49 CFR Part 1572 — Credentialing and Security Threat Assessments

PART 1572—CREDENTIALING AND SECURITY THREAT ASSESSMENTS 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] § 1572.5 Standards for security threat assessments. (a) Standards. (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 determines 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. (c) Violation of FMCSA Standards. (d) Waiver. (e) Comparability of Other Security Threat Assessment Standards. (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 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] § 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 e-mail, the applicant should so state. (3) Date of birth. (4) Sex. (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 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 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 (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. [72 FR 3595, Jan. 25, 2007, as amended at 90 FR 21690, May 21, 2025] § 1572.11 Applicant responsibilities for HME security threat assessment. (a) Surrender of HME. (b) Continuing responsibilities. (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. (c) Submission of fingerprints and information. (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. § 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. (b) Fingerprint-based check. (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; (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. (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. (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 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 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. § 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) Sex. (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. (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 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. (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. [72 FR 3595, Jan. 25, 2007, as amended at 90 FR, May 21, 2025] § 1572.19 Applicant responsibilities for a TWIC security threat assessment. (a) Implementation schedule. (b) Implementation schedule for certain mariners. (c) Surrender of TWIC. (d) Continuing responsibilities. (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. (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. [72 FR 3595, Jan. 25, 2007, as amended at 72 FR 55048, Sept. 28, 2007; 73 FR 25566, May 7, 2008; 90 FR 21690, May 21, 2025] § 1572.21 Procedures for TWIC security threat assessment. (a) Contents of security threat assessment. (b) Fingerprint-based check. (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. (1) Reviews the applicant information required in 49 CFR 1572.17; (2) Searches domestic and international Government databases required to determine if the applicant 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. (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— (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 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 § 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. (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, receipt, 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., (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. (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. (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., (xv) Conspiracy or attempt to commit the crimes in this paragraph (b). (c) Under want, warrant, or indictment. (d) Determination of arrest status. (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 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; (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] § 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. §§ 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. (a) Applicability. (b) Terms used in this section. FAST Hazardous materials (c) Background check required. (d) FAST card. (e) TWIC. § 1572.203 Transportation of explosives from Canada to the United States via railroad carrier. (a) Applicability. (b) Terms under this section. Customs and Border Protection Explosive Known railroad carrier Known offeror Known train crew member Lawful permanent resident alien Offeror Railroad carrier (c) Prior approval of railroad carrier, offeror, and train crew member. (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. (e) At the border. (2) Train crew members who are U.S. nationals or lawful permanent resident aliens. (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. Subpart D [Reserved] Subpart E—Fees for Security Threat Assessments for Hazmat Drivers § 1572.400 Scope and definitions. (a) Scope. (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 (3) Entities who collect fees from such individuals on behalf of TSA. (b) Terms. Commercial driver's license (CDL) FBI Fee Information Collection Fee Threat Assessment Fee TSA agent [85 FR 16499, Mar. 23, 2020, as amended at 89 FR 35631, May 1, 2024] § 1572.401 Fee collection options. (a) State collection and transmission. (b) TSA agent collection and transmission. (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. [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 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. (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. (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. (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. (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. (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 Procedures for collection by TSA. 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. (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. (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. (c) Remittance of fees. (2) Fees required under this section must be remitted by check, money order, wire, or any other payment method acceptable to TSA. (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) § 1572.500 Scope. (a) Scope. (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. TSA agent § 1572.501 Fee collection. (a) When fee must be paid. (b) Standard TWIC Fees. (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 Pub. L. 101-515. If the FBI amends this fee, TSA or its agent will collect the amended fee. (c) Reduced TWIC Fee. (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. (e) Form of fee. (f) Refunds. (g) Imposition of fees. Federal Register. [72 FR 3595, Jan. 25, 2007, as amended at 72 FR 55049, Sept. 28, 2007; 78 FR 24359, Apr. 25, 2013]

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