49 CFR Part 1503 — Investigative and Enforcement Procedures

PART 1503—INVESTIGATIVE AND ENFORCEMENT PROCEDURES Authority : 6 U.S.C. 1142; 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C. 114, 20109, 31105, 40113-40114, 40119, 44901-44907, 44939, 46101-46107, 46109-46110, 46301, 46305, 46311, 46313-46314; Pub. L. 110-53 (121 Stat. 266, Aug. 3, 2007) secs. 1408 (6 U.S.C. 1137), 1501 (6 U.S.C. 1151), 1517 (6 U.S.C. 1167), and 1534 (6 U.S.C. 1184). Source: 74 FR 36039, July 21, 2009, unless otherwise noted. Subpart A—General Source: 76 FR 22630, Apr. 22, 2011, unless otherwise noted. § 1503.1 Scope. This part provides information on TSA's investigative and enforcement procedures. § 1503.3 Reports by the public of security problems, deficiencies, and vulnerabilities. This section prescribes the reporting mechanisms that persons may use in order to obtain a receipt for reports to TSA regarding transportation-related security problems, deficiencies, and vulnerabilities. (a) Any person who reports to TSA a transportation security-related problem, deficiency, or vulnerability—including the security of aviation, commercial motor vehicle, maritime, pipeline, any mode of public transportation, or railroad transportation—will receive a receipt for their report if they provide valid contact information and report through one of the following: (1) U.S. mail to Transportation Security Administration HQ, TSA-2; Attn: 49 CFR 1503.3 Reports; 601 South 12th Street; Arlington, VA 20598-6002; (2) Internet at http://www.tsa.gov/contact, (3) Telephone (toll-free) at 1-866-289-9673. (b) Reports submitted by mail will receive a receipt through the mail, reports submitted by the Internet will receive an e-mail receipt, and reports submitted by phone will receive a call identifier number linked to TSA documents held according to published record schedules. To obtain a paper copy of reports provided by phone, the person who made the report, or their authorized representative, must contact TSA at the address identified in (a)(1) of this section within that period and provide the identifier number. (c) TSA will review and consider the information provided in any report submitted under this section and take appropriate steps to address any problems, deficiencies, or vulnerabilities identified. (d) Nothing in this section relieves a person of a separate obligation to report information to TSA under another provision of this title, a security program, or a security directive, or to another Government agency under other law. (e) Immediate or emergency security or safety concerns should be reported to the appropriate local emergency services operator, such as by telephoning 911. Alleged waste, fraud, and abuse in TSA programs should be reported to the Department of Homeland Security Inspector General: telephone (toll-free) 1-800-323-8603, or e-mail DHSOIGHOTLINE@dhs.gov. Subpart B—Scope of Investigative and Enforcement Procedures § 1503.101 TSA requirements. (a) The investigative and enforcement procedures in this part apply to TSA's investigation and enforcement of violations of TSA requirements. (b) For purposes of this part, the term TSA requirements (1) Those provisions of title 49 U.S.C. administered by the Administrator; (2) 46 U.S.C. chapter 701; and (3) Provisions of Public Law 110-53 (121 Stat. 266, Aug. 3, 2007) not codified in title 49 U.S.C. that are administered by the Administrator. [74 FR 36039, July 21, 2009, as amended at 85 FR 16499, Mar. 23, 2020] § 1503.103 Terms used in this part. In addition to the terms in § 1500.3 of this chapter, the following definitions apply in this part: Administrative law judge ALJ Agency attorney agency attorney (1) Any attorney in the Office of the Chief Counsel who advises the TSA decision maker regarding an initial decision or any appeal to the TSA decision maker; or (2) Any attorney who is supervised in a civil penalty action by a person who provides such advice to the TSA decision maker in that action or a factually related action. Attorney Enforcement Investigative Report EIR Mail Party Personal delivery Personal delivery Pleading Properly addressed Respondent TSA decision maker TSA decision maker [76 FR 22630, Apr. 22, 2011, as amended at 89 FR 35625, May 1, 2024] Subpart C—Investigative Procedures § 1503.201 Reports of violations. (a) Any person who knows of a violation of a TSA requirement should report it to appropriate personnel of any TSA office. (b) TSA will review each report made under this section, together with any other information TSA may have that is relevant to the matter reported, to determine the appropriate response, including additional investigation or administrative or legal enforcement action. § 1503.203 Investigations. (a) General. (b) Delegation of authority. § 1503.205 Records, documents, and reports. Each record, document, and report that regulations issued by the Transportation Security Administration require to be maintained, exhibited, or submitted to the Administrator may be used in any investigation conducted by the Administrator; and, except to the extent the use may be specifically limited or prohibited by the section that imposes the requirement, the records, documents, and reports may be used in any civil penalty action or other legal proceeding. § 1503.207 Inspection authority. (a) Each person subject to any of the requirements in this chapter or other applicable authority must allow TSA and other authorized DHS officials, at any time and in a reasonable manner, without advance notice, to enter, assess, inspect, and test property, facilities, equipment, and operations; and to view, inspect, and copy records, as necessary to carry out TSA's security-related statutory or regulatory authorities and without a subpoena, including its authority to— (1) Assess threats to transportation. (2) Enforce security-related laws, regulations, directives, and requirements. (3) Inspect, maintain, and test the security of facilities, equipment, and systems. (4) Ensure the adequacy of security measures for the transportation of passengers and cargo. (5) Oversee the implementation, and ensure the adequacy, of security measures for conveyances and vehicles, at transportation facilities and infrastructure and other assets related to transportation. (6) Review security plans and/or programs. (7) Determine compliance with any requirements in this chapter. (8) Carry out such other duties, and exercise such other powers, relating to transportation security, as the Administrator for TSA considers appropriate, to the extent authorized by law. (b) At the request of TSA, each person subject to the requirements of this chapter must provide evidence of compliance with this chapter, including copies of records. (c) TSA and other authorized DHS officials, may enter, without advance notice, and be present within any area or within any vehicle or conveyance, terminal, or other facility covered by this chapter without access media or identification media issued or approved by a person subject to requirements in this chapter or other applicable authority in order to inspect or test compliance, or perform other such duties as TSA may direct. (d) TSA inspectors and other authorized DHS officials working with TSA will, on request, present their credentials for examination, but the credentials may not be photocopied or otherwise reproduced. [89 FR 35625, May 1, 2024] Subpart D—Non-Civil Penalty Enforcement § 1503.301 Warning notices and letters of correction. (a) If TSA determines that a violation or an alleged violation of a TSA requirement does not require the assessment of a civil penalty, an appropriate official of the TSA may take administrative action in disposition of the case. (b) An administrative action under this section does not constitute a formal adjudication of the matter, and may be taken by issuing the alleged violator— (1) A “Warning Notice” that recites available facts and information about the incident or condition and indicates that it may have been a violation; or (2) A “Letter of Correction” that confirms the TSA decision in the matter and states the necessary corrective action the alleged violator has taken or agrees to take. If the agreed corrective action is not fully completed, legal enforcement action may be taken. (c) The issuance of a Warning Notice or Letter of Correction is not subject to appeal under this part. (d) In the case of a public transportation agency that is determined to be in violation of a TSA requirement, an appropriate TSA official will seek correction of the violation through a written “Notice of Noncompliance” to the public transportation agency giving the public transportation agency reasonable opportunity to correct the violation or propose an alternative means of compliance acceptable to TSA. (e) TSA will not take legal enforcement action against a public transportation agency under subpart E unless it has provided the Notice of Noncompliance described in paragraph (d) of this section and the public transportation agency fails to correct the violation or propose an alternative means of compliance acceptable to TSA within the timeframe provided in the notice. (f) TSA will not initiate civil enforcement action for violations of administrative and procedural requirements pertaining to the application for, and the expenditure of, funds awarded pursuant to transportation security grant programs under Public Law 110-53. Subpart E—Assessment of Civil Penalties by TSA § 1503.401 Maximum penalty amounts. (a) General. (b) In general. (1) For violations that occurred on or before November 2, 2015, $10,000 per violation, up to a total of $50,000 per civil penalty action, in the case of an individual or small business concern (“small business concern” as defined in section 3 of the Small Business Act (15 U.S.C. 632)). For violations that occurred after November 2, 2015, $14,602 per violation, up to a total of $73,011 per civil penalty action, in the case of an individual or small business concern; and (2) For violations that occurred on or before November 2, 2015, $10,000 per violation, up to a total of $400,000 per civil penalty action, in the case of any other person. For violations that occurred after November 2, 2015, $14,602 per violation, up to a total of $584,078 per civil penalty action, in the case of any other person. (c) Certain aviation related violations. (2) For violations that occurred on or before November 2, 2015, $10,000 per violation, up to a total of $400,000 per civil penalty action, in the case of any other person (except an airman serving as an airman) not operating an aircraft for the transportation of passengers or property for compensation. For violations that occurred between November 2, 2015, and May 16, 2024, $17,062 per violation, up to a total of $682,509 per civil penalty action, in the case of any other person (except an airman serving as an airman) not operating an aircraft for the transportation of passengers or property for compensation. For violations that occurred on or before May 16, 2024, $10,000 per violation, up to a total of $400,000 per civil penalty action, in the case of any other person (except an airman serving as an airman) not operating an aircraft for the transportation of passengers or property for compensation. For violations that occurred after May 16, 2024, $17,062 per violation, up to a total of $1,200,000 per civil penalty action, in the case of any other person (except an airman serving as an airman) not operating an aircraft for the transportation of passengers or property for compensation. (3) For violations that occurred on or before November 2, 2015, $25,000 per violation, up to a total of $400,000 per civil penalty action, in the case of a person operating an aircraft for the transportation of passengers or property for compensation (except an individual serving as an airman). For violations that occurred between November 2, 2015, and May 16, 2024, $42,657 per violation, up to a total of $682,509 per civil penalty action, in the case of a person (except an individual serving as an airman) operating an aircraft for the transportation of passengers or property for compensation. For violations that occurred on or before May 16, 2024, $25,000 per violation, up to a total of $400,000 per civil penalty action, in the case of a person operating an aircraft for the transportation of passengers or property for compensation (except an individual serving as an airman). For violations that occurred after May 16, 2024, $42,657 per violation, up to a total of $1,200,000 per civil penalty action, in the case of a person (except an individual serving as an airman) operating an aircraft for the transportation of passengers or property for compensation. [81 FR 8583, Jan. 27, 2017, as amended at 83 FR 13838, Apr. 2, 2018; 84 FR 13512, Apr. 5, 2019; 85 FR 36482, June 17, 2020; 86 FR 57544, Oct. 18, 2021; 87 FR 1330, Jan. 11, 2022; 88 FR 2186, Jan. 13, 2023; 89 FR 53863, June 28, 2024; 90 FR 13, Jan. 2, 2025; 90 FR 60576, Dec. 29, 2025] § 1503.403 Delegation of authority. The Administrator delegates the following authority to the Chief Counsel and the Deputy Chief Counsel for Enforcement, which authority may be redelegated as necessary: (a) To initiate and assess civil penalties under 49 U.S.C. 114 and 46301 and this subpart for a violation a TSA requirement; (b) To compromise civil penalties initiated under this subpart; and (c) To refer cases to the Attorney General of the United States, or the delegate of the Attorney General, for the collection of civil penalties. § 1503.405 Injunctions. Whenever it is determined that a person has engaged, or is about to engage, in any act or practice constituting a violation of a TSA requirement, the Chief Counsel or the Deputy Chief Counsel for Enforcement may request the Attorney General of the United States, or the delegate of the Attorney General, to bring an action in the appropriate United States district court for such relief as is necessary or appropriate, including mandatory or prohibitive injunctive relief, interim equitable relief, and punitive damages, as provided by 49 U.S.C. 114 and 46107. § 1503.407 Military personnel. If a report made under this part indicates that, while performing official duties, a member of the Armed Forces, or a civilian employee of the Department of Defense who is subject to the Uniform Code of Military Justice (10 U.S.C. chapter 47), has violated a TSA requirement, an agency official will send a copy of the report to the appropriate military authority for such disciplinary action as that authority considers appropriate and a report to the Administrator thereon. § 1503.409 Service of documents. (a) General. (b) Type of service. (1) Personal delivery; (2) Mail, or (3) Electronic mail or facsimile transmission, if consented to in writing by the person served, except that such service is not effective if the party making service receives credible information indicating that the attempted service did not reach the person to be served. (c) If a party serves a pleading on another party during the course of hearing proceedings by electronic mail or facsimile transmission, the party making service must file with the Enforcement Docket Clerk a copy of the consent of the receiving party to accept such method of service. (d) Date of service. (1) The date of personal delivery. (2) If mailed, the mailing date stated on the certificate of service, the date shown on the postmark if there is no certificate of service, or other mailing date shown by other evidence if there is no certificate of service or postmark. (3) If sent by electronic mail or facsimile transmission, the date of transmission. (e) Valid service. (f) Presumption of service. (g) Additional time after service by mail. (h) Service of documents filed with the Enforcement Docket. (i) Certificate of service. (j) Service by the ALJ. § 1503.411 Computation of time. (a) This section applies to any period of time prescribed or allowed by this part, or by notice or order of an ALJ. (b) The date of an act, event, or default, after which a designated time period begins to run, is not included in a computation of time under this subpart. (c) The last day of a time period is included in a computation of time unless it is a Saturday, Sunday, a legal holiday, or a day on which the enforcement docket is officially closed. If the last day of the time period is a Saturday, Sunday, legal holiday, or a day on which the enforcement docket is officially closed, the time period runs until the end of the next day that is not a Saturday, Sunday, legal holiday, or a day on which the enforcement docket is officially closed. § 1503.413 Notice of Proposed Civil Penalty. (a) Issuance. (b) Contents. (c) Response. (1) Submit a certified check or money order in the amount of the proposed civil penalty made payable to Transportation Security Administration, at the address specified in the Notice of Proposed Civil Penalty, or make payment electronically through http://www.pay.gov. (2) Submit to the agency attorney who issued the Notice of Proposed Civil Penalty one of the following: (i) A written request that TSA issue an Order Assessing Civil Penalty in the amount stated in the Notice of Proposed Civil Penalty without further notice, in which case the person waives the right to request a Formal Hearing, and payment is due within 30 days of receipt of the Order. (ii) Written information and other evidence, including documents and witness statements, demonstrating that a violation of the regulations did not occur as alleged, or that the proposed penalty is not warranted by the circumstances. (iii) A written request to reduce the proposed civil penalty, the amount of requested reduction, together with any documents supporting a reduction of the proposed civil penalty, which reflect a current financial inability to pay or records showing that payment of the proposed civil penalty would prevent the person from continuing in business. (iv) A written request for an Informal Conference, at a date to be determined by the agency attorney, to discuss the matter with the agency attorney and to submit supporting evidence and information to the agency attorney before the date of the Informal Conference. (3) Submit to the agency attorney and to TSA's Enforcement Docket Clerk a written request for a Formal Hearing before an ALJ in accordance with subpart G of this part. TSA's Enforcement Docket Clerk is currently located at the United States Coast Guard (USCG) ALJ Docketing Center, 40 S. Gay Street, Room 412, Baltimore, Maryland 21202-4022. If this location changes, TSA will provide notice of the change by notice in the Federal Register. § 1503.415 Request for portions of the enforcement investigative report (EIR). (a) Upon receipt of a Notice of Proposed Civil Penalty, a person charged with a violation of a TSA requirement, or a representative designated in writing by that person, may request from the agency attorney who issued the Notice of Proposed Civil Penalty portions of the relevant EIR that are not privileged ( e.g., (b) Any person not listed in paragraph (a) of this section that is interested in obtaining a copy of the EIR must submit a FOIA request pursuant to 5 U.S.C. 552, et seq., § 1503.417 Final Notice of Proposed Civil Penalty and Order. (a) Issuance. (1) The person has failed to respond to a Notice of Proposed Civil Penalty within 30 days after receipt of that notice. (2) The person requested an Informal Conference under § 1503.413(c)(2), but failed to attend the conference or continuation of the conference or provide the agency attorney with a written request showing good cause for rescheduling of the informal conference to a specified alternate date. (3) The parties have participated in an Informal Conference or other informal proceedings as provided in § 1503.413(c)(2) and the parties have not agreed to compromise the action or the agency attorney has not agreed to withdraw the notice of proposed civil penalty. (b) Contents. § 1503.419 Order Assessing Civil Penalty. (a) Issuance pursuant to a settlement. (b) Automatic issuance. (1) The person charged with a violation submits a certified check or money order in the amount reflected in the Final Notice and Order to Transportation Security Administration, to the address specified in the Final Notice and Order, or makes such payment electronically through http://www.pay.gov (2) The person fails to respond to the Final Notice and Order or request a formal hearing within 15 days after receipt of that notice. § 1503.421 Streamlined civil penalty procedures for certain security violations. (a) Notice of violation. (b) Contents. (c) Response. (1) Submit a certified check or money order for the lesser specified penalty amount in the Notice of Violation, made payable to Transportation Security Administration and sent to the address specified in the Notice of Violation, or make such payment electronically through http://www.pay.gov. (2) Submit to the office identified in the Notice of Violation one of the following: (i) Written information and other evidence, including documents and witness statements, demonstrating that a violation of the regulations did not occur as alleged, or that the proposed penalty is not warranted by the circumstances. (ii) A written request to reduce the proposed civil penalty, the amount of requested reduction, together with any documents supporting a reduction of the proposed civil penalty, which reflect a current financial inability to pay or records showing that payment of the proposed civil penalty would prevent the person from continuing in business. (iii) A written request for an Informal Conference, at a date to be determined by an agency official, to discuss the matter with the agency official and to submit supporting evidence and information to the agency official before the date of the Informal Conference. (3) Submit to the office identified in the Notice of Violation and to TSA's Enforcement Docket Clerk a written request for a formal hearing before an ALJ in accordance with subpart G. A request for a formal hearing before an ALJ must be submitted to the address provided in § 1503.413(c)(3). (d) Final Notice of Violation and Civil Penalty Assessment Order. (1) The individual has failed to respond to a Notice of Violation within 30 days after receipt of that notice. (2) The individual requested an Informal Conference under § 1503.421(c)(2)(iii) but failed to attend the conference or continuation of the conference or provide the agency official with a written request showing good cause for rescheduling the informal conference to a specified alternate date. (3) The parties have participated in an Informal Conference or other informal proceedings as provided in § 1503.421(c)(2) and the parties have not agreed to compromise the action or the agency official has not agreed to withdraw the Notice of Violation. (e) Order Assessing Civil Penalty. (1) The individual charged with a violation submits a certified check or money order in the amount reflected in the Final Notice and Order to Transportation Security Administration at the address specified in the Final Notice and Order, or makes such payment electronically through http://www.pay.gov (2) The individual fails to respond to the Final Notice and Order or request a formal hearing within 15 days after receipt of that notice. (f) Delegation of authority. § 1503.423 Consent orders. (a) Issuance. (b) Contents. (1) An admission of all jurisdictional facts. (2) An admission of agreed-upon allegations. (3) A statement of the law violated. (4) A finding of violation. (5) An express waiver of the right to further procedural steps and of all rights to administrative and judicial review. § 1503.425 Compromise orders. (a) Issuance. (b) Contents. (1) All jurisdictional facts. (2) All allegations. (3) A statement that the person agrees to pay the civil penalty specified. (4) A statement that TSA makes no finding of a violation. (5) A statement that the compromise order will not be used as evidence of a prior violation in any subsequent civil penalty proceeding. § 1503.427 Request for a formal hearing. (a) General. (b) Form. (c) Submission of request. § 1503.429 Filing of documents with the Enforcement Docket Clerk. (a) General. (b) Type of service. (1) By personal delivery or mail, to United States Coast Guard (USCG) ALJ Docketing Center, ATTN: Enforcement Docket Clerk, at the address specified in § 1503.413(c)(3). (2) By electronic mail, to ALJdocket@ALJBalt.USCG.MIL. Federal Register. (3) By facsimile transmission, to 410-962-1746. If this number changes, TSA will provide notice of the change by notice in the Federal Register. (c) Contents. (d) Date of filing. (1) The date of personal delivery. (2) If mailed, the mailing date stated on the certificate of service, the date shown on the postmark if there is no certificate of service, or other mailing date shown by other evidence if there is no certificate of service or postmark. (3) If sent by electronic mail or facsimile transmission, the date of transmission. (e) Service of documents filed with the Enforcement Docket. § 1503.431 Certification of documents. (a) General. (b) Signature required. (c) Effect of signing a document. (1) Consistent with the rules in this part; (2) Warranted by existing law or that a good faith and nonfrivolous argument exists for extension, modification, or reversal of existing law; (3) Not unreasonable or unduly burdensome or expensive, not made to harass any person, not made to cause unnecessary delay, not made to cause needless increase in the cost of the proceedings, or for any other improper purpose; and (4) Supported by evidence, and any denials of factual contentions are warranted on the evidence. (d) Sanctions. (1) Strike the pleading signed in violation of this section. (2) Strike the request for discovery or the discovery response signed in violation of this section and preclude further discovery by the party. (3) Deny the motion or request signed in violation of this section. (4) Exclude the document signed in violation of this section from the record. (5) Dismiss the interlocutory appeal and preclude further appeal on that issue by the party who filed the appeal until an initial decision has been entered on the record. (6) Dismiss the appeal of the ALJ's initial decision to the TSA decision maker. Subpart F [Reserved] Subpart G—Rules of Practice in TSA Civil Penalty Actions § 1503.601 Applicability. (a) This subpart applies to a civil penalty action in which the requirements of paragraphs (a)(1) through (a)(3) of this section are satisfied. (1) There is an alleged violation of a TSA requirement. (2) The amount in controversy does not exceed— (i) $50,000 if the violation was committed by an individual or a small business concern; (ii) $400,000 if the violation was committed by any other person. (3) The person charged with the violation has requested a hearing in accordance with § 1503.427 of this part. (b) This subpart does not apply to the adjudication of the validity of any TSA rule or other requirement under the U.S. Constitution, the Administrative Procedure Act, or any other law. § 1503.603 Separation of functions. (a) Civil penalty proceedings, including hearings, will be prosecuted only by an agency attorney, except to the extent another agency official is permitted to issue and prosecute civil penalties under § 1503.421 of this part. (b) An agency employee engaged in the performance of investigative or prosecutorial functions in a civil penalty action must not, in that case or a factually related case, participate or give advice in a decision by the ALJ or by the TSA decision maker on appeal, except as counsel or a witness in the public proceedings. (c) The Chief Counsel or an agency attorney not covered by paragraph (b) of this section will advise the TSA decision maker regarding an initial decision or any appeal of a civil penalty action to the TSA decision maker. § 1503.605 Appearances and rights of parties. (a) Any party may appear and be heard in person. (b) Any party may be accompanied, represented, or advised by an attorney or representative designated by the party and may be examined by that attorney or representative in any proceeding governed by this subpart. An attorney or representative who represents a respondent and has not previously filed a pleading in the matter must file a notice of appearance in the action, in the manner provided in § 1503.429, and must serve a copy of the notice of appearance on each party, in the manner provided in § 1503.409, before participating in any proceeding governed by this subpart. The attorney or representative must include the name, address, and telephone number of the attorney or representative in the notice of appearance. § 1503.607 Administrative law judges. (a) Powers of an ALJ. (1) Give notice of, and hold, prehearing conferences and hearings. (2) Issue scheduling orders and other appropriate orders regarding discovery or other matters that come before him or her consistent with the rules of this subpart. (3) Administer oaths and affirmations. (4) Issue subpoenas authorized by law. (5) Rule on offers of proof. (6) Receive relevant and material evidence. (7) Regulate the course of the hearing in accordance with the rules of this subpart. (8) Hold conferences to settle or to simplify the issues on his or her own motion or by consent of the parties. (9) Rule on procedural motions and requests. (10) Make findings of fact and conclusions of law, and issue an initial decision. (11) Strike unsigned documents unless omission of the signature is corrected promptly after being called to the attention of the attorney or party. (12) Order payment of witness fees in accordance with § 1503.649. (b) Limitations on the power of the ALJ. (i) Issue an order of contempt. (ii) Award costs to any party. (iii) Impose any sanction not specified in this subpart. (iv) Adopt or follow a standard of proof or procedure contrary to that set forth in this subpart. (v) Decide issues involving the validity of a TSA regulation, order, or other requirement under the U.S. Constitution, the Administrative Procedure Act, or other law. (2) If the ALJ imposes any sanction not specified in this subpart, a party may file an interlocutory appeal of right pursuant to § 1503.631(c)(3). (3) This section does not preclude an ALJ from issuing an order that bars a person from a specific proceeding based on a finding of obstreperous or disruptive behavior in that specific proceeding. (c) Disqualification. § 1503.609 Complaint. (a) Filing. (b) Contents. § 1503.611 Answer. (a) Filing. (b) Contents. (c) Specific denial of allegations required. (d) Failure to file answer. § 1503.613 Consolidation and separation of cases. (a) Consolidation. (1) Order a joint hearing or trial on any or all such questions. (2) Order the consolidation of such actions. (3) Otherwise make such orders concerning the proceedings as may tend to avoid unnecessary costs or delay. (b) Consolidation shall not affect the applicability of this part. (c) Separate trials. § 1503.615 Notice of hearing. (a) Notice. (b) Date, time, and location of the hearing. § 1503.617 Extension of time. (a) Oral requests. (b) Written motion. (c) Request for continuance of hearing. (d) Failure to rule. § 1503.619 Intervention. (a) A person may file a motion for leave to intervene as a party in a civil penalty action. The person must file a motion for leave to intervene not later than 10 days before the hearing unless the person shows good cause for the late filing. (b) If the ALJ finds that intervention will not unduly broaden the issues or delay the proceedings, the ALJ may grant a motion for leave to intervene if the person will be bound by any order or decision entered in the action or the person has a property, financial, or other legitimate interest that may not be addressed adequately by the parties. The ALJ may determine the extent to which an intervenor may participate in the proceedings. § 1503.621 Amendment of pleadings. (a) Filing and service. (b) Time. (1) Not later than 15 days before the scheduled date of a hearing, a party may amend a complaint or an answer without the consent of the ALJ. (2) Less than 15 days before the scheduled date of a hearing, the ALJ may allow amendment of a complaint or an answer only for good cause shown in a motion to amend. (c) Responses. § 1503.623 Withdrawal of complaint or request for hearing. At any time before or during a hearing, an agency attorney may withdraw a complaint or a respondent may withdraw a request for a hearing without the consent of the ALJ. If an agency attorney withdraws the complaint or a party withdraws the request for a hearing and the answer, the ALJ must dismiss the proceedings under this subpart with prejudice, unless the withdrawing party shows good cause for dismissal without prejudice, except that a party may withdraw a request for hearing without prejudice at any time before a complaint has been filed. § 1503.625 Waivers. Waivers of any rights provided by statute or regulation must be in writing or by stipulation made at a hearing and entered into the record. The parties must set forth the precise terms of the waiver and any conditions. § 1503.627 Joint procedural or discovery schedule. (a) General. (b) Form and content of schedule. (1) The joint schedule may include, but need not be limited to, requests for discovery, any objections to discovery requests, responses to discovery requests to which there are no objections, submission of prehearing motions, responses to prehearing motions, exchange of exhibits to be introduced at the hearing, and a list of witnesses that may be called at the hearing. (2) Each party must sign the original joint schedule to be filed with the Enforcement Docket Clerk. (c) Time. (d) Order establishing joint schedule. (e) Disputes. (f) Sanctions for failure to comply with joint schedule. (1) Strike that portion of a party's pleadings. (2) Preclude prehearing or discovery motions by that party. (3) Preclude admission of that portion of a party's evidence at the hearing. (4) Preclude that portion of the testimony of that party's witnesses at the hearing. § 1503.629 Motions. (a) General. (b) Form and contents. (c) Filing of motions. (d) Reply to motions. (e) Rulings on motions. (1) Discovery motions. (2) Prehearing motions. (3) Motions made during the hearing. (f) Specific motions. (1) Motion to dismiss for insufficiency. (2) Motion to dismiss. (i) Motion to dismiss a request for a hearing. (ii) Motion to dismiss a complaint. (iii) Motion to dismiss based on settlement. (3) Motion for more definite statement. (i) Complaint. (ii) Answer. (4) Motion to strike. (5) Motion for decision. (6) Motion for disqualification. (i) Motion and supporting affidavit. (ii) Answer. (iii) Decision on motion for disqualification. (iv) Appeal. [74 FR 36039, July 21, 2009, as amended at 75 FR 58333, Sept. 24, 2010] § 1503.631 Interlocutory appeals. (a) General. (b) Interlocutory appeal for cause. (c) Interlocutory appeals of right. (1) A ruling or order by the ALJ barring a person from the proceedings. (2) Failure of the ALJ to dismiss the proceedings in accordance with § 1503.623. (3) A ruling or order by the ALJ in violation of § 1503.607(b). (4) A ruling or order by the ALJ regarding public access to a particular docket or documents. (d) Procedure. (e) Frivolous appeals. [74 FR 36039, July 21, 2009, as amended at 75 FR 58334, Sept. 24, 2010] § 1503.633 Discovery. (a) Initiation of discovery. (b) Methods of discovery. (c) Service on the agency. (d) Time for response to discovery requests. (e) Scope of discovery. (f) Limiting discovery. (1) The information requested is cumulative or repetitious; (2) The information requested can be obtained from another less burdensome and more convenient source; (3) The party requesting the information has had ample opportunity to obtain the information through other discovery methods permitted under this section; or (4) The method or scope of discovery requested by the party is unduly burdensome or expensive. (g) Disclosure of Sensitive Security Information (SSI). (h) Confidential orders. (1) The party or person making the motion must show that the confidential order is necessary to protect the information from disclosure to the public. (2) If the ALJ determines that the requested material is not necessary to decide the case, the ALJ must preclude any inquiry into the matter by any party. (3) If the ALJ determines that the requested material may be disclosed during discovery, the ALJ may order that the material may be discovered and disclosed under limited conditions or may be used only under certain terms and conditions. (4) If the ALJ determines that the requested material is necessary to decide the case and that a confidential order is warranted, the ALJ must provide the following: (i) An opportunity for review of the document by the parties off the record. (ii) Procedures for excluding the information from the record. (iii) An order that the parties must not disclose the information in any manner and the parties must not use the information in any other proceeding. (i) Protective orders. (1) Deny the discovery request. (2) Order that discovery be conducted only on specified terms and conditions, including a designation of the time or place for discovery or a determination of the method of discovery. (3) Limit the scope of discovery or preclude any inquiry into certain matters during discovery. (j) Duty to supplement or amend responses. (1) A party must supplement or amend any response to a question requesting the identity and location of any person having knowledge of discoverable matters. (2) A party must supplement or amend any response to a question requesting the identity of each person who will be called to testify at the hearing as an expert witness and the subject matter and substance of that witness' testimony. (3) A party must supplement or amend any response that was incorrect when made or any response that was correct when made but is no longer correct, accurate, or complete. (k) Depositions. (1) Form. (2) Administration of oaths. (3) Notice of deposition. (4) Use of depositions. (l) Interrogatories. (1) A party must not serve more than 30 interrogatories to each other party. Each subpart of an interrogatory will be counted as a separate interrogatory. (2) Before serving additional interrogatories on a party, a party must file a motion for leave to serve additional interrogatories on a party with the ALJ and must serve a copy on each party before serving additional interrogatories on a party. The ALJ may grant the motion only if the party shows good cause for the party's failure to inquire about the information previously and that the information cannot reasonably be obtained using less burdensome discovery methods or be obtained from other sources. (m) Requests for admission. (1) Time. (2) Response. (3) Effect of admission. (n) Motion to compel discovery. (o) Failure to comply with a discovery order or order to compel. (1) Strike that portion of a party's pleadings. (2) Preclude prehearing or discovery motions by that party. (3) Preclude admission of that portion of a party's evidence at the hearing. (4) Preclude that portion of the testimony of that party's witnesses at the hearing. § 1503.635 Evidence. (a) General. (b) Admissibility. (c) Hearsay evidence. § 1503.637 Standard of proof. The ALJ may issue an initial decision or may rule in a party's favor only if the decision or ruling is supported by a preponderance of the evidence contained in the record. In order to prevail, the party with the burden of proof must prove the party's case or defense by a preponderance of the evidence. § 1503.639 Burden of proof. (a) Except in the case of an affirmative defense, the burden of proof is on the agency. (b) Except as otherwise provided by statute or rule, the proponent of a motion, request, or order has the burden of proof. (c) A party who has asserted an affirmative defense has the burden of proving the affirmative defense. § 1503.641 Offer of proof. A party whose evidence has been excluded by a ruling of the ALJ may offer the evidence for the record on appeal. § 1503.643 Public disclosure of evidence. This section applies to information other than Sensitive Security Information (SSI). All release of SSI is governed by § 1503.415 and 49 CFR part 1520. (a) The ALJ may order that any other information contained in the record be withheld from public disclosure. Any person may object to disclosure of information in the record by filing a written motion to withhold specific information with the ALJ and serving a copy of the motion on each party. The party must state the specific grounds for nondisclosure in the motion. (b) The ALJ must grant the motion to withhold information in the record if, based on the motion and any response to the motion, the ALJ determines that disclosure would be detrimental to transportation safety, disclosure would not be in the public interest, or that the information is not otherwise required to be made available to the public. § 1503.645 Expert or opinion witnesses. An employee of the agency may not be called as an expert or opinion witness, for any party other than TSA, in any proceeding governed by this subpart. An employee of a respondent may not be called by an agency attorney as an expert or opinion witness for TSA in any proceeding governed by this subpart to which the respondent is a party. § 1503.647 Subpoenas. (a) Request for subpoena. (b) Motion to quash or modify the subpoena. (c) Enforcement of subpoena. § 1503.649 Witness fees. (a) General. (b) Amount. § 1503.651 Record. (a) Exclusive record. (b) Examination and copying of record. Generally. et seq. (2) Docket Files or Documents Not for Public Disclosure. (A) Parties to the proceedings. (B) Their designated representatives. (C) Persons who have a need to know as determined by the Administrator. (ii) Those persons with permission to review these documents or docket files may view the materials at the TSA Headquarters, 601 South 12th Street, Arlington, Virginia 20598-6002. Persons with access to these records may have a copy of the records after payment of reasonable costs. § 1503.653 Argument before the ALJ. (a) Arguments during the hearing. (b) Final oral argument. (c) Posthearing briefs. § 1503.655 Initial decision. (a) Contents. (b) Written decision. (c) Order assessing civil penalty. (d) Effect of initial decision. § 1503.657 Appeal from initial decision. (a) Notice of appeal. (b) Issues on appeal. (1) Whether each finding of fact is supported by a preponderance of the evidence. (2) Whether each conclusion of law is made in accordance with applicable law, precedent, and public policy. (3) Whether the ALJ committed any prejudicial errors during the hearing that support the appeal. (c) Perfecting an appeal. (1) Extension of time by agreement of the parties. (2) Written motion for extension. (d) Appeal briefs. (1) In the appeal brief, a party must set forth, in detail, the party's specific objections to the initial decision or rulings, the basis for the appeal, the reasons supporting the appeal, and the relief requested in the appeal. If, for the appeal, the party relies on evidence contained in the record for the appeal, the party must specifically refer in the appeal brief to the pertinent evidence contained in the transcript. (2) The TSA decision maker may dismiss an appeal, on the TSA decision maker's own initiative or upon motion of any other party, where a party has filed a notice of appeal but fails to perfect the appeal by timely filing an appeal brief. (e) Reply brief. (1) Extension of time by agreement of the parties. (2) Written motion for extension. (f) Other briefs. (g) Number of copies. (h) Oral argument. (i) Waiver of objections on appeal. (j) The TSA decision maker's decision on appeal. (1) The TSA decision maker may raise any issue, on the TSA decision maker's own initiative, that is required for proper disposition of the proceedings. The TSA decision maker will give the parties a reasonable opportunity to submit arguments on the new issues before making a decision on appeal. If an issue raised by the TSA decision maker requires the consideration of additional testimony or evidence, the TSA decision maker will remand the case to the ALJ for further proceedings and an initial decision related to that issue. If the TSA decision maker raises an issue that is solely an issue of law, or the issue was addressed at the hearing but was not raised by a party in the briefs on appeal, the TSA decision maker need not remand the case to the ALJ for further proceedings but has the discretion to do so. (2) The TSA decision maker will issue the final decision and order of the Administrator on appeal in writing and will serve a copy of the decision and order on each party. Unless a petition for review is filed pursuant to § 1503.659, a final decision and order of the Administrator will be considered an order assessing civil penalty if the TSA decision maker finds that an alleged violation occurred and a civil penalty is warranted. (3) A final decision and order of the Administrator after appeal is binding precedent in any other civil penalty action unless appealed and reversed by a court of competent jurisdiction. (4) The TSA decision maker will determine whether the decision and order of the TSA decision maker, with the ALJ's initial decision or order attached, may be released to the public, either in whole or in redacted form. In making this determination, the TSA decision maker will consider whether disclosure of any of the information in the decision and order would be detrimental to transportation security, would not be in the public interest, or should not otherwise be required to be made available to the public. § 1503.659 Petition to reconsider or modify a final decision and order of the TSA decision maker on appeal. (a) General. (b) Form and number of copies. (c) Contents. (1) If the petition is based, in whole or in part, on allegations regarding the consequences of the TSA decision maker's decision, the party must describe and support those allegations. (2) If the petition is based, in whole or in part, on new material not previously raised in the proceedings, the party must set forth the new material and include affidavits of prospective witnesses and authenticated documents that would be introduced in support of the new material. The party must explain, in detail, why the new material was not discovered through due diligence prior to the hearing. (d) Repetitious and frivolous petitions. (e) Reply petitions. (f) Effect of filing petition. (g) The TSA decision maker's decision on petition. [74 FR 36039, July 21, 2009, as amended at 75 FR 58334, Sept. 24, 2010] § 1503.661 Judicial review of a final order. For violations of a TSA requirement, a party may petition for review of a final order of the Administrator only to the courts of appeals of the United States or the United States Court of Appeals for the District of Columbia pursuant to 49 U.S.C. 46110. A party seeking judicial review of a final order must file a petition for review not later than 60 days after the final order has been served on the party. Subpart H—Judicial Assessment of Civil Penalties § 1503.701 Applicability of this subpart. (a) Jurisdictional minimums. (b) In general. (1) $50,000, in the case of violation by an individual or small business concern, as defined in section 3 of the Small Business Act (15 U.S.C. 632). (2) $400,000, in the case of violation by any other person. (c) Certain aviation related violations. (1) $50,000, in the case of violation by an individual (except an airman serving as an airman), any person not operating an aircraft for the transportation of passengers or property for compensation, or a small business concern, as defined in section 3 of the Small Business Act (15 U.S.C. 632). (2) $400,000, in the case of violation by a person operating an aircraft for the transportation of passengers or property for compensation (except an individual serving as an airman). § 1503.703 Civil penalty letter; referral. (a) Issuance. (b) Contents. (c) Response. (d) Compromise. http://www.pay.gov. (e) Referral for prosecution and collection. (f) The Administrator delegates to the Chief Counsel and the Deputy Chief Counsel for Enforcement the authority to carry out any function of the Administrator described in this § 1503.703. Subpart I—Formal Complaints § 1503.801 Formal complaints. (a) Any person may file a complaint with the Administrator with respect to any act or omission by any person in contravention of 49 U.S.C., subtitle VII, part A, (except sections 44902, 44903(d), 44907(a)-(d)(1)(A), 44907(d)(1)(C)-(f), 44908, and 44909) administered by the Administrator, or a regulation prescribed or order issued under any of those provisions. This section does not apply to complaints against the Administrator or employees of the TSA acting within the scope of their employment. (b) Complaints filed under this section must— (1) Be submitted in writing and identified as a complaint filed for the purpose of seeking an appropriate order or other enforcement action; (2) Be submitted to the U.S. Department of Homeland Security, Transportation Security Administration, by following the instructions to complete a “complaint” contact form by following the instructions on the TSA Web site, currently accessible at http://www.tsa.gov/contact/index.shtm. (3) Set forth the name and address, if known, of each person who is the subject of the complaint and, with respect to each person, the specific provisions of the statute, regulation, or order that the person filing the complaint believes were violated; (4) Contain a concise, but complete, statement of the facts relied upon to substantiate each allegation; (5) State the name, address, and telephone number of the person filing the complaint; and (6) Be signed by the person filing the complaint or a duly authorized representative. (c) TSA will consider complaints that do not meet the requirements of paragraph (b) of this section as reports under § 1503.1. (d) TSA will place complaints that meet the requirements of paragraph (b) of this section in the docket and will mail a copy to each person named in the complaint. (e) TSA will refer any complaint against a member of the Armed Forces of the United States acting in the performance of official duties to the Secretary of the Department concerned in accordance with the procedures set forth in § 1503.407. (f) The person named in the complaint must file an answer within 20 days after service of a copy of the complaint. (g) After the complaint has been answered or after the allotted time in which to file an answer has expired, the Administrator, or a designated official, will determine if there are reasonable grounds for investigating the complaint. (h) If the Administrator, or a designated official, determines that a complaint does not state facts that warrant an investigation or action, the Administrator or designated official may dismiss the complaint without a hearing and, if so, will provide the reason for the dismissal, in writing, to the person who filed the complaint and the person(s) named in the complaint. (i) If the Administrator, or a designated official, determines that reasonable grounds exist, an informal investigation may be initiated. Each person named in the complaint will be advised which official has been delegated the responsibility under § 1503.203 for conducting the investigation. (j) If the investigation substantiates the allegations set forth in the complaint, a notice of proposed order may be issued or other enforcement action taken in accordance with this part. (k) The complaint and other pleadings and official TSA records relating to the disposition of the complaint are maintained in current docket form at: U.S. Department of Homeland Security, Transportation Security Administration, Office of the Chief Counsel, TSA-2, Complaint Docket, 601 South 12th Street, Arlington, VA 20598-6002. If this location changes, TSA will give notice of the change by publishing a notice in the Federal Register. (1) Generally. et seq. (2) Docket files or documents not for public disclosure. (A) Parties to the proceedings. (B) Representatives designated in writing by a party. (C) Persons who have a need to know as determined by the Administrator. (ii) Those persons with permission to review these documents or docket files may view the materials at the Complaint Docket, TSA Headquarters, Visitor Center, 601 South 12th Street, Arlington, Virginia 20598-6002, Attn: Office of Chief Counsel. If this address changes, TSA will give notice by publishing a notice in the Federal Register.

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