DOT 49 CFR PART 15-2010 PROTECTION OF SENSITIVE SECURITY INFORMATION.pdf

1、110 49 CFR Subtitle A (10110 Edition) 11.124 failed to comply with the terms of this policy. (b) In making decisions about sup-porting or approving applications or proposals covered by this policy the de-partment or agency head may take into account, in addition to all other eligibility requirements

2、 and program criteria, factors such as whether the applicant has been subject to a termi-nation or suspension under paragarph (a) of this section and whether the ap-plicant or the person or persons who would direct or has/have directed the scientific and technical aspects of an activity has/have, in

3、 the judgment of the department or agency head, mate-rially failed to discharge responsibility for the protection of the rights and welfare of human subjects (whether or not the research was subject to Federal regulation). 11.124 Conditions. With respect to any research project or any class of resea

4、rch projects the de-partment or agency head may impose additional conditions prior to or at the time of approval when in the judgment of the department or agency head addi-tional conditions are necessary for the protection of human subjects. PART 15PROTECTION OF SENSITIVE SECURITY INFORMATION Sec. 1

5、5.1 Scope. 15.3 Terms used in this part. 15.5 Sensitive security information. 15.7 Covered persons. 15.9 Restrictions on the disclosure of SSI. 15.11 Persons with a need to know. 15.13 Marking SSI. 15.15 SSI disclosed by DOT. 15.17 Consequences of unauthorized disclo-sure of SSI. 15.19 Destruction o

6、f SSI. AUTHORITY: 49 U.S.C. 40119. SOURCE: 69 FR 28078, May 18, 2004, unless otherwise noted. 15.1 Scope. (a) Applicability. This part governs the maintenance, safeguarding, and disclosure of records and information that the Secretary of DOT has deter-mined to be Sensitive Security Infor-mation, as

7、defined in 15.5. This part does not apply to the maintenance, safeguarding, or disclosure of classified national security information, as de-fined by Executive Order 12968, or to other sensitive unclassified informa-tion that is not SSI, but that nonethe-less may be exempt from public disclo-sure un

8、der the Freedom of Information Act. In addition, in the case of infor-mation that has been designated as critical infrastructure information under section 214 of the Homeland Se-curity Act, the receipt, maintenance, or disclosure of such information by a Federal agency or employee is gov-erned by se

9、ction 214 and any imple-menting regulations, not by this part. (b) Delegation. The authority of the Secretary under this part may be fur-ther delegated within DOT. 15.3 Terms used in this part. In addition to the terms in 15.3 of this chapter, the following terms apply in this part: Administrator me

10、ans the Under Sec-retary of Transportation for Security referred to in 49 U.S.C. 114(b), or his or her designee. Coast Guard means the United States Coast Guard. Covered person means any organiza-tion, entity, individual, or other person described in 15.7. In the case of an in-dividual, covered pers

11、on includes any in-dividual applying for employment in a position that would be a covered per-son, or in training for such a position, regardless of whether that individual is receiving a wage, salary, or other form of payment. Covered person includes a person applying for certification or other for

12、m of approval that, if granted, would make the person a covered per-son described in 15.7. DHS means the Department of Home-land Security and any directorate, bu-reau, or other component within the Department of Homeland Security, in-cluding the United States Coast Guard. DOT means the Department of

13、 Trans-portation and any operating adminis-tration, entity, or office within the De-partment of Transportation, including the Saint Lawrence Seaway Develop-ment Corporation and the Bureau of Transportation Statistics. Federal Flight Deck Officer means a pilot participating in the Federal VerDate Mar

14、2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00120 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-111 Office of the Secretary of Transportation 15.5 Flight Deck Officer P

15、rogram under 49 U.S.C. 44921 and implementing regula-tions. Maritime facility means any facility as defined in 33 CFR part 101. Record includes any means by which information is preserved, irrespective of format, including a book, paper, drawing, map, recording, tape, film, photograph, machine-reada

16、ble mate-rial, and any information stored in an electronic format. The term record also includes any draft, proposed, or rec-ommended change to any record. Security contingency plan means a plan detailing response procedures to address a transportation security inci-dent, threat assessment, or speci

17、fic threat against transportation, includ-ing details of preparation, response, mitigation, recovery, and reconstitu-tion procedures, continuity of govern-ment, continuity of transportation op-erations, and crisis management. Security program means a program or plan and any amendments developed for

18、the security of the following, in-cluding any comments, instructions, or implementing guidance: (1) An airport, aircraft, or aviation cargo operation; (2) A maritime facility, vessel, or port area; or (3) A transportation-related auto-mated system or network for informa-tion processing, control, and

19、 commu-nications. Security screening means evaluating a person or property to determine wheth-er either poses a threat to security. SSI means sensitive security infor-mation, as described in 15.5. Threat image projection system means an evaluation tool that involves peri-odic presentation of fiction

20、al threat images to operators and is used in con-nection with x-ray or explosives detec-tion systems equipment. TSA means the Transportation Secu-rity Administration. Vulnerability assessment means any re-view, audit, or other examination of the security of a transportation infra-structure asset; ai

21、rport; maritime fa-cility, port area, vessel, aircraft, train, commercial motor vehicle, or pipeline, or a transportation-related automated system or network, to determine its vulnerability to unlawful interference, whether during the conception, plan-ning, design, construction, operation, or decomm

22、issioning phase. A vulner-ability assessment may include proposed, recommended, or directed actions or countermeasures to address security concerns. 15.5 Sensitive security information. (a) In general. In accordance with 49 U.S.C. 40119(b)(1), SSI is information obtained or developed in the conduct

23、of security activities, including research and development, the disclosure of which the Secretary of DOT has deter-mined would (1) Constitute an unwarranted inva-sion of privacy (including, but not lim-ited to, information contained in any personnel, medical, or similar file); (2) Reveal trade secre

24、ts or privileged or confidential information obtained from any person; or (3) Be detrimental to transportation safety. (b) Information constituting SSI. Ex-cept as otherwise provided in writing by the Secretary of DOT in the interest of public safety or in furtherance of transportation security, the

25、 following information, and records containing such information, constitute SSI: (1) Security programs and contingency plans. Any security program or secu-rity contingency plan issued, estab-lished, required, received, or approved by DOT or DHS, including (i) Any aircraft operator or airport operato

26、r security program or security contingency plan under this chapter; (ii) Any vessel, maritime facility, or port area security plan required or di-rected under Federal law; (iii) Any national or area security plan prepared under 46 U.S.C. 70103; and (iv) Any security incident response plan establishe

27、d under 46 U.S.C. 70104. (2) Security Directives. Any Security Directive or order (i) Issued by TSA under 49 CFR 1542.303, 1544.305, or other authority; (ii) Issued by the Coast Guard under the Maritime Transportation Security Act, 33 CFR part 6, or 33 U.S.C. 1221 et seq. related to maritime securit

28、y; or (iii) Any comments, instructions, and implementing guidance pertaining thereto. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00121 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted with

29、out license from IHS-,-,-112 49 CFR Subtitle A (10110 Edition) 15.5 (3) Information Circulars. Any notice issued by DHS or DOT regarding a threat to aviation or maritime trans-portation, including any (i) Information Circular issued by TSA under 49 CFR 1542.303 or 1544.305, or other authority; and (

30、ii) Navigation or Vessel Inspection Circular issued by the Coast Guard re-lated to maritime security. (4) Performance specifications. Any performance specification and any de-scription of a test object or test proce-dure, for (i) Any device used by the Federal government or any other person pursu-an

31、t to any aviation or maritime trans-portation security requirements of Federal law for the detection of any weapon, explosive, incendiary, or de-structive device or substance; and (ii) Any communications equipment used by the Federal government or any other person in carrying out or com-plying with

32、any aviation or maritime transportation security requirements of Federal law. (5) Vulnerability assessments. Any vul-nerability assessment directed, cre-ated, held, funded, or approved by the DOT, DHS, or that will be provided to DOT or DHS in support of a Federal se-curity program. (6) Security ins

33、pection or investigative information. (i) Details of any security inspection or investigation of an al-leged violation of aviation or maritime transportation security requirements of Federal law that could reveal a secu-rity vulnerability, including the iden-tity of the Federal special agent or othe

34、r Federal employee who conducted the inspection or audit. (ii) In the case of inspections or in-vestigations performed by TSA, this in-cludes the following information as to events that occurred within 12 months of the date of release of the informa-tion: the name of the airport where a violation oc

35、curred, the airport identi-fier in the case number, a description of the violation, the regulation alleg-edly violated, and the identity of any aircraft operator in connection with specific locations or specific security procedures. Such information will be released after the relevant 12-month perio

36、d, except that TSA will not re-lease the specific gate or other location on an airport where an event occurred, regardless of the amount of time that has passed since its occurrence. During the period within 12 months of the date of release of the information, TSA may release summaries of an aircraf

37、t opera-tors, but not an airport operators, total security violations in a specified time range without identifying specific violations or locations. Summaries may include total enforcement actions, total proposed civil penalty amounts, number of cases opened, number of cases referred to TSA or FAA

38、counsel for legal enforcement action, and num-ber of cases closed. (7) Threat information. Any informa-tion held by the Federal government concerning threats against transpor-tation or transportation systems and sources and methods used to gather or develop threat information, including threats agai

39、nst cyber infrastructure. (8) Security measures. Specific details of aviation or maritime transportation security measures, both operational and technical, whether applied directly by the Federal government or another person, including (i) Security measures or protocols recommended by the Federal go

40、vern-ment; (ii) Information concerning the de-ployments, numbers, and operations of Coast Guard personnel engaged in mar-itime security duties and Federal Air Marshals, to the extent it is not classi-fied national security information; and (iii) Information concerning the de-ployments and operations

41、 of Federal Flight Deck Officers, and numbers of Federal Flight Deck Officers aggre-gated by aircraft operator. (9) Security screening information. The following information regarding secu-rity screening under aviation or mari-time transportation security require-ments of Federal law: (i) Any proced

42、ures, including selec-tion criteria and any comments, in-structions, and implementing guidance pertaining thereto, for screening of persons, accessible property, checked baggage, U.S. mail, stores, and cargo, that is conducted by the Federal gov-ernment or any other authorized per-son. (ii) Informat

43、ion and sources of infor-mation used by a passenger or property VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00122 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,

44、-,-113 Office of the Secretary of Transportation 15.5 screening program or system, including an automated screening system. (iii) Detailed information about the locations at which particular screening methods or equipment are used, only if determined by TSA to be SSI. (iv) Any security screener test

45、 and scores of such tests. (v) Performance or testing data from security equipment or screening sys-tems. (vi) Any electronic image shown on any screening equipment monitor, in-cluding threat images and descriptions of threat images for threat image pro-jection systems. (10) Security training materi

46、als. Records created or obtained for the purpose of training persons employed by, contracted with, or acting for the Federal government or another person to carry out any aviation or maritime transportation security measures re-quired or recommended by DHS or DOT. (11) Identifying information of cer

47、tain transportation security personnel. (i) Lists of the names or other identifying information that identify persons as (A) Having unescorted access to a se-cure area of an airport or a secure or restricted area of a maritime facility, port area, or vessel or; (B) Holding a position as a security s

48、creener employed by or under con-tract with the Federal government pur-suant to aviation or maritime trans-portation security requirements of Federal law, where such lists are aggre-gated by airport; (C) Holding a position with the Coast Guard responsible for conducting vul-nerability assessments, s

49、ecurity boardings, or engaged in operations to enforce maritime security require-ments or conduct force protection; (D) Holding a position as a Federal Air Marshal; or (ii) The name or other identifying in-formation that identifies a person as a current, former, or applicant for Fed-eral Flight Deck Officer. (12) Critical aviation or maritime infra-structure asset information. Any list identifying systems or assets, whether physical or virtual, so vital to the avia-ti