[Federal Register Volume 67, Number 142 (Wednesday, July 24, 2002)]
[Notices]
[Pages 48506-48509]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-18611]


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DEPARTMENT OF TRANSPORTATION

Transportation Security Administration


Criteria for Certification of Explosives Trace Detection Systems

AGENCY: Transportation Security Administration (TSA) DOT.

ACTION: Notice.

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SUMMARY: This notice discusses the criteria that an Explosive Trace 
Detection system (ETD) must satisfy in order to be certified by TSA 
(hereinafter referred to as the criteria). The criteria establish 
minimum acceptable performance in detecting and identifying trace 
amounts of explosives at levels indicative of contamination from the 
presence of explosive material or from proximity or contact with 
suspect individuals who handled explosive material. The criteria also 
establish certain minimum acceptable operational requirements.

FOR FURTHER INFORMATION CONTACT: Richard Burdette, Office of 
Information and Security Technology, Transportation Security 
Administration, 800 Independence Avenue, SW., Washington, DC 20591, 
telephone (202) 267-7398.

[[Page 48507]]


SUPPLEMENTARY INFORMATION:

Electronic Access

    You can get an electronic copy of this notice using the Internet by 
taking the following steps:
    (1) Go to search function of the Department of Transportation's 
electronic Docket Management System (DMS) Web page (http://dms.dot.gov/search).
    (2) On the search page type in the last digits of the docket number 
shown at the beginning of this notice. Click on ``search.''
    (3) On the next page, which contains the docket summary information 
for the docket you selected, click on the final rule.
    You can also get an electronic copy using the Internet through the 
Government Printing Office's Web page at http://www.access.gpo.gov/su_docs/aces/aces140html.
    In addition, copies are available by writing or calling the 
Transportation Security Administration's Air Carrier Division, 800 
Independence Avenue, SW., Washington, DC 20591; telephone 202-267-3413.

Release of National Security and Sensitive Information

    The complete criteria are contained in the Certification Plan for 
Explosives Trace Detection Equipment (Certification Plan). Certain 
portions of the criteria are of national security concern and require 
safeguarding from unauthorized disclosure pursuant to Executive Order 
12356 (National Security Information, often referred to as classified 
information). Further, pursuant to TSA regulations governing protection 
of sensitive security information, See 67 FR 8340, 8352 (Feb. 20, 2002) 
(to be codified at 49 CFR part 1520), certain unclassified information 
incorporated in the criteria has been determined to be sensitive 
security information. Upon request, the Certification Plan will be 
provided to prospective vendors of ETDs and other interested persons 
with a bona fide need to know, provided such persons have appropriate 
authorization for access to U.S. Government national security 
information and sensitive security information. The Certification Plan, 
without the national security information, will be provided to other 
interested persons with a bona fide need to know, provided such persons 
have appropriate authorization for access to sensitive security 
information.

Availability of Certification Plan

    Persons requesting access to, or a copy of, the Certification Plan 
(including all classified and sensitive security information) may write 
to: Information Security Program Manager, Office of Inspection (TSA-
13), Transportation Security Administration, 400 7th Street, SW., 
Washington, DC 20590.
    Individuals requesting the classified portion of the Certification 
Plan must include information regarding authorizations and security 
clearances for access to U.S. Government national security information, 
and sufficient explanatory information supporting the request to 
demonstrate a bona fide need to know the information contained in the 
Certification Plan.

Background

    In light of the September 11, 2001, terrorist attacks in the United 
States and the potential for future attacks in this country, Congress 
enacted the Aviation and Transportation Security Act (ATSA), Public Law 
107-71, 115 Stat. 597 (November 19, 2001), which established the 
Transportation Security Administration (TSA) as an operating 
administration within the Department of Transportation (DOT), headed by 
the Under Secretary of Transportation for Security (Under Secretary).
    Pursuant to ATSA, TSA is responsible for security in all modes of 
transportation, including civil aviation under Chapter 449 of title 49, 
United States Code, related research and development activities, and 
other transportation security functions exercised by DOT. TSA is 
specifically responsible for the day-to-day security screening 
operations for passenger air transportation and intrastate air 
transportation under 49 U.S.C. 44901 and 44935. This includes, among 
other things, the screening of checked baggage carried aboard passenger 
aircraft.
    Under 49 U.S.C. 44901(d)(1), TSA is required to ensure that 
explosive detection systems are deployed so that United States airports 
have sufficient explosive detection systems to screen all checked 
baggage at those airports by December 31, 2002. TSA will meet this 
requirement through the deployment of bulk explosive detection systems 
(EDS) and ETDs.
    In 1993, the Federal Aviation Administration issued criteria for 
the certification of bulk EDS that established minimum performance 
requirements for screening of checked baggage. See 58 FR 47804 (Sept. 
10, 1993). TSA, as the agency now responsible for civil aviation 
security, is issuing criteria for the certification of ETDs used to 
screen baggage, including both checked baggage or accessible property, 
and the contents of baggage.

The ETD Criteria

    The following sets forth a summary of the criteria. It does not 
include those portions that contain either National Security 
Information that requires safeguarding pursuant to Executive Order 
12356, or sensitive security information that requires safeguarding 
pursuant to TSA regulations, see 67 FR 8340, 8352 (Feb. 20, 2002) (to 
be codified at 49 CFR part 1520.7) (together referred to as ``sensitive 
criteria''). The Certification Plan contains all the criteria, as well 
as the steps the vendor must take to have TSA certify its ETD.
    Testing of ETDs presented to TSA for ETD certification will be 
performed in accordance with the TSA's Certification Plan for Explosive 
Trace Detection Equipment (the Certification Plan). The Certification 
Plan is consistent with the recommendations for certification of trace 
equipment in the 1999 National Research Council's report on the 
``Assessment of Technologies Deployed to Improve Aviation Security.''
    All costs, direct and indirect, associated with testing and 
certification (e.g., insurance, shipping, installation, set-up, 
technical operation, maintenance, calibration, disassembly, and TSA 
laboratory testing costs) must be borne by the vendor.

Summary of the Criteria for Certification of Explosive Trace Detection 
Systems

Terms Used

    For purposes of the criteria:
    An ``explosive trace'' is a minute residue of explosive materials 
that may be the remnant of threat activities, including bomb making or 
coming into close proximity with a suspect individual (e.g., bomb 
makers or bomb distributors).
    An ETD is a device, or combination of devices, that has the ability 
to detect and identify potential threats by looking for explosive 
traces in or on baggage and its contents, to include electronic items, 
electric items, courier pouches, and other concealments, as specified 
by TSA.
    The term ``baggage'' includes accessible property and checked 
baggage.
    The term ``accessible property'' includes to all items presented at 
the screening checkpoint prior to entering the sterile area including 
electronic and electric items intended to be carried into the sterile 
area or in the passenger cabin of the aircraft.

[[Page 48508]]

    The term ``checked baggage'' includes all passenger bags destined 
for the aircraft cargo hold, including originating and transfer 
baggage.
    The term ``nuisance alarm'' means an alarm by the ETD that may be 
caused by the presence of explosive traces when no bomb is present or 
by other materials that produce a signature indistinguishable from the 
explosives of interest.

General Requirements

    The ETD must operate effectively, efficiently, and reliably in an 
airport environment, with a reasonable nuisance alarm rate. To achieve 
certification, the system must demonstrate the ability to achieve 
operational requirements when used in the assigned mission role by 
representative operators provided with procedures. Additionally, the 
ETD must demonstrate a capability to sustain mission readiness when 
maintained by trained personnel using the defined maintenance schedule 
and procedures.
    TSA will certify ETD equipment based upon the criteria. TSA will 
also develop a list of certified equipment that is eligible for use in 
screening baggage (the Qualified Vendor Listing or QVL) in airport 
operations.
    The ETD must be approved by Underwriters Laboratory or equivalent, 
and if it employs a radioactive source, be licensed by the Nuclear 
Regulatory Commission (NRC). Radiation safety procedures must exist for 
each ETD containing radioactive materials to ensure compliance with 
pertinent regulations.
    The vendor must provide data certifying that the ETD and associated 
test equipment and tools meet the personnel and facility safety 
requirements specified by the Occupational Safety and Health 
Administration (OSHA) regulations and the National Electrical Code.
    The vendor must provide a general license to allow TSA, air 
carriers, and airport operators the legal right to operate the ETD 
without limitation for each location of installation and operation.
    TSA will certify only complete turnkey systems. TSA will not 
certify, or allow for use, individual components. Prior to final 
certification, TSA will require vendors to provide a complete baseline 
system with documentation. This documentation must include, but is not 
limited to: recommended system installation procedures with power and 
telecommunications requirements; calibration and sample collection 
procedures; minimum essential test equipment and devices; routine field 
testing and calibration procedures and test objects to be used; routine 
and emergency operating procedures; field preventative maintenance and 
repair procedures; and training programs.

Detection Requirements

    The ETD must demonstrate a very high probability of detection for 
each category of explosive. The ETD must detect and identify the 
explosives at the trace levels specified in the sensitive criteria when 
employed in the operational environment by representative personnel. 
The sensitive criteria identify the types and quantities of explosive 
materials (explosive trace) that must be detected, the minimum 
detection rate for each category of explosive, and the overall 
detection and maximum nuisance alarm rates. The criteria also specifies 
the requirement to detect the minimum quantity and larger quantities of 
each listed explosive.
    The ETD must detect and differentiate explosive materials from 
among all other materials that might be found deposited on a surface of 
interest, whether on the inside or outside of the baggage or its 
contents.
    The ETD, either as sold or with modification, must also be capable 
of field retrofit to identify new threats, including the marking agents 
for plastic explosives required by Public Law 104-132.
    The ETD must have a clear-down time specified in the sensitive 
criteria.

Operational Requirements

    The ETD must have a sampling method. The sampling method must 
provide for effective sampling from the variety of surfaces shapes, 
contours, and textures encountered in baggage and their contents. The 
sampling method must have sufficient flexibility to sample all 
potential areas of interest on and in the bag. The sampling method may 
be automated, and must be usable by the average baggage screener.
    The ETD sampling method must not cause damage visible to the naked 
eye or significant residual alteration of the screened subject(s) or 
its contents. Assume there will not be sample acquisition from scratch-
sensitive surfaces such as laptop computer screens and camera lenses.
    The ETD must display data using a built-in monitor and be viewable 
in normal lighting conditions using a glare-free screen. The monitor 
must be at least two inches on each side.
    The ETD must display a message on the monitor that identifies the 
explosive detected.
    The ETD must provide notification of NON-Detection by displaying a 
message on the monitor.
    The ETD must provide notification of detection of explosives by 
aural alarms.
    The ETD must provide a printed record indicating all available 
information associated with the alarm. The information must be 
sufficient for analysis of the sample, assistance in troubleshooting, 
and diagnosis of problems.
    The ETD's human-system interface, including displays, printed 
records of detection activity, visual and auditory alarms, and others, 
should conform to applicable provisions of DOT/FAA/CT-96/1 (Human 
Factors Engineering Design Guide for Non-Developmental and 
Developmental Items) for use by 5th percentile female through 95th 
percentile male users. Additionally, displays should conform to 
industry conventions for Graphical User Interface (GUI) or Object-
Oriented User Interface (OOUI) designs where GUI or OOUI displays are 
present. Displayed information must be heuristically appropriate and 
based on operator and maintainer task requirements.
    The ETD must be capable of processing a minimum of 180 samples per 
hour when no alarms are present (not including acquiring the sample). 
This time includes machine processing and analysis.
    The ETD must operate on 110 volt typical airport power.
    The ETD must be capable of being safely, effectively, and 
efficiently operated and maintained in its fielded configuration under 
all possible operating conditions (e.g., environment: lighting, and 
noise) by trained personnel using the procedures provided by the 
vendor.
    The ETD must be capable of being shut down, transported by one 
individual to a new site, reinstalled, and placed in an operational 
ready mode within a one hour period.
    The vendor must provide routine updates, upgrades, design 
modifications, and corrective performance improvements. A decision will 
be made by TSA if incorporating the upgrades require the vendor to re-
certify the ETD. The vendor must notify and obtain written approval 
from TSA, in accordance with the Configuration Management Plan (CMP), 
before incorporating any adaptation, update or upgrade of TSA deployed 
hardware, software, or firmware.

Reliability Requirements

    The ETD must demonstrate a mission reliability of 95% where mission 
reliability is defined as the ability of the

[[Page 48509]]

system to complete any given shift once operations are commenced.
    The ETD must be available for sample testing 95% of the time 
(defined as the availability of the unit to support the mission at any 
given time during any 24 hour period).
    The vendor must provide a maintenance schedule and maintenance 
procedures for the fielded configuration item that can be accomplished 
by site operator and maintenance personnel. The ETD must require less 
than an average of 30 minutes of general/preventive maintenance per 
day.
    The ETD must have a MTTR of less than 4 and a maximum time to 
repair of 24 hours including cool-down, disassembly, reassembly, warm-
up, verification of operation, and further diagnosis as required. The 
MTTR should be based on repair by a factory-trained technician.

Data Processing Requirements

    The ETD must provide data processing capability with an internal 
processor. This processor must be at a minimum equivalent to the 80486 
processor. The ETD must provide data directly to the TSA. The data 
elements are ``system'' and ``transaction'' data defined in the 
Certification Plan.

Training Requirements

    The ETD must demonstrate the capability to be operated and 
maintained by trained personnel; the training program must be matched 
and attuned to the skill level, qualifications, and capacity of current 
ETD operators and supervisors performing similar baggage inspection 
functions. The system must be delivered with technical documentation 
which at a minimum will consist of two System Technical Manuals to 
support the ETD: (1) an Operations Manual to support operations; and 
(2) a Maintenance Manual to support maintenance performed by 
technicians at the System sites.

Certification Requirements

    As required by the Certification Plan, vendors seeking TSA 
certification for an ETD must submit complete descriptive data, 
manuals, and airport test results to TSA prior to receiving permission 
to ship the ETD to the TSA Technical Center. TSA reserves the right to 
visit a vendor's facilities for technical quality assurance and 
configuration management purposes, require and/or monitor in-house 
tests, and review associated data prior to granting permission to ship 
equipment for certification testing.
    The vendor must provide documentation describing the ETD 
configuration management and quality assurance plans and practices 
applied during system development, production, and test and evaluation.
    Before the system is accepted for laboratory detection testing it 
must have been used in an airport and have processed over 4,000 bags. 
TSA will provide, on request, up to 100 sample test articles for use in 
the airport environment to allow realistic detection testing. Data from 
these tests may be used to help establish the appropriate alarm 
threshold and to evaluate various sampling tools and procedures. 
Nuisance alarm rates must be reported at the alarm threshold setting to 
be used in the laboratory testing. Additionally, the data on detection 
(based upon a set of 50 test articles), reliability and operational 
availability must be recorded and submitted as part of the pre-
certification documentation.
    The TSA Research and Development Technical Center in Atlantic City, 
New Jersey will perform certification tests for producers of candidate 
ETDs. The ETD Certification Test Director in the Office of 
Transportation Security Research and Development is the point of 
contact.
    After the ETD has demonstrated an acceptable level of detection in 
the laboratory, TSA will take the system to an airport to exercise and 
test the sample acquisition system and acquire nuisance alarm and 
reliability data by sampling at least 1,000 passenger bags.
    Operational field test and evaluation of the ETD is a critical 
component of the trace detector certification process. Using the same 
configuration demonstrated in the laboratory test, the ETD must 
demonstrate compliance with appropriate operational requirements, 
including usability, appropriately low nuisance alarm rates, automated 
data collection and retrieval capability, security protocols, 
reliability, maintainability, supportability, ease of use and 
transportability.

Considerations for the Qualified Vendors Listing (QVL)

    In addition to the mandatory Criteria discussed above, there are a 
number of other operational considerations that will influence any 
future TSA decision to place the equipment on the QVL. The QVL is the 
list of equipment that is eligible for TSA to purchase, deploy, and use 
ETD for screening baggage. While these considerations are not mandatory 
for certification of ETD, TSA highly recommends that vendors factor 
these considerations into development and design decisions. While such 
trade-offs may not affect certification under these Criteria, they will 
be considered during decision making regarding purchase and deployment 
of certified ETD. A detailed discussion of these economic and 
operational concerns are addressed in the Certification Plan.

    Authority: Pub. L. 107-71, 115 Stat. 597 (3001).

    Dated: July 15, 2002.
John W. Magaw,
Under Secretary of Transportation for Security.
[FR Doc. 02-18611 Filed 7-23-02; 8:45 am]
BILLING CODE 4910-62-P