003, Congress enacted Vision 100--Century of
Aviation Reauthorization Act. Section 612 of Vision 100 makes several
changes to 49 U.S.C. 44939. First, it transfers the threat assessment
requirements from the Attorney General to the Secretary of Homeland
Security, and requires the Secretary to issue an interim final rule
(IFR) implementing Section 612. Second, its applicability is clarified
to cover ``a person operating as a flight instructor, pilot school, or
aviation training center or subject to regulation under this part.''
Third, Section 612 specifies various categories of identifying
information the Secretary can require providers to submit for
candidates for training in the operation of aircraft with an MTOW of
greater than 12,500 pounds. Section 113 of ATSA required a candidate's
identifying information to be submitted ``in such form as the Attorney
General may require.'' (49 U.S.C. 44939 (a)(1)). However, Section 612
provides that the Secretary may require the following information to be
submitted: the candidate's full name, including any aliases or
variations in spelling; passport and visa information; country of
citizenship; date of birth; dates of training; and fingerprints.
Fourth, Section 612 reduces the time a provider must wait after
submission of a candidate's information before initiating training for
a candidate, and thus the time the Secretary has to conduct a threat
assessment, from 45 days to 30 days. It also requires the Secretary to
establish a process to ensure that the waiting period for certain
classes of pilots, such as pilots who are employed by a foreign air
carrier that is certified under 14 CFR part 129 and that has a security
program approved under 49 CFR part 1546, does not exceed 5 days.
Fifth, Section 612 adds a notification requirement for training in
the operation of aircraft with an MTOW of 12,500 pounds or less. It
prohibits a flight training provider from providing training in the
operation of an aircraft having an MTOW of 12,500 pounds or less to an
alien or any other individual specified by the Secretary unless the
provider has notified the Secretary that the individual has requested
such training and furnished the Secretary with the individual's
identification in a form required by the Secretary. It requires a
provider to submit a candidate's identifying information ``in such form
as the Secretary may require.'' (49 U.S.C. 44939 (c)).
Sixth, Section 612 authorizes the Secretary to assess a fee for the
threat assessment. The fee may not exceed $100 (exclusive of the cost
of collecting and transmitting fingerprints from overseas facilities)
during fiscal years 2003 and 2004. For fiscal year 2005 and thereafter,
the Secretary may adjust the fee to reflect the costs of the threat
assessment.
Seventh, Section 612 specifies that the threat assessment
requirements do not apply to foreign military pilots who are endorsed
by the DOD for flight training in the U.S.
Eighth, Section 612 clarifies the definition of training that was
in place under Section 113 of ATSA. Section 113 defined ``covered
training'' as ``in-flight training, training in a simulator, and any
other form or aspect of training.'' (49 U.S.C. 44939(c)). Under Section
612, ``training'' means ``training received from an instructor in an
aircraft or aircraft simulator and does not include recurrent training,
ground training, or demonstration flights for marketing purposes.''
Finally, Section 612 mandates that the Secretary require flight
schools to conduct a security awareness program for flight schools to
increase their awareness of suspicious circumstances and activities of
individuals enrolling in or attending flight school.\5\ This mandate
was put in effect under Section 113 of ATSA and was repeated in Section
612.
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\5\ The Secretary delegated his responsibilities under Section
612 to TSA.
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II. Summary of the Interim Final Rule (IFR)
This IFR prohibits a flight school from providing flight training
to aliens and other individuals designated by TSA (candidates) unless
the flight school or the candidate submits certain information to TSA,
the candidate remits the specified fee to TSA, and TSA determines that
the candidate is not a threat to aviation or national security. Under
the IFR, there are four categories of candidates. Category 1 is for
candidates who are not eligible for expedited processing for flight
training in the operation of aircraft weighing greater than 12,500
pounds. Category 2 is for candidates who are eligible for expedited
processing for flight training in the operation of aircraft weighing
greater than 12,500 pounds. Category 3 is for candidates applying for
flight training in the operation of aircraft weighing 12,500 pounds or
less. Category 4 is for candidates applying for recurrent training.
Candidates in Categories 1-3 are required to submit training
information, such as the type of training the candidate is requesting,
and identifying information, including fingerprints. Flight schools are
required to submit similar training and identifying information for
candidates in Category 4, but are not required to submit the
candidates' fingerprints.\6\ TSA intends to use a process for
submitting information similar to the current DOJ process, including
the use of the same Web site for applying and submitting information to
TSA.
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\6\ As explained further below, Category 4 candidates are not
required to submit fingerprints because TSA is not conducting a
security threat assessment for them. The agency is only verifying
that Category 4 candidates are applying for recurrent training.
Thus, TSA does not require Category 4 candidates' fingerprints.
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The IFR sets the time periods a flight school must wait for TSA
approval before the school may initiate a candidate's training, and
thus the time period TSA has to conduct a candidate's threat
assessment. For Category 1 candidates (regular processing), a flight
school must wait 30 days after TSA receives all the required
information, including the specified fee and the candidate's
fingerprints. For Category 2 candidates (expedited processing), a
flight school must wait 5 days after TSA receives all the required
information.
[[Page 56328]]
For candidates in Categories 3 (training for aircraft 12,500 pounds or
less) and 4 (recurrent training), a candidate (or a flight school for
Category 4 candidates) must submit the specified information to TSA
before the flight school may initiate the candidate's training, but the
flight school is not required to wait for TSA approval. However, if TSA
determines that any candidate, including candidates in Categories 3 and
4, is a threat to aviation or national security, or that the candidate
is not receiving recurrent training, after the flight school has
initiated the candidate's training, the IFR requires the flight school
immediately to cancel or otherwise terminate the candidate's training.
The IFR also establishes a fee for the security threat assessments
that TSA will perform and procedures for candidates to remit the fee to
TSA. Candidates in Categories 1-3 are required to pay the same $130 fee
per application. Candidates in Category 4 are not required to pay a
fee.
Finally, the IFR requires flight schools to provide security
awareness training for certain flight school employees and establishes
standards and criteria such security awareness training programs must
meet.
III. Discussion of the IFR
A. Flight Training for Aliens and Other Designated Individuals
1. Scope and Definitions
This IFR creates a new part 1552 in title 49 of the Code of Federal
Regulations (CFR). Subpart A applies to flight schools, as defined
below, and to individuals who apply to obtain flight training. As noted
above, Section 612 of Vision 100 specifies that the threat assessment
requirements apply only to aliens and other individuals designated by
the Secretary, and do not apply to U.S. citizens or nationals or
foreign military pilots who are endorsed by the DOD for flight training
in the U.S. However, Subpart A requires U.S. citizens and nationals and
foreign military pilots endorsed by the DOD to submit certain
information that will enable TSA to verify their status as U.S.
citizens or nationals or DOD endorsees.
``Alien'' is defined as any person not a citizen or national of the
United States, as mandated at 8 U.S.C. 1101(a)(3) and in Section 612 of
Vision 100.
``National of the United States'' is defined as a person who,
though not a citizen of the United States, owes permanent allegiance to
the United States. This is the definition of the term at 8 U.S.C. 1101.
``Candidate'' is defined as an alien or other individual designated
by TSA who applies for flight training. It does not include an
individual endorsed by the Department of Defense for flight training.
``Day'' is defined two different ways, depending on the time period
specified in the IFR. If the IFR specifies a time period of less than
11 days, such as the 5-day waiting period for expedited processing
candidates, the term ``day'' means a day from Monday through Friday.
This excludes Saturdays and Sundays and Federal holidays, but includes
State and local holidays. If the IFR specifies a time period of greater
than 11 days, such as the 30-day waiting period for regular processing
candidates, the term ``day'' means a calendar day.
This definition of the term ``day'' is consistent with the
computation of time periods under the Federal Rules of Civil Procedure
(FRCP). Rule 6 of the FRCP provides that when a period of time
prescribed or allowed under the FRCP is less than 11 days, weekends and
legal holidays are excluded from the computation. The legal holidays
specified in Rule 6 include New Year's Day, Birthday of Martin Luther
King Jr., Washington's Birthday, Memorial Day, Independence Day, Labor
Day, Columbus Day, Veteran's Day, Thanksgiving Day, Christmas Day, and
any other day appointed as a holiday by the President or the Congress
of the United States. These are the Federal holidays referred to in the
definition of ``day'' in this IFR.
In addition, in light of the extremely short time periods TSA has
to conduct the security threat assessment required under Section 612,
TSA believes that days must be limited to business days. Otherwise
there could be situations in which the agency would have little time to
perform a threat assessment. For example, if a candidate who is
eligible for expedited processing under this part (a 5-day waiting
period) submits his or her information to TSA on the Friday before a
Federal holiday weekend, such as Labor Day or Christmas, TSA
essentially would have only 2 days to perform that candidate's security
threat assessment because of the weekend and the holiday. TSA believes
that Congress, in enacting Section 612, intended TSA to conduct a
thorough threat assessment on each alien and other individual
designated by TSA who applies for flight training in the U.S. TSA
believes that excluding weekends and Federal holidays from the waiting
period under this part, which gives the agency sufficient time to
conduct a thorough threat assessment, is in accordance with that
intent.
``Flight school'' is defined as any pilot school, flight training
center, air carrier flight training facility, or flight instructor
certificated under 14 CFR part 61, 121, 135, 141, or 142; or any other
person or entity that provides instruction under 49 U.S.C. Subtitle
VII, Part A, in the operation of any aircraft or aircraft simulator.
TSA is defining this term broadly to include any individual, as well as
any entity, that provides such instruction. This definition also
includes any individual or entity located outside of the U.S. that
provides such instruction. For example, a flight school located in
Canada that provides instruction in the operation of an aircraft or
aircraft simulator under 49 U.S.C. Subtitle VII, Part A, that would
enable an individual to receive a U.S. Airman's Certificate is subject
to this rule.
``Flight training'' is defined as instruction received from a
flight school in an aircraft, or aircraft simulator. As specified in
Section 612 of Vision 100, the term does not include recurrent
training, ground training, or demonstration flights for marketing
purposes. Section 612 of Vision 100 also provides that the requirements
of the TSA program do not apply to a foreign military pilot endorsed by
the Department of Defense (DOD). The DOJ rule excludes military flight
training provided by DOD, the U.S. Coast Guard, or any entity under
contract with DOD or the U.S. Coast Guard, and TSA has retained the
exclusion in this IFR.
``Aircraft simulator'' is defined as a flight simulator or flight
training device, as those terms are defined at 14 CFR 61.1.
``Recurrent training'' is defined as periodic training required for
employees of certificated aircraft operators under 14 CFR part 61,
121,125, 135, or Subpart K of part 91. Recurrent training programs are
established by these operators and approved by the FAA for flight
crewmembers to remain proficient in the performance of their duties
during common carriage in an aircraft for compensation or hire. For the
purposes of this IFR, recurrent training shall pertain only to those
candidates who are current and qualified as a pilot in command, second
in command, or flight engineer with respective certificates with
ratings recognized by the FAA; who are employed by a carrier approved
under 14 CFR parts 121, 125, 135, or Subpart K of part 91; and who are
applying for training while still current and prior to the end of their
grace month as established by their previously documented recurrent
[[Page 56329]]
training course. For example, a candidate who was approved for flight
training in a particular type of aircraft, and who has a unique student
identification number in the TSA database that indicates he or she was
approved by TSA for flight training in that type of aircraft, will be
considered applying for recurrent training if he or she applies for
training in the same type of aircraft as previously approved.\7\
---------------------------------------------------------------------------
\7\ To ease the application process, as well as TSA's
determination as to whether a candidate is applying for recurrent
training, TSA intends to track candidates using their unique student
identification number. This will make it easier to track candidates
who apply for training at different flight schools.
---------------------------------------------------------------------------
TSA notes that there is no definition of the term ``recurrent
training'' in 14 CFR part 61. Recurrent training is a term specific to
flight crewmember training requirements in 14 CFR parts 121, 125 and
135 aircraft operators, and more recently of Fractional Ownership
programs regulated under 14 CFR part 91, Subpart K. TSA notes that this
definition of ``recurrent training'' is applicable to both training in
aircraft with an MTOW greater than 12,500 pounds and in aircraft with
an MTOW of 12,500 pounds or less.
``Ground training'' is defined as classroom or computer-based
instruction in the operation of aircraft, aircraft systems, or cockpit
procedures. This ground training includes the provision of written
materials, such as manuals, but does not include instruction in a
computer-based aircraft simulator.
``Demonstration flight for marketing purposes'' is defined as a
flight for the purpose of demonstrating an aircraft's or aircraft
simulator's capabilities or characteristics to a potential purchaser,
or to an agent of a potential purchaser, of the aircraft or simulator.
For example, when an aircraft manufacturer delivers an aircraft to a
purchaser, the purchaser typically takes the aircraft for what is known
as an acceptance flight so that the purchaser can check for any
potential discrepancies. During an acceptance flight, the purchaser may
ask the aircraft manufacturer pilot about the operation of some
aircraft equipment. Such an acceptance flight is a demonstration flight
for marketing purposes, not flight training, under the IFR.
2. General Requirements
For candidates in Categories 1-3, the IFR generally prohibits a
flight school from providing flight training to a candidate unless: (i)
the flight school notifies TSA that the candidate has requested such
flight training; (ii) the candidate has submitted certain information
to TSA; (iii) the flight school has submitted to TSA, in a form and
manner acceptable to TSA, a photograph of the candidate taken when the
candidate arrives at the flight school for flight training; and (iv)
TSA has informed the flight school that the candidate does not pose a
threat to aviation or national security. The information submitted by
the candidate must be in a form and manner acceptable to TSA. To the
extent possible, TSA intends to use the DOJ process for submitting the
required information to TSA. TSA intends to continue using the DOJ Web
site, with modifications, at https://www.flightschoolcandidates.gov.
The candidate is required to submit information to TSA electronically
via the Web site in accordance with the procedures described below.\8\
The candidate is required to electronically sign a form that is
submitted with the required information.
---------------------------------------------------------------------------
\8\ Candidates will be required to complete a TSA form, located
on the Web site, and submit the form to TSA electronically.
---------------------------------------------------------------------------
For candidates in Category 4, the flight school must submit certain
identifying and training information electronically via the Web site.
The flight school also must submit to TSA, in a form and manner
acceptable to TSA, a photograph of the candidate taken when the
candidate arrives for flight training. TSA is requiring flight schools
to submit a photograph of the candidate when the candidate arrives at
the flight school for flight training to help ensure that the person
who was cleared by TSA is the person who receives the flight training.
TSA will check the photograph submitted by the flight school against
the photograph of the candidate that is taken when he or she enters the
U.S. TSA intends to accept photographs either electronically (digital
or scanned photo sent by e-mail) or via fax. The email address and fax
numbers where the photographs may be sent will be available on the Web
site. TSA requests comment on this requirement.
In addition, for all categories of candidates a flight school will
be required to verify that a candidate has applied for training at that
school. To ensure that only FAA-certificated flight schools verify this
information, flight schools are required to register for initial access
to the TSA system through the FAA. Flight schools should register
through their local FAA Flight Standards District Office (FSDO). Upon
registration, flight schools will be sent (via e-mail) a password to
access the system. TSA notes that flight schools that have registered
under the DOJ's program will not be required to register again under
the TSA program. TSA intends to transfer the information from the DOJ
database to the TSA database.
If a flight school makes a willful false statement, or omits a
material fact, when submitting the information required under this
part, the flight school may be subject to enforcement action. For
example, the flight school may be subject to civil penalties under 49
U.S.C. 46301 and 49 CFR 1503. If a candidate makes a knowing and
willful false statement, or omits a material fact, when submitting the
information required under this part, the candidate may be subject to
fine or imprisonment or both under 18 U.S.C. 1001; will be denied
approval for flight training under this part; and may be subject to
other enforcement action, as appropriate.\9\
---------------------------------------------------------------------------
\9\ For example, a candidate may be subject to civil penalties
under 49 CFR 1540.103.
---------------------------------------------------------------------------
TSA considers the flight school's or candidate's electronic
signature a sufficient certification that the information provided is
truthful and accurate. TSA also considers the electronic signature a
sufficient certification for civil penalties under 49 U.S.C. 46301 and
49 CFR 1503, punishment under 18 U.S.C. 1001, and denial of training
under this part if the information provided is not truthful and
accurate.
TSA notes that the U.S. Department of State requires issuance of an
I-20 form by the flight school before issuing the candidate a student
visa. Thus, for purposes of expediting a candidate's visa process with
the U.S. Department of State, TSA may give a flight school preliminary
approval of a candidate so that the school may issue an I-20 form and
the candidate may receive his or her visa and begin classroom
instruction or other training not subject to the IFR. Preliminary
approval from TSA will not impact the Department of State's normal visa
procedures. A candidate who receives preliminary approval for flight
training from TSA may still be denied a visa by the Department of
State.
The preliminary approval will be based on all information required
to be submitted for the online application, which is, in turn, based on
information required to be submitted under the IFR. Typically, this
information will not include the candidate's fingerprints since the
fingerprinting process may be time-consuming or logistically impossible
for some candidates. Thus, TSA may provide preliminary approval of a
candidate to the candidate and the flight school, if the candidate has
[[Page 56330]]
submitted all the required information, except for his or her
fingerprints.\10\ For all categories of candidates, both the candidate
and the flight school will receive notification of preliminary approval
from TSA. The flight school then may issue the I-20 form and, if the
candidate is issued a visa, may initiate the candidate's classroom
instruction or other training not subject to the IFR. However, if TSA,
based on the candidate's fingerprint or other information subsequently
disclosed, determines that a candidate poses a threat to aviation or
national security, TSA will inform the flight school, and the flight
school must immediately terminate or cancel the candidate's training.
---------------------------------------------------------------------------
\10\ TSA notes that the waiting period does not begin until TSA
receives all the information required under the IFR, including the
candidate's fingerprints.
---------------------------------------------------------------------------
3. Requirements for Different Categories of Candidates
a. Category 1--Regular Processing for Flight Training on Aircraft More
Than 12,500 Pounds
Candidates who are not eligible for expedited processing under the
IFR (Category 1 candidates) must complete an electronic form, similar
to the DOJ's Flight Training Candidate Checks Program (FTCCP) form,
that will be available on the Web site at https://www.flightschoolcandidates.gov.
Candidates must sign the form
electronically, and submit it electronically to TSA. TSA will not
accept any paper submissions of this form.
To confirm that a candidate has applied for flight training at the
flight school specified in the candidate's form, TSA will forward the
candidate's information to the flight school and ask for verification
that the candidate has applied for training at that flight school. The
flight school must verify that the candidate has applied for training
at that flight school via the Web site https://www.flightschoolcandidates.gov
.
Category 1 candidates must submit the following information: (1)
The candidate's full name, including any aliases used, or variations in
the spelling of his or her name; (2) a unique student identification
number as a means of identifying records concerning the candidate;\11\
(3) a legible copy of the candidate's current, unexpired passport and
visa;\12\ (4) the candidate's passport and visa information, including
all current and previous passports and visas held by the candidate and
all the information necessary to obtain a passport or visa;\13\ (5) the
candidate's country of birth, current country or countries of
citizenship, and each previous country of citizenship, if any; (6) the
candidate's actual date of birth or, if the candidate does not know his
or her date of birth, the approximate date of birth used consistently
by the candidate for his or her passport or visa; (7) the dates and
location of the candidate's requested training; (8) the type of
training for which the candidate is applying, including the aircraft
type rating the candidate would be eligible to obtain upon completion
of the training; (9) the candidate's current U.S. pilot certificate,
certificate number, and type rating, if any; (10) the candidate's
fingerprints; (11) the candidate's current address and telephone
number, as well as each address for the 5 years prior to the date of
the candidate's application; and (12) the candidate's gender.
Candidates also are required to submit the fee specified under this
part. The fee requirements are discussed in further detail below.
---------------------------------------------------------------------------
\11\ When a candidate or flight school completes the TSA form on
the Web site and submits it to TSA, the Web site generates a unique
identification number for that candidate.
\12\ A candidate may either scan his or her complete passport
and submit it to TSA electronically, or copy his or her complete
passport and fax it to TSA using the fax number provided on the Web
site.
\13\ More details on the type of visa and passport information
required will be available on the Web site.
---------------------------------------------------------------------------
This information is either specified under Section 612 of Vision
100, is necessary for TSA to determine the identity of the candidate,
or is necessary for TSA to determine what type of training a candidate
is applying to receive. TSA believes that the information that is
required under the IFR but not specified under Section 612 will aid the
agency in performing the threat assessment more quickly and accurately,
and thus will result in shorter waiting times and fewer false
positives. For example, a candidate's country of birth is not specified
under Section 612 but is required under the IFR. In consulting with the
DOJ on the assessment it performs, TSA learned that knowledge of a
candidate's country of birth greatly aided the DOJ in narrowing its
searches of the necessary databases. Because the waiting times under
Section 612 are significantly shorter, TSA believes that information
that will significantly aid the agency in performing the threat
assessment quickly and accurately is necessary. Moreover, TSA believes
that the usefulness of this information (i.e., faster and more accurate
threat assessments) will substantially outweigh the burden of providing
it. Thus, TSA adopted several of the information requirements that were
not specified in Section 612 but were in the DOJ rule, including the
country of birth requirement.
A candidate is required to submit his or her fingerprints to TSA as
part of the identification process. A candidate must complete the TSA
form and submit it to TSA electronically before the candidate submits
his or her fingerprints so that TSA can match the candidate's
information with his or her fingerprints.
During the first six months after this IFR takes effect, the
candidate's fingerprints must be collected either: (1) By, or under the
supervision of, a U.S. Federal, State, or local law enforcement agency;
(2) by U.S. Government personnel at a U.S. embassy or consulate that
possesses appropriate fingerprint collection equipment and personnel
certified to capture fingerprints; or (3) by another entity approved by
the Federal Bureau of Investigation (FBI) or TSA, including airports
that possess appropriate fingerprint collection equipment and personnel
certified to capture fingerprints.\14\ A TSA contractor, the
Association of American Airport Executives (AAAE), will provide flight
schools with a fingerprinting package. Candidates will be able to
obtain the fingerprinting package from the flight school where they are
applying for flight training or directly from AAAE. The candidate will
be required to take the fingerprinting package to the entity that
captures the candidate's fingerprints. That entity will capture the
candidate's fingerprints and forward them to AAAE. AAAE will convert
them to electronic form and then forward the electronic fingerprints to
TSA for use in the security threat assessment.
---------------------------------------------------------------------------
\14\ TSA will provide a list of airports with fingerprint
capture capabilities on the Web site.
---------------------------------------------------------------------------
After the first six months, TSA is planning for implementation of a
new fingerprint capture process. TSA is working with the U.S.
Citizenship and Immigration Services (CIS) to allow candidates to have
their fingerprints captured at CIS Application Support Centers (ASC).
At least one ASC is located in each State, as well as the District of
Columbia, Guam, Puerto Rico, and the U.S. Virgin Islands. TSA is also
working with the Department of State to allow candidates to have their
fingerprints captured overseas at U.S. embassies and consulates. TSA
will inform candidates via the Web site of any changes in the
fingerprint capture requirements, including the locations of any ASCs,
embassies, or consulates that
[[Page 56331]]
are capable of capturing candidate fingerprints.
The candidate is required to confirm his or her identity to the
entity taking his or her fingerprints by showing the entity his or her
passport (if a non-resident alien), or resident alien card or U.S.
driver's license (if a resident alien). The candidate also must pay for
the cost of collecting and transmitting his or her fingerprints to TSA.
Those costs are not part of the TSA fee.
Under the IFR, a flight school is prohibited from providing flight
training to a Category 1 candidate until TSA has informed the flight
school that the candidate does not pose a threat to aviation or
national security, or the appropriate waiting period has expired. For
Category 1 candidates, the waiting period is 30 days. The waiting
period does not begin until TSA has received all the information
required under the IFR, including a candidate's fingerprints and the
fee required under this part.
Under the IFR, a flight school may initiate a Category 1
candidate's flight training if TSA has not informed the flight school
whether the candidate poses a threat to aviation or national security
within 30 days. However, if TSA notifies the flight school that a
candidate poses a threat to aviation or national security at any time,
the flight school must immediately terminate or cancel the candidate's
flight training.
Once TSA informs a flight school that a candidate is not a threat
to aviation or national security, or the 30-day waiting period has
expired, the flight school must initiate the candidate's flight
training within 180 days. If the flight school does not initiate the
candidate's flight training within 180 days, the flight school or the
candidate must resubmit to TSA the information required in the TSA
form, including the required fee, but not the candidate's fingerprints.
The flight school then must wait until TSA informs the flight school
that a candidate is not a threat to aviation or national security or
until the appropriate waiting period expires (for Category 1
candidates, 30 days after TSA receives all the required information,
including the candidate's fingerprints and the required fee) before
initiating the candidate's flight training. As discussed in the section
on fees, a candidate is required to submit the required fee each time
he or she is required to apply for a TSA security threat assessment.
b. Category 2--Expedited Processing for Flight Training on Aircraft
More Than 12,500 Pounds
Section 612 of Vision 100 mandates that certain types of candidates
be eligible for expedited processing. These are candidates who: (1)
Hold an airman's certificate from a foreign country that is recognized
by the FAA or a U.S. military agency, and that permits the candidate to
operate a multi-engine aircraft that has a certificated takeoff weight
of more than 12,500 pounds; (2) are employed by a foreign air carrier
that operates under 14 CFR part 129 and that has a security program
approved under 49 CFR part 1546; (3) have unescorted access authority
to a secured area of an airport under 49 U.S.C. 44936(a)(1)(A)(ii), 49
CFR 1542.209, or 49 CFR 1544.229; (4) are a flightcrew member who has
successfully completed a criminal history records check in accordance
with 49 CFR 1544.230; or (5) are part of a class of individuals to
which TSA has determined that providing flight training poses a minimal
threat to aviation or national security because of the flight training
already possessed by that class of individuals.\15\
---------------------------------------------------------------------------
\15\ Currently, TSA has not designated any such class of
individuals. However, if TSA does designate such a class of
individuals in the future, the agency will do so through a
rulemaking process.
---------------------------------------------------------------------------
Under the IFR, candidates who meet any of these criteria are
eligible for expedited processing (Category 2 candidates). Category 2
candidates are required to submit the same information required of
Category 1 candidates, including their fingerprints. They also are
required to submit information that establishes that they are eligible
for expedited processing, such as a copy of their security
identification display area (SIDA) badge. TSA will specify the
information that establishes that a candidate is eligible for expedited
processing on the TSA Web site.
TSA believes that it is necessary to require Category 2 candidates
to submit their fingerprints to ensure a thorough security threat
assessment. The threat assessment consists, in part, of checks of
databases that may be searched only through fingerprint information.
Under the IFR, a flight school is prohibited from providing flight
training to a candidate until TSA has informed the flight school that
the candidate does not pose a threat to aviation or national security,
or the appropriate waiting period has expired. For Category 2
candidates, the waiting period is 5 days. The waiting period does not
begin until TSA has received all the information required under the
IFR, including the candidate's fingerprints and the required fee.
Under the IFR, a flight school may initiate a Category 2
candidate's flight training if TSA has not informed the flight school
whether the candidate poses a threat to aviation or national security
within 5 days. However, if TSA notifies a flight school that a
candidate poses a threat to aviation or national security at any time,
the flight school must immediately terminate or cancel the candidate's
flight training.
Once TSA informs a flight school that a Category 2 candidate is not
a threat to aviation or national security, a flight school must
initiate the candidate's flight training within 180 days. If the flight
school does not initiate the candidate's flight training within 180
days, the flight school or candidate must resubmit to TSA the
information required in the TSA form, including the required fee, but
not the candidate's fingerprints. The flight school then must wait
until TSA informs the flight school that a candidate is not a threat to
aviation or national security, or until 5 days after TSA receives all
the required information before initiating the candidate's flight
training. As discussed in the section on fees, a candidate is required
to submit the required fee each time he or she is required to submit
information for a TSA security threat assessment.
c. Category 3--Flight Training on Aircraft 12,500 Pounds or Less
The IFR prohibits a flight school from providing flight training in
the operation of any aircraft having an MTOW of 12,500 pounds or less
to an alien or any other individual specified by TSA unless the flight
school notifies TSA that the candidate has requested such flight
training, and the candidate submits to TSA certain identifying and
training information. The information submitted by the candidate must
be in a form and manner acceptable to TSA. TSA intends to use the same
form and process for submitting the required information to TSA that
the agency will use for flight training for aircraft with an MTOW
greater than 12,500 pounds. Thus, the candidate must complete the same
TSA form on the TSA Web site and submit the form electronically to TSA.
The candidate is required to submit the same information as a candidate
for flight training for aircraft with an MTOW greater than 12,500
pounds, including the candidate's fingerprints.
TSA is requiring candidates for this type of flight training to
submit the same information, including fingerprints, because an
individual who receives flight training on aircraft with an MTOW of
12,500 pounds or less may be familiar enough with aircraft operations
to operate an aircraft with an MTOW greater than 12,500 pounds.
[[Page 56332]]
TSA notes that nine of the nineteen September 11 hijackers received
flight training on aircraft with an MTOW of less than 12,500 pounds.
The agency also believes that requiring candidates for flight training
on aircraft with an MTOW of 12,500 pounds or less will not be overly
burdensome because a flight school is not required to wait until TSA
approves the candidate before initiating the candidate's training. A
flight school may initiate the candidate's training as soon as the
candidate provides all the information required under this section,
including the candidate's fingerprints and the required fee.\16\ For
these reasons, TSA believes that candidates for flight training on
aircraft with an MTOW of 12,500 pounds or less should undergo the same
security threat assessment as candidates for flight training on
aircraft with an MTOW greater than 12,500 pounds.
---------------------------------------------------------------------------
\16\ TSA will notify a flight school by e-mail when the agency
has received all the required information for a Category 3
candidate. The flight school then may initiate the candidate's
flight training.
---------------------------------------------------------------------------
Section 612 of Vision 100 only requires flight schools to notify
TSA when a candidate applies for flight training for aircraft with an
MTOW of 12,500 pounds or less, and to provide TSA with the candidate's
identification in such form and manner as TSA may require. Section 612
does not require flight schools to wait for TSA approval before
initiating such training for candidates.\17\ Thus, the IFR does not
require flight schools to wait for TSA approval before initiating such
training for Category 3 candidates.
---------------------------------------------------------------------------
\17\ TSA is conducting the security threat assessment for these
candidates under its authority to assess threats to transportation
and to enforce security-related regulations and requirements. 49
U.S.C. 114(f)(2) and (7).
---------------------------------------------------------------------------
However, the IFR does require a flight school to terminate or
cancel a Category 3 candidate's flight training immediately if TSA
notifies the flight school that the candidate poses a threat to
aviation or national security at any time. Although Section 612 does
not specifically mandate this, TSA believes such a requirement is
necessary to carry out the intent of the statute--preventing
individuals who pose a threat to aviation or national security from
obtaining flight training, and thus preventing them from conducting
terrorist attacks using aircraft.
d. Additional or Missed Flight Training
Under the IFR, a Category 1, 2, or 3 candidate who has received TSA
approval for flight training and completes the flight training may take
additional flight training without resubmitting his or her fingerprints
if he or she submits all the other required information, including the
fee. Before beginning the additional training, the candidate must
resubmit to TSA the information required in the TSA form,\18\ along
with the required fee,\19\ and wait for TSA approval or until the
applicable waiting period expires. In addition, a Category 1, 2, or 3
candidate who is approved for flight training by TSA, but does not
initiate that flight training within 180 days, may reapply for flight
training without resubmitting fingerprints if he or she resubmits all
other information required in paragraph (a)(2) of this section,
including the fee. The candidate must wait for TSA approval or until
the applicable waiting period expires before initiating training.
e. Category 4--Recurrent Training on All Aircraft
---------------------------------------------------------------------------
\18\ At this time, the candidate must complete the application
and submit it to TSA. However, TSA is working on the application
program to allow the candidate to update any information that has
changed or is new since the last time the candidate submitted the
application, rather than completing the entire application again.
TSA will notify candidates of this feature via the Web site as soon
as it is completed.
\19\ A candidate will be required to submit the fee each time he
or she resubmits an application for flight training because TSA will
conduct the security threat assessment each time a candidate applies
for flight training, and thus TSA will incur the costs of the
security threat assessment. TSA will maintain candidates'
fingerprints on file and use them to conduct the fingerprint-based
checks and will use the information submitted by candidates,
including any new or changed information, to conduct the name-based
and other checks that make up the security threat assessment.
---------------------------------------------------------------------------
As mandated by Section 612 of Vision 100, the IFR exempts
candidates who apply for recurrent training from the security threat
assessment requirements. However, TSA must be able to determine whether
a candidate is eligible for recurrent training and thus not subject to
the threat assessment requirements. To do that, TSA is requiring a
flight school, prior to beginning a Category 4 candidate's recurrent
training, to notify TSA that the candidate has requested such recurrent
training and submit to TSA the following information: (1) The
candidate's full name, including any aliases used by the candidate or
variation in the spelling of the candidate's name; (2) any unique
student identification number issued by the DOJ or TSA that would help
establish a candidate's eligibility for the recurrent training
exemption; (3) a copy of the candidate's current, unexpired passport
and visa; (4) the candidate's current U.S. pilot certificate,
certificate number, and type rating(s); (5) the type of training for
which the candidate is applying; (6) the date of the candidate's prior
recurrent training, if any, and a copy of the training form documenting
that recurrent training; and (7) the dates and location of the
candidate's requested training. This information is necessary to
establish a candidate's identity and determine whether he or she is
applying for recurrent training and thus exempt from the security
threat assessment requirements.
As discussed above, ``recurrent training'' is defined as periodic
training required for employees of certificated aircraft operators
under 14 CFR parts 121,125, 135, or Subpart K of part 91. Only
candidates who apply for such training are exempt from the
fingerprinting and security threat assessment requirements under the
IFR.
The IFR requires a flight school to submit to TSA the required
information before initiating a Category 4 candidate's recurrent
training. TSA will notify the flight school via e-mail when the agency
has received the required information for a candidate. Once the flight
school has received the TSA e-mail, it may initiate the candidate's
recurrent training. To ease the application process, as well as TSA's
determination as to whether a candidate is applying for recurrent
training, TSA intends to monitor candidates using their unique student
identification number to make it easier to track candidates who apply
for training at different flight schools.
The requirements for Category 4 candidates are applicable both to
candidates who apply for recurrent training for aircraft with an MTOW
greater than 12,500 pounds and to candidates who apply for recurrent
training for aircraft with an MTOW of 12,500 pounds or less.
4. U.S. Citizens and Nationals and Department of Defense Endorsees
The threat assessment requirements in the IFR apply to aliens and
other individuals designated by TSA. They do not apply to U.S. citizens
and nationals or individuals who have been endorsed by the DOD, unless
they have been designated by TSA. To ensure that individuals who are
not U.S. citizens or nationals or DOD endorsees do not evade the
security threat assessment requirements, the IFR requires flight
schools to determine whether an individual is a U.S. citizen or
national or DOD endorsee.
To establish U.S. citizenship or nationality, an individual must
present to the flight school one of the following: (1) A copy of the
individual's valid, unexpired U.S. passport; (2) the individual's
original or government-
[[Page 56333]]
issued certified U.S., American Samoa, or Swains Island birth
certificate, together with a government-issued picture identification
of the individual; (3) the individual's original U.S. naturalization
certificate with raised seal, U.S. Citizenship and Immigration Services
(USCIS) or Immigration and Naturalization Service (INS) Form N-550, or
Form N-570 (Certificate of Naturalization),\20\ together with a
government-issued picture identification of the individual; (4) the
individual's original certification of birth abroad with raised seal,
U.S. Department of State Form FS-545, or U.S. Department of State Form
DS-1350, together with a government-issued picture identification of
the individual; (5) the individual's original certificate of U.S.
citizenship with raised seal, USCIS or INS Form N-560, Form N-561
(Certificate of United States Citizenship), or a USCIS or INS Form N-
581 (Certificate of Repatriation), together with a government-issued
picture identification of the individual; or (6) in the case of flight
training provided to a Federal employee (including military personnel)
pursuant to a contract between a Federal agency and a flight school,
the agency's written certification as to its employee's U.S.
citizenship or nationality, together with the employee's government-
issued credentials or other Federally-issued picture identification.
---------------------------------------------------------------------------
\20\ The USCIS formerly was the INS. Thus, the rule permits the
use of these same forms if they were issued by the INS.
---------------------------------------------------------------------------
To establish that an individual has been endorsed by the DOD for
flight training, the individual must present to the flight school a
written statement acceptable to TSA from the DOD attache[eacute] in the
individual's country of residence, together with a government-issued
picture identification of the individual.
These identification requirements are currently contained in the
DOJ rule or required under DOJ procedures. TSA is maintaining these
requirements to ensure that individuals who are subject to the IFR do
not circumvent the security threat assessment process.
These requirements are applicable both to individuals who apply for
flight training for aircraft with an MTOW greater than 12,500 pounds
and to individuals who apply for flight training for aircraft with an
MTOW of 12,500 pounds or less.
5. Recordkeeping Requirements
The IFR requires a flight school to maintain the following
information for a minimum of 5 years: (1) In the case of an individual
who is a U.S. citizen or national, a copy of the candidate's proof of
U.S. citizenship or nationality; (2) in the case of an individual who
has been endorsed by the DOD for flight training, a copy of the DOD
letter and the candidate's identifying information; (3) for all
candidates, a copy of all the information required under the IFR for
each category of candidate, except for the candidate's fingerprints;
(4) a photograph of each candidate taken within one year before the
candidate receives flight training subject to this section; (5) a copy
of the approval sent by TSA confirming the candidate's eligibility for
flight training; and (6) a record of all fees paid to TSA in accordance
with this IFR. A flight school must permit persons authorized by TSA or
the FAA to inspect these records.
TSA believes that these records are necessary to ensure that flight
schools are complying with the requirements of the IFR and for
identification and investigative purposes in the event that an
individual who receives flight training commits a criminal or terrorist
act. In particular, TSA believes that a current photograph of each
candidate subject to this IFR would be useful for identification and
investigation purposes. TSA notes that a flight school is required to
maintain a current photograph of all candidates for flight training,
including candidates eligible for expedited processing under the IFR,
as well as candidates for recurrent training. A flight school is not
required to maintain a current photograph of U.S. citizens or nationals
or DOD endorsees.
These requirements are applicable both to individuals who apply for
flight training for aircraft with an MTOW greater than 12,500 pounds
and to individuals who apply for flight training for aircraft with an
MTOW of 12,500 pounds or less.
6. Candidates Subject to the DOJ Rule
The IFR provides that a candidate who submits a completed Flight
Training Candidate Checks Program (FTCCP) form and fingerprints to the
DOJ in accordance with the DOJ rule (28 CFR Part 105) will be processed
in accordance with the requirements of the DOJ rule. The requirements
include the information submission requirements, risk assessment
standards, and notification timelines in the DOJ rule. TSA believes
this provision is necessary to ensure the smooth transition of the
program from the DOJ to TSA and avoid confusion over to which
requirements a candidate is subject and which agency is responsible for
performing the threat assessment for a candidate. TSA notes that, to
facilitate the transition from the DOJ application process to the TSA
application process in an orderly manner, the DOJ will accept completed
FTCCP applications validated by a Flight Training Provider up to 5 p.m.
Eastern Daylight Savings Time on September 28, 2004, or a later date
specified by DOJ and TSA on the Web site at https://www.flightschoolcandidates.gov
, and thereafter will not accept any
further training applications. Furthermore, the DOJ will not accept
expedited and non-expedited applications for training that is scheduled
to start after December 28, 2004, or a later date specified by the two
agencies. Candidates who submit a completed FTCCP form to the DOJ by
the specified deadlines will be processed by the DOJ in accordance with
the DOJ rule. Thereafter, candidates will be required to comply with
the TSA IFR. TSA intends to begin accepting applications from
candidates for flight training in the operation of aircraft with an
MTOW of greater than 12,500 pounds on October 5, 2004. Thus, if there
is a gap between the date on which DOJ ceases accepting applications
and that date, the Federal Government will not accept any flight
training applications. During this time period, flight schools may not
initiate flight training for any candidate who has not been approved
under the DOJ rule.
TSA notes that if TSA and the DOJ specify a date for DOJ later than
the compliance dates identified in this rule, individuals and flight
schools who comply with 28 CFR part 105 up to that date will be
considered to be in compliance with the requirements of this part.
B. Fees
The IFR requires candidates in Categories 1-3 to remit to TSA a fee
when they are required under section 1552.3 to submit to TSA the
required information for a security threat assessment.\21\ TSA will not
conduct a security threat assessment for a candidate until the agency
has received the candidate's fee. The fee must be
[[Page 56334]]
remitted to TSA in a form and manner acceptable to TSA. A candidate
must submit the fee through the Internet at https://www.flightschoolcandidates.gov.
Instructions for payment and acceptable
payment forms will be available on that Web site. Essentially, TSA will
accept the same payment mechanisms as accepted by https://www.pay.gov,
the U.S. Government's electronic fee payment portal.
---------------------------------------------------------------------------
\21\ As discussed above, a Category 1, 2, or 3 candidate who
receives TSA approval for flight training (or who did not have his
or her flight training interrupted) and then completes that flight
training may take additional flight training without resubmitting
his or her fingerprints if he or she submits all the other required
information, including the fee. The candidate will be required to
submit the fee each time he or she resubmits an application for
flight training because TSA will be conducting the security threat
assessment each time a candidate applies for flight training, and
thus TSA will incur the costs of the security threat assessment.
---------------------------------------------------------------------------
TSA will begin conducting a candidate's security threat assessment
when the agency receives all of the information required under the IFR,
including the candidate's fingerprints (when required) and the fee.
Thus, TSA will incur costs associated with performing the threat
assessment immediately. For this reason, TSA will not issue any fee
refunds, unless a fee was paid in error, that is, a fee was paid when
it was not required.
A candidate must submit the fee each time he or she is required to
undergo a security threat assessment under the IFR. For example, if TSA
approves a candidate for flight training, but the flight school does
not initiate the candidate's training within 180 days of receiving the
TSA approval, the IFR requires the candidate to resubmit his or her
information to the flight school and TSA. That candidate would be
required to submit an additional fee for TSA to conduct another
security threat assessment.
The fee is required of candidates in Categories 1-3. TSA notes that
Section 612 of Vision 100 authorizes TSA to assess a fee for any
investigation under Section 612. As discussed above, Section 612 does
not mandate a security threat assessment for candidates for flight
training for aircraft weighing 12,500 pounds or less. However, as
discussed above, TSA believes such candidates must be subject to the
security threat assessment requirements in order to carry out the
intent of the statute--preventing individuals who pose a threat to
aviation or national security from obtaining flight training, and thus
preventing them from conducting terrorist attacks using aircraft. Thus,
TSA will perform a security threat assessment on those individuals, and
will assess a fee for the threat assessment under Section 612.
Section 612 authorizes TSA to set the fee to reflect the costs of
the security threat assessment. As explained in greater detail below,
the fee is $130 to reflect the full recurring costs to TSA for
performing the security threat assessment.
1. Candidate Population
TSA estimates that there will be 70,000 annual candidate
applications for flight training at FAA-approved flight schools. This
estimate is comprised of the following:
(a) The number of candidate applications for training on aircraft
with an MTOW greater than 12,500 pounds is estimated to be 32,000
annually, which is equivalent to 160,000 for the first five years of
the program. This estimate is based on data from the DOJ that indicates
the total annual candidate applications for training under the FTCCP
for calendar year 2003. While the DOJ did not track the actual number
of flight training candidates submitting multiple applications, TSA
believes that, on average, candidates will submit two applications per
year. This could be due to a candidate applying for subsequent flight
training on a different type of aircraft in the same fiscal year or if
the flight school does not initiate the candidate's training within 180
days of receiving the TSA approval (both scenarios require re-
application under the requirements of the IFR.) Thus, TSA estimates
that each year approximately 16,000 candidates will submit an average
of two applications each, resulting in 32,000 annual applications for
training on aircraft with an MTOW greater than 12,500 pounds.
(b) The number of candidate applications for training on aircraft
with an MTOW of 12,500 pounds or less is estimated to be 38,000
annually, which is equivalent to 190,000 for the first five years of
the program. This estimate is based on FAA Airman Registry data.
However, the FAA does not record the number of certificates issued to
foreign nationals. Instead, the FAA records the overall number of
certificates issued annually to all persons and the percentage of
active non-U.S. citizens holding FAA certificates. The FAA estimates
that the annual average of certificates issued to all persons over the
last 6 years is 106,000 certificates. The FAA estimates that 18% of
these certificates were issued to non-U.S. citizens, which is
equivalent to 19,000 certificates. Therefore, TSA estimates that
approximately 19,000 candidates will submit requests for this type of
flight training each year. TSA believes that each candidate within this
population will also submit an average of two requests each year for
various reasons, such as a candidate who applies for subsequent flight
training in a different type of aircraft in the same fiscal year or a
flight school that does not initiate the candidate's training within
180 days of receiving the TSA approval. Thus, TSA estimates the total
annual number of applications for flight training on aircraft with an
MTOW of 12,500 pounds or less to be 38,000 (19,000 candidates x 2
applications per year).
2. Program Costs
This section summarizes TSA's estimated costs of completing
security threat assessments on candidates who apply for flight training
in the U.S. The costs are divided into two main categories: Start-up
costs and recurring annual costs. Start-up costs represent the cost of
all resources necessary for TSA to establish the program. Recurring
costs represent the resources necessary for TSA to perform ongoing
security threat assessments on candidates. Recurring operations will
begin during fiscal year 2005.
TSA estimates that the total start-up costs will be $3.0 million.
The start-up costs include all expenses related to the transition of
the program from the DOJ to DHS (specifically TSA). This includes $1.5
million for hardware and software; $471,000 for contract personnel; and
$1.0 million for facilities build out. Fees will not recover the start-
up costs. See the Costs Estimates table below for additional details.
TSA estimates that the total annual recurring costs will be $9.1
million. The annual recurring cost includes $375,000 for hardware and
software; $4.0 million for contract and other personnel; $30,000
Federal employee travel; $250,000 for fee payment processing and $4.4
million for terrorist threat assessment costs.
Cost Estimates
[In dollars]
------------------------------------------------------------------------
Category description Start-up Recurring
------------------------------------------------------------------------
Hardware/Software:
Transfer and modify Flight Training $376,000 $0
Candidate Checks Program (FTCCP)
designed ``front-end'' Web site
application system.................
[[Page 56335]]
Transfer and modify FTCCP designed 1,054,000 0
applicant assessment system........
Transfer and modify FTCCP designed 70,000
helpdesk system....................
Develop automated access to the 0 0
Interpol system....................
Maintain and refresh ``front-end'' 0 94,000
Web site application system........
Maintain and refresh applicant 0 263,500
assessment system..................
Maintain and refresh helpdesk system 0 17,500
-----------------
Total........................... 1,500,000 375,000
=================
Contract and Other Employees:
Contract personnel to support 241,800 0
transfer and modification of
``front-end'' Web site application
system.............................
Contract personnel to support 229,000 0
transfer and modification of
applicant assessment system........
Contract personnel to maintain 0 336,000
``front-end'' Web site application
system.............................
Contract and other personnel to 0 1,900,800
maintain applicant assessment
system.............................
Contract personnel for helpdesk..... 0 403,200
Contract security assessment 0 1,382,400
personnel..........................
-----------------
Total........................... 470,800 4,022,400
=================
Federal Employee:
Travel.............................. 0 30,000
-----------------
Total........................... 0 30,000
=================
Rent/Build out:
Facilities (build out).............. 1,000,000 0
Facilities (rent, utilities, * * *). 0 0
-----------------
Total........................... 1,000,000 0
=================
Other Costs:
Terrorist threat analysis........... 0 4,410,000
Fee payment processing.............. 70,000 250,000
-----------------
Total........................... 70,000 4,660,000
=================
Total Costs..................... 3,040,800 9,087,400
------------------------------------------------------------------------
Based on its population and cost assumptions, TSA has determined
that total startup phase costs will be approximately $3.0 million and
recurring phase costs will be approximately $9.1 million annually. As
TSA will perform the same threat assessments for Category 1-3
candidates, the costs to TSA for each category of candidate are the
same.
3. Fee
Section 612 authorizes TSA to adjust the fee to reflect the costs
of the security threat assessment. The fee is based on the recurring
cost per applicant that TSA incurs to perform the security threat
assessment and does not include start-up costs. To calculate this fee,
TSA uses the following equation: Annual recurring cost/estimated number
of annual threat assessments = annual cost per applicant. The estimated
cost per applicant is $130 ($9,087,400/70,000). As the costs for each
applicant are the same, the fee will also be the same for each
applicant category.
Pursuant to the Chief Financial Officers Act of 1990 and Office of
Management and Budget Circular A-25, DHS/TSA will review this fee at
least every two years. Upon review, if it is found that the fee is
either too high or too low, the amount of the fee will be adjusted
accordingly. Since this IFR newly regulates a very dynamic segment of
the aviation population (foreign candidates for flight training), and
TSA has no prior operating history in performing threat assessments for
this population, TSA may need to review program costs earlier than the
minimum two-year review period.
4. Fingerprinting Costs
There are a variety of options for fingerprint collection and
transmission available to candidates. The costs and method of payment
for these options will vary per location and will be separate from, and
in addition to, the TSA fee. Candidates or flight schools will be
required to pay this cost directly to the fingerprint collector, not to
TSA. TSA estimates that the maximum cost of collecting a candidate's
fingerprints will be $100.
C. Flight School Security Awareness Training
1. Scope and Definitions
This subpart applies to flight schools, as defined in this part,
that provide instruction under 49 U.S.C. Subtitle VII, Part A, in the
operation of aircraft or aircraft simulators, and to certain employees
of such flight schools.
``Flight school employee'' is defined as a flight instructor or
ground instructor certificated under 14 CFR part 61, 141, or 142; a
chief instructor certificated under 14 CFR part 141; a director of
training certificated under 14 CFR part 142; or any other person
employed by a flight school, including an independent contractor, who
has direct contact with a flight school student. This definition
includes an independent or solo flight instructor certificated under 14
CFR part 61. Thus, an independent or solo flight instructor, who would
be considered a ``flight school'' under the definition of that
[[Page 56336]]
term in Sec. 1552.1(b), must receive security awareness training in
accordance with this subpart.
Section 612 does not provide a definition of flight school
employee. However, TSA believes that Section 612 should apply only to
those employees who have direct or substantial contact with students,
and thus are more likely to observe suspicious behavior, rather than
those employees, such as grounds maintenance staff, who may spend
little time at a flight school or have no contact with students. TSA
also believes that requiring security awareness training for such
employees would impose a substantial burden on flight schools while
providing little added security. Thus, TSA has limited the definition
to employees who have direct contact with a flight school student. This
definition includes administrative personnel who accept payment from a
flight school student or process a student's paperwork. TSA believes
that such personnel are well situated to observe any suspicious
behavior or circumstances in a student's payment or identification
information.
2. Security Awareness Training Programs
The IFR requires a flight school to ensure that each of its flight
school employees receives both initial and recurrent security awareness
training. Current flight school employees, that is those individuals
who are flight school employees on September 20, 2004, must receive
initial security awareness training within 90 days of the effective
date of this rule. Flight school employees hired after September 20,
2004 must receive initial security awareness training within 60 days of
being hired. TSA believes that these time periods provide ample time
for flight schools to train both current and newly hired employees.
a. Initial Security Awareness Training
A flight school may use either the initial security awareness
training program offered by TSA or an alternative initial training
program offered by a third party or designed by the flight school
itself. The TSA initial training program will be available
electronically on the TSA General Aviation (GA) Web site at http://www.tsa.gov/public/display?theme=180
or by contacting one of the
individuals in the FOR FURTHER INFORMATION CONTACT section above.
If a flight school decides to use an alternative initial training
program, the program must, at a minimum, meet the following criteria.
First, it must require active participation by the flight school
employee receiving the training. Studies have shown that individuals
retain information better when they receive the information in an
interactive format than when they receive the information passively
(for example, by merely listening to a lecture).\22\ Thus, the TSA
initial training program is interactive, and TSA believes that any
alternative initial training program must be as well.
---------------------------------------------------------------------------
\22\ See, e.g., John Tagg, The Learning Paradigm College (2003);
European Commission, Green Paper, Living and Working in the
Information Society: People First (1996).
---------------------------------------------------------------------------
Second, any alternative initial training program must provide
situational scenarios that require the employee to assess specific
situations and determine appropriate courses of action. For example,
the program could give an employee a specific situation or set of
circumstances involving behavior by a flight school student and ask the
employee if the behavior is suspicious and, if so, what the employee
should do in response, such as inform a supervisor, contact the TSA
General Aviation Hotline (1-866-GA-SECURE),\23\ or notify local law
enforcement.
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\23\ TSA, in partnership with the National Response Center,
launched the toll-free General Aviation (GA) Hotline on December 2,
2002. The GA Hotline serves as a centralized reporting system for GA
pilots, airport operators, and maintenance technicians wishing to
report suspicious activity at their airfield. The GA Hotline was
developed in coordination with the Aircraft Owners and Pilots
Association (AOPA) to complement the AOPA Airport Watch Program.
This program will enlist the support of some 550,000 GA pilots to
watch for and report suspicious activities that might have security
implications.
---------------------------------------------------------------------------
Third, any alternative initial training program must enable an
employee to identify the proper uniforms and other identification (if
any are required at the flight school) for employees at that flight
school or other persons authorized to be on the grounds of that flight
school. The training also must enable an employee to identify
suspicious behavior.
Suspicious behavior may include: excessive or unusual interest in
restricted airspace or restricted ground structures, such as repeated
requests to fly over nuclear power plants; unusual questions or
interest regarding aircraft capabilities; aeronautical knowledge
inconsistent with the student's existing airman credentialing; sudden
termination of the student's instruction; loitering on the flight
school grounds for extended periods of time; and entering ``authorized
access only'' areas without permission.
An alternative program also must enable an employee to identify
suspicious circumstances regarding aircraft, including unusual
modifications to aircraft, such as the strengthening of landing gear,
changes to tail number, stripping the aircraft of seating or equipment;
damage to propeller locks or other parts of an aircraft that is
inconsistent with the pilot training or aircraft flight log; and
dangerous or hazardous cargo loaded into an aircraft.
Fourth, an alternative program must provide an employee with
appropriate responses for the employee to make in specific situations.
Appropriate responses include: taking no action, if a situation does
not warrant action; questioning an individual, if his or her behavior
may be considered suspicious; informing a supervisor, if a situation or
an individual's behavior warrants further investigation; calling the
TSA General Aviation Hotline; or calling local law enforcement, if a
situation or an individual's behavior could pose an immediate threat.
Thus, an alternative program, in complying with these requirements and
the interactive requirement discussed above, could give an employee a
specific situation, ask the employee to respond, and then provide the
appropriate response (or responses, if more than one response could be
appropriate) and some discussion of why that response is appropriate.
Finally, an alternative training program must contain any other
information relevant to security measures or procedures at the flight
school, including applicable information in the TSA Information
Publication ``Security Guidelines for General Aviation Airports.''
\24\; For example, if a flight school requires aircraft to have
propeller locks after a certain time or has access codes for certain
areas of the flight school grounds, that information must be included
in the alternative training program.
---------------------------------------------------------------------------
\24\ These guidelines are intended to provide GA airport owners,
operators and users with a set of federally endorsed security
enhancements and methods for implementation. TSA issued the
guidelines on May 17, 2004, and they are available on the TSA Web
site at http://www.tsa.gov.
---------------------------------------------------------------------------
TSA notes that many flight schools currently conduct some form of
security awareness training for their employees. If the training used
by a flight school meets the criteria for an alternative initial
security awareness training program in this IFR, and the flight school
has documentation that meets the recordkeeping requirements in this IFR
for each employee who has received such training, TSA may consider the
flight school to be in compliance with the initial security awareness
training requirements of the IFR. However, the flight school still must
comply with the recurrent training requirements in the
[[Page 56337]]
IFR. A flight school is not required to submit its alternative initial
security awareness training program to TSA for approval before the
flight school uses the program to comply with the rule. Rather, TSA
officials may audit a flight school's alternative training program when
inspecting the flight school.
TSA notes that a flight school may have its employees receive
computer-based security awareness training on an individual basis or
may use an instructor to conduct the training to a group of employees.
If a flight school elects to use an instructor to conduct the training
for its employees, the flight school must first ensure that the
instructor has successfully completed the initial flight school
security awareness training program offered by TSA or an alternative
initial training program that meets the criteria discussed above.
b. Recurrent Security Awareness Training
The IFR requires a flight school to ensure that each flight school
employee receives recurrent security awareness training each year in
the same month as the month in which the flight school employee
received initial security awareness training. For example, if a flight
school employee received initial security awareness training in April
2004, he or she must received recurrent security awareness training in
April 2005.
TSA will not provide a recurrent security awareness training
program.\25\ Thus, a flight school will be required either to design
its own recurrent security awareness training program or use a program
designed by a third party. At a minimum, a recurrent training program
must contain information regarding any new security measures or
procedures implemented by the flight school, such as the installation
of fencing, new uniforms or identification for employees, or the
implementation of new entry procedures. A recurrent training program
also must contain information regarding any security incidents at the
flight school, and any lessons learned as a result of such incidents.
For example, if any of the flight school's aircraft was broken into or
stolen, the recurrent training program must discuss the incident and
any measures the flight school has taken to address the incident or
prevent such incidents in the future.
---------------------------------------------------------------------------
\25\ TSA will provide information concerning any unclassified
security events or issues at flight schools or GA facilities over
the previous year. Flight schools should use that information as
part of their recurrent training program.
---------------------------------------------------------------------------
A recurrent training program also must contain any new threats
posed by or incidents involving general aviation (GA) aircraft. TSA
will post information regarding general threats posed by GA aircraft
and major incidents involving GA aircraft on the TSA GA Web site at
http://www.tsa.gov/public/display?theme=180. A flight school must use
that information in its recurrent training program. Finally, a
recurrent training program must contain any new TSA guidelines or
recommendations concerning the security of GA aircraft, airports, or
flight schools. This information also will be available on the TSA GA
Web site.
3. Documentation, Recordkeeping, and Inspection
The IFR requires a flight school to issue a document to each flight
school employee when the employee receives initial security awareness
training and each time the employee receives recurrent security
awareness training. This requirement will enable TSA inspectors to
verify that each flight school employee has received the required
security awareness training each year.
The document issued to the employee must contain the employee's
name and a distinct identification number for the employee to enable
both the flight school and TSA inspectors to track each employee's
security awareness training. The document also must indicate the date
on which the flight school employee received the security awareness
training; the name of the instructor who conducted the training, if an
instructor conducted the training; a statement certifying that the
flight school employee received the security awareness training; the
type of training received, whether initial or recurrent; and if the
flight school uses an alternative initial training program, a statement
certifying that the program meets the criteria in 49 CFR 1552.23 (c).
Finally, the flight school employee and an authorized official of the
flight school must sign the document.
The IFR also requires a flight school to establish and maintain the
following records for one year after an individual no longer is a
flight school employee: (1) a copy of the document issued to the
employee when he or she received initial training and each time he or
she received recurrent training; (2) a copy of the alternative initial
security awareness training program, if the flight school used in the
past or currently uses an alternative program instead of the TSA
program.
Finally, the IFR requires a flight school to allow officials
authorized by TSA and the FAA to inspect the records required under
this section. TSA officials will be conducting inspections of flight
schools to ensure that they are complying with this rule. Flight
schools that are not in compliance may be subject to civil penalties
under 49 U.S.C. 46301 and 49 CFR part 1503.
IV. Paperwork Reduction Act
Under the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501, et
seq.), a Federal agency must obtain approval from the Office of
Management and Budget (OMB) for each collection of information it
conducts, sponsors, or requires through regulations. This interim final
rule contains information collection activities subject to the PRA.
Accordingly, the following information requirements are being submitted
to OMB for its review.
Title: Flight Training for Aliens and Other Designated Individuals;
Security Awareness Training for Flight School Employees.
Summary: In response to recent statutory requirements, TSA is
requiring certain flight schools to notify TSA when aliens or other
individuals designated by TSA apply for flight training. TSA also is
establishing standards relating to the security threat assessments TSA
will conduct to determine whether such individuals are a threat to
aviation or national security, and thus prohibited from receiving
flight training. Finally, TSA is establishing standards relating to
security awareness training for certain flight school employees, to
include keeping records of all such training.
Use of: Flight schools will be required to provide TSA with
identifying information and fingerprints on aliens and other designated
individuals when such persons apply for flight training and then keep
this information on file for the required amount of time. TSA will use
this information to perform background checks in order to assess if the
flight training applicant poses a security risk. In addition, flight
schools will be required to provide TSA with a photograph of the
applicant when the applicant arrives at the flight school for training.
TSA will use the photograph to help ensure that the person who is
cleared for training by TSA is the person who receives the training.
Flight schools will also be required to keep applicant records as well
as records of security awareness training provided to employees so that
TSA may inspect those records when necessary.
Respondents (including number of): The likely respondents to this
information requirement are aliens and other designated individuals who
apply
[[Page 56338]]
for pilot training and the flight schools they attend, which is
estimated to be approximately 35,000 applicants every year and 3,000
flight schools nationwide for a total of 38,000 respondents.
Frequency: The respondents are required to provide the subject
information every time an alien or other designated individual applies
for pilot training as described in this rule, which is estimated to be
an average of 2 times per year for a total of 70,000 responses. Records
are required to be kept from the time they are created.
Annual Burden Estimate: It is estimated that it will take 45
minutes per application to provide TSA with all the information
required by this rule, for a total burden of 52,500 hours per year.
Records must be retained from the time they are created, and it is
estimated that each of the 3,000 flight schools will carry an annual
recordkeeping burden of 104 hours, for a total of 312,000 hours. Thus,
the combined hour burden associated with this collection is estimated
to be 364,500 hours annually. In regard to costs, it is estimated that
there will be an annual cost burden of $205 per application, which
includes the TSA fee of $130 and an estimated average cost of
collecting, transmitting, and processing fingerprints of $75, for a
total annual burden of $14.35 million. The yearly record keeping costs
for each of the estimated 3,000 flight schools for retaining records on
both pilot applicants and employee security training is estimated to be
$1,500, for a total annual burden of $4.5 million. Thus the combined
cost burden associated with this collection is estimated to be $18.85
million annually.
The agency is soliciting comments to--
(1) Evaluate whether the information requirement is necessary for
theproper 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 through the use of 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 requirement by November 19, 2004, and should
direct them via fax to the Office of Information and Regulatory
Affairs, Office of Management and Budget, Attention: DHS-TSA Desk
Officer, at (202) 395-5806. Comments to OMB are most useful if received
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. The OMB control number for this information
collection is 1652-0021.
Rulemaking Analyses and Notices
Economic Analyses
Executive Order 12866, ``Regulatory Planning and Review'' (58 FR
51735, October 4, 1993), provides for making determinations whether a
regulatory action is ``significant'' and therefore subject to OMB
review and to the requirements of the Executive Order. This rulemaking
is not an economically significant regulatory action as defined by
Executive Order 12866. The rulemaking does not meet the threshold of
the $100 million effect on the economy annually. However, the action
may be considered significant because there is significant public
interest in security since the events of September 11, 2001.
This rulemaking does not constitute a barrier to international
trade, and does not impose an unfunded mandate on state, local, or
tribal governments, or the private sector. These analyses, which are
summarized below, are discussed in greater detail in the regulatory
evaluation, which will be placed in the docket of this rulemaking. TSA
welcomes comments on the costs analyzed or any additional costs that
could be considered.
Costs
The IFR will impose costs on flight training providers for
collecting and transmitting identifying information for flight training
candidates, providing security awareness training for employees, and
retaining and maintaining information on flight training candidates and
records on security awareness training. The IFR also will impose a fee
on flight training candidates to defray the costs of security threat
assessments that TSA will perform. In addition, flight school
candidates will incur the cost of fingerprinting and opportunity costs
in providing the required information. TSA will incur costs for
transferring and modifying the DOJ's FTCCP system, and for conducting
security threat assessments.
The IFR does not impose any new costs for requirements that already
exist under the DOJ rule. Because candidates for flight training in the
operation of aircraft with MTOW of 12,500 pounds or greater were
subject to the DOJ rule, the IFR will only impose costs (other than the
cost of the TSA fee) on candidates who were not subject to the DOJ
rule, that is candidates for flight training in the operation of
aircraft with an MTOW of less than 12,500 pounds.
TSA does not expect a significant impact on the overall demand for
U.S. flight school training as a result of the IFR. The IFR only
impacts alien candidates for U.S. flight training, and the population
of alien candidates is small relative to the total number of U.S.
flight students. Costs will increase for alien flight school
candidates. However, TSA assumes that the impact on demand will not be
significant because U.S. flight training is considered to be the global
standard, and it is comparatively less expensive to obtain a pilot's
certificate in the U.S. than in most foreign countries. This assumption
is discussed further in the full regulatory evaluation.
TSA estimates the total quantified costs at $180.2 million
undiscounted over a 10-year period and an average of $18.0 million
annually. When discounted at 7 percent, the total quantified cost
impact is $134.0 million over a 10-year period, and $13.4 million
annually. The total costs of compliance are summarized in the table
below.
[[Page 56339]]
Total Costs of Compliance
[In thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Collection &
transmission Finger- Opportunity Photo Data Security Total 7% Present
Year of printing costs transmission retention awareness Government annual Discount value
information training costs factor
--------------------------------------------------------------------------------------------------------------------------------------------------------
2005........................... $388.2 $2,850 $769.5 $370 $4,500.0 $900 $3,040.8 $ 9,855.0 1.0000 $12,800.0
2006........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.9346 17,400.0
2007........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.8734 16,200.0
2008........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.8163 15,200.0
2009........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.7629 14,200.0
2010........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.7130 13,300.0
2011........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.6663 12,400.0
2012........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.6227 11,600.0
2013........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.5820 10,800.0
2014........................... 388.2 2,850 769.5 100 4,500.0 900 9,087.4 18,495.0 0.5439 10,100.0
---------------
Total...................... 3,882.0 28,500 7,695.0 1,270 45,000.0 9,000 84,827.4 180,170.0 ......... 134,000.0
--------------------------------------------------------------------------------------------------------------------------------------------------------
Benefits
The primary benefit of the IFR will be increased protection of U.S.
citizens and property from acts of terrorism. The requirements of this
IFR decrease the chance that a flight school student who poses a
security threat will be able to receive flight training from a U.S.
flight school in the operation of aircraft that could be used in an act
of terrorism. The IFR will provide greater security benefits than the
DOJ rule because it applies to aliens seeking training on smaller
aircraft, and it also improves security at flight schools through the
requirement for security awareness training.
It is difficult to predict the probability of a terrorist attack.
Even when the probability is low, the impact of such an attack can be
devastating. As illustrated by the September 11, 2001 terrorist
attacks, loss of life and property damage could be tremendous. Another
possible impact of a terrorist attack could be an economic shock or
slowdown. Although not quantified, the avoidance of such impacts is a
major benefit of the enhanced security of the IFR.
Comparison of Costs and Benefits
The IFR will provide the American people with added protection from
terrorist attempts to become proficient in the operation of aircraft
for the purpose of attacking American persons and property. The costs
to achieve the level of security protection have been measured and are
estimated at $134 million over the next 10 years when discounted at 7
percent. While it is impossible to quantify the benefits of the
increased security that is expected to be achieved by the requirements
established in this IFR, TSA believes that the actions that this IFR
prescribes will achieve the goals anticipated by the legislation that
established the requirement. TSA believes reducing opportunities for
terrorists to attain the ability to use aircraft as weapons against
America and its allies justifies the investment that this IFR requires.
Moreover, this IFR strives to achieve these goals in the least costly
manner possible.
Regulatory Flexibility Determination
The Regulatory Flexibility Act (RFA) of 1980, as amended, was
enacted by Congress to ensure that small entities (small businesses,
small not-for-profit organizations, and small governmental
jurisdictions) are not unnecessarily or disproportionately burdened by
Federal regulations. The RFA requires agencies to review rules to
determine if they have ``a significant economic impact on a substantial
number of small entities.'' However, Section 603(a) of the Regulatory
Flexibility Act requires that agencies prepare and make available for
public comment an initial regulatory flexibility analysis whenever the
agency is required by law to publish a general notice of proposed
rulemaking. Section 612 of Vision 100--Century of Aviation
Reauthorization Act requires TSA to promulgate an interim final rule
implementing the requirements of Section 612. Accordingly, TSA has not
prepared an initial regulatory flexibility analysis for this rule.
Unfunded Mandates Assessment
Section 202 of the Unfunded Mandates Reform Act of 1995 (UMRA)
requires Federal 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 more
than $100 million in any one year (adjusted for inflation with base
year of 1995). Before promulgating a rule for which a written
assessment is needed, section 205 of the UMRA generally requires TSA to
identify and consider a reasonable number of regulatory alternatives
and adopt the least costly, most cost-effective, or least burdensome
alternative that achieves the objective of the rule. The provisions of
section 205 do not apply when they are inconsistent with applicable
law. Moreover, section 205 allows TSA to adopt an alternative other
than the least costly, most cost-effective, or least burdensome
alternative if the agency publishes with the final rule an explanation
of the reasons that alternative was not adopted.
The UMRA does not apply to a regulatory action in which no notice
of proposed rulemaking is published, as is the case in this rulemaking
action. Accordingly, TSA has not prepared a statement under the UMRA.
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
effects of this rule and has determined that the rule will impose the
same costs on domestic and
[[Page 56340]]
international entities, and thus has a neutral trade impact.
Executive Order 13132 (Federalism)
Executive Order 13132 requires TSA to develop an accountable
process to ensure ``meaningful and timely input by State and local
officials in the development of regulatory policies that have
federalism implications.'' ``Policies that have federalism
implications'' is defined in the Executive Order to include regulations
that have ``substantial direct effects on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government.''
We have analyzed this rule under the principles and criteria of
Executive Order 13132. We have determined that this action will not
have a substantial direct effect on the States, on 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 will not have federalism implications.
Environmental Analysis
TSA has reviewed this rule for purposes of the National
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4347) and has
determined that this action would not have a significant effect on the
human environment.
Energy Impact
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 in 49 CFR Part 1552
Aircraft, Aliens, Alien pilots, Aviation safety, Education
facilities, Fees, Flight schools, Flight school employees, Flight
training, Reporting and recordkeeping requirements, Security awareness
training, Security measures, Security threat assessment.
The Amendments
0
For the reasons set forth in the preamble, the Transportation Security
Administration amends chapter XII, subchapter C, of title 49, Code of
Federal Regulations, by adding a new part 1552 to read as follows:
PART 1552--FLIGHT SCHOOLS
Subpart A--Flight Training for Aliens and Other Designated Individuals
Sec.
1552.1 Scope and definitions.
1552.3 Flight training.
1552.5 Fees.
Subpart B--Flight School Security Awareness Training
1552.21 Scope and definitions.
1552.23 Security awareness training programs.
1552.25 Documentation, recordkeeping, and inspection.
Authority: 49 U.S.C. 114, 44939.
Subpart A--Flight Training for Aliens and Other Designated
Individuals
Sec. 1552.1 Scope and definitions.
(a) Scope. This subpart applies to flight schools that provide
instruction under 49 U.S.C. Subtitle VII, Part A, in the operation of
aircraft or aircraft simulators, and individuals who apply to obtain
such instruction or who receive such instruction.
(b) Definitions. As used in this part:
Aircraft simulator means a flight simulator or flight training
device, as those terms are defined at 14 CFR 61.1.
Alien means any person not a citizen or national of the United
States.
Candidate means an alien or other individual designated by TSA who
applies for flight training or recurrent training. It does not include
an individual endorsed by the Department of Defense for flight
training.
Day means a day from Monday through Friday, including State and
local holidays but not Federal holidays, for any time period less than
11 days specified in this part. For any time period greater than 11
days, day means calendar day.
Demonstration flight for marketing purposes means a flight for the
purpose of demonstrating an aircraft's or aircraft simulator's
capabilities or characteristics to a potential purchaser, or to an
agent of a potential purchaser, of the aircraft or simulator, including
an acceptance flight after an aircraft manufacturer delivers an
aircraft to a purchaser.
Flight school means any pilot school, flight training center, air
carrier flight training facility, or flight instructor certificated
under 14 CFR part 61, 121, 135, 141, or 142; or any other person or
entity that provides instruction under 49 U.S.C. Subtitle VII, Part A,
in the operation of any aircraft or aircraft simulator.
Flight training means instruction received from a flight school in
an aircraft or aircraft simulator. Flight training does not include
recurrent training, ground training, a demonstration flight for
marketing purposes, or any military training provided by the Department
of Defense, the U.S. Coast Guard, or an entity under contract with the
Department of Defense or U.S. Coast Guard.
Ground training means classroom or computer-based instruction in
the operation of aircraft, aircraft systems, or cockpit procedures.
Ground training does not include instruction in an aircraft simulator.
National of the United States means a person who, though not a
citizen of the United States, owes permanent allegiance to the United
States, and includes a citizen of American Samoa or Swains Island.
Recurrent training means periodic training required under 14 CFR
part 61, 121,125, 135, or Subpart K of part 91. Recurrent training does
not include training that would enable a candidate who has a
certificate or type rating for a particular aircraft to receive a
certificate or type rating for another aircraft.
Sec. 1552.3 Flight training.
This section describes the procedures a flight school must follow
before providing flight training.
(a) Category 1--Regular processing for flight training on aircraft
more than 12,500 pounds. A flight school may not provide flight
training in the operation of any aircraft having a maximum certificated
takeoff weight of more than 12,500 pounds to a candidate, except for a
candidate who receives expedited processing under paragraph (b) of this
section, unless--
(1) The flight school has first notified TSA that the candidate has
requested such flight training.
(2) The candidate has submitted to TSA, in a form and manner
acceptable to TSA, the following:
(i) The candidate's full name, including any aliases used by the
candidate or variations in the spelling of the candidate's name;
(ii) A unique candidate identification number created by TSA;
(iii) A copy of the candidate's current, unexpired passport and
visa;
(iv) The candidate's passport and visa information, including all
current and previous passports and visas held by the candidate and all
the information necessary to obtain a passport and visa;
(v) The candidate's country of birth, current country or countries
of citizenship, and each previous country of citizenship, if any;
(vi) The candidate's actual date of birth or, if the candidate does
not know
[[Page 56341]]
his or her date of birth, the approximate date of birth used
consistently by the candidate for his or her passport or visa;
(vii) The candidate's requested dates of training and the location
of the training;
(viii) The type of training for which the candidate is applying,
including the aircraft type rating the candidate would be eligible to
obtain upon completion of the training;
(ix) The candidate's current U.S. pilot certificate, certificate
number, and type rating, if any;
(x) Except as provided in paragraph (k) of this section, the
candidate's fingerprints, in accordance with paragraph (f) of this
section;
(xi) The candidate's current address and phone number and each
address for the 5 years prior to the date of the candidate's
application;
(xii) The candidate's gender; and
(xiii) Any fee required under this part.
(3) The flight school has submitted to TSA, in a form and manner
acceptable to TSA, a photograph of the candidate taken when the
candidate arrives at the flight school for flight training.
(4) TSA has informed the flight school that the candidate does not
pose a threat to aviation or national security, or more than 30 days
have elapsed since TSA received all of the information specified in
paragraph (a)(2) of this section.
(5) The flight school begins the candidate's flight training within
180 days of either event specified in paragraph (a)(4) of this section.
(b) Category 2--Expedited processing for flight training on
aircraft more than 12,500 pounds. (1) A flight school may not provide
flight training in the operation of any aircraft having a maximum
certificated takeoff weight of more than 12,500 pounds to a candidate
who meets any of the criteria of paragraph (b)(2) of this section
unless--
(i) The flight school has first notified TSA that the candidate has
requested such flight training.
(ii) The candidate has submitted to TSA, in a form and manner
acceptable to TSA:
(A) The information and fee required under paragraph (a)(2) of this
section; and
(B) The reason the candidate is eligible for expedited processing
under paragraph (b)(2) of this section and information that establishes
that the candidate is eligible for expedited processing.
(iii) The flight school has submitted to TSA, in a form and manner
acceptable to TSA, a photograph of the candidate taken when the
candidate arrives at the flight school for flight training.
(iv) TSA has informed the flight school that the candidate does not
pose a threat to aviation or national security or more than 5 days have
elapsed since TSA received all of the information specified in
paragraph (a)(2) of this section.
(v) The flight school begins the candidate's flight training within
180 days of either event specified in paragraph (b)(1)(iv) of this
section.
(2) A candidate is eligible for expedited processing if he or she--
(i) Holds an airman's certificate from a foreign country that is
recognized by the Federal Aviation Administration or a military agency
of the United States, and that permits the candidate to operate a
multi-engine aircraft that has a certificated takeoff weight of more
than 12,500 pounds;
(ii) Is employed by a foreign air carrier that operates under 14
CFR part 129 and has a security program approved under 49 CFR part
1546;
(iii) Has unescorted access authority to a secured area of an
airport under 49 U.S.C. 44936(a)(1)(A)(ii), 49 CFR 1542.209, or 49 CFR
1544.229;
(iv) Is a flightcrew member who has successfully completed a
criminal history records check in accordance with 49 CFR 1544.230; or
(v) Is part of a class of individuals that TSA has determined poses
a minimal threat to aviation or national security because of the flight
training already possessed by that class of individuals.
(c) Category 3--Flight training on aircraft 12,500 pounds or less.
A flight school may not provide flight training in the operation of any
aircraft having a maximum certificated takeoff weight of 12,500 pounds
or less to a candidate unless--
(1) The flight school has first notified TSA that the candidate has
requested such flight training.
(2) The candidate has submitted to TSA, in a form and manner
acceptable to TSA:
(i) The information required under paragraph (a)(2) of this
section; and
(ii) Any other information required by TSA.
(3) The flight school has submitted to TSA, in a form and manner
acceptable to TSA, a photograph of the candidate taken when the
candidate arrives at the flight school for flight training.
(4) The flight school begins the candidate's flight training within
180 days of the date the candidate submitted the information required
under paragraph (a)(2) of this section to TSA.
(d) Category 4--Recurrent training for all aircraft. Prior to
beginning recurrent training for a candidate, a flight school must--
(1) Notify TSA that the candidate has requested such recurrent
training; and
(2) Submit to TSA, in a form and manner acceptable to TSA:
(i) The candidate's full name, including any aliases used by the
candidate or variations in the spelling of the candidate's name;
(ii) Any unique student identification number issued to the
candidate by the Department of Justice or TSA;
(iii) A copy of the candidate's current, unexpired passport and
visa;
(iv) The candidate's current U.S. pilot certificate, certificate
number, and type rating(s);
(v) The type of training for which the candidate is applying;
(vi) The date of the candidate's prior recurrent training, if any,
and a copy of the training form documenting that recurrent training;
(vii) The candidate's requested dates of training; and
(viii) A photograph of the candidate taken when the candidate
arrives at the flight school for flight training.
(e) Interruption of flight training. A flight school must
immediately terminate or cancel a candidate's flight training if TSA
notifies the flight school at any time that the candidate poses a
threat to aviation or national security.
(f) Fingerprints. (1) Fingerprints submitted in accordance with
this subpart must be collected--
(i) By United States Government personnel at a United States
embassy or consulate; or
(ii) By another entity approved by TSA.
(2) A candidate must confirm his or her identity to the individual
or agency collecting his or her fingerprints under paragraph (f)(1) of
this section by providing the individual or agency his or her:
(i) Passport;
(ii) Resident alien card; or
(iii) U.S. driver's license.
(3) A candidate must pay any fee imposed by the agency taking his
or her fingerprints.
(g) General requirements. (1) False statements. If a candidate
makes a knowing and willful false statement, or omits a material fact,
when submitting the information required under this part, the candidate
may be--
(i) Subject to fine or imprisonment or both under 18 U.S.C. 1001;
(ii) Denied approval for flight training under this section; and
(iii) Subject to other enforcement action, as appropriate.
(2) Preliminary approval. For purposes of facilitating a
candidate's visa process with the U.S. Department of State, TSA may
inform a flight school and a candidate that the candidate has received
preliminary approval for flight
[[Page 56342]]
training based on information submitted by the flight school or the
candidate under this section. A flight school may then issue an I-20
form to the candidate to present with the candidate's visa application.
Preliminary approval does not initiate the waiting period under
paragraph (a)(3) or (b)(1)(iii) of this section or the period in which
a flight school must initiate a candidate's training after receiving
TSA approval under paragraph (a)(4) or (b)(1)(iv) of this section.
(h) U.S. citizens and nationals and Department of Defense
endorsees. A flight school must determine whether an individual is a
citizen or national of the United States, or a Department of Defense
endorsee, prior to providing flight training to the individual.
(1) U.S. citizens and nationals. To establish U.S. citizenship or
nationality an individual must present to the flight school his or her:
(i) Valid, unexpired United States passport;
(ii) Original or government-issued certified birth certificate of
the United States, American Samoa, or Swains Island, together with a
government-issued picture identification of the individual;
(iii) Original United States naturalization certificate with raised
seal, or a Certificate of Naturalization issued by the U.S. Citizenship
and Immigration Services (USCIS) or the U.S. Immigration and
Naturalization Service (INS) (Form N-550 or Form N-570), together with
a government-issued picture identification of the individual;
(iv) Original certification of birth abroad with raised seal, U.S.
Department of State Form FS-545, or U.S. Department of State Form DS-
1350, together with a government-issued picture identification of the
individual;
(v) Original certificate of United States citizenship with raised
seal, a Certificate of United States Citizenship issued by the USCIS or
INS (Form N-560 or Form N-561), or a Certificate of Repatriation issued
by the USCIS or INS (Form N-581), together with a government-issued
picture identification of the individual; or
(vi) In the case of flight training provided to a Federal employee
(including military personnel) pursuant to a contract between a Federal
agency and a flight school, the agency's written certification as to
its employee's United States citizenship or nationality, together with
the employee's government-issued credentials or other Federally-issued
picture identification.
(2) Department of Defense endorsees. To establish that an
individual has been endorsed by the U.S. Department of Defense for
flight training, the individual must present to the flight school a
written statement acceptable to TSA from the U.S. Department of Defense
attache in the individual's country of residence together with a
government-issued picture identification of the individual.
(i) Recordkeeping requirements. A flight school must--
(1) Maintain the following information for a minimum of 5 years:
(i) For each candidate:
(A) A copy of the photograph required under paragraph (a)(3),
(b)(1)(iii), (c)(3), or (d)(2)(viii) of this section; and
(B) A copy of the approval sent by TSA confirming the candidate's
eligibility for flight training.
(ii) For a Category 1, Category 2, or Category 3 candidate, a copy
of the information required under paragraph (a)(2) of this section,
except the information in paragraph (a)(2)(x).
(iii) For a Category 4 candidate, a copy of the information
required under paragraph (d)(2) of this section.
(iv) For an individual who is a United States citizen or national,
a copy of the information required under paragraph (h)(1) of this
section.
(v) For an individual who has been endorsed by the U.S. Department
of Defense for flight training, a copy of the information required
under paragraph (h)(2) of this section.
(vi) A record of all fees paid to TSA in accordance with this part.
(2) Permit TSA and the Federal Aviation Administration to inspect
the records required by paragraph (i)(1) of this section during
reasonable business hours.
(j) Candidates subject to the Department of Justice rule. A
candidate who submits a completed Flight Training Candidate Checks
Program form and fingerprints to the Department of Justice in
accordance with 28 CFR part 105 before September 28, 2004, or a later
date specified by TSA, is processed in accordance with the requirements
of that part. If TSA specifies a date later than the compliance dates
identified in this part, individuals and flight schools who comply with
28 CFR part 105 up to that date will be considered to be in compliance
with the requirements of this part.
(k) Additional or missed flight training. (1) A Category 1, 2, or 3
candidate who has been approved for flight training by TSA may take
additional flight training without submitting fingerprints as specified
in paragraph (a)(2)(x) of this section if the candidate:
(i) Submits all other information required in paragraph (a)(2) of
this section, including the fee; and
(ii) Waits for TSA approval or until the applicable waiting period
expires before initiating the additional flight training.
(2) A Category 1, 2, or 3 candidate who is approved for flight
training by TSA, but does not initiate that flight training within 180
days, may reapply for flight training without submitting fingerprints
as specified in paragraph (a)(2)(x) of this section if the candidate
submits all other information required in paragraph (a)(2) of this
section, including the fee.
Sec. 1552.5 Fees.
(a) Imposition of fees. The following fee is required for TSA to
conduct a security threat assessment for a candidate for flight
training subject to the requirements of Sec. 1552.3: $130.
(b) Remittance of fees. (1) A candidate must remit the fee required
under this subpart to TSA, in a form and manner acceptable to TSA, each
time the candidate or the flight school is required to submit the
information required under Sec. 1552.3 to TSA.
(2) TSA will not issue any fee refunds, unless a fee was paid in
error.
Subpart B--Flight School Security Awareness Training
Sec. 1552.21 Scope and definitions.
(a) Scope. This subpart applies to flight schools that provide
instruction under 49 U.S.C. Subtitle VII, Part A, in the operation of
aircraft or aircraft simulators, and to employees of such flight
schools.
(b) Definitions: As used in this subpart:
Flight school employee means a flight instructor or ground
instructor certificated under 14 CFR part 61, 141, or 142; a chief
instructor certificated under 14 CFR part 141; a director of training
certificated under 14 CFR part 142; or any other person employed by a
flight school, including an independent contractor, who has direct
contact with a flight school student. This includes an independent or
solo flight instructor certificated under 14 CFR part 61.
Sec. 1552.23 Security awareness training programs.
(a) General. A flight school must ensure that--
(1) Each of its flight school employees receives initial and
recurrent security awareness training in accordance with this subpart;
and
(2) If an instructor is conducting the initial security awareness
training
[[Page 56343]]
program, the instructor has first successfully completed the initial
flight school security awareness training program offered by TSA or an
alternative initial flight school security awareness training program
that meets the criteria of paragraph (c) of this section.
(b) Initial security awareness training program. (1) A flight
school must ensure that--
(i) Each flight school employee employed on January 18, 2005
receives initial security awareness training in accordance with this
subpart by January 18, 2005; and
(ii) Each flight school employee hired after January 18, 2005
receives initial security awareness training within 60 days of being
hired.
(2) In complying with paragraph (b)(2) of this section, a flight
school may use either:
(i) The initial flight school security awareness training program
offered by TSA; or
(ii) An alternative initial flight school security awareness
training program that meets the criteria of paragraph (c) of this
section.
(c) Alternative initial security awareness training program. At a
minimum, an alternative initial security awareness training program
must--
(1) Require active participation by the flight school employee
receiving the training.
(2) Provide situational scenarios requiring the flight school
employee receiving the training to assess specific situations and
determine appropriate courses of action.
(3) Contain information that enables a flight school employee to
identify--
(i) Uniforms and other identification, if any are required at the
flight school, for flight school employees or other persons authorized
to be on the flight school grounds.
(ii) Behavior by clients and customers that may be considered
suspicious, including, but not limited to:
(A) Excessive or unusual interest in restricted airspace or
restricted ground structures;
(B) Unusual questions or interest regarding aircraft capabilities;
(C) Aeronautical knowledge inconsistent with the client or
customer's existing airman credentialing; and
(D) Sudden termination of the client or customer's instruction.
(iii) Behavior by other on-site persons that may be considered
suspicious, including, but not limited to:
(A) Loitering on the flight school grounds for extended periods of
time; and
(B) Entering ``authorized access only'' areas without permission.
(iv) Circumstances regarding aircraft that may be considered
suspicious, including, but not limited to:
(A) Unusual modifications to aircraft, such as the strengthening of
landing gear, changes to the tail number, or stripping of the aircraft
of seating or equipment;
(B) Damage to propeller locks or other parts of an aircraft that is
inconsistent with the pilot training or aircraft flight log; and
(C) Dangerous or hazardous cargo loaded into an aircraft.
(v) Appropriate responses for the employee to specific situations,
including:
(A) Taking no action, if a situation does not warrant action;
(B) Questioning an individual, if his or her behavior may be
considered suspicious;
(C) Informing a supervisor, if a situation or an individual's
behavior warrants further investigation;
(D) Calling the TSA General Aviation Hotline; or
(E) Calling local law enforcement, if a situation or an
individual's behavior could pose an immediate threat.
(vi) Any other information relevant to security measures or
procedures at the flight school, including applicable information in
the TSA Information Publication ``Security Guidelines for General
Aviation Airports''.
(d) Recurrent security awareness training program. (1) A flight
school must ensure that each flight school employee receives recurrent
security awareness training each year in the same month as the month
the flight school employee received initial security awareness training
in accordance with this subpart.
(2) At a minimum, a recurrent security awareness training program
must contain information regarding--
(i) Any new security measures or procedures implemented by the
flight school;
(ii) Any security incidents at the flight school, and any lessons
learned as a result of such incidents;
(iii) Any new threats posed by or incidents involving general
aviation aircraft contained on the TSA Web site; and
(iv) Any new TSA guidelines or recommendations concerning the
security of general aviation aircraft, airports, or flight schools.
Sec. 1552.25 Documentation, recordkeeping, and inspection.
(a) Documentation. A flight school must issue a document to each
flight school employee each time the flight school employee receives
initial or recurrent security awareness training in accordance with
this subpart. The document must--
(1) Contain the flight school employee's name and a distinct
identification number.
(2) Indicate the date on which the flight school employee received
the security awareness training.
(3) Contain the name of the instructor who conducted the training,
if any.
(4) Contain a statement certifying that the flight school employee
received the security awareness training.
(5) Indicate the type of training received, initial or recurrent.
(6) Contain a statement certifying that the alternative training
program used by the flight school meets the criteria in 49 CFR
1552.23(c), if the flight school uses an alternative training program
to comply with this subpart.
(7) Be signed by the flight school employee and an authorized
official of the flight school.
(b) Recordkeeping requirements. A flight school must establish and
maintain the following records for one year after an individual no
longer is a flight school employee:
(1) A copy of the document required by paragraph (a) of this
section for the initial and each recurrent security awareness training
conducted for each flight school employee in accordance with this
subpart; and
(2) The alternative flight school security awareness training
program used by the flight school, if the flight school uses such a
program.
(c) Inspection. A flight school must permit TSA and the Federal
Aviation Administration to inspect the records required under paragraph
(b) of this section during reasonable business hours.
Issued in Arlington, Virginia, on September 16, 2004.
David M. Stone,
Assistant Secretary.
[FR Doc. 04-21220 Filed 9-16-04; 4:21 pm]
BILLING CODE 4910-62-P