DOT 49 CFR PART 1570-2010 GENERAL RULES.pdf

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1、418 SUBCHAPTER DMARITIME AND LAND TRANSPORTATION SECURITY PART 1570GENERAL RULES Sec. 1570.1 Scope. 1570.3 Terms used in this subchapter. 1570.5 Fraud and intentional falsification of records. 1570.7 Fraudulent use or manufacture; re-sponsibilities of persons. 1570.9 Inspection of credential. 1570.1

2、1 Compliance, inspection, and enforce-ment. 1570.13 False statements regarding security background checks by public transpor-tation agency or railroad carrier. AUTHORITY: 46 U.S.C. 70105; 49 U.S.C. 114, 5103a, 40113, and 46105; 18 U.S.C. 842, 845; 6 U.S.C. 469; Pub. L. 11053 secs. 1414, 1522. SOURCE

3、: 72 FR 3593, Jan. 25, 2007, unless otherwise noted. 1570.1 Scope. This part applies to any person in-volved in land or maritime transpor-tation as specified in this subchapter. 1570.3 Terms used in this sub-chapter. For purposes of this subchapter: Adjudicate means to make an admin-istrative determ

4、ination of whether an applicant meets the standards in this subchapter, based on the merits of the issues raised. Alien means any person not a citizen or national of the United States. Alien registration number means the number issued by the U.S. Department of Homeland Security to an individual when

5、 he or she becomes a lawful per-manent resident of the United States or attains other lawful, non-citizen sta-tus. Applicant means a person who has ap-plied for one of the security threat as-sessments identified in this subchapter. Assistant Administrator for Threat As-sessment and Credentialing (As

6、sistant Administrator) means the officer des-ignated by the Assistant Secretary to administer the appeal and waiver pro-grams described in this part, except where the Assistant Secretary is spe-cifically designated in this part to ad-minister the appeal or waiver program. The Assistant Administrator

7、 may ap-point a designee to assume his or her duties. Assistant Secretary means Assistant Secretary for Homeland Security, Transportation Security Administra-tion (Assistant Secretary), the highest ranking TSA official, or his or her des-ignee, and who is responsible for mak-ing the final determinat

8、ion on the ap-peal of an intelligence-related check under this part. Commercial drivers license (CDL) is used as defined in 49 CFR 383.5. Convicted means any plea of guilty or nolo contendere, or any finding of guilt, except when the finding of guilt is subsequently overturned on appeal, pardoned, o

9、r expunged. For purposes of this subchapter, a conviction is ex-punged when the conviction is removed from the individuals criminal history record and there are no legal disabil-ities or restrictions associated with the expunged conviction, other than the fact that the conviction may be used for sen

10、tencing purposes for subsequent convictions. In addition, where an indi-vidual is allowed to withdraw an origi-nal plea of guilty or nolo contendere and enter a plea of not guilty and the case is subsequently dismissed, the in-dividual is no longer considered to have a conviction for purposes of thi

11、s sub-chapter. Determination of No Security Threat means an administrative determina-tion by TSA that an individual does not pose a security threat warranting denial of an HME or a TWIC. Federal Maritime Security Coordinator (FMSC) has the same meaning as de-fined in 46 U.S.C. 70103(a)(2)(G); is the

12、 Captain of the Port (COTP) exercising authority for the COTP zones described in 33 CFR part 3, and is the Port Facil-ity Security Officer as described in the International Ship and Port Facility Security (ISPS) Code, part A. Final Determination of Threat Assess-ment means a final administrative de-

13、termination by TSA, including the res-olution of related appeals, that an indi-vidual poses a security threat war-ranting denial of an HME or a TWIC. VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00428 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by

14、 IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-419 Transportation Security Administration, DHS 1570.3 Hazardous materials endorsement (HME) means the authorization for an individual to transport hazardous ma-terials in commerce, an indication of which must be

15、on the individuals com-mercial drivers license, as provided in the Federal Motor Carrier Safety Ad-ministration (FMCSA) regulations in 49 CFR part 383. Imprisoned or imprisonment means confined to a prison, jail, or institution for the criminally insane, on a full- time basis, pursuant to a sentence

16、 im-posed as the result of a criminal con-viction or finding of not guilty by rea-son of insanity. Time spent confined or restricted to a half-way house, treat-ment facility, or similar institution, pursuant to a sentence imposed as the result of a criminal conviction or find-ing of not guilty by re

17、ason of insanity, does not constitute imprisonment for purposes of this rule. Incarceration means confined or oth-erwise restricted to a jail-type institu-tion, half-way house, treatment facil-ity, or another institution, on a full or part-time basis, pursuant to a sentence imposed as the result of

18、a criminal con-viction or finding of not guilty by rea-son of insanity. Initial Determination of Threat Assess-ment means an initial administrative determination by TSA that an appli-cant poses a security threat war-ranting denial of an HME or a TWIC. Initial Determination of Threat Assess-ment and

19、Immediate Revocation means an initial administrative determina-tion that an individual poses a security threat that warrants immediate rev-ocation of an HME or invalidation of a TWIC. In the case of an HME, the State must immediately revoke the HME if TSA issues an Initial Determination of Threat As

20、sessment and Immediate Revocation. In the case of a TWIC, TSA invalidates the TWIC when TSA issues an Initial Determination of Threat As-sessment and Immediate Revocation. Invalidate means the action TSA takes to make a credential inoperative when it is reported as lost, stolen, dam-aged, no longer

21、needed, or when TSA determines an applicant does not meet the security threat assessment stand-ards of 49 CFR part 1572. Lawful permanent resident means an alien lawfully admitted for permanent residence, as defined in 8 U.S.C. 1101(a)(20). Maritime facility has the same mean-ing as facility togethe

22、r with OCS facility (Outer Continental Shelf fa-cility), as defined in 33 CFR 101.105. Mental health facility means a mental institution, mental hospital, sani-tarium, psychiatric facility, and any other facility that provides diagnoses by licensed professionals of mental re-tardation or mental illn

23、ess, including a psychiatric ward in a general hospital. National of the United States means a citizen of the United States, or a per-son who, though not a citizen, owes permanent allegiance to the United States, as defined in 8 U.S.C. 1101(a)(22), and includes American Samoa and Swains Island. Owne

24、r/operator with respect to a mar-itime facility or a vessel has the same meaning as defined in 33 CFR 101.105. Revocation means the termination, deactivation, rescission, invalidation, cancellation, or withdrawal of the privileges and duties conferred by an HME or TWIC, when TSA determines an applic

25、ant does not meet the secu-rity threat assessment standards of 49 CFR part 1572. Secure area means the area on board a vessel or at a facility or outer conti-nental shelf facility, over which the owner/operator has implemented secu-rity measures for access control, as de-fined by a Coast Guard appro

26、ved secu-rity plan. It does not include passenger access areas or public access areas, as those terms are defined in 33 CFR 104.106 and 105.106 respectively. Vessels operating under the waivers provided for at 46 U.S.C. 8103(b)(3)(A) or (B) have no secure areas. Facilities subject to 33 CFR chapter

27、I, subchapter H, part 105 may, with approval of the Coast Guard, designate only those portions of their facility that are directly connected to maritime transportation or are at risk of being involved in a transportation security incident as their secure areas. Security threat means an individual wh

28、om TSA determines or suspects of posing a threat to national security; to transportation security; or of ter-rorism. Sensitive security information (SSI) means information that is described in, VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00429 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 22022

29、0erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-420 49 CFR Ch. XII (10110 Edition) 1570.5 and must be managed in accordance with, 49 CFR part 1520. State means a State of the United States and the District of Columbia

30、. Transportation Worker Identification Credential (TWIC) means a Federal bio-metric credential, issued to an indi-vidual, when TSA determines that the individual does not pose a security threat. Withdrawal of Initial Determination of Threat Assessment is the document that TSA issues after issuing an

31、 Initial De-termination of Security Threat, when TSA determines that an individual does not pose a security threat that warrants denial of an HME or TWIC. 72 FR 3593, Jan. 25, 2007; 72 FR 14050, Mar. 26, 2007 1570.5 Fraud and intentional fal-sification of records. No person may make, cause to be mad

32、e, attempt, or cause to attempt any of the following: (a) Any fraudulent or intentionally false statement in any record or report that is kept, made, or used to show compliance with the subchapter, or ex-ercise any privileges under this sub-chapter. (b) Any reproduction or alteration, for fraudulent

33、 purpose, of any record, report, security program, access me-dium, or identification medium issued under this subchapter or pursuant to standards in this subchapter. 1570.7 Fraudulent use or manufac-ture; responsibilities of persons. (a) No person may use or attempt to use a credential, security thr

34、eat assess-ment, access control medium, or iden-tification medium issued or conducted under this subchapter that was issued or conducted for another person. (b) No person may make, produce, use or attempt to use a false or fraudu-lently created access control medium, identification medium or securit

35、y threat assessment issued or conducted under this subchapter. (c) No person may tamper or inter-fere with, compromise, modify, at-tempt to circumvent, or circumvent TWIC access control procedures. (d) No person may cause or attempt to cause another person to violate paragraphs (a)(c) of this sectio

36、n. 1570.9 Inspection of credential. (a) Each person who has been issued or possesses a TWIC must present the TWIC for inspection upon a request from TSA, the Coast Guard, or other authorized DHS representative; an au-thorized representative of the National Transportation Safety Board; or a Fed-eral,

37、 State, or local law enforcement officer. (b) Each person who has been issued or who possesses a TWIC must allow his or her TWIC to be read by a reader and must submit his or her reference biometric, such as a fingerprint, and any other required information, such as a PIN, to the reader, upon a requ

38、est from TSA, the Coast Guard, other au-thorized DHS representative; or a Fed-eral, State, or local law enforcement officer. 1570.11 Compliance, inspection, and enforcement. (a) Each owner/operator must allow TSA, at any time or place, to make any inspections or tests, including copying records, to

39、determine compli-ance of an owner/operator with (1) This subchapter and part 1520 of this chapter; and (2) 46 U.S.C. 70105 and 49 U.S.C. 114. (b) At the request of TSA, each owner/operator must provide evidence of compliance with this subchapter and part 1520 of this chapter, including cop-ies of re

40、cords. 1570.13 False statements regarding security background checks by pub-lic transportation agency or rail-road carrier. (a) Scope. This section implements sections 1414(e) (6 U.S.C. 1143) and 1522(e) (6 U.S.C. 1170) of the Imple-menting Recommendations of the 9/11 Commission Act of 2007, Pub. L.

41、 110 53. (b) Definitions. Covered individual means an employee of a public transportation agency or a contractor or subcontractor of a public transportation agency or an employee of a railroad carrier or a contractor or subcontractor of a railroad carrier. Public transportation agency means a public

42、ly-owned operator of public VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00430 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-421 Transportation Security Adminis

43、tration, DHS Pt. 1572 transportation eligible to receive Fed-eral assistance under chapter 53 of title 49, United States Code. Railroad has the meaning that term has in section 20102 of title 49, United States Code. Railroad carrier has the meaning that term has in section 20102 of title 49, United

44、States Code. Security background check means re-viewing the following for the purpose of identifying individuals who may pose a threat to transportation secu-rity, national security, or of terrorism: (i) Relevant criminal history data-bases; (ii) In the case of an alien (as defined in sec. 101 of th

45、e Immigration and Na-tionality Act (8 U.S.C. 1101(a)(3), the relevant databases to determine the status of the alien under the immigra-tion laws of the United States; and (iii) Other relevant information or databases, as determined by the Sec-retary of Homeland Security. (c) Prohibitions. (1) A publ

46、ic transpor-tation agency or a contractor or sub-contractor of a public transportation agency may not knowingly misrepre-sent to an employee or other relevant person, including an arbiter involved in a labor arbitration, the scope, applica-tion, or meaning of any rules, regula-tions, directives, or

47、guidance issued by the Secretary of Homeland Security re-lated to security background check re-quirements for covered individuals when conducting a security back-ground check. (2) A railroad carrier or a contractor or subcontractor of a railroad carrier may not knowingly misrepresent to an employee

48、or other relevant person, in-cluding an arbiter involved in a labor arbitration, the scope, application, or meaning of any rules, regulations, di-rectives, or guidance issued by the Sec-retary of Homeland Security related to security background check require-ments for covered individuals when conduc

49、ting a security background check. 73 FR 44669, July 31, 2008 PART 1572CREDENTIALING AND SECURITY THREAT ASSESSMENTS Subpart AProcedures and General Standards Sec. 1572.1 Applicability. 1572.3 Scope. 1572.5 Standards for security threat assess-ments. 1572.7 Reserved 1572.9 Applicant information required for HME security threat assessment. 1572.11 Applicant responsibilities for HME security threat assessment. 1572.13 State responsibilities for issuance of