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19 Table 3-4. Credential attributes matrix. Radio Frequency Identification Tamper-resistant features Issuing Location/Branch Social Security Number Unique Serial Number Authorization Agency Dual Interface ICC Date of Expiration Magnetic Strip Endorsements Place of Birth Access Level Date of Birth Date of Issue Photograph Citizenship Hair Color Full Name Eye Color Employer Bar Code Signature Address If found Weight Height Applicable Sex Crede ntial Mode SIDA Air Passport All TWIC Marine MMD Marine MMC Marine CDL-HME Highway FAST Highway USPS Highway NEXUS Highway SENTRI Highway CAC Highway graphic representation of the similarities among credentials TSA (1519) within a particular mode. There are 27 unique attributes identified from 11 creden- TWIC tials. Three attributes, full name, date of expiration, and pho- Permanent Disqualifying Criminal Offenses--no time limit tograph, are common to all credentials. Ten of the attributes Espionage or conspiracy to commit espionage; apply to the majority (>50%) of the credentials. In addition to Sedition or conspiracy to commit sedition; the three previously stated, the other seven include: tamper- Treason or conspiracy to commit treason; resistant features (91% applicable), unique serial number A crime listed in 18 U.S.C. Chapter 113B--Terrorism or (64% applicable), date of birth (64% applicable), citizenship conspiracy to commit such a crime; (55% applicable), sex (55% applicable), endorsements (55% A crime involving a transportation security incident; applicable), and bar code (55% applicable). Improper transportation of a hazardous material; Table 3-5 provides a brief overview of the technology types Unlawful possession, use, sale, distribution, manufac- and associated information contained within the specified cre- ture, purchase, receipt, transfer, shipping, transporting, dentials. In some cases (e.g., TWIC), the credentials have been import, export, storage of or dealing in an explosive or designed to allow for additional information to be stored on explosive device; the credential. Murder; Threat or maliciously conveying false information know- ing the same to be false, concerning the deliverance, place- Disqualifying Offenses ment, or detonation of an explosive or other lethal device Disqualifying offenses are those offenses that would bar an in or against a place of public use, state or government facil- applicant from qualifying for a credential. In many cases these ity, a public transportation system, or an infrastructure are specific criminal violations that are stated as such. In some facility; cases, the disqualifying offenses are related to monetary infrac- Certain Racketeer Influenced and Corrupt Organizations tions, applicant flight risk, or suspicion of an applicant based (RICO) Act violations (in which the predicate act is one on intelligence information. The disqualifying offenses are of the permanently disqualifying crimes); grouped by issuing agency rather than credential; this is to Conspiracy or attempt to commit crimes in 49 CFR Part provide an understanding of the threats, or perceived threats, 1572 Subpart B Paragraph (a)(5)--(a)(10); for each issuing agency. Again, a list of the issuing agencies can Interim Disqualifying Criminal Offenses--Conviction be found in Table 3-1 of this report. within 7 years, or release from incarceration within 5 years,

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20 Table 3-5. Credential technology description. Credential Technology Information TWIC Smart Card Photograph Dual interface integrated circuit chip Fingerprints (ICC) Personal ID number Magnetic strip Meets FIPS 201-1 & ANSI 322 Standards Bar code Durability tests performed: -Flexure -U/V exposure -Humidity -Surface abrasion -Fading -Laundry test CDL-HME 3-D bar code Name, address Endorsements, restrictions Birth date, expiration date ID number Sex, eye color, height There may be some variance due to issuing state. SIDA Magnetic strip 26-bit encryption. Contains a 6-digit number defining levels of Different badge colors for levels of access. access. Embedded hologram. FAST An antenna and integrated-circuit radio Unique serial number NEXUS frequency identification (RFID) The number is read wirelessly and sent to back- SENTRI containing a unique number to verify the end computer systems. The systems retrieve identity of the bearer to border protection personally identifiable information. (The unique officers. number does not in itself contain any personally identifiable information.) The systems involved are law enforcement databases, watch lists, and credential application information. Passport Embedded Electronic Chip (RFID) New ePassports contain an embedded chip that is a duplicate electronic copy of all information from the data page--name, date of birth, place of birth, issuing office, and a digitized photo. of application; includes wants and warrants associated with Conspiracy or attempt to commit crimes in 49 CFR the following crimes: 1572 Subpart B Paragraph (b). Unlawful possession, use, sale, manufacture, purchase, distribution, receipt, transfer, shipping, transporting, USCG (20) import, export, storage of or dealing in a firearm or other weapon; MMC Extortion; Table 3-6 illustrates the disqualifying offenses for the Dishonesty, fraud, or misrepresentation, including iden- MMC. tity fraud and money laundering; Bribery; Smuggling; Individual States (2122) Immigration violations; CDL-HME Distribution, possession with intent to distribute, or importation of a controlled substance; The TSA performs the security threat assessment for HMEs; Arson; thus, it is the same for all states. Kidnapping or hostage-taking; Rape or aggravated sexual abuse; Permanently Disqualifying Criminal Offenses--Applicants Assault with intent to murder; are permanently disqualified from holding an HME on a Robbery; state-issued CDL if convicted or found not guilty by rea- Lesser violations of the RICO Act; or son of insanity for any of the following crimes:

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21 Table 3-6. Disqualifying offenses for the MMC. Crime1 Minimum Maximum Assessment Periods for Officer and Rating Endorsements Year(s) Years Crimes against Persons Homicide (intentional) 7 20 Homicide (unintentional) 5 10 Assault (aggravated) 5 10 Assault (simple) 1 5 Sexual assault (rape, child molestation) 5 10 Robbery 5 10 Other Crimes against Persons2 Vehicular Crimes Conviction involving fatality 1 5 Reckless driving 1 2 Racing on the highways 1 2 Other vehicular crimes Crimes against Public Safety Destruction of property 5 10 Other crimes against public safety Dangerous Drug Offenses3,4,5 Crime Minimum Maximum Trafficking (sale, distribution, transfer) 5 10 Dangerous drugs (use or possession) 1 10 Other dangerous drug convictions6 Assessment Periods for Officer Endorsements Only Criminal Violations of Environmental Laws Criminal violations of environmental laws involving 1 10 improper handling of pollutants or HazMat Crimes against Property Burglary 3 10 Larceny 3 5 Other crimes against property Notes: 1 Convictions of attempts, solicitations, aiding and abetting, accessory after the fact, and conspiracies to commit criminal conduct listed in this table carry the same minimum and maximum assessment periods provided in the table. 2 Other crimes will be reviewed by the USCG to determine the minimum and maximum assessment periods depending on the nature of the crime. 3 Applicable to original applications only. Any applicant who has ever been the user of, or addicted to the use of, a dangerous drug shall meet the requirements of Paragraph (f) of 46 CFR 10.211. Note: Applicants for reissue of an MMC with a new expiration date, including a renewal or additional endorsement(s), who have been convicted of a dangerous drug offense while holding a license, MMC, MMD, STCW endorsement or Certificate of Registry (COR), may have their application withheld until appropriate action has been completed by the USCG under regulations that appear in 46 CFR Part 5 governing the administrative actions against merchant mariner credentials. 4 The USCG may consider dangerous drug convictions more than 10 years old only if there has been another dangerous drug conviction within the past 10 years. 5 Applicants must demonstrate rehabilitation under Paragraph (I) of this section [10.211 (46 CFR)], including applicants with dangerous drug use convictions more than 10 years old. 6 Other dangerous drug convictions will be reviewed by the USCG on a case-by-case basis to determine the appropriate assessment period depending on the nature of the offense. Espionage;* Crime involving a transportation security incident; Sedition;* Improper transportation of hazardous materials under Treason;* 49 U.S.C. 5124 or a comparable state law; A crime listed in 18 U.S.C. Chapter 113B--Terrorism, Unlawful possession, use, sale, distribution, manufac- or a state law that is comparable;* ture, purchase, receipt, transfer, shipping, transporting, Bomb threats; import, export, storage of or dealing in an explosive or explosive device; *Not eligible for a waiver Murder;

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22 Violations of the RICO Act under 18 U.S.C. 1961, or a Have been found in violation of any customs, immigra- comparable state law, where violations consist of any of tion, or agriculture regulations or laws in any country; the permanent disqualifying offenses; or Are subject of an ongoing investigation by any federal, Conspiracy or attempt to commit any of these crimes. state, or local law enforcement agency; Interim Disqualifying Criminal Offenses--If convicted or Are inadmissible to the United States under immigration found not guilty by reason of insanity within the previous regulation, including applicants with approved waivers 7 years, or released from prison in the last 5 years, for any of inadmissibility or parole documentation; or of the following crimes: Cannot satisfy the CBP of a low risk status or meet other Unlawful entry into a seaport; program requirements. Assault with intent to murder; Kidnapping or hostage-taking; Individual Airport Authorities (26) Rape or aggravated sexual abuse; Unlawful possession, use, sale, manufacture, purchase, SIDA distribution, receipt, transfer, shipping, transporting, Disqualifying Offenses delivery, import, export of or dealing in a firearm or other weapon; Forgery of certificates, false marking of aircraft, and other Extortion; aircraft registration violations (49 U.S.C. 46306); Dishonesty, fraud, or misrepresentation, including Interference with air navigation (49 U.S.C. 46308); identity fraud; Improper transportation of a hazardous material (49 Bribery; U.S.C. 46312); Smuggling; Aircraft piracy (49 U.S.C. 46502); Immigration violations; Interference with flight crew members or flight atten- Violations of the RICO Act under 18 U.S.C. 1961, or a dants (49 U.S.C. 46504); comparable state law, other than any permanent disqual- Commission of certain crimes aboard aircraft in flight ifying offenses; (49 U.S.C. 46506); Robbery; Carrying a weapon or explosive aboard aircraft (49 U.S.C. Distribution of, intent to distribute, or importation of a 46505); controlled substance; Conveying false information and threats (49 U.S.C. Arson; or 46507); Conspiracy or attempt to commit any of these crimes. Aircraft piracy outside the special aircraft jurisdiction of the U.S. (49 U.S.C. 46502[b]); Lighting violations involving transporting controlled CBP (2325) substances (49 U.S.C. 46315); FAST, NEXUS, SENTRI Unlawful entry into an aircraft or airport area that serves air carriers or foreign air carriers contrary to established Disqualifying Offenses security requirements (49 U.S.C. 46314); Provided false or incomplete information on the appli- Destruction of an aircraft or aircraft facility (18 U.S.C. 32); cation; Murder; Have been convicted of a criminal offense; Assault with intent to murder; Have a criminal conviction for which applicant received Espionage; a pardon; Sedition; Have failed to obtain a waiver of inadmissibility to the Kidnapping or hostage-taking; United States when applicable; Treason; Have been found in violation of customs or immigration Rape or aggravated sexual abuse; law; Unlawful possession, use, sale, distribution, or manu- Fail to meet other requirements of the FAST Commercial facture of an explosive or weapon; Driver Program; Extortion; Will not lawfully reside in either Canada or the United Armed or felony unarmed robbery; States for the term of their NEXUS membership; Distribution of, or intent to distribute, a controlled Are inadmissible to the United States or Canada under substance; applicable immigration laws; Felony arson; Have pending criminal charges to include outstanding Felony involving a threat; warrants; Felony involving

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23 Willful destruction of property; The applicant is the subject of a request for extradition Importation or manufacture of a controlled substance; or provisional request for extradition that has been Burglary; presented to the government of a foreign country; Theft; The applicant is the subject of a subpoena received Dishonesty, fraud, or misrepresentation; from the United States pursuant to 28 U.S.C. 1783, in Possession or distribution of stolen property; a matter involving federal prosecution for, or grand Aggravated assault; jury investigation of, a felony; Bribery; or The applicant is a minor and the passport may be Illegal possession of a controlled substance punishable denied under 22 CFR 51.28; by a maximum term of imprisonment of more than The applicant is subject to an order of restraint or one year; apprehension issued by an appropriate officer of the Violence at international airports (18 U.S.C. 37); or U.S. Armed Forces pursuant to Chapter 47 of Title 10 Conspiracy or attempt to commit any of the criminal of the U.S. Code; The applicant is the subject of an outstanding state or acts listed herein. local warrant of arrest for a felony; or The applicant is the subject of a request for extradi- U.S. Department of State (2728) tion or provisional arrest submitted to the United U.S. Passport States by a foreign country. The department may refuse to issue a passport in any Disqualifying Offenses case in which: The department may not issue a passport, except a pass- The applicant has not repaid a loan received from the port for direct return to the United States, in any case in United States under 22 U.S.C. 2670(j) for emergency which the department determines or is informed by com- medical attention, dietary supplements, and other petent authority that emergency assistance, including, if applicable, assis- The applicant is in default on a loan received from the tance provided to his or her child(ren), spouse, and/or United States under 22 U.S.C. 2671(b)(2)(B) for the other immediate family members in a foreign country; repatriation of the applicant and, where applicable, The applicant has not repaid a loan received from the the applicant's spouse, minor child(ren), and/or other United States under 22 U.S.C. 2671(b)(2)(B) or 22 immediate family members, from a foreign country U.S.C. 2671(b)(2)(A) for the repatriation or evacua- (see 22 U.S.C. 2671[d]); or tion of the applicant and, if applicable, the applicant's The applicant has been certified by the secretary of child(ren), spouse, and/or other immediate family Health and Human Services as notified by a state members from a foreign country to the United States; agency under 42 U.S.C. 652(k) to be in arrears of child The applicant has previously been denied a passport support in an amount determined by statute. under this section or 22 CFR 51.61, or the department The department may refuse to issue a passport in any case has revoked the applicant's passport or issued a limited in which the department determines or is informed by passport for direct return to the United States under competent authority that 22 CFR 51.62, and the applicant has not shown that The applicant is the subject of an outstanding federal there has been a change in circumstances since the warrant of arrest for a felony, including a warrant denial, revocation, or issuance of a limited passport issued under the Federal Fugitive Felon Act (18 U.S.C. that warrants issuance of a passport; or 1073); The secretary determines that the applicant's activities The applicant is subject to a criminal court order, con- abroad are causing, or are likely to cause, serious dam- dition of probation, or condition of parole, any of age to the national security or the foreign policy of the which forbids departure from the United States and United States. the violation of which could result in the issuance of a The department may refuse to issue a passport in a case federal warrant of arrest, including a warrant issued in which the department is informed by an appropriate under the Federal Fugitive Felon Act; foreign government authority or international organiza- The applicant is subject to a U.S. court order commit- tion that the applicant is the subject of a warrant of arrest ting him or her to a mental institution; for a felony. The applicant has been legally declared incompetent The department may refuse to issue a passport, except a by a court of competent jurisdiction in the United passport for direct return to the United States, in any case States; in which the department determines or is informed by a