Chapter 4The Role of Government in Aviation Securit

Chapter 4
The Role of Government in Aviation Security
*
Introduction
*
ICAO recommends each nation should have a national
government organization charged with providing internal
national security
US – Department of Homeland Security (DHS)
Practical Aviation Security – Chapter 4

Introduction
Providing internal national security for aviation, customs and
immigration, protecting the U.S. president, specific federal
facilities, and the U.S. coastline.
Responding to major natural disasters or terrorist attacks is also
a security related responsibility of the DHS.
*
DHS oversees Transportation Security Administration (TSA)
*
TSA regulates transportation security
TSA provides direction to airports and aircraft operators on
compliance with federal regulations
TSA conducts screening at most U.S. airports
Introduction

TSA regulates transportation security in the United States,
which includes rail, trucking, shipping, and aviation.
*
Transportation Security Regulations (TSRs)
*
Part 1500:
Aviation Security
Part 1503:
Enforcement Actions
TSR Part 1500 contains general terms and abbreviations
associated with transportation
security regulations.
Part 1503 covers enforcement and the process for opening and
prosecuting a case against a regulated party.
*

Violations can be of minimum, moderate, or maximum severity
Fines per incident for:
Aircraft operators $2,500 to $25,000
Airports and cargo agents $1,000 to $10,000
Individuals $250 to $7,500
Part 1503: Enforcement Actions
*
Part 1503: Enforcement ActionsIndividualsAirport
OperatorsAircraft OperatorsAir CargoEntering sterile areas
without being screenedFailure to ensure Airport Security
Coordinator (ASC) fulfills dutiesRefusal to carry Federal Air
MarshalsFailure to produce a copy of the security
programFailure to undergo secondary screening when
directedFailure to train ASCsFailure to pay security feesFailure
to supply certification to the aircraft operatorImproperly
entering SIDAs or AOAsFailure to allow TSA to inspect an
airportFailure to prevent unauthorized access to secured area or
to aircraftFailure to meet requirements for accepting cargo from
an all-cargo carrier with an approved security program at a
station(s) where cargo is accepted or processedImproper use of
access media.Failure to carry out a security program

requirementFailure to comply with requirements for carriage of
an accessible weapon by an armed law enforcement
officerFailure to transport cargo in locked or closely-monitored
vehiclesFailure to notify TSA of changes in the security
program
*
Part 1520:
Sensitive Security Information
Part 1520 addresses the control and handling of security
sensitive information (SSI).
*

Common types of SSI documents at an airport are:
Airport Security Program (ASP)
Security directives (SD)
Information circulars (IC)
*
DHS nondisclosure
Form 11000-6
*
Part 1520: Sensitive Security Information
Other airport tenants, vendors and contractors should receive
desensitized ASP
Participant manuals

*
Part 1540:
General Operations
*
Part 1540: General Operations
Terminology of aviation security and individual accountability
Security responsibilities of employees and others
Interference with screeners or any aviation employee with
security duties
Carriage of weapons and explosives onboard and in checked
baggage
Inspection of FAA airman and medical certificates

*
Part 1540.103
Prohibits individuals from falsifying an application or any other
record related to the issuance of security access media
Requires anyone who has passed a CHRC and is subsequently
arrested for a disqualifying crime to report this to the issuing
agency
*
Part 1540.105
Requires travelers and aviation employees to conform to
security regulations
Prohibits individuals from tampering with airport access control
systems or illegally entering airport security areas
Following 9/11, made trespassing within airport security areas a
federal crime

*
Part 1540.107
Requires individuals to submit to airport screening before
entering sterile areas
Part 1540.109
Protects against interference with screening personnel and
extends to any aviation employee with security responsibilities
*
Part 1540.111
Specifies it is a violation to have a prohibited item, once
screening has begun, while in sterile areas or when attempting
to board or be onboard an aircraft

Prohibits the carriage of loaded firearms in checked baggage
Prohibits the carriage of explosives and incendiaries
Requires firearms to be declared to air carrier during baggage
check-in
*
Part 1540.113
Grants TSA personnel the right to request examination of the
pilot’s airman certificate (pilot’s license) and required FAA
medical certificate
*
How Regulations Are Changed

*
Security Directives
Notices of proposed rulemaking
Amendments to airport and air carrier security programs
*
Notice of Proposed Rulemaking (NPRM)
In Emergencies, regulations
can be drafted and immediately
implemented
*
Changing an Airport or Air Carrier Security Program

*
1542.105
Approval and Amendments
Amendments are generally permanent changes to the program
*
Changing an Airport or Air Carrier Security Program
If an airport or air carrier desires to amend its security program,
it will draft the proposed change and
*

Temporary Amendments
Airfield Construction
Emergency exercises
*
Many airport and air carrier operators draft security programs to
meet minimum standards TSA will allow, but then exceed the
standard in actual operating practices
*
In the 25 years preceding 9-11, there were a handful of
significant amendments to aviation security regulations
*

The TSA can issue emergency amendments to security programs
*
“Changed Condition Affecting Security,” - 1542.107
Occurs when a security problem causes an airport or air carrier
to go out of compliance with its security program and temporary
measures cannot be implemented to maintain it
*
Changed Conditions Affecting Security
*

Intelligence and Intervention
*
DHS manages security intelligence and intervention strategies
In US, TSA and FBI disseminate aviation security information
to airports and airlines that enables them to implement
precautionary security measures
*
U.S. intelligence agencies and military services conduct most of
nation’s intelligence gathering and early intervention related to
aviation security
However, intelligence analysts are always careful to note that
there is a distinction between information and intelligence, and
the even more evasive actionable intelligence, which is
information that enables U.S. military or law enforcement assets

to take action on (arrest, or capture/kill).
*
Intelligence Cycle
Planning and Direction
Collection
Processing and Collation
Analysis and Production
Dissemination
Failure to review and analyze international or any off-airport
security issue is negligent aviation security management
Planning and direction focuses on intelligence and law
enforcement agencies on a particular direction or threat(s).
Collection includes the collection of relevant information about
the threat, from a variety of sources, which could include the
Department of Defense, the Department of Justice, DHS, other
federal agencies such as the National Geospatial Intelligence
Agency, the CIA, FBI, DEA, and state, local and tribal
organizations. Processing and Collation attempts to take
multiple pieces of information from these sources and put them
together to form a better picture of terrorist or criminal activity.
Analysis and Production includes preparing reports to
disseminate back to the intelligence and law enforcement

agencies, and Dissemination is the process of distributing the
information to those entities.
*
Types of intelligence
Signals Intelligence (SIGNT)
Imagery Intelligence (IMINT)
Measurement and Signature Intelligence (MASINT)
Human-Source Intelligence (HUMINT)
Open-Source Intelligence (OSINT)
Geospatial Intelligence (GEOINT)
Signals Intelligence (SIGINT) is the exploitation of electronic
emissions information, which is derived from four sources,
electronic, communications, foreign and weapons-related
command and control signals.
Imagery Intelligence (IMINT) is the product of processing raw
images, in the form of pixels, digits, or other forms, and the
attempt to determine the time, date, place that the imagery was
obtained.
Measurement and Signature Intelligence (MASINT) is scientific
and technical intelligence (metrics, angles, spatial, wavelenth,
etc) derived from sensors to detect identifying distinctive
features associated with the source.

Human-Source Intelligence (HUMINT) is derived from human
beings who may be both sources and collectors of information,
either by direct observation and the use of recruited agents and
in some cases, interrogation.
Open-Source Intelligence (OSINT) is unclassified information
of potential intelligence value and is open to the general public.
Geospatial Intelligence (GEOINT) is intelligence derived from
imagery and geospatial information of physical features and
geographically referenced activities on Earth (typically
associated with satellite gather information).
*
Intelligence available to the consumer
Current intelligence
Estimative intelligence
Warning intelligence
Research intelligence
Scientific and technical intelligence

Current intelligence: day-to-day events, new developments,
related background and an assessment of their significance to
warn of near-term consequences.
Estimative Intelligence: sees to assess potential developments
that could affect U.S. national security, begins with facts, then
explore the unknown and the unknowable.
Warning Intelligence: sounds an alarm or gives policy makers
notice - urgent in nature and implies the need for action or
response. Security Directives are intended for Warning
Intelligence.
Research Intelligence: presented as in-depth studies as an
underpinning to current and estimative intelligence.
Scientific and technical intelligence: information on technical
developments and characteristics, performance and technical
capabilities of weapons and security systems.
*
Controlled Unclassified Information – FOUO
Intelligence – improves decision making, warn of potential
threats
Direct access vs. indirect access
Sources: contact, collaborative, established, walk-in or sensitive

"Controlled Unclassified Information," refers to information
that does not meet the standards for National Security
Classification under EO 12958, but is pertinent to the national
interests of the U.S., and under law or policy requires
protection from unauthorized disclosure - typically this type of
information is referred to as FOUO, For Official Use Only.
Intelligence can improve decision making, while hindering our
enemies decision-making, it can warn of potential threats,
provide insight into current events, provide better situational
awareness, provide long-term assessments on issues of on-going
threats, provide pre-travel security overview and support and
provide reports on specific topics based on need.
There are two types of access, direct vs. indirect: Direct access
means the intelligence source has direct knowledge of the fact
or appears to be in the direct contact with those knowledgeable.
Indirect access means there is some distance between the source
and the origin of the information.
*
High, Moderate, Low

National Terrorist Screening Center (NTSC) is a single database
of identifying information about those known or reasonably
suspected of being involved in terrorist activity.
No-Fly and Selectee List
High Confidence generally indicates the IC's judgments are
based on high-quality information. Moderate Confidence
generally means that the information is interpreted in various
ways or that the information is credible, plausible but not
sufficiently corroborated to warrant a higher level of
confidence. Low Confidence generally means the information is
scant and difficult to make solid analytic inferences or that the
IC has significant concerns with the sources.
The vision of the NTSC is to be the global authority for
watchlisting and identifying known and suspected terrorists.
The NTSC is a single database of identifying information about
those known or reasonably suspected of being involved in
terrorist activity.
*

Aviation security practitioners must pay attention to
intelligence related to noncriminal or terrorist threats that could
jeopardize the aviation system
Avian flu
*
Airports are lifelines to outside world during disasters
Hurricane Katrina, New Orleans, 2005
Vehicle bombing of Alfred P. Murrah federal building
Oklahoma City, 1995
*

Aviation Safety and Security Act of 1996:
Airport operators required to have a consortium of aviation
security and law enforcement professionals who meet regularly
to share information and develop strategies to mitigate or
prepare for possible incidents
Boston/Logan Airport
“8:30 am meeting”
*
Airport security practitioners should maintain high levels of
awareness with respect to global aviation security
*
Fusion Centers, TLO’s and Infragard
Through the Fusion Centers and the Terrorism Liaison Officer

Program, airport operators have new pathways to access
relevant threat information and keep up on existing and
potential threats.
*
Fusion centers provide interdisciplinary expertise and
situational awareness to inform decision-making at all levels of
government.
DHS launched the "If You See Something, Say Something™"
Located in states and major urban areas throughout the country,
fusion centers are uniquely situated to empower front-line law
enforcement, public safety, fire service, emergency response,
public health, critical infrastructure protection, and private
sector security personnel to understand local implications of
national intelligence, thus enabling local officials to better
protect their communities.
*
Terrorism Liaison Officer (TLO) functions as the principle
point of contact for a public safety agency in matters related to
terrorism information.

Infragard is an information sharing and analysis effort serving
that combines the knowledge base members.
A Terrorism Liaison Officer (TLO) functions as the principle
point of contact for a public safety agency in matters related to
terrorism information.
Airport managers and airport security coordinators are eligible
to become TLOs.
TLOs are a vital link in keeping those engaged in public safety
professions aware of current terrorist tactics, techniques, and
practices.
TLOs are typically contacted when suspicious activities are
witnessed that could potentially be related to terrorism.
Infragard is an information sharing and analysis effort serving
that combines the knowledge base members. InfraGard is a
partnership between the FBI and the private sector and
incorporates an association of businesses, academic institutions,
state and local law enforcement agencies, and other participants
dedicated to sharing information and intelligence to prevent
hostile acts against the United States.
*
Domestic and Regional Aviation Security
Aircraft operators conduct flights throughout domestic and
regional areas (those areas more than a mile beyond the
geographical boundary of an airport).
*

Aircraft security practitioners should understand that threat
levels can vary within United States, Mexico, and Canada
*
Primary layers of government security organizations and
agencies at domestic and regional levels
Department of Homeland Security
U.S. Northern Command
FBI
TSA
State agencies
Individual states have developed their own law enforcement,
intelligence-gathering, and emergency response capabilities.
*

North American Aerospace Defense Command (NORAD)
U.S. and Canadian organization charged with the aerospace
warning and aerospace control for North America.
*
The NORAD-U.S. Northern Command (USNORTHCOM)
Command Center:
Central collection and coordination facility for a worldwide
system of sensors designed to provide the commander and the
leadership of Canada and the United States with an accurate
picture of any aerospace threat
*

Established after 9-11 to provide command and control of DOD
homeland defense efforts and to coordinate defense support of
civil authorities
Civil support mission includes:
Domestic disaster relief operations that occur
during fires, hurricanes, floods and earthquakes
Counterdrug operations
Managing the consequences of a terrorist event
employing a weapon of mass destruction
*
*

Established in January 2003
Homeland Security Act of 2002
Prevent terrorist attacks in US, reduce country’s vulnerability to
terrorism, and assist in recovery after an attack
Combines 22 separate government agencies
*
Comprised of directorates responsible for the following:
Managing border and transportation security assets used to
prevent terrorists from entering US
2. Protecting air, land, and sea transportation systems
3. Enforcing immigration laws
4. Managing emergency preparedness and response
5. Coordinating the federal government’s response to terrorist
attacks and major disasters

6. Assisting in recovery efforts
*
7. Employing science and technology personnel overseeing
efforts to protect US from chemical, biological, radiological,
and nuclear attacks
8. Funding research related to homeland security
9. Gathering and analyzing intelligence information from
federal, state, and local agencies in order to detect terrorist
threats or vulnerabilities in the country’s infrastructure
10. Enhancing nuclear detection efforts of federal, state,
territorial, tribal, and local governments
11. Aiding the private sector in developing coordinated
responses to security threats
*

Transportation Security Administration (TSA)
*
Mission:
Prevent terrorist attacks and to protect U.S. transportation
network
Initial Responsibility:
Take over airline screening
*
In addition to screening and regulatory compliances, TSA
oversees numerous other programs, which include the
following:
Federal Air Marshal Program
National Explosives Detection Canine Team Program

Training and certification of federal flight deck officers (FFDO)
Crew Member Self-Defense Training Program
Armed Security Officers Program
Office of Training and Development
*
Risk Management
Based on conducting a risk analysis, then allocating funding and
resources to those areas with the highest risk of attack or the
areas where an attack would create catastrophic damage.
Acknowledges that not all life and infrastructure can be
completely protected all the time.
*
Behavior detection officers (BDO)
Bomb assessment officers (BAO)

Aviation Direct Access Screening Program (ADASP)
Visible Inter-Modal Protection and Response (VIPR)
*
Federal Security Director (FSD)
The TSA is represented at the local level by the federal security
director (FSD).
*
FSD employed by TSA, reports to TSA headquarters
Ensure airport and aircraft operators within their jurisdiction
follow regulations and oversee airport security screening
operations
Provides daily operational direction for federal security at
airports
Operational authority over security-screening workforce

*
Operationally, handles all incoming intelligence and
disseminates it to Airport Security Coordinator (ASC)
Has the authority to stop aircraft and airport operations
Has the authority and responsibility to make decisions on behalf
of the TSA
*
Preside over three departments:
Compliance
Operations
Business Management
*

Assistant Federal Security Director (AFSD)
Regulatory inspection, responsible for compliance
Screening, responsible for operations
Heads operations department, includes security-screening
workforce
Business management department, standard business functions
*
Transportation Security Inspectors (TSIs):
Conduct ongoing audits of airport and aircraft operator security
programs and procedures
Open cases and investigate alleged violations of security
regulations
Act as liaisons to airport and aircraft operator security

coordinators
Provide briefings and guidance on industry issues and policy
changes
Conduct reviews of the various security programs
*
Expert Transportation Security Officer (ETSO), Bomb
Appraisal Officers (BAO)
ETSO-BAO build simulated explosive devices
Advanced alarm resolution
Subject matter expert liaison
ESTO – BAO are charged with finding effective ways to share
their expertise and real-world experience with the TSO
workforce.
BAO’s build simulated explosive devices and run them through
the screening process to show TSOs what terrorists are doing
and what they are capable of.
*

TSA’s Office of Intelligence
*
TSA’s Office of Intelligence
Provide threat information to transportation community
Coordinates and shares information
Supporting TSA’s risk-based security strategy
Intelligence Watch and Outreach Division
Field Intelligence Officers (FIOs)
TSA developed an Office of Intelligence (OI) to provide threat
information to the transportation community. OI was mandated
by ATSA and further revised by the Homeland Security Act to
receive, assess, and distribute intelligence information related
to transportation security; assess threats to transportation;
develop policies, strategies, and plans for dealing with threats
to transportation security; [and] act as the primary liaison for
transportation security to the intelligence and law enforcement

communities.
The OI consists of the Intelligence Watch and the Outreach
Division, which functions as a 24-hour watch and the Current
Intelligence and Assessments Division, which functions as an
analysis center tracking current and emerging threats across all
modes of transportation.
TSA employs Field Intelligence Officers (FIOs) to analyze
incoming threat information, serve as the principal advisor to
FSDs on intelligence matters, develop and maintain working
relationships with federal, state, local, and private entities
responsible for transportation security.
*
Federal Air Marshals
*
The mission of the federal air marshal (FAM) program is to:
“Promote confidence in our Nation’s civil aviation system
through the effective deployment of Federal Air Marshals to
detect, deter, and defeat hostile acts targeting U.S. air carriers,

airports, passengers and crews”
*
FAMs detect, deter, and defeat hostile acts against U.S. air
carriers, passengers and crews.
*
Dress as normal travelers to blend in with their surroundings
Carry firearms
Authorized to use lethal force in protection of flight deck from
terrorist takeover
Ammunition used by air marshals is designed to stop when it
hits an individual
Must meet highest firearm standards of any federal agency

Assigned to certain high-risk flights based on a variety of
intelligence information and other classified factors
Perform a variety of other duties including surveillance at
airports
*
Special Programs
Federal Flight Deck Officer
Crew Member Self Defense
*
Special Programs
FFDO - Eligible flight crew members authorized to use firearms
Trained by Federal Air Marshal Service
Crew Member Self Defense - basic self defense tactics

Under the FFDO program, eligible flight crewmembers are
authorized by TSA to use firearms to defend against acts of
criminal violence or air piracy attempting to gain control of an
aircraft.
The program teaches basic self-defense tactics that can be
executed in the confines of an aircraft cockpit or cabin, and
additional techniques to use “on the street.”
*
Federal Bureau of Investigation
Part of the role of the FBI is to protect and defend the United
States against terrorist and foreign intelligence threats.
*
Called whenever there is destruction of a commercial aircraft
Extensive history of involvement in domestic and international
terrorist actions
FBI’s Aviation Program provides key investigative resources to

56 FBI field offices
FBI Airport Liaison Agent (ALA) point-of-contact for airport
and aircraft operator security personnel
*
During security incidents at airports or on aircraft under
jurisdiction of US, FBI has jurisdictional authority—not the
TSA
The FBI “special jurisdiction” onboard aircraft includes begin
and end the moment when all doors closed after boarding until
they are reopened
The FBI “special jurisdiction” onboard aircraft includes begin
and end the moment when all doors closed after boarding until
they are reopened.
*

Joint Terrorism Task Force (JTTF)
Critical Incident Response Group (CIRG)
Crisis Negotiations Unit
George Bush Strategic Information Operations Center (SIOC)
Hostage Rescue Team (HRT)
*
Terrorist Information System (TIS)
300,000+ individuals
3,000 organizations
Part of the role of the FBI is to protect and defend the United
States against terrorist and foreign intelligence threats.
*

What should airport authorities do when the FBI arrives at an
airport in response to a security incident?
Access resources
Have a few agents at the airport ICC to act as liaisons, however
FBI prefers to coordinate their activities from another location
Arrange for a separate room to conduct hostage negotiations
Arrange for staging areas for tactical response teams, escorts,
equipment, and access to air traffic control tower
*
Customs, Immigrations, and Agricultural Enforcement Agencies
*

Immigration and Customs Enforcement
ICE
Investigations arm of DHS
Customs and Border Protection (CBP)
Combines elements of former US Customs and US Immigration,
Animal and Plant Health Inspection and US Border Patrol
*
Staff customs and immigration checkpoints
Conduct animal and plant health inspections
Manage the Advance Passenger Information System (APIS)
*
Other Federal Agencies

*
U.S. Secret Service
Charged with the protection of president and certain other
dignitaries
*
US Marshal Service (USMS)
Primary missions are apprehension of fugitives, protection of
federal witnesses, protection of federal judges, and
transportation of federal criminals
Marshals may track and arrest fugitives on airport property or
conduct investigations on passengers or employees at airport
Justice Prisoner and Alien Transportation System (JPATS)

*
Drug Enforcement Administration (DEA)
Conduct frequent investigations on the transshipment of
narcotics and narcotic traffickers using commercial and general
aviation aircraft
Has an aviation division
Conduct surveillance operations at GA airports
*

State Aeronautical Agencies
Exist in all 50 states
*
May serve in an advisory or regulatory capacity over airports
within their state and often have a role in advising or
distributing financial grants to airport operators
Each state varies in organization structure
Provide other services for airports and pilots
Most participate at some level in annual capital improvement
funding of airports
State Aeronautical Agencies

*
Local Law Enforcement
*
Local law enforcement agencies receive and sometimes develop
their own intelligence information
*
State and local law enforcement, greater assistance to airport
and aircraft operators than federal agencies
Development of local intelligence and sharing of that
intelligence through FBI’s Joint Terrorism Task Forces (JTTF)
are important to overall security of the community and the
airports and airlines that serve it
Investigations and arrests of individuals suspected to be

engaged in terrorist or criminal activities can provide additional
information contributing to antiterrorist efforts
*
U.S. Regulation Title 49 CFR Parts 1542.215 and .217 Law
Enforcement Personnel and Support
Commercial service airports are required to maintain either a
law enforcement presence or ability for law enforcement
personnel to respond in case of a security incident

*
Exact number of LEOs determined on a case-by case basis
Smaller commercial service airports have fewer LEO
requirements
Airports with limited LEO requirements may only have a
response time for LEOs to arrive on scene
Exact response times are considered SSI

*
LEO presence at screening checkpoints is thought to deter
potential criminal or terrorist activity
Airports must also have enough LEO personnel to respond to
foreseeable incidents
*
The minimum law enforcement requirements for LEOs with
airport responsibilities are as follows:
Have arrest authority
Identifiable by appropriate indicia of authority

Armed with a firearm and authorized to use it
Have completed a training program that meets the requirements
for law enforcement officers
Airports are required to maintain the LEO training records until
180 days after departure of that particular LEO
*
U.S. Regulation Title 49 CFR Part 1542.219
When an airport operator cannot meet minimum law
enforcement staffing levels for his or her commercial service
airport, operator can request TSA to authorize staffi ng from
either TSA or another federal or authorized agency

*
Conclusion
*

Chapter 4The Role of Government in Aviation Securit

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