DOT 49 CFR PART 1572-2010 CREDENTIALING AND SECURITY THREAT ASSESSMENTS.pdf

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1、421 Transportation Security Administration, 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

2、 section 20102 of title 49, United 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

3、alien (as defined in sec. 101 of the 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 Sec

4、urity. (c) Prohibitions. (1) A public 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 r

5、ules, regula-tions, directives, or 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 kno

6、wingly misrepresent to an employee 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

7、for covered individuals when conducting 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

8、 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 hazardous materials endorsement. 1572.15 Procedures for HME security threat assessment. 1572.17 Applicant i

9、nformation required for TWIC security threat assessment. 1572.19 Applicant responsibilities for a TWIC security threat assessment. 1572.21 Procedures for TWIC security threat assessment. 1572.23 TWIC expiration. 1572.241572.40 Reserved Subpart BQualification Standards for Security Threat Assessments

10、 1572.101 Scope. 1572.103 Disqualifying criminal offenses. 1572.105 Immigration status. 1572.107 Other analyses. 1572.109 Mental capacity. 1572.1111572.139 Reserved Subpart CTransportation of Hazardous Materials From Canada or Mexico To and Within the United States by Land Modes 1572.201 Transportat

11、ion of hazardous mate-rials via commercial motor vehicle from Canada or Mexico to and within the United States. 1572.203 Transportation of explosives from Canada to the United States via railroad carrier. Subpart D Reserved Subpart EFees for Security Threat Assessments for Hazmat Drivers 1572.400 Sc

12、ope and definitions. 1572.401 Fee collection options. 1572.403 Procedures for collection by States. VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00431 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking pe

13、rmitted without license from IHS-,-,-422 49 CFR Ch. XII (10110 Edition) 1572.1 1572.405 Procedures for collection by TSA. Subpart FFees for Security Threat Assess-ments for Transportation Worker Identi-fication Credential (TWIC) 1572.500 Scope. 1572.501 Fee collection. AUTHORITY: 46 U.S.C. 70105; 49

14、 U.S.C. 114, 5103a, 40113, and 46105; 18 U.S.C. 842, 845; 6 U.S.C. 469. SOURCE: 72 FR 3595, Jan. 25, 2007, unless otherwise noted. Subpart AProcedures and General Standards 1572.1 Applicability. This part establishes regulations for credentialing and security threat as-sessments for certain maritime

15、 and land transportation workers. 1572.3 Scope. This part applies to (a) State agencies responsible for issuing a hazardous materials endorse-ment (HME); and (b) An applicant who (1) Is qualified to hold a commercial drivers license under 49 CFR parts 383 and 384, and is applying to obtain, renew, o

16、r transfer an HME; or (2) Is applying to obtain or renew a TWIC in accordance with 33 CFR parts 104 through 106 or 46 CFR part 10; is a commercial driver licensed in Canada or Mexico and is applying for a TWIC to transport hazardous materials in ac-cordance with 49 CFR 1572.201; or other individuals

17、 approved by TSA. 72 FR 3595, Jan. 25, 2007, as amended at 72 FR 55048, Sept. 28, 2007 1572.5 Standards for security threat assessments. (a) Standards. TSA determines that an applicant poses a security threat warranting denial of an HME or TWIC, if (1) The applicant has a disqualifying criminal offe

18、nse described in 49 CFR 1572.103; (2) The applicant does not meet the immigration status requirements de-scribed in 49 CFR 1572.105; (3) TSA conducts the analyses de-scribed in 49 CFR 1572.107 and deter-mines that the applicant poses a secu-rity threat; or (4) The applicant has been adju-dicated as

19、lacking mental capacity or committed to a mental health facility, as described in 49 CFR 1572.109. (b) Immediate Revocation/Invalidation. TSA may invalidate a TWIC or direct a State to revoke an HME immediately, if TSA determines during the security threat assessment that an applicant poses an immed

20、iate threat to transpor-tation security, national security, or of terrorism. (c) Violation of FMCSA Standards. The regulations of the Federal Motor Car-rier Safety Administration (FMCSA) provide that an applicant is disquali-fied from operating a commercial motor vehicle for specified periods, if he

21、 or she has an offense that is listed in the FMCSA rules at 49 CFR 383.51. If records indicate that an applicant has committed an offense that would dis-qualify the applicant from operating a commercial motor vehicle under 49 CFR 383.51, TSA will not issue a Deter-mination of No Security Threat unti

22、l the State or the FMCSA determine that the applicant is not disqualified under that section. (d) Waiver. In accordance with the re-quirements of 1515.7, applicants may apply for a waiver of certain security threat assessment standards. (e) Comparability of Other Security Threat Assessment Standards

23、. TSA may determine that security threat assess-ments conducted by other govern-mental agencies are comparable to the threat assessment described in this part, which TSA conducts for HME and TWIC applicants. (1) In making a comparability deter-mination, TSA will consider (i) The minimum standards us

24、ed for the security threat assessment; (ii) The frequency of the threat as-sessment; (iii) The date of the most recent threat assessment; and (iv) Whether the threat assessment includes biometric identification and a biometric credential. (2) To apply for a comparability de-termination, the agency s

25、eeking the determination must contact the Assist-ant Program Manager, Attn: Federal Agency Comparability Check, Hazmat VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00432 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproducti

26、on or networking permitted without license from IHS-,-,-423 Transportation Security Administration, DHS 1572.9 Threat Assessment Program, Transpor-tation Security Administration, 601 South 12th Street, Arlington, VA 22202 4220. (3) TSA will notify the public when a comparability determination is mad

27、e. (4) An applicant, who has completed a security threat assessment that is de-termined to be comparable under this section to the threat assessment de-scribed in this part, must complete the enrollment process and provide biomet-ric information to obtain a TWIC, if the applicant seeks unescorted ac

28、cess to a secure area of a vessel or facility. The applicant must pay the fee listed in 49 CFR 1572.503 for information col-lection/credential issuance. (5) TSA has determined that the se-curity threat assessment for an HME under this part is comparable to the se-curity threat assessment for TWIC. (

29、6) TSA has determined that the se-curity threat assessment for a FAST card, under the Free and Secure Trade program administered by U.S. Customs and Border Protection, is comparable to the security threat assessment de-scribed in this part. 1572.7 Reserved 1572.9 Applicant information re-quired for

30、HME security threat as-sessment. An applicant must supply the infor-mation required in this section, in a form acceptable to TSA, when applying to obtain or renew an HME. When ap-plying to transfer an HME from one State to another, 49 CFR 1572.13(e) ap-plies. (a) Except as provided in (a)(12) throug

31、h (16), the applicant must pro-vide the following identifying informa-tion: (1) Legal name, including first, mid-dle, and last; any applicable suffix; and any other name used previously. (2) Current and previous mailing ad-dress, current residential address if it differs from the current mailing ad-

32、dress, and e-mail address if available. If the applicant prefers to receive cor-respondence and notification via e- mail, the applicant should so state. (3) Date of birth. (4) Gender. (5) Height, weight, hair color, and eye color. (6) City, state, and country of birth. (7) Immigration status and, if

33、 the ap-plicant is a naturalized citizen of the United States, the date of naturaliza-tion. (8) Alien registration number, if ap-plicable. (9) The State of application, CDL number, and type of HME(s) held. (10) Name, telephone number, fac-simile number, and address of the ap-plicants current employe

34、r(s), if the ap-plicants work for the employer(s) re-quires an HME. If the applicants cur-rent employer is the U.S. military service, include branch of the service. (11) Whether the applicant is apply-ing to obtain, renew, or transfer an HME or for a waiver. (12) Social security number. Pro-viding t

35、he social security number is voluntary; however, failure to provide it will delay and may prevent comple-tion of the threat assessment. (13) Passport number. This informa-tion is voluntary and may expedite the adjudication process for applicants who are U.S. citizens born abroad. (14) Department of

36、State Consular Report of Birth Abroad. This informa-tion is voluntary and may expedite the adjudication process for applicants who are U.S. citizens born abroad. (15) Whether the applicant has pre-viously completed a TSA threat assess-ment, and if so the date and program for which it was completed.

37、This infor-mation is voluntary and may expedite the adjudication process for applicants who have completed a TSA security threat assessment. (16) Whether the applicant currently holds a federal security clearance, and if so, the date of and agency for which the clearance was performed. This in-forma

38、tion is voluntary and may expe-dite the adjudication process for appli-cants who have completed a federal se-curity threat assessment. (b) The applicant must provide a statement, signature, and date of sig-nature that he or she (1) Was not convicted, or found not guilty by reason of insanity, of a d

39、is-qualifying crime listed in 49 CFR 1572.103(b), in a civilian or military ju-risdiction, during the seven years be-fore the date of the application, or is applying for a waiver; VerDate Mar2010 08:56 Nov 10, 2010 Jkt 220220 PO 00000 Frm 00433 Fmt 8010 Sfmt 8010 Y:SGML220220.XXX 220220erowe on DSK5

40、CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-424 49 CFR Ch. XII (10110 Edition) 1572.11 (2) Was not released from incarcer-ation, in a civilian or military jurisdic-tion, for committing a disqualifying crime listed in 49 CFR 157

41、2.103(b), dur-ing the five years before the date of the application, or is applying for a waiver; (3) Is not wanted, or under indict-ment, in a civilian or military jurisdic-tion, for a disqualifying criminal of-fense identified in 49 CFR 1572.103, or is applying for a waiver; (4) Was not convicted,

42、 or found not guilty by reason of insanity, of a dis-qualifying criminal offense identified in 49 CFR 1572.103(a), in a civilian or military jurisdiction, or is applying for a waiver; (5) Has not been adjudicated as lack-ing mental capacity or committed to a mental health facility involuntarily or i

43、s applying for a waiver; (6) Meets the immigration status re-quirements described in 49 CFR 1572.105; (7) Has or has not served in the mili-tary, and if so, the branch in which he or she served, the date of discharge, and the type of discharge; and (8) Has been informed that Federal regulations, und

44、er 49 CFR 1572.11, im-pose a continuing obligation on the HME holder to disclose to the State if he or she is convicted, or found not guilty by reason of insanity, of a dis-qualifying crime, adjudicated as lack-ing mental capacity, or committed to a mental health facility. (c) The applicant must cer

45、tify and date receipt the following statement: Privacy Act Notice: Authority: The au-thority for collecting this information is 49 U.S.C. 114, 40113, and 5103a. Purpose: This in-formation is needed to verify your identity and to conduct a security threat assessment to evaluate your suitability for a

46、 hazardous materials endorsement for a commercial drivers license. Furnishing this information, including your SSN or alien registration number, is voluntary; however, failure to provide it will delay and may prevent com-pletion of your security threat assessment. Routine Uses: Routine uses of this

47、informa-tion include disclosure to the FBI to retrieve your criminal history record; to TSA con-tractors or other agents who are providing services relating to the security threat as-sessments; to appropriate governmental agencies for licensing, law enforcement, or security purposes, or in the inter

48、ests of na-tional security; and to foreign and inter-national governmental authorities in accord-ance with law and international agreement. (d) The applicant must certify and date receipt the following statement, immediately before the signature line: The information I have provided on this applicat

49、ion is true, complete, and correct, to the best of my knowledge and belief, and is provided in good faith. I understand that a knowing and willful false statement, or an omission of a material fact on this applica-tion can be punished by fine or imprison-ment or both (See section 1001 of Title 18 United States Code), and may be grounds for denial of a hazardous materials endorsement. (e) The applicant must certify the following statement in writin