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A) INTELLIGENCE COLLECTION. THREAT ASSESSMENT AND RESPONSE Process: • • • • • • Intelligence information (including documents; faxes, and phone calls) flows into the Office of Civil Aviation Security Intelligence 24 hours a day from the U.S. government intelligence community. Intelligence information is assessed by an ACI analyst with help from an ACI supervisor of the watch. Decision is made on what follow-up response is necessary, depending on factors including, "credibility" and "specificity." Office of Civil Aviation Security Intelligence drafts and distributes "Daily Intelligence Summary" to FAA and DoT leadership. Associate Administrator for Civil Aviation Security determines whether security directive requiring the airport(s) or air carrier(s) to take a security action will be issued. OST Director of Intelligence and Security is required "to receive, assess, and distribute intelligence information related to long-term transportation security."
Implemented by: • • • Associate Administrator for Civil Aviation Security Director of the Office of Civil Aviation Security Intelligence Office of Civil Aviation Security Intelligence Analyst
Management/Enforcement/Evaluation: • • • Management: ACS/ACI/OSD-DIS Enforcement: ACS/ACI/OSD-DIS Evaluation: FAA/OST leadership; DoT-IG; GAO
Funded by; • DoT/FAA
Laws: Title 49; Subtitle, VII, Part A, subpart iii, Chapter 449, Subchapter II Sec. 44931 and 44932 Laws: Title 49; Subtitle, VII, Part A, subpart iii, Chapter 449, Subchapter I Sec. 44904
• • •
Laws: Title 49; Subtitle, VII, Part A, subpart Hi, Chapter 449, Subchapter I Sec. 44911 Laws: Title 49, Subtitle VII, Part A, subpart iii, Chapter 449, subchapter I, Sec. 449014 Regulations: CFR 108.19; 108.18
B) PASSENGER CHECK-IN SCREENING Process; I. Identification check • • • Upon the purchase of an air ticket, a Passenger Name Record (PNR) is created. At the initial point of contact with air carrier upon check-in the passenger must present valid ID corresponding with the PNR. If valid ID is not obtained, passenger is chosen as a "selectee" requiring that their checked baggage be scrutinized (SEE BELOW).
II. Passenger Questioning • At initial point of contact with air carrier upon check-in the passenger is asked two questions: 1) Has anyone unknown to you asked you to carry an item on this flight? 2) Have any of the items you are traveling with been out of your immediate control since the time you packed them? If the passenger answers yes, the baggage/items in question are scrutinized for clearance.
III. Passenger Profile At initial point of contact with air carrier upon cbeck-in the passenger is evaluated by the Computer-Assisted Passenger screening (CAPS) system. • CAPS' software analyzes] [discrete factors (mainly passenger itinerary and purchase methods). • CAPS' software assigns a threat score to the passenger based on a valuation of various factors.' \ • Passengers who 1) checked baggage and 2)| I i \ (requiring only that the passengers' checked baggage receive additional security scrutiny. •
FAA rules did not require that the passengers' name be checked against any crirrurial or terrorist lists. The FAA rules did not require a "selectee" to receive any additional screening- 6f their person or carry-on luggage than a non-selectee.
9/11 Closed by Statute
A selectee's checked baggage must be scrutinized by explosives detection system (EDS) equipment or Advanced Technology if available; if no equipment is available, then baggage is subject to Positive Passenger Bag Match.3 CAPS' also chooses passengers randomly, requiring that their baggage receive the level of security scrutiny as a "selectee." (SEE VECTOR E)
Implemented by: • • FAA is responsible for establishing CAPS' factor settings, scoring system and action policies. (System was developed by Northwest Airlines under an FAA grant in 1995). Airline's (and their contractors) are responsible for operating and maintaining the CAPS' system through their Computer Reservation System computers imbedded with CAPS' software.4
Management/Enforcement/Evaluation • • • Management: Airline's (SECURITY BILLET AT THE AIRPORT) Enforcement: FAA Principal Security Inspector assigned to the airline ensures that that CAPPS software is properly loaded and functioning Evaluation: CAPPS' procedures are subject to ACS red team testing; IG and GAO audit.
Funded by: • • FAA paid for the cost of CAPS' software and installation. The airlines and their contractors assume the cost of operation and maintenance of the computer software and baggage checking system.
Laws/Regs/Guidelines: • Laws: Title 49, Subtitle VII, Part A, subpart iii, Chapter 449, subchapter I, Sec. 44901 • Guidelines: Air Carrier Standard Security Program (ACSSP) as amended • Regulation: 14 CFR 108.9 • FAA required the airline's to implement CAPS by Security Directive (IDENTIFY THE DIRECTIVE/DATE) 5. This directive was amended/augmented by the following directives (LIST AMENDMENTS).
PPBM requires the airline to ensure that the passenger who checked the baggage is physically on the plane before the baggage is loaded. 4 There are four Computer Reservation System services that serve the U.S. airline industry. 5 Use of CAPPS software was a major recommendation of the 1996 Gore Commission. Prior to the use of software, profiles were calculated manually by airline ticket agents upon check-in
C) SECURE AREA DESIGNATION AND ENFORCEMENT Process: • Airport delineates "sterile" areas of the facility including "air operations area"(including terminals/gate areas) and "non-public areas." (including baggage holding rooms). No explosives, incendiaries, or deadly or dangerous weapons or unauthorized persons are allowed in these areas. Access points to "sterile areas" are controlled using means such as pass codes; keys; cards to allow unescorted access. The airport selects the control method used, with the approval of the FAA. While minimum secure areas are defined by the FAA in (NAME OF MANUAL) including (LIST OF MANDATORY SECURITY ZONES) the airports define the broader security zone in their (AIRPORT SECURITY PLAN?).
The Airport (in cooperation with the airlines) is responsible for identifying, background checking and credentialing individuals permitted access to "secure areas." The Airport maintains the access control systems. Airline and airport personnel are required to obey the procedures.
Management /Enforcement/ Evaluation: • • • • Management: Enforcement: Airport and airport police are responsible for enforcing the integrity of secure areas.6 Enforcement: Airline and checkpoint screening contractors must also obey and enforce the integrity of the access control system. Evaluation: FAA Federal Security Manager; FAA Office of Civil Aviation Security Operations; DoT-IG; GAO
Funding: • •
FAA funded the initial purchase and installation of access control systems Airport pays the cost of operation and maintenance.7
An airline may have an exclusive use agreement for a terminal under which the airlines is responsible for enforcement.
Laws/Regs/Guidelines • 14 CFR 107.14; 107.3; 107.5; 107.13; 107.21; 107.25 • • Air Carrier Standard Security program • Airport Operators Security Program -access control provisions (14 CFR 107) • Airport Standard Security Program manual—and amending directives. (IDENTIFY) • Airport Security Plan
D) CHECKPOINT SCREENING FOR WEAPONS; PASSENGER AND CARRYON BAGGAGE Process: • • Airport (with air carrier consultation and FAA approval) establishes the location of a controlled access point to the terminal (and access control area) is established. All individuals passing through this point must be screened by a properly attended walk-through Metal Detector (magnetometer) to identify the presence of metal that could indicate a weapon. ( Hand-held Metal Detector (wand) used to check individuals who alarmed the walk-through detector. All items carried through the checkpoint must be screened by a properly attended x-ray machine manned that identifies shapes that could indicate a prohibited weapon. An individual may not proceed pass the checkpoint until any indication of a weapon is reconciled.
Implemented by: • • • • FAA establishes a minimum (standard_ list of prohibited items. (IDENTIFY THE OFFICIAL DOCUMENT CONTAINING THE LIST) 8 FAA certifies detection equipment. FAA establishes calibration/performance/operational testing/operation and maintenance standards for the magnetometer and x-ray equipment. (IDENTIFY THE WORKING DOCUMENT) FAA establishes duty and performance standards for screeners. (IDENTIFY THE WORKING DOCUMENT)
Airport derives the revenue from tenant leases The airline may prohibit additional items not prohibited by FAA's standard program.
Air Carriers are responsible for operating and maintaining the screening equipment.9 Air Carriers are responsible for hiring, training testing and supervising screening personnel. Management/Enforcement/Oversight/Evaluation; • • • • Management: Checkpoint Security Supervisor (CSS) Enforcement: Airport Law enforcement officer Oversight: FAA Principal Security Inspector (Airline) and the FAA Federal Security Manager (Airport). Evaluation: Air Carriers' Ground Security Coordinator (GSC) monthly audits; FAA-ASC; DoT-IG; GAO
Funded by: • • Until 2000 the purchase/operation and maintenance of screening equipment was funded by the airlines. Mid-2000-FAA paid for equipment upgrades.(CITE THE DIRECTIVE)
Laws/Regs/Guidelines • • • • • • • 14 CFR 107.21 14 CFR part 108.9; 108.17; 108.31; 108.33 Air Carrier Standard Security Program (REFERENCE THE DOCUMENT NAME), as amended by FAA Directives. FAA audio-visual presentation: "Screening Techniques-Part 1 and Part 2" FAA audio-visual presentation: "Advanced Screening Techniques" ATA audio-visual presentation: "The First Line of Defense" ATA audio-visual presentation: "Security Screener"
' May be contracted
E) CHECKED BAGGAGE SCREENING FOR EXPLOSIVES
The baggage checked by CAPPS' "selectees" (both "scored" and "randoms") must be scrutinized by explosives detection equipment if available; if no technology equipment is available, then baggage is either checked by K-9 bomb sniffing dog or subject to Positive Passenger Bag Match.
Implemented by: • • Airline personnel identify the "selectees" for baggage check through CAPPS' Airline personnel screen the baggage and reconcile alarms.
Management/Enforcement/Evaluation • • • Management; Enforcement'. FAA Principal Security Inspector for the Airline; FAA Federal Security Manager for the Airport Evaluation:
Funded by: • • • • FAA funded the purchase and installation of Explosives Detection Systems (CTX and L-3). Airlines pay for operations and maintenance of the equipment. Airports pay for the operation of K-9 teams. Airlines pay for operation of Positive Passenger Bag Match (PPBM).
Airline Standards Security Program. 14 CFR 108.9; 108.17; 108.20
F) CARGO AND MAIL SCREENING Process • • Air Carrier inspects cargo packages for visual signs of tampering Shipper's must certify that cargo does not include unauthorized explosives, incendiaries or hazardous materials. • Cargo from "Known Shippers" those with a verifiable business and either a contract with the aircraft or an established business history can be transported without screening. • Cargo from "Unknown Shippers" are screened visually and either manually searched or either x-rayed; EDS; Canine screening; or subjected to a decompression chamber. 10 • Access to cargo is restricted to authorized personnel. Implemented by; • • FAA requires training, record keeping Air Carrier implements training, screening, and handling procedures
Oversight by: Funded by: • Airlines Laws/Regs/Guidelines F) AIRPLANE/COCKPIT SECURITY Process; • FAA sets minimum standards for preventing unauthorized access to an aircraft when unattended. (See pg 50 of the ACSSP), and the inspection of airplanes left unattended.
' Each of these systems has serious gaps
• • •
Air Carrier must immediately notify FAA and FBI that an act or suspected act of airplane piracy has been committed. Each flight must have an "In-flight Security Coordinator" who is "trained by the air carrier." Air Carrier must train all crewmembers in security and anti-hijack subjects
Implemented by: • • Air Carrier's Ground Security Coordinator Air Carrier's In-flight Security Coordinator
Oversight by: Funded by; • Air Carriers
Laws/Regs/Guidelines • • • 14 CFR 108.13 FAA requires Ground Security Coordinator Flight Standards on security aircraft (CITE FLIGHT STANDARDS MANUAL)
G) FEDERAL AIR MARSHAL PROGRAM Process: • Trained and armed FAA security agents are placed on certain high risk flights to provide security; law enforcement and emergency response. n
Implemented by: • FAA in cooperation with the Airlines
Management/Enforcement/Evaluation • • • Management: FAA-ASC Enforcement: FAA-ASC and Local Law Enforcement Evaluation: DOT-IG; GAO
Pre 9-11, 99% of flights with air marshals were to and from international locations.
FAA funded cost of marshal Airline did not charge for the ticket
Laws/Regs/Guidelines • • 14 CFR 108.14 14 CFR 108.10
NOTES: All International flights into and out of the U.S. required positive bag match for all bags, not just CAP's "selectees." There are three categories of airports: Category X — Airports considered high risk IIISecurity requirements were no different between CAT X and regular domestic airports.
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