2020-24180. Enforcement Actions Summary

AGENCY:

Transportation Security Administration, DHS.

ACTION:

Notice of availability.

SUMMARY:

TSA is providing notice that it has issued an annual summary of all enforcement actions taken by TSA under the authority granted in the Implementing Recommendations of the 9/11 Commission Act of 2007.

FOR FURTHER INFORMATION CONTACT:

Nikki Harding, Assistant Chief Counsel, Civil Enforcement, Office of the Chief Counsel, TSA-2, Transportation Security Administration, 601 South 12th Street, Arlington, VA 20598-6002; telephone [phone]; facsimile [phone]; email [e-mail].

SUPPLEMENTARY INFORMATION:

Background

On August 3, 2007, section 1302(a) of the Implementing Recommendations of the 9/11 Commission Act of 2007 (the 9/11 Act), Public Law 110-53, 121 Stat. 392, gave TSA new authority to assess civil penalties for violations of any surface transportation requirements under title 49 of the United States Code (U.S.C.) and for any violations of chapter 701 of title 46 of the U.S.C., which governs transportation worker identification credentials (TWICs).

Section 1302(a) of the 9/11 Act, codified at 49 U.S.C. 114(u),^[1] authorizes the Secretary of the DHS to impose civil penalties of up to $10,000 per violation of any surface transportation requirement under 49 U.S.C. or any requirement related to TWICs under 46 U.S.C. chapter 701. TSA exercises this function under delegated authority from the Secretary. See DHS Delegation No. 7060-2.

Under 49 U.S.C. 114(u)(7)(A), TSA is required to provide the public with an annual summary of all enforcement actions taken by TSA under this subsection; and include in each such summary the identifying information of each enforcement action, the type of alleged violation, the penalty or penalties proposed, and the final assessment amount of each penalty. This summary is for calendar year 2019. TSA will publish a summary of all enforcement actions taken under the statute in the beginning of the new calendar year to cover the previous calendar year.

Document Availability

You can get an electronic copy of both this notice and the enforcement actions summary on the internet by—

(1) Searching the electronic Federal Docket Management System (FDMS) web page at http://www.regulations.gov,, Docket No. TSA-2009-0024; or

(2) Accessing the Government Printing Office's web page at http://www.gpo.gov/​fdsys/​browse/​collection.action?​collectionCode=​FR to view the daily published Federal Register edition; or accessing the “Search the Federal Register by Citation” in the “Related Resources” column on the left, if you need to do a Simple or Advanced search for information, such as a type of document that crosses multiple agencies or dates.

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 action.

Dated: October 27, 2020.

Kelly D. Wheaton,

Deputy Chief Counsel, Enforcement and Incident Management.

October 27, 2020

Annual Summary of Enforcement Actions Taken Under 49 U.S.C. 114(u)

Annual Report

Pursuant to 49 U.S.C. 114(u)(7)(A), TSA provides the following summary of enforcement actions taken by TSA in calendar year 2019 under section 114(u).^[2]

Background

Section 114(u) of 49 U.S.C. gives the TSA authority to assess civil penalties for violations of any surface transportation requirements under 49 U.S.C. and for any violations of chapter 701 of 46 U.S.C., which governs TWICs. Specifically, section 114(u) authorizes the Secretary of the DHS to impose civil penalties of up to $10,000 per violation ^[3] for violations of any surface transportation requirement under 49 U.S.C. or any requirement related to TWIC under 46 U.S.C. chapter 701.^[4]

TSA case No.	Type of violation	Penalty proposed/assessed
2020IND0019	TWIC Inspection of Credential (49 CFR 1570.9(a))	None (Warning Notice).
2018OAK0032	TWIC Inspection of Credential (49 CFR 1570.9 (a))	$1,680/$1,680.
2019BWI0076	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2019HOU0041	TWIC Fraudulent Use (49 CFR 1570.7(d))	$2,280/$2,280.
2019HOU0042	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2019JAX0080	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2019MSY0025	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2019OAK0051	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2019SAN0065	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020JAX0009	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020MCO0034	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020SEA0052	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020SEA0054	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2019BOS0092	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BOS0093	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BOS0147	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BOS0204	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BOS0211	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BWI0079	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BWI0086	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BWI0087	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BWI0103	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019CLT0182	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019HOU0038	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019HOU0078	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,140/$1,140.
2019HOU0086	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019HOU0088	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019HOU0124	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,140/$1,140.
2019HOU0126	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,140/Pending.
2019HOU0149	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,170/Pending.
2019JAX0055	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0056	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0074	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0075	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0078	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0079	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0089	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0098	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0102	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0103	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0106	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0111	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0113	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0114	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JAX0158	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019JFK0196	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019LAX0225	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019LAX0226	TWIC Fraudulent Use (49 CFR 1570.7(c))	$2,000/$2,000.
2019MCO0049	TWIC Fraudulent Use (49 CFR 1570.7(c))	$2,000/$2,000.
2019MCO0104	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0177	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0179	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0212	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0217	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0218	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0220	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0227	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0228	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0230	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0231	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MCO0232	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0052	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0079	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0116	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0117	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0118	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0122	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0123	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0124	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0125	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0126	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0127	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0131	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0132	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0133	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0139	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0172	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0173	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0174	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019PDX0135	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019PDX0139	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019PDX0144	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019RIC0012	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019RIC0017	TWIC Fraudulent Use (49 CFR 1570.7(c))	$570/$570.
2019RIC0024	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019RIC0028	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,140/$50.
2019RIC0031	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019SAN0172	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019SEA0229	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019SEA0276	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019SMF0103	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019STL0086	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020BOS0004	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020HOU0009	TWIC Fraudulent Use (49 CFR 1570.7(c))	$3,500/Pending.
2020JAX0001	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020JAX0009	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020JAX0010	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020JAX0031	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020MCO0025	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020MCO0043	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020MSP0014	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0004	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0020	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0041	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020PDX0023	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020PDX0028	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SAN0006	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SEA0048	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SEA0049	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SEA0051	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019BWI0084	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0088	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0096	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0106	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0107	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0108	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0113	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0116	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0117	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0121	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019BWI0126	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019CLE0189	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019CLE0190	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019MCO0180	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019RIC0023	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	$3,000/$500.
2019RIC0030	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	$250/$250.
2020BWI0006	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020BWI0014	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020MCO0043	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019HOU0085	TWIC Fraudulent Use (49 CFR 1570.7(b))	$1,140/$1,140.
2016OAK0128	TWIC Fraudulent Use (49 CFR 1570.7(a))	$4,000/$1,000.
2017MSY0190	TWIC Fraudulent Use (49 CFR 1570.7(a))	Pending.
2018SAN0173	TWIC Fraudulent Use (49 CFR 1570.7(a))	$250/Pending.
2018SEA0138	TWIC Fraudulent Use (49 CFR 1570.7(a))	$1,120/$1,120.
2018SEA0172	TWIC Fraudulent Use (49 CFR 1570.7(a))	$1,120/$1,120.
2018SEA0196	TWIC Fraudulent Use (49 CFR 1570.7(a))	$1,120/$1,120.
2018SEA0247	TWIC Fraudulent Use (49 CFR 1570.7(a))	$560/$560.
2019RIC0006	TWIC Fraudulent Use (49 CFR 1570.7(a))	None (Warning Notice).
2019BWI0053	TWIC Fraudulent Use (49 CFR 1570.7(a) and (c))	None (Warning Notice).
2019HOU0057	TWIC Fraudulent Use (49 CFR 1570.7(a) and (c))	$3,420/$500.
2020MIA0035	TWIC Fraudulent Use (49 CFR 1570.7(a) and (c))	None (Warning Notice).
2018SEA0029	TWIC Access Control (49 CFR 1570.7(d))	$4,000/$4,000.
2017MSY0184	TWIC Access Control (49 CFR 1570.7(c))	Pending.
2017MSY0189	TWIC Access Control (49 CFR 1570.7(c))	Pending.
2018HOU0154	TWIC Access Control (49 CFR 1570.7(c))	$1,120/$1,120.
2018MSY0045	TWIC Access Control (49 CFR 1570.7(c))	None (Warning Notice).
2018RIC0088	TWIC Access Control (49 CFR 1570.7(c))	$1,120/$560.
2018SAN0067	TWIC Access Control (49 CFR 1570.7(c))	$250/Pending.
2018SEA0197	TWIC Access Control (49 CFR 1570.7(c))	$1,120/$1,120.
2018SEA0217	TWIC Access Control (49 CFR 1570.7(c))	$1,120/None (Consent Order).
2018SEA0297	TWIC Access Control (49 CFR 1570.7(c))	$1,120/$1,120.
2018SEA0298	TWIC Access Control (49 CFR 1570.7(c))	None (Warning Notice).
2018SEA0358	TWIC Access Control (49 CFR 1570.7(c))	$1,120/$1,120.
2018SEA0356	TWIC Access Control (49 CFR 1570.7 (c))	$2,235/$1,000.
2019SAT0125	Transfer of Railcar Custody (49 CFR 1580.107(b))	$22,820/$13,000.
2019CMH0109	Reporting Security Concerns (49 CFR 1580.105(b))	None (Letter of Correction).
2019HOU0104	Reporting Railcar Location (49 CFR 1580.103(g))	None (Warning Notice).
2019HOU0073	Reporting Railcar Location (49 CFR 1580.103(b) and (c) and (f))	None (Warning Notice).
2019ELP0046	Railcar Transfer of Custody (49 CFR 1580.107(c)) and Reporting Security Concerns (49 CFR 1580.203)	None (Notice of Noncompliance).
2019DTW0192	Railcar Transfer of Custody (49 CFR 1580.107(c))	None (Letter of Correction).
2019MCO0149	Rail Security Coordinator (49 CFR 1580.201(d))	None (Notice of Noncompliance).

Footnotes

1.  Pursuant to division K, title I, sec. 1904(b)(1)(I), of Public Law 115-254, (132 Stat. 3186, 3545; October 5, 2018), the TSA Modernization Act—part of the FAA Reauthorization Act of 2018, former 49 U.S.C. 114(v) was redesignated as 49 U.S.C. 114(u).

2.  49 U.S.C. 114(u)(7)(A) states: In general.—the Secretary of Homeland Security shall—(i) provide an annual summary to the public of all enforcement actions taken by the Secretary under this subsection; and (ii) include in each such summary the docket number of each enforcement action, the type of alleged violation, the penalty or penalties proposed, and the final assessment amount of each penalty.

3.  Pursuant to title VII, sec. 701 of Public Law 114-74 (129 Stat. 583, 599; Nov. 2, 2015), the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015—part of the Bipartisan Budget Act of 2015, this $10,000 civil penalty maximum is adjusted for inflation annually. See 49 CFR 1503.401(b).

4.  TSA exercises this function under delegated authority from the Secretary. See DHS Delegation No. 7060-2.