2021-26534. 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, 6595 Springfield Center Drive, Springfield, 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 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 Homeland Security 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 2020. 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: December 2, 2021.

Kelly D. Wheaton,

Deputy Chief Counsel, Enforcement and Incident Management.

December 2, 2021

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 2020 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 Homeland Security 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 5	Penalty proposed/assessed
2019SAN0156	Fraud/Falsification (49 CFR 1570.5(b))	$1,000/$1,000.
2021SLC0056	Security Coordinator (49 CFR 1570.201(d)(e)	None (Notice of Noncompliance).
2021JAX0030	TWIC Access Control (49 CFR 1570.301(c))	None (Warning Notice).
2021MSP0003	TWIC Access Control (49 CFR 1570.301(c))	None (Warning Notice).
2021SAN0007	TWIC Access Control (49 CFR 1570.301(c))	None (Warning Notice).
2021SAN0012	TWIC Access Control (49 CFR 1570.301(c))	None (Warning Notice).
2021OAK0017	TWIC Access Control (49 CFR 1570.7(a)(1) and (a)(2))	None (Warning Notice).
2021CLT0020	TWIC Access Control (49 CFR 1570.7(a)(1))	None (Warning Notice).
2017MSY0184	TWIC Access Control (49 CFR 1570.7(c))	None (Warning Notice).
2017MSY0189	TWIC Access Control (49 CFR 1570.7(c))	None (Warning Notice).
2017OAK0359	TWIC Access Control (49 CFR 1570.7(c))	None (Warning Notice).
2018SAN0067	TWIC Access Control (49 CFR 1570.7(c))	$250/$250.
2021ALB0009	TWIC Fraudulent Use (49 CFR 1570.301(a))	None (Warning Notice).
2021MCO0041	TWIC Fraudulent Use (49 CFR 1570.301(c) and(d))	None (Warning Notice).
2021JAX0026	TWIC Fraudulent Use (49 CFR 1570.301(c))	None (Warning Notice).
2021JAX0029	TWIC Fraudulent Use (49 CFR 1570.301(c))	None (Warning Notice).
2021SAN0018	TWIC Fraudulent Use (49 CFR 1570.301(c))	None (Warning Notice).
2021SAN0014	TWIC Fraudulent Use (49 CFR 1570.301(d))	None (Warning Notice).
2021SAN0019	TWIC Fraudulent Use (49 CFR 1570.301(d))	None (Warning Notice).
2020CLE0170	TWIC Fraudulent Use (49 CFR 1570.7(a) and (c))	None (Warning Notice).
2020MIA0077	TWIC Fraudulent Use (49 CFR 1570.7(a) and (c))	None (Warning Notice).
2020MIA0149	TWIC Fraudulent Use (49 CFR 1570.7(a) and (c))	None (Warning Notice).
2017MSY0190	TWIC Fraudulent Use (49 CFR 1570.7(a))	None (Warning Notice).
2017MSY0191	TWIC Fraudulent Use (49 CFR 1570.7(a))	None (Warning Notice).
2018BTR0009	TWIC Fraudulent Use (49 CFR 1570.7(a))	None (Warning Notice).
2018SAN0173	TWIC Fraudulent Use (49 CFR 1570.7(a))	$250/$250.
2018SEA0179	TWIC Fraudulent Use (49 CFR 1570.7(a))	$5,000/$2,000.
2020JAX0036	TWIC Fraudulent Use (49 CFR 1570.7(a))	None (Warning Notice).
2021OAK0001	TWIC Fraudulent Use (49 CFR 1570.7(a))	None (Warning Notice).
2020BOS0069	TWIC Fraudulent Use (49 CFR 1570.7(b))	$1,170/$1,170.
2020BWI0038	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020BWI0042	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020BWI0044	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020BWI0058	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020HOU0029	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020HOU0077	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020HOU0079	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020MCO0110	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020MCO0111	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020MCO0156	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020MCO0162	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020MCO0180	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020MCO0181	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020MCO0182	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020PDX0027	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	$1,170/$500.
2020RIC0039	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020RIC0044	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2020RIC0075	TWIC Fraudulent Use (49 CFR 1570.7(c) and (d))	None (Warning Notice).
2019HOU0126	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,140/$500.
2019HOU0149	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,170/$100.
2019JAX0124	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019LAX0258	TWIC Fraudulent Use (49 CFR 1570.7(c))	$500/$500.
2019LAX0259	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019MSY0071	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019OAK0146	TWIC Fraudulent Use (49 CFR 1570.7(c))	$4,650/$4,650.
2019SAN0064	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2019SAN0077	TWIC Fraudulent Use (49 CFR 1570.7(c))	$3,420/$3,420.
2020BOS0070	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020BOS0103	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020BWI0071	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020BWI0076	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020CLT0099	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020CLT0177	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020CLT0186	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020CLT0187	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020EWR0039	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020EWR0040	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020EWR0093	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020EWR0102	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020HOU0009	TWIC Fraudulent Use (49 CFR 1570.7(c))	$3,500/$2,000.
2020JAX0041	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,170/$1,170.
2020JAX0042	TWIC Fraudulent Use (49 CFR 1570.7(c))	$1,170/$1,170.
2020JAX0043	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020JAX0082	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020JAX0111	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020MCO0109	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020MCO0155	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0045	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0065	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0068	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0069	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0072	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0119	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020OAK0131	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020RIC0040	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020RIC0048	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020RIC0050	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020RIC0076	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SAN0058	TWIC Fraudulent Use (49 CFR 1570.7(c))	$800/$800.
2020SAT0052	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SEA0068	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SEA0132	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SEA0171	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020SEA0184	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020STL0134	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2021RIC0004	TWIC Fraudulent Use (49 CFR 1570.7(c))	None (Warning Notice).
2020CLE0176	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020HOU0068	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020HOU0078	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020MIA0076	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020SEA0067	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020SEA0183	TWIC Fraudulent Use (49 CFR 1570.7(d))	None (Warning Notice).
2020SEA0053	TWIC Inspection of Credential (49 CFR 1570.9(a))	None (Warning Notice).

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.

5.  On March 23, 2020, TSA promulgated a final rule which, among other things, reorganized Title 49 Chapter XII Subpart D, Maritime and Surface Transportation Security. For example, the regulation 49 CFR 1570.7, pertaining to fraudulent use and manufacture of credentials, is now located at 49 CFR 1570.301. This report cites to the regulatory violations as alleged in TSA's enforcement actions at the time of issuance.