Credentialing & STA

Pt. 1572

49 CFR Ch. XII (10–1–15 Edition)

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transportation eligible to receive Federal 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 States Code.
Security background check means reviewing the following for the purpose
of identifying individuals who may
pose a threat to transportation security, national security, or of terrorism:
(i) Relevant criminal history databases;
(ii) In the case of an alien (as defined
in sec. 101 of the Immigration and Nationality Act (8 U.S.C. 1101(a)(3)), the
relevant databases to determine the
status of the alien under the immigration laws of the United States; and
(iii) Other relevant information or
databases, as determined by the Secretary of Homeland Security.
(c) Prohibitions. (1) A public transportation agency or a contractor or subcontractor of a public transportation
agency may not knowingly misrepresent to an employee or other relevant
person, including an arbiter involved in
a labor arbitration, the scope, application, or meaning of any rules, regulations, directives, or guidance issued by
the Secretary of Homeland Security related to security background check requirements for covered individuals
when conducting a security background check.
(2) A railroad carrier or a contractor
or subcontractor of a railroad carrier
may not knowingly misrepresent to an
employee or other relevant person, including an arbiter involved in a labor
arbitration, the scope, application, or
meaning of any rules, regulations, directives, or guidance issued by the Secretary of Homeland Security related to
security background check requirements for covered individuals when
conducting a security background
check.
[73 FR 44669, July 31, 2008]

PART 1572—CREDENTIALING AND
SECURITY THREAT ASSESSMENTS
Subpart A—Procedures and General
Standards
Sec.
1572.1 Applicability.
1572.3 Scope.
1572.5 Standards for security threat assessments.
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
hazardous materials endorsement.
1572.15 Procedures for HME security threat
assessment.
1572.17 Applicant information 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.
1572.24–1572.40 [Reserved]

Subpart B—Qualification Standards for
Security Threat Assessments
1572.101 Scope.
1572.103 Disqualifying criminal offenses.
1572.105 Immigration status.
1572.107 Other analyses.
1572.109 Mental capacity.
1572.111–1572.139 [Reserved]

Subpart C—Transportation of Hazardous
Materials From Canada or Mexico To
and Within the United States by Land
Modes
1572.201 Transportation of hazardous materials 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 E—Fees for Security Threat
Assessments for Hazmat Drivers
1572.400
1572.401
1572.403

Scope and definitions.
Fee collection options.
Procedures for collection by States.

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Transportation Security Administration, DHS
1572.405

Procedures for collection by TSA.

Subpart F—Fees for Security Threat Assessments for Transportation Worker Identification Credential (TWIC)
1572.500
1572.501

Scope.
Fee collection.

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.
SOURCE: 72 FR 3595, Jan. 25, 2007, unless
otherwise noted.

Subpart A—Procedures and
General Standards
§ 1572.1

Applicability.

This part establishes regulations for
credentialing and security threat assessments for certain maritime and
land transportation workers.
§ 1572.3

Scope.

This part applies to—
(a) State agencies responsible for
issuing a hazardous materials endorsement (HME); and
(b) An applicant who—
(1) Is qualified to hold a commercial
driver’s license under 49 CFR parts 383
and 384, and is applying to obtain,
renew, or 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 accordance with 49 CFR 1572.201; or other
individuals approved by TSA.
[72 FR 3595, Jan. 25, 2007, as amended at 72
FR 55048, Sept. 28, 2007]

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§ 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 offense described in 49 CFR
1572.103;
(2) The applicant does not meet the
immigration status requirements described in 49 CFR 1572.105;
(3) TSA conducts the analyses described in 49 CFR 1572.107 and deter-

§ 1572.5

mines that the applicant poses a security threat; or
(4) The applicant has been adjudicated as 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 immediate threat to transportation security, national security, or of
terrorism.
(c) Violation of FMCSA Standards. The
regulations of the Federal Motor Carrier Safety Administration (FMCSA)
provide that an applicant is disqualified from operating a commercial
motor vehicle for specified periods, if
he 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 disqualify the applicant from operating a
commercial motor vehicle under 49
CFR 383.51, TSA will not issue a Determination of No Security Threat until
the State or the FMCSA determine
that the applicant is not disqualified
under that section.
(d) Waiver. In accordance with the requirements of § 1515.7, applicants may
apply for a waiver of certain security
threat assessment standards.
(e) Comparability of Other Security
Threat Assessment Standards. TSA may
determine that security threat assessments conducted by other governmental agencies are comparable to the
threat assessment described in this
part, which TSA conducts for HME and
TWIC applicants.
(1) In making a comparability determination, TSA will consider—
(i) The minimum standards used for
the security threat assessment;
(ii) The frequency of the threat assessment;
(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 determination, the agency seeking the
determination must contact the Assistant Program Manager, Attn: Federal
Agency Comparability Check, Hazmat

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§ 1572.7

49 CFR Ch. XII (10–1–15 Edition)

Threat Assessment Program, Transportation Security Administration, 601
South 12th Street, Arlington, VA 20598–
6019.
(3) TSA will notify the public when a
comparability determination is made.
(4) An applicant, who has completed
a security threat assessment that is determined to be comparable under this
section to the threat assessment described in this part, must complete the
enrollment process and provide biometric information to obtain a TWIC, if
the applicant seeks unescorted access
to a secure area of a vessel or facility.
The applicant must pay the fee listed
in 49 CFR 1572.503 for information collection/credential issuance.
(5) TSA has determined that the security threat assessment for an HME
under this part is comparable to the security threat assessment for TWIC.
(6) TSA has determined that the security 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 described in this part.
[72 FR 3595, Jan. 25, 2007, as amended at 77
FR 18717, Mar. 28, 2012]

jstallworth on DSK7TPTVN1PROD with CFR

§ 1572.7

[Reserved]

§ 1572.9 Applicant
information
required for HME security threat assessment.
An applicant must supply the information required in this section, in a
form acceptable to TSA, when applying
to obtain or renew an HME. When applying to transfer an HME from one
State to another, 49 CFR 1572.13(e) applies.
(a) Except as provided in (a)(12)
through (16), the applicant must provide the following identifying information:
(1) Legal name, including first, middle, and last; any applicable suffix; and
any other name used previously.
(2) Current and previous mailing address, current residential address if it
differs from the current mailing address, and e-mail address if available. If
the applicant prefers to receive correspondence and notification via email, 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 the applicant is a naturalized citizen of the
United States, the date of naturalization.
(8) Alien registration number, if applicable.
(9) The State of application, CDL
number, and type of HME(s) held.
(10) Name, telephone number, facsimile number, and address of the applicant’s current employer(s), if the applicant’s work for the employer(s) requires an HME. If the applicant’s current employer is the U.S. military
service, include branch of the service.
(11) Whether the applicant is applying to obtain, renew, or transfer an
HME or for a waiver.
(12) Social security number. Providing the social security number is
voluntary; however, failure to provide
it will delay and may prevent completion of the threat assessment.
(13) Passport number. This information is voluntary and may expedite the
adjudication process for applicants who
are U.S. citizens born abroad.
(14) Department of State Consular
Report of Birth Abroad. This information is voluntary and may expedite the
adjudication process for applicants who
are U.S. citizens born abroad.
(15) Whether the applicant has previously completed a TSA threat assessment, and if so the date and program
for which it was completed. This information 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 information is voluntary and may expedite the adjudication process for applicants who have completed a federal security threat assessment.
(b) The applicant must provide a
statement, signature, and date of signature that he or she—
(1) Was not convicted, or found not
guilty by reason of insanity, of a disqualifying crime listed in 49 CFR

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1572.103(b), in a civilian or military jurisdiction, during the seven years before the date of the application, or is
applying for a waiver;
(2) Was not released from incarceration, in a civilian or military jurisdiction, for committing a disqualifying
crime listed in 49 CFR 1572.103(b), during the five years before the date of the
application, or is applying for a waiver;
(3) Is not wanted, or under indictment, in a civilian or military jurisdiction, for a disqualifying criminal offense identified in 49 CFR 1572.103, or is
applying for a waiver;
(4) Was not convicted, or found not
guilty by reason of insanity, of a disqualifying 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 lacking mental capacity or committed to a
mental health facility involuntarily or
is applying for a waiver;
(6) Meets the immigration status requirements described in 49 CFR
1572.105;
(7) Has or has not served in the military, 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, under 49 CFR 1572.11, impose 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 disqualifying crime, adjudicated as lacking mental capacity, or committed to a
mental health facility.
(c) The applicant must certify and
date receipt the following statement:
Privacy Act Notice: Authority: The authority for collecting this information is 49
U.S.C. 114, 40113, and 5103a. Purpose: This information is needed to verify your identity
and to conduct a security threat assessment
to evaluate your suitability for a hazardous
materials endorsement for a commercial
driver’s license. Furnishing this information,
including your SSN or alien registration
number, is voluntary; however, failure to
provide it will delay and may prevent completion of your security threat assessment.
Routine Uses: Routine uses of this information include disclosure to the FBI to retrieve
your criminal history record; to TSA contractors or other agents who are providing
services relating to the security threat assessments; to appropriate governmental

§ 1572.11

agencies for licensing, law enforcement, or
security purposes, or in the interests of national security; and to foreign and international governmental authorities in accordance 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
application 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 application can be punished by fine or imprisonment 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 writing:
I acknowledge that if the Transportation
Security Administration determines that I
pose a security threat, my employer, as listed on this application, may be notified. If
TSA or other law enforcement agency becomes aware of an imminent threat to a
maritime facility or vessel, TSA may provide limited information necessary to reduce
the risk of injury or damage to the facility
or vessel.

§ 1572.11 Applicant responsibilities for
HME security threat assessment.
(a) Surrender of HME. If an individual
is disqualified from holding an HME
under 49 CFR 1572.5(c), he or she must
surrender the HME to the licensing
State. Failure to surrender the HME to
the State may result in immediate revocation under 49 CFR 1572.13(a) and/or
civil penalties.
(b) Continuing responsibilities. An individual who holds an HME must surrender the HME as required in paragraph (a) of this section within 24
hours, if the individual—
(1) Is convicted of, wanted, under indictment or complaint, or found not
guilty by reason of insanity, in a civilian or military jurisdiction, for a disqualifying criminal offense identified
in 49 CFR 1572.103; or
(2) Is adjudicated as lacking mental
capacity, or committed to a mental
health facility, as described in 49 CFR
1572.109; or
(3) Renounces or loses U.S. citizenship or status as a lawful permanent
resident; or

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§ 1572.13

49 CFR Ch. XII (10–1–15 Edition)

(4) Violates his or her immigration
status, and/or is ordered removed from
the United States.
(c) Submission of fingerprints and information. (1) An HME applicant must submit fingerprints and the information
required in 49 CFR 1572.9, in a form acceptable to TSA, when so notified by
the State, or when the applicant applies to obtain or renew an HME. The
procedures outlined in 49 CFR 1572.13(e)
apply to HME transfers.
(2) When submitting fingerprints and
the information required in 49 CFR
1572.9, the fee described in 49 CFR
1572.503 must be remitted to TSA.

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§ 1572.13 State
responsibilities
for
issuance of hazardous materials endorsement.
Each State must revoke an individual’s HME immediately, if TSA informs the State that the individual
does not meet the standards for security threat assessment in 49 CFR 1572.5
and issues an Initial Determination of
Threat Assessment and Immediate
Revocation.
(a) No State may issue or renew an
HME for a CDL, unless the State receives a Determination of No Security
Threat from TSA.
(b) Each State must notify each individual holding an HME issued by that
State that he or she will be subject to
the security threat assessment described in this part as part of an application for renewal of the HME, at least
60 days prior to the expiration date of
the individual’s HME. The notice must
inform the individual that he or she
may initiate the security threat assessment required by this section at any
time after receiving the notice, but no
later than 60 days before the expiration
date of the individual’s HME.
(c) The State that issued an HME
may extend the expiration date of the
HME for 90 days, if TSA has not provided a Determination of No Security
Threat or a Final Determination of
Threat Assessment before the expiration date. Any additional extension
must be approved in advance by TSA.
(d) Within 15 days of receipt of a Determination of No Security Threat or
Final Determination of Threat Assessment from TSA, the State must—

(1) Update the applicant’s permanent
record to reflect:
(i) The results of the security threat
assessment;
(ii) The issuance or denial of an HME;
and
(iii) The new expiration date of the
HME.
(2) Notify the Commercial Drivers License Information System (CDLIS) operator of the results of the security
threat assessment.
(3) Revoke or deny the applicant’s
HME if TSA serves the State with a
Final Determination of Threat Assessment.
(e) For applicants who apply to
transfer an existing HME from one
State to another, the second State will
not require the applicant to undergo a
new security threat assessment until
the security threat assessment renewal
period established in the preceding
issuing State, not to exceed five years,
expires.
(f) A State that is not using TSA’s
agent to conduct enrollment for the security threat assessment must retain
the application and information required in 49 CFR 1572.9, for at least one
year, in paper or electronic form.
§ 1572.15 Procedures for HME security
threat assessment.
(a) Contents of security threat assessment. The security threat assessment
TSA completes includes a fingerprintbased criminal history records check
(CHRC), an intelligence-related background check, and a final disposition.
(b) Fingerprint-based check. In order
to conduct a fingerprint-based CHRC,
the following procedures must be completed:
(1) The State notifies the applicant
that he or she will be subject to the security threat assessment at least 60
days prior to the expiration of the applicant’s HME, and that the applicant
must begin the security threat assessment no later than 30 days before the
date of the expiration of the HME.
(2) Where the State elects to collect
fingerprints and applicant information,
the State—
(i) Collects fingerprints and applicant
information required in 49 CFR 1572.9;

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Transportation Security Administration, DHS
(ii) Provides the applicant information to TSA electronically, unless otherwise authorized by TSA;
(iii) Transmits the fingerprints to the
FBI/Criminal
Justice
Information
Services (CJIS), in accordance with the
FBI/CJIS fingerprint submission standards; and
(iv) Retains the signed application, in
paper or electronic form, for one year
and provides it to TSA, if requested.
(3) Where the State elects to have a
TSA agent collect fingerprints and applicant information—
(i) TSA provides a copy of the signed
application to the State;
(ii) The State retains the signed application, in paper or electronic form,
for one year and provides it to TSA, if
requested; and
(iii) TSA transmits the fingerprints
to the FBI/CJIS, in accordance with
the FBI/CJIS fingerprint submission
standards.
(4) TSA receives the results from the
FBI/CJIS and adjudicates the results of
the check, in accordance with 49 CFR
1572.103 and, if applicable, 49 CFR
1572.107.
(c) Intelligence-related check. To conduct an intelligence-related check,
TSA completes the following procedures:
(1) Reviews the applicant information
required in 49 CFR 1572.9.
(2) Searches domestic and international Government databases described in 49 CFR 1572.105, 1572.107, and
1572.109.
(3) Adjudicates the results of the
check in accordance with 49 CFR
1572.103, 1572.105, 1572.107, and 1572.109.
(d) Final disposition. Following completion of the procedures described in
paragraphs (b) and/or (c) of this section, the following procedures apply, as
appropriate:
(1) TSA serves a Determination of No
Security Threat on the State in which
the applicant is authorized to hold an
HME, if TSA determines that an applicant meets the security threat assessment standards described in 49 CFR
1572.5.
(2) TSA serves an Initial Determination of Threat Assessment on the applicant, if TSA determines that the applicant does not meet the security threat
assessment standards described in 49

§ 1572.15

CFR 1572.5. The Initial Determination
of Threat Assessment includes—
(i) A statement that TSA has determined that the applicant poses a security threat warranting denial of the
HME;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as
described in 49 CFR 1515.5 or 1515.9, as
applicable; and
(iv) A statement that if the applicant
chooses not to appeal TSA’s determination within 60 days of receipt of the
Initial Determination, or does not request an extension of time within 60
days of receipt of the Initial Determination in order to file an appeal, the
Initial Determination becomes a Final
Determination of Security Threat Assessment.
(3) TSA serves an Initial Determination of Threat Assessment and Immediate Revocation on the applicant, the
applicant’s employer where appropriate, and the State, if TSA determines that the applicant does not meet
the security threat assessment standards described in 49 CFR 1572.5 and may
pose an imminent threat to transportation or national security, or of terrorism. The Initial Determination of
Threat Assessment and Immediate
Revocation includes—
(i) A statement that TSA has determined that the applicant poses a security threat warranting immediate revocation of an HME;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as
described in 49 CFR 1515.5(h) or
1515.9(f), as applicable; and
(iv) A statement that if the applicant
chooses not to appeal TSA’s determination within 60 days of receipt of the
Initial Determination and Immediate
Revocation, the Initial Determination
and Immediate Revocation becomes a
Final Determination of Threat Assessment.
(4) If the applicant does not appeal
the Initial Determination of Threat Assessment or Initial Determination of
Threat Assessment and Immediate
Revocation, TSA serves a Final Determination of Threat Assessment on the
State in which the applicant applied
for the HME, the applicant’s employer

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§ 1572.17

49 CFR Ch. XII (10–1–15 Edition)

where appropriate, and on the applicant, if the appeal of the Initial Determination results in a finding that the
applicant poses a security threat.
(5) If the applicant appeals the Initial
Determination of Threat Assessment
or the Initial Determination of Threat
Assessment and Immediate Revocation, the procedures in 49 CFR 1515.5 or
1515.9 apply.
(6) Applicants who do not meet certain standards in 49 CFR 1572.103,
1572.105, or 1572.109 may seek a waiver
in accordance with 49 CFR 1515.7.

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§ 1572.17 Applicant information required for TWIC security threat assessment.
An applicant must supply the information required in this section, in a
form acceptable to TSA, when applying
to obtain or renew a TWIC.
(a) Except as provided in (a)(12)
through (16), the applicant must provide the following identifying information:
(1) Legal name, including first, middle, and last; any applicable suffix; and
any other name used previously.
(2) Current and previous mailing address, current residential address if it
differs from the current mailing address, and e-mail address if available. If
the applicant wishes to receive notification that the TWIC is ready to be retrieved from the enrollment center via
telephone rather than e-mail address,
the applicant should state this and provide the correct telephone number.
(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
(i) If the applicant is a naturalized
citizen of the United States, the date of
naturalization;
(ii) If the applicant is present in the
United States based on a Visa, the type
of Visa, the Visa number, and the date
on which it expires; and
(iii) If the applicant is a commercial
driver licensed in Canada and does not
hold a FAST card, a Canadian passport.
(8) If not a national or citizen of the
United States, the alien registration
number and/or the number assigned to
the applicant on the U.S. Customs and

Border Protection Arrival-Departure
Record, Form I–94.
(9) Except as described in paragraph
(a)(9)(i) of this section, the reason that
the applicant requires a TWIC, including, as applicable, the applicant’s job
description and the primary facility,
vessel, or maritime port location(s)
where the applicant will most likely
require unescorted access, if known.
This statement does not limit access to
other facilities, vessels, or ports, but
establishes eligibility for a TWIC.
(i) Applicants who are commercial
drivers licensed in Canada or Mexico
who are applying for a TWIC in order
to transport hazardous materials in accordance with 49 CFR 1572.201 and not
to access secure areas of a facility or
vessel, must explain this in response to
the information requested in paragraph
(a)(9) of this section.
(10) The name, telephone number,
and address of the applicant’s current
employer(s), if working for the employer requires a TWIC. If the applicant’s current employer is the U.S.
military service, include the branch of
the service. An applicant whose current employer does not require possession of a TWIC, does not have a single
employer, or is self-employed, must
provide the primary vessel or port location(s) where the applicant requires
unescorted access, if known. This
statement does not limit access to
other facilities, vessels, or ports, but
establishes eligibility for a TWIC.
(11) If a credentialed mariner or applying to become a credentialed mariner, proof of citizenship as required in
46 CFR chapter I, subchapter B.
(12) Social security number. Providing the social security number is
voluntary; however, failure to provide
it will delay and may prevent completion of the threat assessment.
(13)
Passport
number,
city
of
issuance, date of issuance, and date of
expiration. This information is voluntary and may expedite the adjudication process for applicants who are
U.S. citizens born abroad.
(14) Department of State Consular
Report of Birth Abroad. This information is voluntary and may expedite the
adjudication process for applicants who
are U.S. citizens born abroad.

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Transportation Security Administration, DHS
(15) Whether the applicant has previously completed a TSA threat assessment, and if so the date and program
for which it was completed. This information 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 information is voluntary and may expedite the adjudication process for applicants who have completed a federal security threat assessment.
(b) The applicant must provide a
statement, signature, and date of signature that he or she—
(1) Was not convicted, or found not
guilty by reason of insanity, of a disqualifying crime listed in 49 CFR
1572.103(b), in a civilian or military jurisdiction, during the seven years before the date of the application, or is
applying for a waiver;
(2) Was not released from incarceration, in a civilian or military jurisdiction, for committing a disqualifying
crime listed in 49 CFR 1572.103(b), during the five years before the date of the
application, or is applying for a waiver;
(3) Is not wanted, or under indictment, in a civilian or military jurisdiction, for a disqualifying criminal offense identified in 49 CFR 1572.103, or is
applying for a waiver;
(4) Was not convicted, or found not
guilty by reason of insanity, of a disqualifying 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 lacking mental capacity, or committed to a
mental health facility involuntarily, or
is applying for a waiver;
(6) Meets the immigration status requirements described in 49 CFR
1572.105;
(7) Has, or has not, served in the military, 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 under 49 CFR 1572.19 impose a continuing obligation on the
TWIC holder to disclose to TSA if he or
she is convicted, or found not guilty by

§ 1572.17

reason of insanity, of a disqualifying
crime, adjudicated as lacking mental
capacity, or committed to a mental
health facility.
(c) Applicants, applying to obtain or
renew a TWIC, must submit biometric
information to be used for identity
verification purposes. If an individual
cannot provide the selected biometric,
TSA will collect an alternative biometric identifier.
(d) The applicant must certify and
date receipt the following statement:
Privacy Act Notice: Authority: The authority for collecting this information is 49
U.S.C. 114, 40113, and 5103a. Purpose: This information is needed to verify your identity
and to conduct a security threat assessment
to evaluate your suitability for a Transportation Worker Identification Credential.
Furnishing this information, including your
SSN or alien registration number, is voluntary; however, failure to provide it will
delay and may prevent completion of your
security threat assessment. Routine Uses:
Routine uses of this information include disclosure to the FBI to retrieve your criminal
history record; to TSA contractors or other
agents who are providing services relating to
the security threat assessments; to appropriate governmental agencies for licensing,
law enforcement, or security purposes, or in
the interests of national security; and to foreign and international governmental authorities in accordance with law and international agreement.

(e) The applicant must certify the
following statement in writing:
As part of my employment duties, I am required to have unescorted access to secure
areas of maritime facilities or vessels in
which a Transportation Worker Identification Credential is required; I am now, or I
am applying to be, a credentialed merchant
mariner; or I am a commercial driver licensed in Canada or Mexico transporting
hazardous materials in accordance with 49
CFR 1572.201.

(f) The applicant must certify and
date receipt the following statement,
immediately before the signature line:
The information I have provided on this
application 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 application, can be punished by fine or imprisonment or both (see section 1001 of Title 18
United States Code), and may be grounds for
denial of a Transportation Worker Identification Credential.

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§ 1572.19

49 CFR Ch. XII (10–1–15 Edition)

(g) The applicant must certify the
following statement in writing:
I acknowledge that if the Transportation
Security Administration determines that I
pose a security threat, my employer, as listed on this application, may be notified. If
TSA or other law enforcement agency becomes aware of an imminent threat to a
maritime facility or vessel, TSA may provide limited information necessary to reduce
the risk of injury or damage to the facility
or vessel.

jstallworth on DSK7TPTVN1PROD with CFR

§ 1572.19 Applicant responsibilities for
a TWIC security threat assessment.
(a) Implementation schedule. Except as
provided in paragraph (b) of this section, applicants must provide the information required in 49 CFR 1572.17, when
so directed by the owner/operator.
(b) Implementation schedule for certain
mariners. An applicant, who holds a
Merchant Mariner Document (MMD)
issued after February 3, 2003, and before April 15, 2009, or a Merchant Marine License (License) issued after January 13, 2006, and before April 15, 2009,
must submit the information required
in this section, but is not required to
undergo the security threat assessment
described in this part.
(c) Surrender of TWIC. The TWIC is
property of the Transportation Security Administration. If an individual is
disqualified from holding a TWIC under
49 CFR 1572.5, he or she must surrender
the TWIC to TSA. Failure to surrender
the TWIC to TSA may result in immediate revocation under 49 CFR 1572.5(b)
and/or civil penalties.
(d) Continuing responsibilities. An individual who holds a TWIC must surrender the TWIC, as required in paragraph (a) of this section, within 24
hours if the individual—
(1) Is convicted of, wanted, under indictment or complaint, or found not
guilty by reason of insanity, in a civilian or military jurisdiction, for a disqualifying criminal offense identified
in 49 CFR 1572.103; or
(2) Is adjudicated as lacking mental
capacity or committed to a mental
health facility, as described in 49 CFR
1572.109; or
(3) Renounces or loses U.S. citizenship or status as a lawful permanent
resident; or

(4) Violates his or her immigration
status and/or is ordered removed from
the United States.
(e) Submission of fingerprints and information. (1) TWIC applicants must submit fingerprints and the information
required in 49 CFR 1572.17, in a form acceptable to TSA, to obtain or renew a
TWIC.
(2) When submitting fingerprints and
the information required in 49 CFR
1572.17, the fee required in 49 CFR
1572.503 must be remitted to TSA.
(f) Lost, damaged, or stolen credentials.
If an individual’s TWIC is damaged, or
if a TWIC holder loses possession of his
or her credential, he or she must notify
TSA immediately.
[72 FR 3595, Jan. 25, 2007, as amended at 72
FR 55048, Sept. 28, 2007; 73 FR 25566, May 7,
2008]

§ 1572.21 Procedures for TWIC security threat assessment.
(a) Contents of security threat assessment. The security threat assessment
TSA conducts includes a fingerprintbased criminal history records check
(CHRC), an intelligence-related check,
and a final disposition.
(b) Fingerprint-based check. The following procedures must be completed
to conduct a fingerprint-based CHRC:
(1) Consistent with the implementation schedule described in 49 CFR
1572.19(a) and (b), and as required in 33
CFR 104.200, 105.200, or 106.200, applicants are notified.
(2) During enrollment, TSA—
(i) Collects fingerprints, applicant information, and the fee required in 49
CFR 1572.17;
(ii) Transmits the fingerprints to the
FBI/CJIS in accordance with the FBI/
CJIS fingerprint submission standards.
(iii) Receives and adjudicates the results of the check from FBI/CJIS, in
accordance with 49 CFR 1572.103 and, if
applicable, 49 CFR 1572.107.
(c) Intelligence-related check. To conduct an intelligence-related check,
TSA completes the following procedures:
(1) Reviews the applicant information
required in 49 CFR 1572.17;
(2) Searches domestic and international Government databases required to determine if the applicant

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Transportation Security Administration, DHS
meets the requirements of 49 CFR
1572.105, 1572.107, and 1572.109;
(3) Adjudicates the results of the
check in accordance with 49 CFR
1572.103, 1572.105, 1572.107, and 1572.109.
(d) Final disposition. Following completion of the procedures described in
paragraphs (b) and/or (c) of this section, the following procedures apply, as
appropriate:
(1) TSA serves a Determination of No
Security Threat on the applicant if
TSA determines that the applicant
meets the security threat assessment
standards described in 49 CFR 1572.5. In
the case of a mariner, TSA also serves
a Determination of No Security Threat
on the Coast Guard.
(2) TSA serves an Initial Determination of Threat Assessment on the applicant if TSA determines that the applicant does not meet the security threat
assessment standards described in 49
CFR 1572.5. The Initial Determination
of Threat Assessment includes—
(i) A statement that TSA has determined that the applicant poses a security threat warranting denial of the
TWIC;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as
described in 49 CFR 1515.5 or 1515.9, as
applicable; and
(iv) A statement that if the applicant
chooses not to appeal TSA’s determination within 60 days of receipt of the
Initial Determination, or does not request an extension of time within 60
days of receipt of the Initial Determination in order to file an appeal, the
Initial Determination becomes a Final
Determination of Security Threat Assessment.
(3) TSA serves an Initial Determination of Threat Assessment and Immediate Revocation on the applicant, the
applicant’s employer where appropriate, the FMSC, and in the case of a
mariner applying for a TWIC, on the
Coast Guard, if TSA determines that
the applicant does not meet the security threat assessment standards described in 49 CFR 1572.5 and may pose
an imminent security threat. The Initial Determination of Threat Assessment and Immediate Revocation includes—

§ 1572.23

(i) A statement that TSA has determined that the applicant poses a security threat warranting immediate revocation of a TWIC and unescorted access to secure areas;
(ii) The basis for the determination;
(iii) Information about how the applicant may appeal the determination, as
described in 49 CFR 1515.5(h) or
1515.9(f), as applicable; and
(iv) A statement that if the applicant
chooses not to appeal TSA’s determination within 60 days of receipt of the
Initial Determination and Immediate
Revocation, the Initial Determination
and Immediate Revocation becomes a
Final Determination of Threat Assessment.
(4) If the applicant does not appeal
the Initial Determination of Threat Assessment or Initial Determination of
Threat Assessment and Immediate
Revocation, TSA serves a Final Determination of Threat Assessment on the
FMSC and in the case of a mariner, on
the Coast Guard, and the applicant’s
employer where appropriate.
(5) If the applicant appeals the Initial
Determination of Threat Assessment
or the Initial Determination of Threat
Assessment and Immediate Revocation, the procedures in 49 CFR 1515.5 or
1515.9 apply.
(6) Applicants who do not meet certain standards in 49 CFR 1572.103,
1572.105, or 1572.109 may seek a waiver
in accordance with 49 CFR 1515.7.
§ 1572.23 TWIC expiration.
(a) A TWIC expires five years after
the date it was issued at the end of the
calendar day, except as follows:
(1) The TWIC was issued based on a
determination that the applicant completed a comparable threat assessment.
If issued pursuant to a comparable
threat assessment, the TWIC expires
five years from the date on the credential associated with the comparable
threat assessment.
(2) The applicant is in a lawful nonimmigrant status category listed in
1572.105(a)(7), and the status expires,
the employer terminates the employment relationship with the applicant,
or the applicant otherwise ceases working for the employer. Under any of
these circumstances, TSA deems the
TWIC to have expired regardless of the

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§§ 1572.24–1572.40

49 CFR Ch. XII (10–1–15 Edition)

expiration date on the face of the
TWIC.
(b) TSA may issue a TWIC for a term
less than five years to match the expiration of a visa.
§§ 1572.24–1572.40

[Reserved]

Subpart B—Standards for Security
Threat Assessments

jstallworth on DSK7TPTVN1PROD with CFR

§ 1572.101 Scope.
This subpart applies to applicants
who hold or are applying to obtain or
renew an HME or TWIC, or transfer an
HME. Applicants for an HME also are
subject to safety requirements issued
by the Federal Motor Carrier Safety
Administration under 49 CFR part 383
and by the State issuing the HME, including additional immigration status
and criminal history standards.
§ 1572.103 Disqualifying criminal offenses.
(a) Permanent disqualifying criminal offenses. An applicant has a permanent
disqualifying offense if convicted, or
found not guilty by reason of insanity,
in a civilian or military jurisdiction of
any of the following felonies:
(1) Espionage or conspiracy to commit espionage.
(2) Sedition, or conspiracy to commit
sedition.
(3) Treason, or conspiracy to commit
treason.
(4) A federal crime of terrorism as defined in 18 U.S.C. 2332b(g), or comparable State law, or conspiracy to
commit such crime.
(5) A crime involving a transportation security incident. A transportation security incident is a security
incident resulting in a significant loss
of life, environmental damage, transportation system disruption, or economic disruption in a particular area,
as defined in 46 U.S.C. 70101. The term
‘‘economic disruption’’ does not include a work stoppage or other employee-related action not related to
terrorism and resulting from an employer-employee dispute.
(6) Improper transportation of a hazardous material under 49 U.S.C. 5124, or
a State law that is comparable.
(7) Unlawful possession, use, sale, distribution, manufacture, purchase, re-

ceipt, transfer, shipping, transporting,
import, export, storage of, or dealing in
an explosive or explosive device. An explosive or explosive device includes,
but is not limited to, an explosive or
explosive material as defined in 18
U.S.C. 232(5), 841(c) through 841(f), and
844(j); and a destructive device, as defined in 18 U.S.C. 921(a)(4) and 26 U.S.C.
5845(f).
(8) Murder.
(9) Making any threat, or maliciously
conveying false information knowing
the same to be false, concerning the deliverance, placement, or detonation of
an explosive or other lethal device in
or against a place of public use, a state
or government facility, a public transportations system, or an infrastructure
facility.
(10) Violations of the Racketeer Influenced and Corrupt Organizations
Act, 18 U.S.C. 1961, et seq., or a comparable State law, where one of the
predicate acts found by a jury or admitted by the defendant, consists of
one of the crimes listed in paragraph
(a) of this section.
(11) Attempt to commit the crimes in
paragraphs (a)(1) through (a)(4).
(12) Conspiracy or attempt to commit
the crimes in paragraphs (a)(5) through
(a)(10).
(b) Interim disqualifying criminal offenses. (1) The felonies listed in paragraphs (b)(2) of this section are disqualifying, if either:
(i) the applicant was convicted, or
found not guilty by reason of insanity,
of the crime in a civilian or military
jurisdiction, within seven years of the
date of the application; or
(ii) the applicant was incarcerated
for that crime and released from incarceration within five years of the date
of the TWIC application.
(2) The interim disqualifying felonies
are:
(i) Unlawful possession, use, sale,
manufacture, purchase, distribution,
receipt, transfer, shipping, transporting, delivery, import, export of, or
dealing in a firearm or other weapon. A
firearm or other weapon includes, but
is not limited to, firearms as defined in
18 U.S.C. 921(a)(3) or 26 U.S.C. 5 845(a),
or items contained on the U.S. Munitions Import List at 27 CFR 447.21.
(ii) Extortion.

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Transportation Security Administration, DHS
(iii) Dishonesty, fraud, or misrepresentation, including identity fraud and
money laundering where the money
laundering is related to a crime described in paragraphs (a) or (b) of this
section. Welfare fraud and passing bad
checks do not constitute dishonesty,
fraud, or misrepresentation for purposes of this paragraph.
(iv) Bribery.
(v) Smuggling.
(vi) Immigration violations.
(vii) Distribution of, possession with
intent to distribute, or importation of
a controlled substance.
(viii) Arson.
(ix) Kidnapping or hostage taking.
(x) Rape or aggravated sexual abuse.
(xi) Assault with intent to kill.
(xii) Robbery.
(xiii) Fraudulent entry into a seaport
as described in 18 U.S.C. 1036, or a comparable State law.
(xiv) Violations of the Racketeer Influenced and Corrupt Organizations
Act, 18 U.S.C. 1961, et seq., or a comparable State law, other than the violations listed in paragraph (a)(10) of
this section.
(xv) Conspiracy or attempt to commit the crimes in this paragraph (b).
(c) Under want, warrant, or indictment.
An applicant who is wanted, or under
indictment in any civilian or military
jurisdiction for a felony listed in this
section, is disqualified until the want
or warrant is released or the indictment is dismissed.
(d) Determination of arrest status. (1)
When a fingerprint-based check discloses an arrest for a disqualifying
crime listed in this section without indicating a disposition, TSA will so notify the applicant and provide instructions on how the applicant must clear
the disposition, in accordance with
paragraph (d)(2) of this section.
(2) The applicant must provide TSA
with written proof that the arrest did
not result in conviction for the disqualifying criminal offense, within 60
days after the service date of the notification in paragraph (d)(1) of this section. If TSA does not receive proof in
that time, TSA will notify the applicant that he or she is disqualified. In
the case of an HME, TSA will notify
the State that the applicant is disqualified, and in the case of a mariner

§ 1572.105

applying for TWIC, TSA will notify the
Coast Guard that the applicant is disqualified.
[72 FR 3595, Jan. 25, 2007; 72 FR 5633, Feb. 7,
2007; 72 FR 14050, Mar. 26, 2007]

§ 1572.105 Immigration status.
(a) An individual applying for a security threat assessment for a TWIC or
HME must be a national of the United
States or—
(1) A lawful permanent resident of
the United States;
(2) A refugee admitted under 8 U.S.C.
1157;
(3) An alien granted asylum under 8
U.S.C. 1158;
(4) An alien in valid M–1 nonimmigrant status who is enrolled in
the United States Merchant Marine
Academy or a comparable State maritime academy. Such individuals may
serve as unlicensed mariners on a documented vessel, regardless of their nationality, under 46 U.S.C. 8103.
(5) A nonimmigrant alien admitted
under the Compact of Free Association
between the United States and the Federated States of Micronesia, the United
States and the Republic of the Marshall Islands, or the United States and
Palau.
(6) An alien in lawful nonimmigrant
status who has unrestricted authorization to work in the United States, except—
(i) An alien in valid S–5 (informant of
criminal organization information)
lawful nonimmigrant status;
(ii) An alien in valid S–6 (informant
of terrorism information) lawful nonimmigrant status;
(iii) An alien in valid K–1 (Fianco(e))
lawful nonimmigrant status; or
(iv) An alien in valid K–2 (Minor child
of Fianco(e)) lawful nonimmigrant status.
(7) An alien in the following lawful
nonimmigrant status who has restricted authorization to work in the
United States—
(i) B1/OCS Business Visitor/Outer
Continental Shelf;
(ii) C–1/D Crewman Visa;
(iii) H–1B Special Occupations;
(iv) H–1B1 Free Trade Agreement;
(v) E–1 Treaty Trader;
(vi) E–3 Australian in Specialty Occupation;

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§ 1572.107

49 CFR Ch. XII (10–1–15 Edition)

(vii) L–1 Intracompany Executive
Transfer;
(viii) O–1 Extraordinary Ability;
(ix) TN North American Free Trade
Agreement;
(x) E–2 Treaty Investor; or
(xi) Another authorization that confers legal status, when TSA determines
that the legal status is comparable to
the legal status set out in paragraph
(a)(7) of this section.
(8) A commercial driver licensed in
Canada or Mexico who is admitted to
the United States under 8 CFR
214.2(b)(4)(i)(E) to conduct business in
the United States.
(b) Upon expiration of a nonimmigrant status listed in paragraph
(a)(7) of this section, an employer must
retrieve the TWIC from the applicant
and provide it to TSA.
(c) Upon expiration of a nonimmigrant status listed in paragraph
(a)(7) of this section, an employee must
surrender his or her TWIC to the employer.
(d) If an employer terminates an applicant working under a nonimmigrant
status listed in paragraph (a)(7) of this
section, or the applicant otherwise
ceases working for the employer, the
employer must notify TSA within 5
business days and provide the TWIC to
TSA if possible.
(e) Any individual in removal proceedings or subject to an order of removal under the immigration laws of
the United States is not eligible to
apply for a TWIC.
(f) To determine an applicant’s immigration status, TSA will check relevant Federal databases and may perform other checks, including the validity of the applicant’s alien registration
number, social security number, or I–94
Arrival-Departure Form number.
[72 FR 3595, Jan. 25, 2007, as amended at 72
FR 55049, Sept. 28, 2007; 73 FR 13156, Mar. 12,
2008]

jstallworth on DSK7TPTVN1PROD with CFR

§ 1572.107

Other analyses.

(a) TSA may determine that an applicant poses a security threat based on a
search of the following databases:
(1) Interpol and other international
databases, as appropriate.
(2) Terrorist watchlists and related
databases.

(3) Any other databases relevant to
determining whether an applicant
poses, or is suspected of posing, a security threat, or that confirm an applicant’s identity.
(b) TSA may also determine that an
applicant poses a security threat, if the
search conducted under this part reveals extensive foreign or domestic
criminal convictions, a conviction for a
serious crime not listed in 49 CFR
1572.103, or a period of foreign or domestic imprisonment that exceeds 365
consecutive days.
§ 1572.109

Mental capacity.

(a) An applicant has mental incapacity, if he or she has been—
(1) Adjudicated as lacking mental capacity; or
(2) Committed to a mental health facility.
(b) An applicant is adjudicated as
lacking mental capacity if—
(1) A court, board, commission, or
other lawful authority has determined
that the applicant, as a result of
marked subnormal intelligence, mental
illness, incompetence, condition, or
disease, is a danger to himself or herself or to others, or lacks the mental
capacity to conduct or manage his or
her own affairs.
(2) This includes a finding of insanity
by a court in a criminal case and a
finding of incompetence to stand trial;
or a finding of not guilty by reason of
lack of mental responsibility, by any
court, or pursuant to articles 50a and
76b of the Uniform Code of Military
Justice (10 U.S.C. 850a and 876b).
(c) An applicant is committed to a
mental health facility if he or she is
formally committed to a mental health
facility by a court, board, commission,
or other lawful authority, including involuntary commitment and commitment for lacking mental capacity,
mental illness, and drug use. This does
not include commitment to a mental
health facility for observation or voluntary admission to a mental health
facility.

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Transportation Security Administration, DHS
§§ 1572.111–1572.139

[Reserved]

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Subpart C—Transportation of Hazardous Materials From Canada or Mexico To and Within
the United States by Land
Modes
§ 1572.201 Transportation
of
hazardous materials via commercial
motor vehicle from Canada or Mexico to and within the United States.
(a) Applicability. This section applies
to commercial motor vehicle drivers licensed by Canada and Mexico.
(b) Terms used in this section. The
terms used in 49 CFR parts 1500, 1570,
and 1572 also apply in this subpart. In
addition, the following terms are used
in this subpart for purposes of this section:
FAST means Free and Secure Trade
program of the Bureau of Customs and
Border Protection (CBP), a cooperative
effort between CBP and the governments of Canada and Mexico to coordinate processes for the clearance of
commercial shipments at the border.
Hazardous materials means material
that has been designated as hazardous
under 49 U.S.C. 5103 and is required to
be placarded under subpart F of 49 CFR
part 172 or any quantity of material
that listed as a select agent or toxin in
42 CFR part 73.
(c) Background check required. A commercial motor vehicle driver who is licensed by Canada or Mexico may not
transport hazardous materials into or
within the United States unless the
driver has undergone a background
check similar to the one required of
U.S.-licensed operators with a hazardous materials endorsement (HME)
on a commercial driver’s license, as
prescribed in 49 CFR 1572.5.
(d) FAST card. A commercial motor
vehicle driver who holds a current Free
and Secure Trade (FAST) program card
satisfies the requirements of this section. Commercial motor vehicle drivers
who wish to apply for a FAST program
card must contact the FAST Commercial Driver Program, Bureau of Customs and Border Protection (CBP), Department of Homeland Security.
(e) TWIC. A commercial motor vehicle driver who holds a TWIC satisfies
the requirements of this section. Com-

§ 1572.203

mercial vehicle drivers who wish to
apply for a TWIC must comply with the
rules in 49 CFR part 1572.
§ 1572.203 Transportation of explosives
from Canada to the United States
via railroad carrier.
(a) Applicability. This section applies
to railroad carriers that carry explosives from Canada to the United
States, using a train crew member who
is not a U.S. citizen or lawful permanent resident alien of the United
States.
(b) Terms under this section. For purposes of this section:
Customs and Border Protection (CBP)
means the Bureau of Customs and Border Protection, an agency within the
U.S. Department of Homeland Security.
Explosive means a material that has
been examined by the Associate Administrator for Hazardous Materials
Safety, Research and Special Programs
Administration, in accordance with 49
CFR 173.56, and determined to meet the
definition for a Class 1 material in 49
CFR 173.50.
Known railroad carrier means a person
that has been determined by the Governments of Canada and the United
States to be a legitimate business, operating in accordance with all applicable laws and regulations governing the
transportation of explosives.
Known offeror means an offeror that
has been determined by the Governments of Canada and the United States
to be a legitimate business, operating
in accordance with all applicable laws
and regulations governing the transportation of explosives.
Known train crew member means an
individual used to transport explosives
from Canada to the United States, who
has been determined by the Governments of Canada and the United States
to present no known security concern.
Lawful permanent resident alien means
an alien lawfully admitted for permanent residence, as defined by 8 U.S.C.
1101(a)(20).
Offeror means the person offering a
shipment to the railroad carrier for
transportation from Canada to the
United States, and may also be known
as the ‘‘consignor’’ in Canada.

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§ 1572.400

49 CFR Ch. XII (10–1–15 Edition)

Railroad carrier means ‘‘railroad carrier’’ as defined in 49 U.S.C. 20102.
(c) Prior approval of railroad carrier,
offeror, and train crew member. (1) No
railroad carrier may transport in commerce any explosive into the United
States from Canada, via a train operated by a crew member who is not a
U.S. national or lawful permanent resident alien, unless the railroad carrier,
offeror, and train crew member are
identified on a TSA list as a known
railroad carrier, known offeror, and
known train crew member, respectively.
(2) The railroad carrier must ensure
that it, its offeror, and each of its crew
members have been determined to be a
known railroad carrier, known offeror,
and known train crew member, respectively. If any has not been so determined, the railroad carrier must submit the following information to
Transport Canada:
(i) The railroad carrier’s identification, including—
(A) Official name;
(B) Business number;
(C) Any trade names; and
(D) Address.
(ii) The following information about
any offeror of explosives whose shipments it will carry:
(A) Official name.
(B) Business number.
(C) Address.
(iii) The following information about
any train crew member the railroad
carrier may use to transport explosives
into the United States from Canada,
who is neither a U.S. national nor lawful permanent resident alien:
(A) Full name.
(B) Both current and most recent
prior residential addresses.
(3) Transport Canada will determine
whether the railroad carrier and offeror are legitimately doing business in
Canada and will also determine whether the train crew members present no
known problems for purposes of this
section. Transport Canada will notify
TSA of these determinations by forwarding to TSA lists of known railroad
carriers, offerors, and train crew members and their identifying information.
(4) TSA will update and maintain the
list of known railroad carriers,

offerors, and train crew members and
forward the list to CBP.
(5) Once included on the list, the railroad carriers, offerors, and train crew
members need not obtain prior approval for future transport of explosives under this section.
(d) TSA checks. TSA may periodically
check the data on the railroad carriers,
offerors, and train crew members to
confirm their continued eligibility, and
may remove from the list any that
TSA determines is not known or is a
threat to security.
(e) At the border. (1) Train crew members who are not U.S. nationals or lawful permanent resident aliens. Upon arrival at a point designated by CBP for
inspection of trains crossing into the
United States, the train crew members
of a train transporting explosives must
provide sufficient identification to CBP
to enable that agency to determine if
each crew member is on the list of
known train crew members maintained
by TSA.
(2) Train crew members who are U.S.
nationals or lawful permanent resident
aliens. If CBP cannot verify that the
crew member is on the list and the
crew member is a U.S. national or lawful permanent resident alien, the crew
member may be cleared by CBP upon
providing—
(i) A valid U.S. passport; or
(ii) One or more other document(s),
including a form of U.S. Federal or
state Government-issued identification
with photograph, acceptable to CBP.
(3) Compliance. If a carrier attempts
to enter the U.S. without having complied with this section, CBP will deny
entry of the explosives and may take
other appropriate action.

Subpart D [Reserved]
Subpart E—Fees for Security Threat
Assessments for Hazmat Drivers
§ 1572.400 Scope and definitions.
(a) Scope. This part applies to—
(1) States that issue an HME for a
commercial driver’s license;
(2) Individuals who apply to obtain or
renew an HME for a commercial driver’s license and must undergo a security threat assessment under 49 CFR
part 1572; and

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Transportation Security Administration, DHS
(3) Entities who collect fees from
such individuals on behalf of TSA.
(b) Terms. As used in this part:
Commercial driver’s license (CDL) is
used as defined in 49 CFR 383.5.
Day means calendar day.
FBI Fee means the fee required for
the cost of the Federal Bureau of Investigation (FBI) to process fingerprint
records.
Information Collection Fee means the
fee required, in this part, for the cost
of collecting and transmitting fingerprints and other applicant information
under 49 CFR part 1572.
Threat Assessment Fee means the fee
required, in this part, for the cost of
TSA adjudicating security threat assessments, appeals, and waivers under
49 CFR part 1572.
TSA agent means an entity approved
by TSA to collect and transmit fingerprints and applicant information, in
accordance with 49 CFR part 1572, and
fees in accordance with this part.
§ 1572.401 Fee collection options.
(a) State collection and transmission. If
a State collects fingerprints and applicant information under 49 CFR part
1572, the State must collect and transmit to TSA the Threat Assessment
Fee, in accordance with the requirements of 49 CFR 1572.403. The State
also must collect and remit the FBI
fee, in accordance with established procedures.
(b) TSA agent collection and transmission. If a TSA agent collects fingerprints and applicant information under
49 CFR part 1572, the agent must—
(1) Collect the Information Collection
Fee, Threat Assessment Fee, and FBI
Fee, in accordance with procedures approved by TSA;
(2) Transmit to TSA the Threat Assessment Fee, in accordance with procedures approved by TSA; and
(3) Transmit to TSA the FBI Fee, in
accordance with procedures approved
by TSA and the FBI.

jstallworth on DSK7TPTVN1PROD with CFR

[72 FR 3595, Jan. 25, 2007; 72 FR 14050, Mar. 26,
2007]

§ 1572.403 Procedures for collection by
States.
This section describes the procedures
that a State, which collects fingerprints and applicant information under

§ 1572.403

49 CFR part 1572; and the procedures an
individual who applies to obtain or
renew an HME, for a CDL in that
State, must follow for collection and
transmission of the Threat Assessment
Fee and the FBI Fee.
(a) Imposition of fees. (1) An individual
who applies to obtain or renew an
HME, or the individuals’ employer,
must remit to the State the Threat Assessment Fee and the FBI Fee, in a
form and manner approved by TSA and
the State, when the individual submits
the application for the HME to the
State.
(2) TSA shall publish the Threat Assessment Fee described in this subpart
for an individual who applies to obtain
or renew and HME as a Notice in the
FEDERAL REGISTER. TSA reviews the
amount of the fees periodically, at
least once every two years, to determine the current cost of conducting security
threat
assessments.
Fee
amounts and any necessary revisions
to the fee amounts shall be determined
by current costs, using a method of
analysis consistent with widely accepted accounting principles and practices,
and calculated in accordance with the
provisions of 31 U.S.C. 9701 and other
applicable Federal law.
(3) The FBI Fee required for the FBI
to process fingerprint identification
records and name checks required
under 49 CFR part 1572 is determined
by the FBI under Public Law 101–515. If
the FBI amends this fee, the individual
must remit the amended fee.
(b) Collection of fees. (1) A State must
collect the Threat Assessment Fee and
FBI Fee, when an individual submits
an application to the State to obtain or
renew an HME.
(2) Once TSA receives an application
from a State for a security threat assessment under 49 CFR part 1572, the
State is liable for the Threat Assessment Fee.
(3) Nothing in this subpart prevents a
State from collecting any other fees
that a State may impose on an individual who applies to obtain or renew
an HME.
(c) Handling of fees. (1) A State must
safeguard all Threat Assessment Fees,
from the time of collection until remittance to TSA.

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jstallworth on DSK7TPTVN1PROD with CFR

§ 1572.405

49 CFR Ch. XII (10–1–15 Edition)

(2) All Threat Assessment Fees are
held in trust by a State for the beneficial interest of the United States in
paying for the costs of conducting the
security threat assessment, required by
49 U.S.C. 5103a and 49 CFR part 1572. A
State holds neither legal nor equitable
interest in the Threat Assessment
Fees, except for the right to retain any
accrued interest on the principal
amounts collected pursuant to this section.
(3) A State must account for Threat
Assessment Fees separately, but may
commingle such fees with other
sources of revenue.
(d) Remittance of fees. (1) TSA will
generate and provide an invoice to a
State on a monthly basis. The invoice
will indicate the total fee dollars (number of applicants times the Threat Assessment Fee) that are due for the
month.
(2) A State must remit to TSA full
payment for the invoice, within 30 days
after TSA sends the invoice.
(3) TSA accepts Threat Assessment
Fees only from a State, not from an individual applicant for an HME.
(4) A State may retain any interest
that accrues on the principal amounts
collected between the date of collection and the date the Threat Assessment Fee is remitted to TSA, in accordance with paragraph (d)(2) of this
section.
(5) A State may not retain any portion of the Threat Assessment Fee to
offset the costs of collecting, handling,
or remitting Threat Assessment Fees.
(6) Threat Assessment Fees, remitted
to TSA by a State, must be in U.S. currency, drawn on a U.S. bank, and made
payable to the ‘‘Transportation Security Administration.’’
(7) Threat Assessment Fees must be
remitted by check, money order, wire,
or any other payment method acceptable to TSA.
(8) TSA will not issue any refunds of
Threat Assessment Fees.
(9) If a State does not remit the
Threat Assessment Fees for any
month, TSA may decline to process
any HME applications from that State.
[72 FR 3595, Jan. 25, 2007, as amended at 78
FR 24359, Apr. 25, 2013]

§ 1572.405
TSA.

Procedures for collection by

This section describes the procedures
that an individual, who applies to obtain or renew an HME for a CDL, must
follow if a TSA agent collects and
transmits the Information Collection
Fee, Threat Assessment Fee, and FBI
Fee.
(a) Imposition of fees. (1) An individual
who applies to obtain or renew an
HME, or the individuals’ employer,
must remit to the TSA agent the Information Collection Fee, Threat Assessment Fee, and FBI Fee, in a form and
manner approved by TSA, when the individual submits the application required under 49 CFR part 1572.
(2) TSA shall publish the Information
Collection Fee and Threat Assessment
Fee described in this subpart for an individual who applies to obtain or renew
an HME as a Notice in the FEDERAL
REGISTER. TSA reviews the amount of
the fees periodically, at least once
every two years, to determine the current cost of conducting security threat
assessments. Fee amounts and any necessary revisions to the fee amounts
shall be determined by current costs,
using a method of analysis consistent
with widely accepted accounting principles and practices, and calculated in
accordance with the provisions of 31
U.S.C. 9701 and other applicable Federal law.
(3) The FBI Fee required for the FBI
to process fingerprint identification
records and name checks required
under 49 CFR part 1572 is determined
by the FBI under Public Law 101–515. If
the FBI amends this fee, TSA or its
agent, will collect the amended fee.
(b) Collection of fees. A TSA agent will
collect the fees required under this section, when an individual submits an application to the TSA agent, in accordance with 49 CFR part 1572.
(c) Remittance of fees. (1) Fees required under this section, which are remitted to a TSA agent, must be made
in U.S. currency, drawn on a U.S. bank,
and made payable to the ‘‘Transportation Security Administration.’’
(2) Fees required under this section
must be remitted by check, money
order, wire, or any other payment
method acceptable to TSA.

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Transportation Security Administration, DHS
(3) TSA will not issue any refunds of
fees required under this section.
(4) Applications, submitted in accordance with 49 CFR part 1572, will be
processed only upon receipt of all applicable fees under this section.
[72 FR 3595, Jan. 25, 2007, as amended at 78
FR 24359, Apr. 25, 2013]

Subpart F—Fees for Security Threat
Assessments for Transportation
Worker Identification Credential (TWIC)

jstallworth on DSK7TPTVN1PROD with CFR

§ 1572.500 Scope.
(a) Scope. This part applies to—
(1) Individuals who apply to obtain or
renew a Transportation Worker Identification Credential and must undergo a
security threat assessment under 49
CFR part 1572; and
(2) Entities that collect fees from
such individuals on behalf of TSA.
(b) Terms. As used in this part:
TSA agent means the entity approved
by TSA to collect and transmit fingerprints and applicant information, and
collect fees in accordance with this
part.
§ 1572.501 Fee collection.
(a) When fee must be paid. When an
applicant submits the information and
fingerprints required under 49 CFR part
1572 to obtain or renew a TWIC, the fee
must be remitted to TSA or its agent
in accordance with the requirements of
this section. Applications submitted in
accordance with 49 CFR part 1572 will
be processed only upon receipt of all required fees under this section.
(b) Standard TWIC Fees. The fee to obtain or renew a TWIC, except as provided in paragraphs (c) and (d) of this
section, includes the following segments:
(1) The Enrollment Segment Fee covers the costs for TSA or its agent to
enroll applicants.
(2) The Full Card Production/Security Threat Assessment Segment Fee
covers the costs for TSA or its agent to
conduct a security threat assessment
and produce the TWIC.
(3) The FBI Segment Fee covers the
costs for the FBI to process fingerprint
identification records, and is the
amount collected by the FBI under

§ 1572.501

Pub. L. 101–515. If the FBI amends this
fee, TSA or its agent will collect the
amended fee.
(c) Reduced TWIC Fee. The fee to obtain a TWIC when the applicant has
undergone a comparable threat assessment in connection with an HME,
FAST card, other threat assessment
deemed to be comparable under 49 CFR
1572.5(e) or holds a Merchant Mariner
Document or Merchant Mariner License is made up of the total of the following segments:
(1) The Enrollment Segment Fee covers the costs for TSA or its agent to
enroll applicants.
(2) The Reduced Card Production/Security Threat Assessment Segment
covers the costs for TSA to conduct a
portion of the security threat assessment and issue a TWIC.
(d) Card Replacement Fee. The Card
Replacement Fee covers the costs for
TSA to replace a TWIC when a TWIC
holder reports that his/her TWIC has
been lost, stolen, or damaged.
(e) Form of fee. The TSA vendor will
collect the fee required to obtain or
renew a TWIC and will determine the
method of acceptable payment, subject
to approval by TSA.
(f) Refunds. TSA will not issue any
refunds of fees required under this section.
(g) Imposition of fees. TSA routinely
establishes and collects fees to conduct
the security threat assessment and
credentialing process. These fees apply
to all entities requesting a security
threat assessment and/or credential.
The fees described in this section for an
individual who applies to obtain,
renew, or replace a TWIC under 49 CFR
part 1572, shall be published as a Notice
in the FEDERAL REGISTER. TSA reviews
the amount of these fees periodically,
at least once every two years, to determine the current cost of conducting security
threat
assessments.
Fee
amounts and any necessary revisions
to the fee amounts shall be determined
by current costs, using a method of
analysis consistent with widely-accepted accounting principles and practices,
and calculated in accordance with the

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Pt. 1580

49 CFR Ch. XII (10–1–15 Edition)

provisions of 31 U.S.C. 9701 and other
applicable Federal law.
[72 FR 3595, Jan. 25, 2007, as amended at 72
FR 55049, Sept. 28, 2007; 78 FR 24359, Apr. 25,
2013]

PART 1580—RAIL TRANSPORTATION
SECURITY
Subpart A—General
Sec.
1580.1
1580.3
1580.5

Scope.
Terms used in this part.
Inspection authority.

Subpart B—Freight Rail Including Freight
Railroad Carriers, Rail Hazardous Materials Shippers, Rail Hazardous Materials Receivers, and Private Cars
1580.100 Applicability.
1580.101 Rail security coordinator.
1580.103 Location and shipping information
for certain rail cars.
1580.105 Reporting significant security concerns.
1580.107 Chain of custody and control requirements.
1580.109 Preemptive effect.
1580.111 Harmonization of federal regulation
of nuclear facilities.

Subpart C—Passenger Rail Including Passenger Railroad Carriers, Rail Transit
Systems, Tourist, Scenic, Historic and
Excursion Operators, and Private Cars
1580.200 Applicability.
1580.201 Rail security coordinator.
1580.203 Reporting significant security concerns.
APPENDIX A TO PART 1580—HIGH THREAT
URBAN AREAS (HTUAS).
APPENDIX B TO PART 1580—SUMMARY OF THE
APPLICABILITY OF PART 1580
AUTHORITY: 49 U.S.C. 114.
SOURCE: 73 FR 72173, Nov. 26, 2008, unless
otherwise noted.

jstallworth on DSK7TPTVN1PROD with CFR

Subpart A—General
§ 1580.1 Scope.
(a) Except as provided in paragraph
(b) of this section, this part includes
requirements for the following persons.
Appendix B of this part summarizes the
general requirements for each person,
and the specific sections in this part
provide detailed requirements.
(1) Each freight railroad carrier that
operates rolling equipment on track

that is part of the general railroad system of transportation;
(2) Each rail hazardous materials
shipper that offers, prepares, or loads
for transportation in commerce by rail
one or more of the categories and quantities of rail security-sensitive materials set forth in § 1580.100(b) of this
part;
(3) Each rail hazardous materials receiver, located within a High Threat
Urban Area (HTUA) that receives in
commerce by rail or unloads one or
more of the categories and quantities
of rail security-sensitive materials set
forth in § 1580.100(b) of this part;
(4) Each passenger railroad carrier,
including each carrier operating light
rail or heavy rail transit service on
track that is part of the general railroad system of transportation, each
carrier operating or providing intercity
passenger train service or commuter or
other short-haul railroad passenger
service in a metropolitan or suburban
area (as described by 49 U.S.C. 20102),
and each public authority operating
passenger train service;
(5) Each passenger or freight railroad
carrier hosting an operation described
in paragraph (a)(4) of this section;
(6) Each tourist, scenic, historic, and
excursion rail operator, whether operating on or off the general railroad system of transportation;
(7) Each operator of private cars, including business/office cars and circus
trains, on or connected to the general
railroad system of transportation; and
(8) Each operator of a rail transit
system that is not operating on track
that is part of the general railroad system of transportation, including heavy
rail transit, light rail transit, automated guideway, cable car, inclined
plane, funicular, and monorail systems.
(b) This part does not apply to a
freight railroad carrier that operates
rolling equipment only on track inside
an installation that is not part of the
general railroad system of transportation.
§ 1580.3 Terms used in this part.
For purposes of this part:
Commuter passenger train service
means ‘‘train, commuter’’ as defined in
49 CFR 238.5, and includes a railroad
operation that ordinarily uses diesel or

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