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Investigations typically begin with a letter of investigation (LOI) allowing a set response window, and all communications become part of the record. After completion, outcomes range from no action to administrative measures, civil penalty proceedings, or referral for criminal prosecution. For civil penalties, the notice states facts, alleged violations, and amounts calculated using risk, violation nature, history, experience, attitude, economic impact, sanctions, and concealment, including small-business status evidence.",{"@graph":69,"@context":122},[70,84,105],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":40,"@type":76,"position":81},"https://docshare.wps.com/document/research-report/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/tsa-civil-enforcement-process-overview-investigation-and-legal-actioninformal-adjudication/297303/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/tsa-civil-enforcement-process-overview-investigation-and-legal-actioninformal-adjudication/297303.png","ImageObject",300,407,{"name":92,"@type":93},"Quinn Holloway","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-10-19","2026-09-18",true,{"@type":102,"interactionType":103,"userInteractionCount":52},"InteractionCounter",{"@type":104},"ViewAction",{"@type":106,"mainEntity":107},"FAQPage",[108,114,118],{"name":109,"@type":110,"acceptedAnswer":111},"What events can trigger a TSA civil enforcement action?","Question",{"text":112,"@type":113},"Triggering events include accidents or incidents, routine or special audits or observations by TSA personnel, complaints from law enforcement, air traffic control, the airport authority, or members of the public, and anonymous tips to an agency office or hotline.","Answer",{"name":115,"@type":110,"acceptedAnswer":116},"How does the investigation process begin and what happens to the response?",{"text":117,"@type":113},"The process usually begins with a letter of investigation (LOI) that gives the recipient a set time—typically 10 to 30 days—to respond. Responses by phone, letter, or email are recorded and maintained in the investigation file as part of the record.",{"name":119,"@type":110,"acceptedAnswer":120},"How is the proposed civil penalty determined in the notice?",{"text":121,"@type":113},"The notice sets out relevant facts and alleged violations and proposes a civil penalty calculated using aggravating and mitigating factors such as the security risk created, the nature of the violation, prior violation history, the respondent’s experience and attitude, economic impact, and factors including concealment, fraud, and related sanctions or disciplinary actions.","https://schema.org",{"og:url":83,"og:type":124,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":126,"canonical":83},"index,follow",{"doc_id":128,"site_id":62},297303,1789743733,{"code":4,"msg":5,"data":131},{"doc_id":128,"user_id":132,"nickname":92,"user_avatar":133,"doc_module":4,"category_id":39,"category_name":40,"doc_title":65,"doc_description":67,"doc_content":134,"file_id":135,"file_url":136,"file_type":137,"file_size":138,"view_count":52,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":19,"language":139,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":140,"faqs":141,"seo_title":142,"seo_description":67,"update_tm":129,"read_time":52,"preview_page_count":4},2336474466712,"https://ap-avatar.wpscdn.com/davatar_a8503ba1806abce46bf441b54a3ca4cd","LISA A. HARIG  \n58 • THE FEDERAL LAWYER • December 2015  \nThe Transportation Security Administration (TSA) was cre  \nated in the aftermath of 9/11 by the Aviation and Transpor  \ntation Security Act (ATSA), passed by the U.S. Congress  \nand signed on Nov. 19, 2001.1 The Homeland Security Act of 2002 transferred TSA from the Department of Transportation to the newly created Department of Homeland Security.2 TSA’s stated mission is to “protect the Nation’s transportation systems to ensure freedom of movement for people and commerce.”3 To that end, TSAis tasked with enforcing ATSA and the transportation security regulations promulgated thereunder.4 This article provides an overview of the TSA civil enforcement process, including the unique role that sensitive security information (SSI) plays in civil enforcement actions and TSA’s voluntary disclosure program.  \nInvestigation  \nAn enforcement action from TSA generally results from a triggering event. A triggering event may be an accident or incident; a routine or special audit, investigation, or observation by TSA personnel; or a complaint submitted by law enforcement, air traffic control, the airport authority, or a member of the public. Triggering events may also include anonymous tips called in to an agency office or hotline.  \nThe investigation usually begins with a letter of investigation (LOI) from TSA. The LOI will offer the recipient of the LOI (respondent) an opportunity to respond within a set amount of time, usually 10 to 30 days. At this stage in the process, there is normally no obligation to respond to the government agency. However, it should be noted that any response (be it a telephone call, letter, or email) will be recorded and maintained in the investigation file, so anything the respondent says or provides in writing will become part of the record.  \nOnce the investigation is completed, there are four possible outcomes: (1) no action taken; (2) administrative action; (3) legal action or informal adjudication; and (4) referral for criminal prosecution. Clearly, the best possible outcome from the point of view of the company or individual being investigated is that no action is taken and the case is closed. The worst possible outcome is that the case is referred for criminal prosecution.  \nAdministrative action can take the form of a letter of correction or letter of warning. While no fine or penalty is attached, administrative actions are nonappealable and become part of the violation history for the company or individual concerned. Legal action or informal adjudication generally involves the issuance of a Notice of Proposed Civil Penalty (notice), and the rest of the article will focus on this outcome.  \nLegal Action/Informal Adjudication  \nThe notice will state the relevant facts, alleged violations, and proposed civil penalty (fine) . The proposed fine is usually calculated based on aggravating and mitigating factors, including:  \n• Significance or degree of the security risk created by the violation.  \n• Nature of the violation (whether the violation was inadvertent, deliberate, or the result of gross negligence) .  \n• Past violation history (compliance should be the norm, so lack of prior violations is not a mitigating factor) .  \n• Respondent’s level of experience.  \n• Attitude of the respondent, including the nature of any corrective action taken.  \n• Economic impact of the civil penalty on the respondent.  \n• Criminal sanctions already paid for the same incident.  \n• Disciplinary action by the respondent’s employer for the same incident (in the case of an individual) .  \n• Artful concealment.  \n• Fraud and intentional falsification.5  \nTSA will also consider respondent’s status as a small business in determining the appropriate amount of the civil penalty.6 Depending on the type of business, small-business status is usually determined based on either the annual revenues, number of employees, or both. Because this information may not be readily available ","cbCaivCKbdxM9ODV","https://ap.wps.com/l/cbCaivCKbdxM9ODV","pdf",1953588,"English","# Investigation\n## Triggering events and LOI response\n## Possible outcomes\n# Administrative action and nonappealability\n# Legal action / Informal adjudication\n## Proposed civil penalty calculation factors\n## Small-business status and response options\n## Financial hardship reduction evidence","[{\"question\":\"What events can trigger a TSA civil enforcement action?\",\"answer\":\"Triggering events include accidents or incidents, routine or special audits or observations by TSA personnel, complaints from law enforcement, air traffic control, the airport authority, or members of the public, and anonymous tips to an agency office or hotline.\"},{\"question\":\"How does the investigation process begin and what happens to the response?\",\"answer\":\"The process usually begins with a letter of investigation (LOI) that gives the recipient a set time—typically 10 to 30 days—to respond. Responses by phone, letter, or email are recorded and maintained in the investigation file as part of the record.\"},{\"question\":\"How is the proposed civil penalty determined in the notice?\",\"answer\":\"The notice sets out relevant facts and alleged violations and proposes a civil penalty calculated using aggravating and mitigating factors such as the security risk created, the nature of the violation, prior violation history, the respondent’s experience and attitude, economic impact, and factors including concealment, fraud, and related sanctions or disciplinary actions.\"}]","TSA Civil Enforcement Process Overview - Investigation and Legal Action/Informal Adjudication | PDF"]