[Federal Register Volume 71, Number 226 (Friday, November 24, 2006)]
[Notices]
[Pages 67889-67892]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-19898]
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DEPARTMENT OF HOMELAND SECURITY
Transportation Security Administration
RIN 1652-ZA12
Registered Traveler Interoperability Pilot Fees
AGENCY: Transportation Security Administration, DHS.
ACTION: Notice.
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SUMMARY: The Transportation Security Administration (TSA) announces the
establishment of the Service Provider Key Personnel Fee and the
Registered Traveler Interoperability Pilot Participant Fee for the
Registered Traveler Interoperability Pilot (RTIP). These fees will be
collected to fund selected activities of the RTIP, a trusted traveler
program that may provide expedited security screening for passengers
who voluntarily provide biometric and biographic information to TSA, or
a TSA agent, and successfully complete a security threat assessment.
TSA currently is testing a pilot of the Registered Traveler program at
Orlando International Airport. In the near future, TSA will begin the
RTIP to test interoperability and other features of the program at
selected airports. The Department of Homeland Security Appropriations
Act of 2006 directs TSA to impose fees for the Registered Traveler
Program by notice.
DATES: This notice is effective November 24, 2006.
FOR FURTHER INFORMATION CONTACT: John I. Martinez, Director, Registered
Traveler Program, Office of Transportation Threat Assessment and
Credentialing (TTAC), TSA-19, Transportation Security Administration,
601 South 12th Street, Arlington, VA 22202-4220; facsimile (571) 227-
1936 e-mail: [email protected].
SUPPLEMENTARY INFORMATION:
Availability of Notice Document
You can get an electronic copy using the Internet by--
(1) Searching the Department of Transportation's electronic Docket
Management System (DMS) Web page (http://dms.dot.gov/search);
(2) Accessing the Government Printing Office's Web page at http://www.gpoaccess.gov/fr/index.html; or
(3) Visiting TSA's Security Regulations Web page at http://www.tsa.gov and accessing the link for ``Research Center'' at the top
of the page.
In addition, copies are available by writing or calling the
individual in the FOR FURTHER INFORMATION CONTACT section.
I. Statutory Authority
The Aviation and Transportation Security Act (ATSA), Pub. L. 107-
71, (115 Stat. 597, 613, Nov. 19, 2001), sec. 109(a)(3), authorizes the
Transportation Security Administration (TSA) to ``establish
requirements to implement trusted passenger programs and use available
technologies to expedite security screening of passengers who
participate in such programs, thereby allowing security screening
personnel to focus on those passengers who should be subject to more
extensive screening.'' Pursuant to that authority, TSA is conducting
the next pilot of the Registered Traveler (RT) program at 10-20
participating airports to further test
[[Page 67890]]
and evaluate this type of trusted traveler program. This pilot program,
known as the Registered Traveler Interoperability Pilot follows the
results of two sets of RT pilots initiated by TSA in 2004-2005.
The Department of Homeland Security Appropriations Act of 2006
(Appropriations Act) permits TSA to recover the full cost of TSA
activities relating to Registered Traveler and authorizes TSA to
establish and amend fees by notices in the Federal Register. The
Appropriations Act provides:
For fiscal year 2006 and thereafter, notwithstanding section 553
of title 5, United States Code, the Secretary of Homeland Security
shall impose a fee for any registered traveler program undertaken by
the Department of Homeland Security by notice in the Federal
Register, and may modify the fee from time to time by notice in the
Federal Register: Provided, That such fees shall not exceed the
aggregate costs associated with the program and shall be credited to
the Transportation Security Administration registered traveler fee
account, to be available until expended.\1\
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\1\ Department of Homeland Security Appropriations Act, 2006,
Pub. L. 109-90 (119 Stat. 2064, 2088, Oct. 18, 2005), See. 540.
This notice announces and establishes the fees to fund activities
related to RTIP as authorized under the Appropriations Act. As
discussed below, TSA intends to fully fund its RTIP-related activities
through the fees it establishes pursuant to this authority.
II. Registered Traveler Program
Under RTIP, travelers who are U.S. citizens, lawful permanent
resident aliens, or nationals of the United States, may be eligible for
expedited security screening for air travel if they voluntarily submit
requested biometric and biographic information and successfully undergo
a TSA-conducted security threat assessment in order to confirm that
they do not pose a threat to transportation or national security.
RTIP is a private sector program, supported and overseen by TSA,
with distinct roles and responsibilities for each participating entity.
TSA is responsible for setting program standards, conducting security
threat assessments, physical screening of RT participants at TSA
checkpoints, and certain forms of oversight. The private sector Service
Providers are responsible for enrollment of RT participants,
verification of participants' RT status using biometric identification
verification technologies as they enter the screening checkpoint, and
related services. Airport and aircraft operators that are Sponsoring
Entities will oversee their Service Providers and ensure their Service
Providers comply with the requirements of the RTIP.
TSA began testing of an RT pilot in 2004-05 and currently is
testing a pilot program at Orlando International Airport. TSA
anticipates expanding this initial test phase of RT to the Register
Traveler Interoperability Pilot which will include approximately 10--20
airports and airlines. These airports and airlines will begin
participating in the RTIP as Sponsoring Entities once they make the
necessary business arrangements with Service Providers and obtain TSA
approval for the proposed configuration for RTIP operations at that
airport. This approach allows TSA to confirm the private sector's
ability to provide interoperability of the biometric identification
verification technologies among RTIP airports, evaluate possible means
to expedite screening for RT participants, and re-affirm that RT
continues to maintain TSA's high security standards. As authorized by
TSA, RTIP is intended to strengthen customer service for eligible air
travelers while maintaining security at the TSA screening checkpoint.
Under the RTIP, Sponsoring Entities contract with Service Providers
to perform enrollment and verification services. An RTIP Service
Provider can be:
(1) An Enrollment Provider (EP) that collects the biographic and
biometric information from RT applicants, collects all fees from RT
applicants, and issues RT cards to RT participants after TSA's security
threat assessment has been completed;
(2) A Verification Provider (VP) that confirms that the RT
participant is an active participant in accordance with TSA-issued RT
standards as the RT participant enters the screening checkpoint; or
(3) A combined Enrollment and Verification Provider. ``Service
Provider'' is used in this document as a term of collective reference
to RT vendors of all three categories.
Private sector Service Providers must meet qualification and
participation criteria set by TSA in order to participate, including
security requirements and oversight. As part of their security
requirements, Service Providers are required to submit to a TSA-
conducted participation review to confirm that the companies are
legitimate businesses that do not pose, and are not suspected of
posing, a threat to transportation or national security. Service
Providers' key personnel will also need to provide information in order
for TSA to determine that they do not pose, and are not suspected of
posing, a threat to transportation or national security. Oversight may
include, but is not limited to, announced and unannounced inspections
of the Service Provider by TSA or by the Sponsoring Entity, the
collection of metrics, and reconciliation of records, and reviews of
the Service Providers' information technology security systems and
documentation. The Sponsoring Entity is responsible for ensuring that
these Service Providers meet TSA-mandated standards. TSA enforces these
standards through the Sponsoring Entity (airport or air carrier), which
is subject to inspection and regulation by TSA.
To enroll in the RTIP, applicants voluntarily provide RTIP
Sponsoring Entities and Service Providers with biographic and biometric
data needed for TSA to conduct the security threat assessment and
determine eligibility.\2\ The security threat assessment includes
checking each applicant's biographic data against terrorist-related and
immigration databases. RT applicants who receive an ``approved''
security threat assessment result from TSA may become RT participants.
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\2\ The Privacy Impact Assessment for RTIP is available on TSA's
Web site at http://www.tsa.gov/assets/pdf/pia_tsa-rt_20060901.pdf.
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Once a traveler qualifies as an approved RT participant, he or she
will be able to take advantage of the benefits of the RTIP. RT
participants may receive expedited passenger screening as well as other
benefits. To obtain these benefits when traveling by air through
participating RTIP airports, RT participants will verify their identity
through biometric identity verification technologies at the screening
checkpoint. This process also ensures that the individual is a
currently ``approved'' RT participant. After the identity and current
status of the RT participant are verified, the participant enters the
checkpoint lane identified for registered travelers and undergoes the
applicable TSA checkpoint screening. Depending on airport configuration
and RT volume at particular airports, RT participants may be screened
through a separate screening lane or may proceed to the front of lanes
used by other travelers.
Additional information on RTIP may be obtained by contacting the
individual listed under FOR FURTHER INFORMATION CONTACT, above, or on
the Web at http://www.tsa.gov/what_we_do/layers/rt/index.shtm.
II. Fees
TSA has identified various RTIP-related activities that will be
funded
[[Page 67891]]
through fees. These activities include the following: conducting threat
assessments on Service Provider employees who collect, handle, or use
RT applicant or participant data and on officers, principals, and
program managers responsible for RTIP operations (collectively ``key
personnel''); conducting security threat assessments on RT applicants;
and conducting and managing TSA's responsibilities for the RTIP. By
this notice, TSA is establishing its fees for conducting threat
assessments of Service Providers' key personnel and the Registered
Traveler Interoperability Pilot Participant Fee for the RTIP. This
notice also describes the arrangement for negotiating how TSA may
charge Sponsoring Entities for dedicated RT checkpoints should the cost
of providing services and support is beyond what TSA is currently
providing to the passengers.
A. Standards and Guidelines Used by TSA in Developing These Fees
When setting fees for services, TSA looks, to the extent possible,
to the cost accounting concepts and standards recommended by the
Federal Accounting Standards Advisory Board (FASAB). The FASAB,
established in 1990, recommends accounting standards for the Federal
Government. The FASAB defines ''full cost'' to include ''direct and
indirect costs that contribute to the output, regardless of funding
sources.'' See Federal Accounting Standards Advisory Board, ``Statement
of Financial Accounting Standards No. 4: Managerial Cost Accounting
Concepts and Standards for the Federal Government 36'' (July 31, 1995).
To obtain full cost, FASAB identifies various classifications of costs
to be included, and recommends various methods of cost assignment. See
id. at pages 36-42. Full costs include, but are not limited to, an
appropriate share of:
(1) Direct and indirect personnel costs, including salaries and
fringe benefits, such as medical insurance and retirement;
(2) Physical overhead, consulting, and other indirect costs,
including material and supply costs, utilities, insurance, travel and
rents or imputed rents on land, buildings, and equipment; and
(3) Management and supervisory costs. Full costs are determined
based upon the best available records of the agency.
B. Service Provider Key Personnel Fee
Why is TSA performing security threat assessments on Service Providers'
key personnel?
Service Providers' key personnel will be responsible for collecting
or accessing private and sensitive information about RT applicants.
They are also responsible for maintaining the security and integrity of
the process and information technology systems that will collect
information and verify documents submitted by RT applicants and that
will permit RT travelers to use the RT lines or lanes. TSA will conduct
security threat assessments on Service Providers' key employees to
determine whether there are reasons to believe that a key employee
should not be allowed to have access to private or sensitive
information or systems.
Which Service Provider personnel will be required to undergo security
threat assessments?
Service Provider employees who collect, handle, or use RT applicant
or participant data must undergo security threat assessments.
Additionally, Service Provider officers, principals, and program
managers who are responsible for RTIP operations must also undergo
security threat assessments.
What is the fee for conducting a security threat assessment of a
Service Provider's key personnel?
As part of TSA's review of a prospective Service Provider and its
key personnel to confirm that they do not pose a threat to
transportation or national security, TSA will conduct security threat
assessments on the Service Provider's key personnel. Service Provider
key personnel will submit their information to the American Association
of Airport Executives (AAAE), which is under agreement with TSA to
collect and process biographic and biometric information from these
personnel. TSA will transmit the information to the Federal Bureau of
Investigation (FBI) for a criminal history records check (CHRC) and
will perform a name-based check of terrorist-related and immigration
databases.
TSA will charge a total fee of $43.00 per person to conduct its
threat assessment of key personnel. The fee is comprised of three
components, discussed further below: (1) The amount that the American
Association of Airport Executives (AAAE) charges to collect and forward
biographic information and fingerprints (``Data Collection Fee''); (2)
the amount that the FBI charges to conduct a CHRC (``FBI Fee''); and
(3) the cost for TSA to conduct its security threat assessment. This
threat assessment is valid for five years and must be renewed after
five years.
1. Data Collection Fee. TSA has an agreement with AAAE to collect,
process, and forward biographic information and fee payments from
Service Providers' key personnel. AAAE will also process and forward
the key personnel's fingerprints. Under the agreement, AAAE will charge
$15.00 per person for its services. Because AAAE does not collect
fingerprints from individuals, this fee does not include a charge for
fingerprint collection. Key employees will likely provide their
fingerprints to an airport authority or other law enforcement agency.
These organizations may charge a fee to collecting the fingerprints and
the fee may vary depending on where the individual decides to submit
their fingerprints.
2. FBI Fee. As part of the security threat assessment, TSA submits
fingerprints to the FBI to obtain any criminal history records that
correspond to the fingerprints. The FBI is authorized to establish and
collect fees to process fingerprint identification records. See 28
U.S.C. 534 nt. Pursuant to Criminal Justice Information Services
Information Letter 93-3 (October 8, 1993), this fee is currently set at
$22. If the FBI increases or decreases its fee to complete the CHRC,
the increase or decrease will apply to this fee on the date that the
new FBI fee becomes effective.
TSA will adjudicate the results of the CHRC based on the same list
of disqualifying criminal offenses it uses for individuals seeking
unescorted access to the security identification display area. This
list is set forth in 49 CFR 1542.209(d).
3. Security Threat Assessment Cost. For the TSA security threat
assessment process, each key personnel's information will be checked
against terrorist-related and immigration databases and other
governmental information sources so that TSA can determine whether the
key personnel poses a security threat. TSA will also continuously vet
key personnel. If an individual who has successfully undergone a
security threat assessment initially subsequently is found not to meet
TSA's criteria, the individual will no longer be allowed to participate
in the RTIP.
TSA must implement and maintain the appropriate systems, resources,
and personnel to ensure the following: that TSA is able to conduct
security threat
[[Page 67892]]
assessments; that fingerprints and applicant information are
appropriately linked; that TSA can receive and act on the results of
security threat assessments; and that TSA can perpetually re-vet key
personnel. TSA must have the necessary resources--including labor,
equipment, database access, and overhead--to complete the security
threat assessment process.
Because the anticipated population size of key employees and
officials is relatively small, TSA will be able to leverage existing
infrastructure for conducting security threat assessments to minimize
start-up costs. Using the current infrastructure, the cost of
conducting a security threat assessment and adjudicating the results,
including the CHRC, is $6.00 per person.
Will there be refunds if TSA denies individuals approval to conduct
enrollment and verification operations (or are responsible for managing
such persons)?
TSA will not refund the Service Provider Key Personnel Fee to the
Sponsoring Entities if TSA does not approve key personnel to conduct
enrollment and verification operations (or are responsible for managing
such persons).
C. Registered Traveler Interoperability Pilot Participant Fee
As part of TSA's review of a prospective participant in the
Registered Traveler Interoperability Pilot to confirm that he or she
does not pose a threat to transportation or national security, TSA will
conduct security threat assessments on the individuals. Applicants will
submit their information through a Service Provider to AAAE, which is
under agreement with TSA to collect and process biographic and
biometric information and transmit the information to TSA. TSA will
perform a name-based check of terrorist-related and immigration
databases. The Service Provider will forward the Registered Traveler
Interoperability Pilot Participant Fee to TSA through AAAE. The
Registered Traveler Interoperability Pilot Participant Fee does not
include any fees that a Service Provider or a Sponsoring Entity may
charge for its services.
What is the Registered Traveler Interoperability Pilot Participant Fee?
TSA will charge a total annual fee of $28 per person. If the
Sponsoring Entity or its Service Provider decides to pass on this fee
to RT applicants, the Enrollment Provider will collect this fee from
the RT applicant. The annual fee represents TSA's cost in fulfilling
its responsibilities related to the oversight and operation of the
Registered Traveler Interoperability Pilot and to conducting security
threat assessments on RT applicants. This annual is based on the total
TSA costs divided by the anticipated number of RT participants.
The costs for TSA to fulfill its oversight and operation
responsibilities include direct and indirect personnel costs, physical
overhead, administration, travel; and compliance verification. The
costs for TSA to conduct security threat assessments includes TSA's
implementation and maintenance of the appropriate systems, resources,
and personnel to ensure the following: that TSA is able to perform a
name-based check of terrorist-related and immigration databases; that
applicant information is appropriately linked; that TSA can receive and
act on the results of the security threat assessment; and that TSA can
perpetually re-vet RT participants.
Will there be a refund if TSA denies an individual approval to
participate in the Registered Traveler Interoperability Pilot?
TSA will not refund the Registered Traveler Interoperability Pilot
Participant Fee to individuals who are not approved for participation
in the Registered Traveler Interoperability Pilot based upon the
results of a security threat assessment.
D. Charge for Dedicated Checkpoint Stations
Currently, TSA does not anticipate that there will be a separate
screening lane that leads to a dedicated checkpoint station at any
airport when the RTIP begins operation. If a Sponsoring Entity decides
to create a separate screening lane for RT participants or institute a
process that requires Transportation Security Officer (TSO) support
beyond what TSA is currently providing for these passengers, TSA will
negotiate the exact level of support and the fee necessary to match the
costs of this support with the Sponsoring Entity. TSA will then charge
the Sponsoring Entity the fee based upon the cost of providing services
and support beyond what TSA is currently providing to the passengers.
TSA plans to collect this fee from the Sponsoring Entity directly and
does not plan to include this fee in the Registered Traveler
Interoperability Pilot Participant Fee. The Sponsoring Entity and its
Service Provider may decide, however, to pass on these costs to RT
participants through their own fees.
Issued in Arlington, Virginia, on November 17, 2006.
Kip Hawley,
Assistant Secretary.
[FR Doc. E6-19898 Filed 11-22-06; 8:45 am]
BILLING CODE 9110-05-P